Disciplinary meetings

How do you conduct a disciplinary meeting?

The stages below describe how to conduct a disciplinary meeting from the preparation through to making a decision.  The following flowchart contains useful checklists and advice.

 

Checklist for preparing for a disciplinary meeting

It is important that you prepare thoroughly for a disciplinary meeting before you actually undertake it.  You should:

• Gather all the relevant facts such as the employee’s personal details and disciplinary record, written statements from witnesses and other relevant documents.
• Where possible, check witness statements and evidence for their accuracy.
• Inform the employee of the complaint, the procedure to be followed and their rights including the documents that they can have access to in advance.
• Consider possible explanations from an employee and, if possible, check them out.
• Inform the employee of their right to be accompanied to the meeting.  The companion can be either a fellow worker or a union official.
• Allow the employee time to prepare their case.
• Arrange a time and place for the meeting, which should be held in as private a location as is possible.
• Allow witnesses, who can do so, to attend unless the employee accepts their statements as fact.
• Consider the structure of the meeting and the main points that need to be made.
• Arrange to have another manager present to take notes of the proceedings.

Checklist for conducting a disciplinary meeting

To start the meeting:

• Introduce all those present and explain why they are there.
• Explain that the purpose of the meeting is to consider whether disciplinary action should be taken in accordance with your organisation’s disciplinary procedure.
• Explain how the meeting will be conducted.

To present the statement of the complaint:

• State precisely what the complaint is and outline the case briefly by going through the evidence.
• Make sure the employee or representative or accompanying person is allowed to see any witness statements.  Take care with statements given in confidence.
• Establish whether the employee is prepared to accept that they may have done something wrong.  Then agree the steps to remedy the situation.

During the employee’s reply:

• Allow them to state their case and answer any allegations; ask questions; present evidence; call witnesses.
• Allow them to confer with their companion.  The companion may also ask questions.
• Listen carefully in silence as this may make the employee more forthcoming.
• If a grievance that relates to the case is raised during the meeting it may be appropriate to suspend the meeting for a short while until the grievance can be considered.

How and when to conclude the meeting:

Summing up

• Summarise the main points after questioning is complete.  This allows all those present to be reminded of the nature of the offence, the evidence submitted and helps to ensure nothing has been missed.
• Ask the employee whether they have anything else to say.

Adjournment

• It is good practice to adjourn the meeting before a decision is taken on what the disciplinary outcome should be.
• Adjourning allows time for proper consideration and reflection and can also be used to check any facts that may have been raised and that could be in dispute.

What problems may arise?

• If new facts emerge then consider reconvening the meeting. 
• If an employee becomes upset or distressed allow them time to regain their composure.
• If an employee is too distressed to continue adjourn and reconvene at a later date.
• Allowing people to ‘let off steam’ can be a helpful way of finding out what happened.
• Abusive language or behaviour during the meeting should not be tolerated.
  

How do you decide what action to take?

At the end of a disciplinary meeting you will need to make a decision about the employee.  Should you take disciplinary action and if so what?  Or should some other action be taken such as training or a job change?

Whatever you decide you should ensure that the action is not disproportionate to the offence.

You may decide not to proceed…

particularly if the offence is deemed trivial or there is no evidence to support any action being taken.

If you do decide on a disciplinary penalty then ask yourself:

• Do the rules indicate what it should be for the particular misconduct?
• What penalties have been imposed for similar offences in the past?
• What is the employee’s disciplinary record, general work record, work experience, length of service and position?
• Are there any special circumstances that might affect the severity of the penalty?