People & Organisational Development

Guidance for Disciplinary Hearing Manager

Introduction

This guide outlines best practice for colleagues undertaking the role of Disciplinary Hearing Manager as part of the University’s Disciplinary policy.  This guide provides clear direction to ensure that all disciplinary hearings are conducted fairly, transparently, and in line with policy, safeguarding the rights and responsibilities of all parties involved.

What does the role entail?

The Disciplinary Hearing Manager is responsible for chairing the disciplinary hearing and ensuring that the process is managed in a fair, impartial, and procedurally correct manner. This includes:

  • Reviewing the investigation report and supporting documentation submitted by the Investigation Manager.
  • Ensuring that both the employee (and the presenting manager typically the Investigation Manager, where required) have the opportunity to state their case.
  • Asking appropriate questions to clarify facts and assess the evidence presented.
  • Considering all relevant information before reaching a decision on whether the allegations are upheld.
  • Determining an appropriate outcome or sanction, if applicable, in line with the University’s disciplinary framework.

It is important to note that the Disciplinary Hearing Manager must remain impartial throughout the process and base decisions solely on the evidence presented during the hearing. They must not have had prior involvement in the investigation or be connected to the case in a way that could compromise objectivity.

Background/Overview

The disciplinary process is designed to address concerns about conduct or behaviour in a structured, fair, and supportive manner. It ensures that all parties are treated with dignity and respect, and that outcomes are reached consistently and in line with University of Glasgow policies (linked below).

The Commissioning Manager holds overall accountability for managing the disciplinary process from start to finish. This includes appointing the appropriate managers at each stage to ensure impartiality and procedural integrity. At the outset, the Commissioning Manager identifies and appoints an Investigation Manager to lead the evidence-gathering phase. Once the investigation is complete, they review the findings and determine whether to accept or reject the recommendations.

If the case progresses to a formal disciplinary hearing, the Commissioning Manager is responsible for appointing a suitable Disciplinary Hearing Manager to lead that stage of the process. They also issue the formal appointment letters and ensure all relevant details are communicated clearly.

Throughout the process, the Commissioning Manager works closely with the local People & OD Business Partner to monitor and support the wellbeing of all parties involved. They are also responsible for issuing the investigation outcome letter to the colleague and ensuring that any recommendations—such as reflective learning, training, or progression to a hearing—are appropriately actioned.

Once appointed, the Disciplinary Hearing Manager assumes responsibility for conducting the hearing and reaching a fair and evidence-based outcome.

Preparing for the Hearing

Prior to the hearing, the Disciplinary Hearing Manager should undertake the following preparatory steps to ensure the process is fair, well-structured, and compliant with University policy:

  • Familiarise yourself with the University’s Disciplinary Policy and procedure.
  • Review the full case documentation provided by the Commissioning Manager, including the investigation report, witness statements, supporting evidence, and relevant University policies.
  • Ensure access to the case files on SharePoint, including the case timeline, which will help structure your pre-reading and inform your questioning.
  • Allocate sufficient time for pre-reading, including emails and documents referenced in the case timeline. Use this material to prepare detailed and relevant questions. 
  • Meet with the assigned Employee Relations (ER) Partner to plan the hearing, agree on logistics, and discuss any case-specific considerations.
  • Liaise with the ER Partner to arrange invitation letters for all parties and to produce a meeting plan (sometimes referred to as a “script”) outlining the structure, format, and key questions for the hearing. This plan should remain flexible and adapt as needed during the meeting.
  • Confirm attendance of all relevant parties, including the employee, their representative (if applicable), the presenting manager – where required, and any witnesses.
  • Arrange a suitable venue that ensures privacy and minimal disruption.
  • Block out diary time for the hearing and any necessary pre-meetings.
  • Agree timescales for completion of the hearing and communicate any anticipated delays to the Commissioning Manager, especially if they exceed the timeframe outlined in your appointment letter.

Conducting the Hearing

During the hearing, the Disciplinary Hearing Manager should:

  • Open the hearing by outlining the purpose, process, and expected conduct.
  • Ensure procedural fairness, allowing each party to present their case without interruption.
  • Maintain control of the hearing, intervening where necessary to keep discussion focused and respectful.
  • Take notes or ensure a note-taker is present to record key points and decisions.
  • Ask questions to clarify facts, test the credibility of evidence, and ensure a balanced understanding. The ER Partner may also ask follow-up questions, to ensure all relevant matters have been appropriately investigated and any points clarified
  • Adjourn the hearing if further information is required or if a break is needed for any party.

Post-Hearing Responsibilities

A Disciplinary Hearing Manager should reach a decision by carefully evaluating all evidence presented during the hearing, including the investigation report, witness statements, and any supporting documentation. Their role is to assess whether the allegations are substantiated based on the balance of probabilities—not personal opinion or speculation. They must consider any mitigating or aggravating factors, ensure consistency with previous cases, and apply University policy fairly. The decision should be clearly reasoned, proportionate to the findings, and documented with a rationale that supports transparency and enables the right to appeal. 

Where the employee raises an appeal, the Disciplinary Hearing Manager may be required to present their decision and attend the Appeal hearing.

Balance of Probabilities explained:

Decisions in a disciplinary hearing should be made based on the balance of probabilities, which means determining whether it is more likely than not that the alleged misconduct occurred. This is a lower threshold than the criminal standard of "beyond reasonable doubt." The Disciplinary Hearing Manager must weigh the evidence presented by both sides and decide which version of events is more credible and supported. If the evidence suggests that the misconduct is more probable than not—i.e., there is greater than a 50% chance it happened—then the allegation can be upheld. This approach ensures fairness while recognising that absolute certainty is not required in workplace proceedings.

After the hearing, the Disciplinary Hearing Manager must:

  • Deliberate independently, considering only the evidence presented during the hearing.
  • Reach a decision on whether the allegations are upheld and, if so, determine an appropriate sanction in line with policy.
  • Document the outcome, including rationale for the decision and any mitigating or aggravating factors.
  • Communicate the decision to the employee in writing, including their right to appeal.
  • Ensure records are stored securely and shared only with those who have a legitimate need to know.

Outcomes

Possible outcomes after the hearing may include:

  • No action
  • First Written Warning (live for 6 months)
  • Second Written Warning (live for 9 months)
  • Final Written Warning (live for 12 months)
  • Dismissal (with or without notice, depending on circumstances)
  • Other sanction (e.g., demotion, training requirement)

Key roles in the process

Commissioning Manager

The Commissioning Manager is responsible for appointing an appropriate manager to support the disciplinary process and issue the formal letter to confirm the appointment and associated details. They will work closely with the relevant local People &OD Business Partner to monitor and support the wellbeing of all parties involved as appropriate.

Upon receiving the investigation report, the Commissioning Manager will review the findings and decide whether to accept or reject the recommendations. They are also responsible for issuing the investigation outcome letter to the colleague and ensuring that any recommendations are actioned.  This may include reflective learning, training and/or progression to a formal disciplinary hearing.

Investigation Manager

The Investigation Manager is appointed by the Commissioning Manager to lead a fair and impartial investigation into alleged misconduct. Their role is to gather evidence, interview relevant individuals, and compile a comprehensive report outlining the facts and recommendations. They do not make disciplinary decisions or participate in the hearing itself. Throughout the process, they work closely with the People & OD Business Partner to ensure procedural compliance and support the wellbeing of those involved.

Local POD Team/P&OD Business Partner

The local People & OD Business Partner is typically a first point of contact for managers engaging with the disciplinary process. They collaborate at the outset with the Commissioning Manager, providing guidance and support on identifying the Investigating and Hearing Managers, and supporting the framing of allegations where required.

Once initial setup is complete, the case is handed over to the Case Management Hub. The local P&OD Business Partner maintains communication with the line manager and the Employee Relations Partner to provide ongoing case updates and support.

Line Manager

The line manager (or suitable alternative if the line manager is directly involved in the case) plays a vital role in safeguarding the wellbeing of the colleague under investigation. They will remain in regular contact with their local People &OD Team at various stages throughout the process to offer practical and wellbeing support throughout the process and beyond.

Employee Relations Partner

The Employee Relations Partner (or Employee Relations Advisor), operating through the Case Management Hub, provides expert guidance and support throughout the disciplinary process. They advise Investigating Managers, Disciplinary Hearing Managers and Appeal Managers to ensure outcomes are fair, robust, and procedurally sound.

They support the Hearing Manager by offering guidance, including the development of meeting plans, correspondence and the interpretation of policy. They also liaise with the Commissioning Manager, and relevant local People & OD Business Partner to keep all stakeholders informed and updated. 

Note taker

A designated note taker attends the investigation meetings to accurately record discussions. They are responsible for producing clear and timely summaries during each meeting.

Witnesses

Witnesses are individuals who provide factual, relevant information and/or evidence about the case, typically through direct observation or knowledge of the situation or event in question. When engaging witnesses, the Investigation Manager must respect confidentiality and share only information pertinent to their involvement. Full details of the allegations should only be disclosed when necessary.

Witnesses should only be questioned on matters directly relevant to their experience, such as incidents they have observed. While they are not usually accompanied during investigatory interviews, it is considered good practice to allow this if requested. Participation is voluntary; and efforts should be made to address any concerns and encourage cooperation. Witnesses may also provide their accounts in writing as a ‘witness statement.’

The Investigating Manager is responsible for identify and inviting appropriate witnesses. Colleagues involved in the investigation must not approach or influence witnesses or seek character references. All witnesses are expected to always maintain confidentiality.

Trade Union/Companion

They may address the hearing on behalf of the employee, present and sum up their case, and confer with the employee, however, they cannot answer questions on behalf of the employee unless agreed.

Other things to consider/navigate

Sickness absence

Depending on the length/reason for absence, the Hearing Manager may need to postpone the Disciplinary Hearing until the colleague is back at work. In the case of long-term absence, depending on the specific circumstances, it may be best practice to encourage the colleague to participate in the procedure especially if the absence is due to stress relating to the disciplinary. Occupational Health can give guidance to understand fitness to attend meetings.

It may also be necessary to consider whether or not adjustments could be made to the process to enable the employee to attend the disciplinary hearing. Potential reasonable adjustments might include:

  • Holding the hearing at a venue closer to the employee’s home or at a mutually agreed location
  • Incorporating frequent rest breaks into the meeting
  • Allowing additional time for the employee to prepare for and present their case
  • Allowing the employee to choose a companion from outside the usual categories, for example a family member or friend
  • Allowing the employee to make written representations and
  • Allowing the employee’s companion to take a more active role at the meeting

Adjustments such as these should be considered in the circumstances where they could prevent the disciplinary process from being put on hold, even where the employee is not disabled according to the definition in the Equality Act 2010.

Failing to attend the Disciplinary Hearing

If an employee chooses not to attend a disciplinary hearing, the Disciplinary Hearing Manager must still ensure the process proceeds fairly and in line with University policy. The hearing may go ahead in their absence, provided reasonable efforts have been made to confirm attendance and offer support. The employee should be given the opportunity to attend rescheduled meeting(s) - where the employee fails to attend rearranged meeting(s), without good cause, a decision may be taken in their absence. The number of times the University may be expected to reschedule the disciplinary hearing where the employee again fails to attend will depend on the employee’s reasons for non-attendance, and what is reasonable in the circumstances. For example, if the employee does not have a good reason for failing to attend the first arranged meeting but is genuinely unable to attend the rearranged meeting due to illness, it would be reasonable to reschedule the meeting a second time. Disciplinary Hearing Managers should seek advice from their assigned ER Partner.

Complexity

Disciplinary hearings can involve sensitive and emotionally charged situations, requiring the Disciplinary Hearing Manager to exercise empathy, discretion, and sound judgement. They may need to navigate complex issues such as mental health, disability, or personal trauma, ensuring that the process remains fair while accommodating individual needs. Emotional responses from employees or witnesses should be handled with care, maintaining professionalism while offering appropriate support. Throughout, the Disciplinary Hearing Manager must strike a careful balance between maintaining confidentiality and ensuring transparency in how the hearing is conducted and decisions are reached.

Police investigations

When a Police investigation is ongoing, guidance is required to determine whether the internal University disciplinary hearing should proceed or wait until the criminal proceedings are concluded. In some cases, the Police may request that the internal investigation be paused until the criminal investigation is complete.  The P&OD Business Partner and Employee Relations Partner/Advisor will provide advice in such situations.

Common pitfalls to avoid

  • Insufficient preparation: Not reviewing case files, policies, or planning questions.
  • Bias or prior involvement: Compromising impartiality by being too close to the case.
  • Poor meeting control: Lack of structure, unclear communication, or failure to manage behaviour.
  • Inadequate documentation: Not recording key decisions or rationale.
  • Role confusion: Re-investigating instead of assessing presented evidence.
  • Procedural errors: Skipping steps, delaying without notice, or inconsistent outcomes.
  • Neglecting wellbeing: Failing to support those involved or liaise with People & OD.

 

Policies

 

Health and Wellbeing Resources

Information and guidance and wellbeing support for colleagues is available via:

  • The University’s Health and Wellbeing Hub – Manager Zone
  • The University’s Health and Wellbeing Hub
  • Discussing Adjustments & Support
  • Employee Assistance Programme (EAP) – provides confidential support to University employees and their family members, 24 hours a day, 365 days a year, 0800 882 4102.
  • Champion Health app – provides online personalised wellbeing content, tools, trackers and includes a resources library. When registering enter access code: uog1451
  • Able Futures –a mental health support service provided by Access to Work. There is no cost to using this confidential service and no waiting list. Support is available over the phone, video call and through email.   Colleagues can call Able Futures on 0800 321 3137 or visit able-future.co.uk to sign up online.
  • The University’s Mental Health First Aid Network – provide initial assistance and direct help for those wanting to talk about their mental health concerns.