How to.......
MANAGING DISCIPLINARIES
CONDUCT FORMAL MEETINGS
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Introduction
Bupa has a number of formal procedures which will
usually take place under one of the following
policies:
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Writing to the employee
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Anti-harassment and bullying
Disciplinary
Grievance
Managing performance
Redundancy
Speak up
These guidance notes should be used in conjunction
with the above policies and the advice of the
Manager Advisory Services team.
How to arrange a formal hearing
The below checklist is for guidance purposes only.
Prepare
Write to
employee
Consider
and confirm
Template letters are available for you to use to
invite an employee to attend a formal meeting.
The Manager Advisory Services team is also
able to review your invitation once you have
drafted it. They can be contacted on
0161 931 7500.
Confirming attendance with the employee
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Preparing for a formal hearing
 Arrange a suitable date and time to meet with
the employee. Typically, this will be during
their working hours, although if they work
nights this may not be possible.
 As well as booking a main meeting room,
consider the need to organise separate
private spaces to which other relevant
parties, (e.g. the employee and their
representative), may adjourn.
 Arrange a note-taker to attend the meeting if
at all possible. Where there is a serious
clinical breach with the potential for the
employee to be ‘struck off’, you should
condier ensuring that the note-taker is
professionally qualified.
Prepare the invitation. Where practicable,
ensure at least 48 hours’ written notice of
the meeting has been given to the employee
prior to date of hearing.
If it becomes necessary to reschedule the
meeting, send out a further letter notifying the
employee as to the new arrangements.
Ideally, it should be re-scheduled within three
of the employee’s working days. It is usual
practice to go ahead in an employee’s
absence if they do not attend the second
arranged meeting. However, your intention to
do this must have been conveyed in the letter
which re-arranges the meeting.
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Ensure that any requests for special
adjustments (such as a reader for a dyslexic
employee) have been actioned.
Ensure confirmation is gained from the
employee as to their ability to attend the
hearing and confirm if they will be
accompanied to the hearing.
Print a copy of a template checklist (available
on OnePlace) to use during the meeting, if
required.
Review the appropriate documentation that
you have received (e.g. investigation report
and appendices/grievance letter) and plan
your questioning.
How to chair a formal hearing
The below checklist is for guidance purposes only.
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Introductions
Outline
procedure
Explore
the issue
Close and
conclude
Record
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Introductions
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Introduce those present and their roles.
If the employee is not accompanied, explain
that they were offered the right to be
accompanied. If the employee has chosen
not to be accompanied, mention this in the
notes of the meeting.
If the employee is accompanied, confirm the
role of the companion, i.e. that they will be
able to address the hearing in order to sum
up the case, ask questions, and confer with
the employee. However, the representative
will not be able answer questions on behalf of
the employee.
Confirm with the employee that they have
received the letter notifying them of the
meeting and any associated documentation.
Confirm with the employee that they
understand that it is a formal hearing (under
the relevant procedure).
Closing the meeting
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Outlining the procedure
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Advise on the procedure.
Confirm documentation provided, such as the
grievance letter or investigation report.
Advise that any party can request an
adjournment at any time. Identify the location
of any separate rooms available to provide
the parties with private space during these
adjournments.
Advise that the note-taker will take summary
notes to support your consideration. Should
the employee want a summary of these
notes, these can be provided on request.
Advise that both the employee and their
representative would be welcome to make
their own notes. Make sure this offer goes in
the notes.
Respond to any procedural concerns/queries
that may arise.
Exploring the issue
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Invite the employee to explain their case. If it
is a complaint, attempt to understand what
remedy they are seeking.
Try to gain a full understanding of the case,
raising all questions necessary to clarify any
points in relation to the information/ evidence
submitted or already gained via investigation.
Provide the employee/ their representative
with the opportunity to sum up their case.
After the employee has explained their case
and the main questioning has been
completed, consider whether to pause the
meeting to give all the opportunity to review
what has been said. During this time, also
consider whether there is anything you wish
to clarify or the employee wishes to add
before closing the meeting.
If you are unable to make a decision at the
time because further information/time is
required, inform the employee as to when
they can expect written notification of the
decision (or if further action is deemed
necessary, what this would entail).
When closing the meeting, ensure that the
employee
(and
their
representative)
understands what is going to happen.
Explain that the employee will receive
confirmation/notification of your decision in
writing usually within seven working days.
You are able to discuss your decision making
process with the Manager Advisory Services
team following any formal meeting
Recording the meeting
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Record summary of the discussions,
(including any pertinent points, agreed
actions, outcomes and recommendations).
Ensure that the records are factual,
unambiguous and constructive (assume that
the employee may see these).
Write to employee summarising the outcome
of the meeting and any next steps (if
appropriate).
There are template letters available on OnePlace
for writing to the employee after the meeting.
The Manager Advisory Services team is able to
review your letter prior to this being sent to the
employee.
Written outcomes should be sent to the employee
Appeals
with seven working days of the formal meeting.
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In line with our policies and procedures, employees
are able to appeal any written warnings or outcomes
in relation to concerns formally raised.
How to chair an appeal hearing
The below checklist is for guidance purposes only.
The checklist is for guidance purposes only.
Introductions
Prepare
Write to
employee
Consider
and confirm
Outline
procedure
Explore
the issue
Close and
conclude
Record
Introductions
Preparing for an appeal
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An impartial (and, where practicable, more
senior) manager should hear any appeal.
The appeal manager should arrange a
suitable date and time to meet with the
employee to chair their appeal meeting.
An appropriate meeting room should be
booked, along with a separate private space
to
which
an
employee
and
their
representative may adjourn.
Arrange a note-taker to attend the meeting if
possible
Writing to the employee
 The appeal manager should write to
employee using the appeal invitation letter
template.
 Where practicable, they should ensure that
the employee has at least 48 hours’ written
notice of the meeting.
 If it becomes necessary to reschedule the
meeting, send out a further letter notifying the
employee of the new arrangements. It is
usual practice to go ahead in an employee’s
absence if they do not attend the second
arranged meeting. However, your intention to
do this must have been conveyed in the letter
which re-arranges the appeal.
Confirming attendance with the employee
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Ensure that any requests for special
adjustments (such as a reader for a dyslexic
employee) have been actioned.
Gain confirmation from the employee of their
ability to attend the appeal hearing and
whether they will be accompanied.
 Introduce those present and their roles.
 Confirm with the employee that they have
received the letter notifying them of the
appeal hearing and any associated
documentation.
 Advise that any questions, comfort breaks
and adjournments requests should be
directed to you.
 Identify the location of the rooms available to
the employee and their representative to be
used, should any adjournments be required.
 Confirm that the appeal hearing is a result of
the previous decision reached by a manager
and that the appeal will be heard in line with
the relevant policy.
 Usually, you will re-affirm that the appeal
process is not an opportunity for a re-hearing
of the original decision. Rather, it is a chance
to consider the grounds of their appeal (e.g.
whether the previous decision was fair,
whether any new facts ought to be
considered and/ or whether the procedure
used to date has been reasonable).
Occasionally,
a
re-hearing
may
be
appropriate, for instance if there is an
allegation that the original hearing was
biased.
 Advise that your decision will be made after
the hearing, either following a brief
adjournment or after closing the hearing if
you require more time to consider the case
and complete any further investigations.
Usually, the outcome will be confirmed in
writing within ten days of the hearing.
Outlining the procedure at the appeal
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Advise on the procedure.
If the employee is accompanied, confirm the
role of the companion, i.e. that they will be
able to address the hearing in order to sum
up the case, ask questions on the
employee’s behalf, and confer with the
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employee. However, the representative will
not be able answer questions on behalf of
the employee.
If the employee is not accompanied, explain
that they were offered the right to be
accompanied. If the employee has chosen
not to be accompanied, mention this in the
notes of the meeting
Advise that it is the employee’s responsibility
to draw to your attention to all relevant
documentary evidence that should be
considered in relation to their grounds for
appeal.
Explain that anything that does not relate to
the grounds for appeal, or which isn’t directly
referenced by the employee, will not be taken
into consideration for the purpose of this
procedure.
Advise that the note taker will take notes to
support your consideration. Should the
employee want a summary of these notes,
they can be provided on request. Advise that
both the employee and their representative
are welcome to make their own notes.
Respond to any procedural concerns/queries
that may arise.
Running order
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The outcome of the appeal hearing should be
confirmed to the employee in writing, usually
within ten days of the hearing.
There are template appeal letters, which you are
able to use to write to an employee following the
meeting.
The Manager Advisory Services team is able to
review your letter prior to this being sent to the
employee.
Written outcomes should be sent to the employee
with ten days of the formal meeting.
Other relevant information
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Bupa UK Anti-harassment and bullying
policy;
Bupa UK Managing performance policy;
Bupa UK Disciplinary policy;
Bupa UK Grievance policy;
Bupa UK Speak up policy;
Bupa UK redundancy policy;
How to conduct investigations;
How to make reasonable adjustments; and
How to conduct informal meetings.
Invite the employee to present their case and
advise you of anything that they want you to
consider as part of their appeal.
Ask questions/ seek clarification as
necessary.
The employee (or their representative) will be
given an opportunity to make a closing
statement.
Adjourn to consider your decision.
Adjournment and decision
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If you are unable to make a decision at the
time because further information is required,
inform the employee as to when they can
expect written notification of the decision (or
if further action is deemed necessary, what
this would entail)
Close the hearing, ensuring that everyone
understands what is going to happen.
You then consider the case and make a
decision if you haven’t already done this
during an adjournment
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