Disciplinary Policy & Procedure - February 2021

5. Procedure

Investigation

• When a potential disciplinary matter arises, it should be investigated by the investigating officer in line with the Investigation Policy.   Written records of any interviews with the employee or witnesses should be kept.  Having established the facts, the investigating officer must produce a written report outlining their findings and any recommendations.  If, following investigations, the matter is considered to be minor and not appropriate to be referred to a formal disciplinary hearing, a written report will not be necessary, and the employee will be dealt with informally (see paragraphs 31 – 33).

Informal

• If it is decided that the issue is minor, then this may best be dealt with informally.  The employee should be seen and provided with support to improve such as additional training, coaching or advice (if appropriate). A note should be made of the interview and its outcome, which will be retained (with a copy to the employee) by the line manager. 

• As this is intended to be an informal one to one meeting, employees will not usually have the right of accompaniment. 

• If informal action does not bring about an improvement or the issue is considered to be too serious to be classed as minor, then the formal procedure must be invoked. 

Formal

• A disciplinary hearing must be set up and the employee must be informed in writing of the date, time and location of the hearing, the right to be accompanied, the procedure to be followed and sufficient information about the alleged misconduct and its possible consequences to enable the employee to prepare to answer the case, including witness statements and any other relevant documents.  Where the employee or the investigating officer intends to call relevant witnesses, they should give advance notice that they intend to do so.  

• At the hearing, the Panel should explain the complaint against the employee and go through the evidence that has been gathered. The employee should be allowed to set out their case and answer any allegations that have been made. They should also be allowed to ask questions, present evidence, call witnesses and raise points about any information provided by witnesses.  

• At the end of the hearing, the Panel will decide whether disciplinary action is justified and if so, what form this should take. This decision may not necessarily be made on the same day but will be made and the employee informed of the decision and, if appropriate, the resulting disciplinary action, in writing within 7 working days.  If this is not practical, this time limit can be extended by mutual agreement.