Discipline - Disciplinary meeting

Where the results of the investigation indicate that there are reasonable grounds to suggest misconduct or gross misconduct, a Disciplinary Meeting must be arranged.

• The Disciplinary Meeting must be conducted fairly and follow the principles of natural justice. 
• For cases of misconduct - a manager graded MG1 or above (or manager with delegated authority) will consider the case.
• For cases of gross misconduct or potential dismissal (where employee already has outstanding warnings) - a manager graded MG3 or above will consider the case and HR will attend to advise the manager.
• The manager/panel members should not have been directly or indirectly involved in the case, that is, they should not have been a witness to the alleged misconduct.  
• In cases of potential discrimination or harassment, the manager may be advised at the Disciplinary Meeting by another manager or HR Adviser, representative of the same social identity of parties involved so that there is a balance to the proceedings.

10.1.    Representation

Employees may be accompanied by their Trade Union Representative or a Work Colleague at any meeting which could result in disciplinary action.

10.1.1.  Arranging Representation

It is the responsibility of the employee to arrange for their trade union representative or work colleague to be present at meetings. However, the Council will seek to arrange a time and date suitable to both.

An employee subject to this procedure must be given the time to contact their trade union representative or work colleague and prepare their case.

10.1.2.  Paperwork

The employee will be give two copies of the all paperwork relating to the meeting/hearing which they can pass to their Trade Union representative or work colleague as they choose.

10.1.3.  Arrangements for Conduct Meetings/Appeal Hearings

Where an alternative date and time is requested to allow a representative or work colleague to attend, the Council will make reasonable efforts to accommodate this.
If management have made every reasonable effort to meet with the employee, but a mutually agreed date and time cannot be reached because of unavailability of the employee or representative, the meeting/hearing may take place in absence of either or both.  A minimum of one alternative date and time must have been offered before this action is considered and Managers are advised to seek advice from HR before taking this action

10.2.    Note-taking

Notes must be taken - these will be needed when formulating the letter confirming the outcome of the Disciplinary Meeting which will need to record what was said by either side, why the manager came to their decision etc.

A manager may arrange, in complex cases, for a note taker* to attend the meeting to record the key points - these do not need to be verbatim minutes, however, the notes should be comprehensive and accurate. 

An existing employee that has not been directly or indirectly involved in the case, that is, they should not have been a witness to the alleged misconduct or in some cases, an external note-taker could be appointed.

Employees/note-takers should be reminded that all notes taken should be kept confidential.

Note taking is not the role of HR. 

10.3.    Notification of Disciplinary Meeting

The employee will be sent a letter by the manager considering the case giving a minimum of 10 days notice of the Disciplinary Meeting, confirming:

• The purpose of the disciplinary meeting
• The alleged misconduct leading the Council to consider disciplinary action
• The date, time, place of the meeting
• Details of officers presenting and considering the case
• Names of any management witnesses
• Attaching a copy of the Investigating Officer’s report, with appendices
• To whom the employee should send any further documentary evidence to be considered at the hearing, if appropriate
• The employee’s right to be accompanied by a trade union representative or work colleague and to call witnesses
• That the employee must take all reasonable steps to attend the meeting

Enclosed with the letter should be the Investigating Officer’s report, copies of all interview statements referred to in the Investigating Officer’s report and any documents that will be produced at the meeting.

The employee should receive two copies of all paperwork – an extra copy for their trade union representative or work colleague if they choose.  (Alternative arrangements may be appropriate if agreed by all parties).

10.4.    Format for the Disciplinary Meeting

Role of the manager/ Chair of Members Panel considering the case - makes the introductions (names/roles in process) and confirms the purpose of the Disciplinary meeting:

• Clarifies the allegation(s) against the employee
• Goes through evidence that has been gathered and establishes the facts of the case
• Hears the Investigating Officer’s presentation of the investigation
• Allows the employee/representative to set out their case and allow the employee to answer any allegations that have been made
• Makes a decision, after considering evidence provided, on the balance of probabilities
• Decides whether disciplinary action or some other action is necessary as a result
• Issues disciplinary action as appropriate in accordance with Harrow’s Disciplinary procedure and the seriousness of the offence.

1. Manager/Members of Panel considering the case advise the employee of their right to be accompanied.  If the employee chooses not to be accompanied by a trade union representative or work colleague, this should be recorded and that the employee agrees to the Disciplinary Meeting going ahead.

2. Manager/Chair of Members Panel considering the case asks all present to confirm receipt of documentation sent out relevant to the Disciplinary Meeting.

3. Manager/Chair of Members Panel considering the case asks for opening statements from either side before proceeding to the presentations (this may not always be appropriate but is an opportunity for an employee who wishes to admit the offence to proceed straight to mitigation). 

4. The Investigating Officer presents their report, calling witnesses as appropriate.

5. The employee/representative responds - calling witnesses as appropriate.

6. Both parties and manager/panel are given the opportunity to ask questions of the witnesses, as appropriate.

7. The Investigating Officer summarises their case.

8. Employee’s /representative summarises their case including mitigation.

9. The Disciplinary Meeting adjourns while the manager/panel considers whether taking any disciplinary action is appropriate, in private. 

10. Both parties may be recalled if necessary to clarify points of uncertainty on evidence already given. 

11. Investigating Officer and employee (and his/her representative) are recalled and manager/ Chair of Members Panel relays the decision on what level of disciplinary action, if any, together with the implications of the decision.

12. The decision will be confirmed by the manager/ members of panel to the employee within 5 days of the Disciplinary Meeting.

Both sides must have been given an opportunity to put their case fully, including an opportunity to call witnesses and to put questions to witnesses brought by the other side. 

10.4.1.    The outcome of the Disciplinary Meeting

In making a decision the manager/panel should consider and be satisfied with the outcomes of the following questions:

 
1. Has there been as much investigation as is reasonable in the circumstances?
  
YES  
NO

2. Have the requirements of the Disciplinary Procedure been properly complied with up to this point, including advance notice to the ‘employee’ of the allegation to be considered at this hearing?
  
 
YES  
NO

3. Has the panel paid sufficient regard to any explanation put forward by or on behalf of the ‘employee’?
  
YES  
NO

4. Does the panel believe that the ‘employee’ has committed the misconduct as alleged?

YES  
NO

5. Does the panel have reasonable grounds on which to sustain that belief on the balance of probabilities - is it more likely than less likely that the ‘employee’ did what is alleged?
   
YES  
NO

“YES” answers to all of these questions will mean a finding that the ‘employee’ has committed the act of misconduct. What to do about it will then become the next consideration for the panel. Three further questions will need to be considered.
 
6. Is the misconduct sufficiently serious to justify the disciplinary action the panel is contemplating?
  
YES  
NO

7. Has the panel had regard to any mitigating circumstances put forward by or on behalf of the ‘employee’, and any response to these by management’s representative?
  
YES  
NO

8. Is the disciplinary action reasonable in the circumstances?  

YES  
NO

The panel should also consider:

• The facts have been established
• Requirements of the Equality Act 2010 have been complied with (as appropriate)
• Mitigating or personal circumstances have been considered
• Previous current warnings under this procedure have been considered

The panel needs to remember that their decision can be challenged internally and externally (Employment Tribunal).  The above eight questions should be considered carefully before deciding the appropriate disciplinary action.  If the panel can show that they considered all eight of these questions they will be able to demonstrate the reasonableness of their decision and have more chance of being able to defend their decision at appeal or tribunal.

10.4.2.    Other considerations

The manager/panel should give consideration to what will happen after the Disciplinary Meeting has taken place, particularly if the employee is returning to work following suspension, irrespective of whether disciplinary action was taken.

Consideration should be given to how the employee will be supported in returning to their workplace, assisting them to return to pick up their work, confidentiality of the decision, what information is given to work colleagues, etc.

The Manager/Panel may wish to make some recommendations regarding these issues.

10.4.3.    Reconvening the Disciplinary Meeting to confirm the decision

 The Disciplinary Meeting should be reconvened and the employee advised of the decision and informed of their right to appeal against the decision.   This decision and the employee’s right to appeal against the decision will be confirmed in writing by the manager within 5 days of the Disciplinary Meeting.  The manager should ensure they provide reasonable justification to support the outcomes.

Where it is not possible for an immediate decision to be made, the Manager should consider the impact of the delay on the employee and must convey the decision verbally and in writing to the employee within 5 days of the Disciplinary Meeting.

However, if it is not possible re-convene the meeting with all parties involved within a short period of time, the employee should be advised that the decision will not be delayed.

The employee must be informed of the consequences of the decision.

10.5.3.    Dismissal

If the employee is dismissed for gross misconduct, it will be immediate and they will not be entitled to notice or pay in lieu of notice. They should be escorted to collect their personal belongings and leave the building.