Appendix A12b:5

Guidance on the General Format of Disciplinary Hearings

This guidance sets out the format which will normally be followed for disciplinary hearings and is intended to provide additional guidance for those involved in a hearing. It should be read in conjunction with Appendix A12.b.4 of the Employment Code, which also includes information on the composition of the disciplinary panel. For further information please contact your HR department.

Before the disciplinary hearing takes place the employee will:

Be sent a letter ( letter 1), giving them reasonable notice of the date and time of the hearing and advising them of the names of the panel members
Be advised that the hearing will be held under BBSRC's disciplinary procedure
Be given written details of the allegations against them
Be provided with a copy of the investigator’s report
Be provided with copies of evidence which is relevant to the case and may be referred to by the panel e.g. witness statements (in certain circumstances these may be anonymised)
Be informed of the right to be accompanied at the hearing by a colleague or trade union representative
Be advised of the possible consequences

Before the disciplinary hearing, the panel members should:

Familiarise themselves with section A12 of the BBSRC Employment Code
Review all the facts/evidence
Review all relevant documents including the investigator’s report, witness statements, any current disciplinary warnings, other relevant evidence such as telephone or computer records
ensure that the dates and times of incidents are clearly noted
plan a list of key points/questions that will be put to the employee, and think carefully about how they should be phrased in order that the employee has full opportunity to put their side of the case
Arrange for the attendance of witnesses (as required) and for a note taker to be present

The structure of a disciplinary hearing:

The chair of the disciplinary panel will introduce the hearing, explain its purpose and how it will be conducted. The purpose of the hearing is to establish the facts and determine, on conclusion of the hearing, whether there are reasonable grounds to take disciplinary action against the employee and, if so, the level of such disciplinary action. Members of the panel may ask questions at any time for the purposes of clarification and to ensure a full and thorough investigation of the case
The parties present at the hearing will introduce themselves and confirm their respective roles. The employee may choose to be accompanied by a work colleague or trade union representative
The chair will state that the hearing is being conducted as part of BBSRC's disciplinary procedure, and confirm that a written note of the hearing will be made
The chair will state whether any witnesses have been asked to give evidence at the hearing, and if so, who they are (unless anonymity has been agreed)
The chair will explain the case against the employee. All the relevant facts will be put to the employee, with specific examples of relevant incidents being given where possible
Where evidence has been obtained from third parties in the form of written statements, these will have been sent to the employee in advance of the hearing, if they are relevant to the case. In exceptional cases the identity of the witness may be anonymised – guidance on when this is appropriate is set out in the Disciplinary Procedure
Where witnesses are called to attend the hearing, including those whom the employee has requested, the panel may ask them questions relating to their statement/evidence in front of the employee (if it has been agreed not to disclose the identity of the witness they will be seen separately). If the employee has questions they want to ask the witnesses these will be put through the panel. A short adjournment may be required for the employee to prepare their questions
The employee or his/her representative will be allowed a full opportunity to ask questions through the panel and to raise points about any information provided by witnesses
The employee will be allowed a full and fair opportunity to state his/her side of events, explain his/her conduct, and put forward any mitigating factors. He/she may do this personally, or the employee's representative (if he/she has elected to be represented) may do this on his/her behalf
The panel may question the employee on his/her evidence or in relation to points about the information provided by witnesses. Although the employee may confer with his/her representative at any time during the hearing or ask for a short adjournment, the employee must answer directly any questions put to him/her
The chair will take into account any mitigating factors put forward by the employee when subsequently making a decision about whether or not to impose a disciplinary penalty, and the level of any such penalty
The chair will sum up the key points of the hearing
The chair will inform the employee when a decision will be made on whether to impose a disciplinary penalty on the employee
The chair will inform the employee that he/she will have the right to appeal against any disciplinary penalty imposed on him/her
The chair will close the meeting

At any point during the hearing, the chair may adjourn the proceedings if it appears necessary or desirable to do so (e.g. for the purpose of gathering further information, clarifying evidence provided by witnesses, or to provide a cooling-off period, if required).

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Last updated 01/12/09
Amendment 85 - December 2009

Contact

policyteam@bbsrc.ac.uk