If you are preparing to hold a disciplinary hearing, you may be wondering how to approach it. What should you say? How do you keep the conversation on track? And what if the employee’s explanation changes your view of what happened?
These are questions we hear from business owners and managers. In a small business, you often know the person well and work alongside them every day. Addressing a concern formally can feel uncomfortable, even when you know it needs attention.
Preparing properly helps. It gives you a clearer understanding of the issues and allows you to listen, ask useful questions and make a considered decision.
Make sure a hearing is the right next step
Before inviting someone to a disciplinary hearing, you should have carried out a reasonable investigation and established whether there is a case to answer. Check your disciplinary policy and follow a fair procedure in line with the Acas Code of Practice.
Be clear about the concern. Saying someone has “a poor attitude” gives them very little to respond to. Explain the specific behaviour, when it happened and why it is a concern.
We recommend taking a moment to check that you are using the right process too. Someone who needs training or clearer expectations may need a different approach from someone who has knowingly ignored a workplace rule.
A disciplinary hearing is an opportunity to hear the employee’s response before deciding whether action is appropriate. Go into it prepared to reconsider your understanding of the situation.
Give the employee time to prepare
The employee should receive a written invitation explaining the allegations, possible outcomes and meeting arrangements. Share the relevant evidence and explain their right to be accompanied.
Give them reasonable time to review the information and prepare their response. Check your policy and consider how much material they need to work through.
Prepare yourself as well. Read the evidence, identify any gaps and think about what you need to ask. A few clear questions will help you more than a long script that leaves little room for discussion.
Think about who should be involved
Where practicable, different people should carry out the investigation and chair the disciplinary hearing. The appeal should also be handled impartially, wherever possible by someone who has not previously been involved.
We know this can be difficult in a small business with only one or two managers. Think about who can consider the matter fairly and whether external support would help, particularly if you are personally involved in the events.
Arrange a private space and someone to take notes. This allows the chair to focus on the conversation and gives you a record to refer to afterwards.
Keep the hearing clear and calm
Start by explaining why you are meeting, who is present and how the hearing will work. Confirm that you will consider everything discussed before making a decision.
You could say:
“We will go through the concerns and the information we have, then give you the opportunity to explain your side. Afterwards, we will take time to consider everything before deciding what happens next.”
Work through each allegation and the supporting evidence. Give the employee time to respond, ask questions and put forward their own evidence. Allow their companion to support them and contribute within their permitted role.
You can be clear about a serious concern while keeping the conversation respectful. If an answer is unclear, ask them to explain further. Open questions such as “Can you talk me through what happened?” can help you understand their account.
Be prepared to pause
Sometimes the employee tells you something you were not aware of. They may identify another witness, question a document or explain circumstances that need checking.
If that happens, adjourn and carry out any further investigation needed. Give the employee an opportunity to respond to new evidence before reaching a decision.
Managers sometimes feel they should have every answer during the meeting. Taking time to check an important point is a sensible part of making a fair decision.
Consider the outcome carefully
At the end of the hearing, explain what happens next and when the employee can expect an update. Take time to consider the evidence and their explanation before deciding.
Consider whether the allegations have been established, any relevant circumstances and whether the proposed action is reasonable. How have similar situations been handled? Are there issues with training, instructions or expectations that also need addressing?
The outcome may be no action, informal action or a formal warning. In more serious cases, dismissal may be considered. Even where gross misconduct is alleged, a fair process is still required. We recommend taking advice before making a dismissal decision.
Explain the decision and next steps
Confirm the outcome and reasons in writing without unreasonable delay. If you issue a warning, explain what needs to change, the relevant timescale, how long the warning remains current and what could happen if there is further misconduct. Include the employee’s right to appeal and how to do so.
Where employment continues, think about what will help everyone move forward. The manager may need to clarify expectations, provide support or arrange a follow-up conversation.
Resources to help you prepare
Our Misconduct and Disciplinary Action: A Step-by-Step Roadmap helps you understand where the hearing fits within the wider process. You can preview it online and create a free account to download it.
Retainer clients can also access our Disciplinary Meeting Script for Managers for practical prompts to support the conversation.
Need help preparing for a disciplinary hearing?
Knowing the steps is helpful. Applying them to a situation involving your own team can be more difficult, especially when the evidence is unclear or the working relationship has become strained.
At Dakota Blue Consulting, we bring senior HR judgement, practical SME support and a commercial understanding of your business. We help you prepare for the hearing, work through the issues and decide on a fair and appropriate next step.
Explore our Retainer HR Support or speak to us about the situation you are managing.
