Preparing for a disciplinary hearing: employee guide

If you forget to do something at work, make a mistake, have an accident or do a bad job, what do you think is likely to happen?

It can happen to anyone, at any time, and leave you facing a disciplinary hearing and desperate fight to save your job or salvage your career.

A disciplinary hearing is a formal meeting between you and your employer to discuss allegations of misconduct or other behaviour that warrants disciplinary action [1] cited 9.9.24

The outcome to a hearing can include the case being dismissed and no action being taken, or a formal sanction being imposed which could range from a written warning up to dismissal.

If you have ever been invited to a disciplinary hearing in the past, or it is the first time it has happened, it can provoke a range of intense emotions.

It can be scary, stressful, lead to self-doubt and cause genuine fear for your job security.

As a result you can experience constant anxiety, disturbed sleep, headaches, loss of concentration and other worrying symptoms that can have a harmful impact on your overall wellbeing.

Perhaps the most worrying thing about any disciplinary hearing, especially when facing serious allegations, is that you can get dismissed even when you do not deserve to, or if the process is unfair.

Practically every week we read headlines about an employee, some who argue successfully and others unsuccessfully, that they were unfairly dismissed Recent examples include:

• A former executive at a UK foreign exchange brokerage won a claim for unfair dismissal following allegations his employer asked him to help obtain a visa for an alleged Chinese spy. He was awarded more than £560,000 by an employment tribunal [2] cited 9.9.24

• While a consultant who accused her bosses of unfairly sacking her after she made protected disclosures had her claim thrown out [3] cited 9.9.24

The tribunal questioned the credibility of the claimant based on a number of factors, which included a covert recording she made to support her case. The recording captured her admitting to smoking an ‘illegal drug’ during working hours.

If you find yourself facing a disciplinary hearing at work, good preparation gives you the best chance to prevent the matter from ending up at an employment tribunal,

So if you are at the stage where you have received a letter inviting you to a disciplinary hearing – you may have been suspended or attended a fact-finding/investigation meeting beforehand - here are five key steps to prepare for it:

Step 1: Seek support

You have a statutory right to be accompanied at a disciplinary hearing by a trade union representative, even if you are not a union member, or a colleague [4] cited 9.9.24

Your companion can set out your case, respond to any comments or points made at the meeting, talk to you during the hearing, take notes and sum up your case at the end.

Your companion can also be a reassuring presence, as you can feel outnumbered at a disciplinary hearing. Your employer will be represented by a manager and possibly HR advisor and note-taker, and some employers may even have a disciplinary panel consisting of a number of people representing the organisation.

If you have a disability you can ask to be allowed to be accompanied by someone else e.g. family member or friend, and for it to be considered as a reasonable adjustment [5] cited 9.9.24

Our Employee Support Centre can advise and support you in finding an appropriate companion for a disciplinary hearing.

Step 2: Make sure you understand any allegation levelled against you

Disciplinary allegations are not always made clear. To be able to respond, you need to understand exactly what it is you are being accused of.

For example, if you face an allegation that simply says ‘inappropriate behaviour towards colleagues’ you need to know the specific nature of the inappropriate behaviour, identity of the colleagues and dates. Similarly an allegation that states ‘serious health and safety breaches’ what are the breaches and how and when did they occur?

If you feel the allegations lack sufficient detail and clarity, ask your employer for more information. It will help you to prepare your response effectively.

Step 3: Know the process

Review your employer’s disciplinary policy so you know exactly what to expect and can challenge the procedure if it is unfair.

The disciplinary process should reflect the good practice guidance provided by the ACAS Code of Practice [6] cited 9.9.24

Your employer is required to conduct a fair disciplinary process and follow specific procedures and guidelines, such as the ACAS Code.

If you have legitimate concerns about the process and believe it is unjust, you should raise your concerns with your employer and you can do so by raising a grievance [7] cited 9.9.24

Step 4: Collect evidence

Gather any evidence you believe can support your case and help you refute any allegation e.g. emails, documents or text messages.

If you believe there is evidence that can support your case, for example in emails or on the work computer system, request your employer allows you access to it.

If there are colleagues/witnesses that can support your case, you should make your employer aware of their identity so that they can be interviewed.

Some disciplinary procedures will allow you to call witnesses to a disciplinary hearing. So if you think it may help your case to do so, check the disciplinary policy.

If the policy does not allow you to call witnesses, you can still make a request to do so in accordance with section 12 of the ACAS Code.

Step 5: Prepare a statement

Being prepared and knowing what you want to say has a number of advantages:

• It helps in organising your thoughts and to present a clear and structured response to any allegation. It can also ensure you cover everything and do not forget to say anything important.

• Even the most confident employee can find a disciplinary hearing nerve-wracking. Knowing exactly what you are going to say can boost your confidence.

• A prepared statement can list references to evidence you have and wish to present in support of your case. The document can help to make your argument more compelling and easy to follow.

• Having what you want to say in writing also helps to ensure you provide a consistent response and avoid any contradictions, which can undermine your credibility.

• There is no guarantee you will get the outcome you want or deserve no matter how well prepared you are for a disciplinary hearing. Clearly documenting your version of events can be extremely helpful if the case does not go the way you want, and you have to go to an employment tribunal. A written statement provides an irrefutable record of your defence and the points you raised during the hearing.

Tips on writing a statement: it should be clear and concise, address all allegations, explain misunderstandings or mistakes and be honest and factual.

Your employer will have prepared questions it will want to ask you at the hearing. If you have prepared a statement request to be allowed to go through it first, and explain it is likely to answer any questions they have and will make the process easier for you.

Your employer may refuse the request, in which case answer any questions, refer to your statement if necessary, and when given an opportunity at the end to say anything else you wish to add, then go through your statement.

And finally

Preparing for a disciplinary hearing is difficult, but ensuring you have the right support, understand the allegations and are fully prepared will mean you can present a strong rebuttal to any allegation.

The process can be incredibly stressful so take care of your wellbeing and focus on what you want to achieve. With the right preparation, you can get through a disciplinary hearing with confidence and as much calm as is possible.