Internal, Disciplinary checklist, Version1, Page 1 of 14 April 2016


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Internal, Disciplinary checklist, Version1, Page 1 of 14 April 2016

Please complete this checklist for any disciplinary hearing you are chairing or decision you are making to make sure you’ve done everything you need to do. This form should be used in conjunction with the disciplinary policy which will give you more information.

Date: Colleague’s name: Colleague’s job: Investigating manager: Note taker:

Arrange a hearing date /meeting room/note taker

Send letter inviting colleague to the hearing

Hold the hearing

Is further investigation needed (if yes, refer back to investigating manager)

If applicable, reconvene the hearing to discuss new evidence

Consider what the evidence is telling you and reach a conclusion

Confirm outcome verbally and in writing

Keep an open mind and listen to what the colleague has to say, observing their body language as well as their tone of voice and the words they use to assess the full picture. Don't make your mind up as to what sanction you will give prior to the hearing, make your decision based on the facts that are presented to you.

Internal, Disciplinary checklist, Version2, Page 2 of 14 May 2016

 1

Read the statements and evidence you have been provided to ensure you fully understand what allegations/concerns are being investigated, and you are comfortable that you have all of the evidence you believe you need to make an informed decision. List the allegations - be clear what they are as this is what you’re making a decision on     

2

Write down what questions you intend to ask the colleague (these will not be the only questions you ask, but will help remind you of the key points during the meeting so you don’t get sidetracked – refer to your People Manager or the investigation checklist if you aren’t clear about what to ask):       

3

Is any information/evidence missing – do you feel you need more?

4

Arrange a room for the hearing and a suitable note taker (see policy for guidance) - you may also find it helpful to check that the colleague’s chosen representative is available for the meeting - make sure you have enough time to hold a thorough meeting

5

Confirm with their manager whether there are any special needs or circumstances to be taken into account e.g. an interpreter (and arrange for this to be available)

7

Send a letter inviting the colleague to a disciplinary hearing, (provide at least 24 hours’ notice from receipt of the letter) along with all the evidence that has been provided to you e.g. statements, reports, interview notes etc. Internal, Disciplinary checklist, Version2, Page 3 of 14 May 2016

 1

Introduce everyone and their role e.g. “this is John and he’ll be taking notes today, please speak clearly so he can accurately capture what’s been said”

2

Explain – the hearing is to discuss allegations of xxx in line with our disciplinary procedure, and that they will have the opportunity to fully present their case/ challenge any evidence and put forward any mitigation or evidence of their own Confirm that they feel able to take part in the hearing – if they say no, consider whether the hearing should be rearranged e.g. - if they are unwell – postpone; if they want extra time to look at evidence –

3

provide time at the start of the hearing; if they want a different rep – consider if postponing is reasonable

4

Let them know that they can ask for a short break if needed, you should adjourn if the colleague becomes upset or agitated, or if the hearing has been ongoing for 2+ hours

5

Start the hearing - go through each allegation one by one, ask your pre-prepared questions and any other questions which help you fully understand the colleague’s views/defence

6

Ask the colleague to comment on the evidence / put forward their version of events

7

If the colleague challenges the witness statements, tell them that we can re-interview the witnesses if they would like us to - what questions they would like us to ask them?

8

If applicable, confirm your knowledge of any related ‘live’ warnings (expired warnings can’t be linked to a new warning however might be relevant for other purposes e.g. a) show the colleague has/should have a heightened awareness of a specific policy/rule; and/or b) they might cast doubt over a colleague’s credibility e.g. where there is an allegation of dishonesty or where we have one colleague’s word against another)

9

Once you’ve asked everything you need to on each allegation, summarise your understanding of the colleague’s case/version of events so there is no misunderstanding

10

Ask if there is anything else the colleague would like to add?

11

Once you have covered all of the allegations, adjourn the hearing - you should always do this before you decide what disciplinary outcome is appropriate (in some circumstances where there is no case to answer, it may be that you’re able to confirm this straight away). You can adjourn the hearing for as little as 10 minutes or as long as needed, if you would like the investigating manager to gain more information, or if the alleged conduct is serious, then you would adjourn for longer

12 13

14

15

Hearing adjourned at: am/pm Hearing reconvened at: am/pm Reconvene the meeting and, if it is possible, deliver your decision (see “Confirming the outcome of the hearing” below) Conclude the meeting by informing them of what your next steps will be e.g. - You need the investigating manager to investigate further - You need time to consider your decision - You want to arrange a further meeting – agree the date and time now (remember to send another invite letter) - Suspend the colleague Ask the colleague to read the notes and sign/initial each page to confirm that they are an accurate record of what has been said - If amendments need to be made, do not score out the original wording, simply write the correction at the end of the notes - if they refuse to read or sign the minutes, make a note of this Ask the colleague if they would like a copy of the meeting notes and where possible provide these at the meeting Internal, Disciplinary checklist, Version2, Page 4 of 14 May 2016

Once you have adjourned the hearing, you must consider all the evidence you have, and decide if there is a disciplinary case to answer (whether misconduct took place or whether the colleague has no evidence of their right to work in the UK). Make sure that you have enough evidence to reach a reasonable conclusion. Do you need:    

the investigating manager to carry out further investigation to discuss the matter with Occupational Health (contact your People Manager Group or your People Business Partner) discuss the case with the central Employment Compliance team to meet with the colleague again before making your decision – you might need to do this if: - the witnesses have told you something that contradicts what the colleague is saying and you want to ask the colleague why this might be; or - you have other evidence which you need to ask for their view on (you must make sure that you have discussed all the relevant evidence with the colleague during the investigation or, if you obtain information at a later date, before you make a decision).

When considering the facts and weighing up the evidence, bear in mind the following:

Your decision needs to be reasonable, and based on a thorough investigation - would a reasonable manager make the same decision as you? Consider whether the evidence adds up to a plausible outcome – does it point to the fact that Bob stole an iPad – if that’s the case then we can potentially conclude that Bob did steal the iPad. Every case presents its own facts, mitigation and complexities. Treat each case independently, but do consider what decisions have been taken for similar situations before. Also consider how plausible any witness statements are e.g. do the witnesses have any reason to make a false statement or misrepresent the facts? Do you feel it’s appropriate to link a previous conduct-related warning to this new conductrelated matter? Be objective – what do the facts tell you?

Then decide: a. Is the colleague guilty of the alleged offence – what are the facts? b. If yes, consider what you believe to be the appropriate action – consider their mitigation? Internal, Disciplinary checklist, Version2, Page 5 of 14 May 2016

This set of questions may help you weigh up the severity of the issue and therefore the level of disciplinary sanction to apply…  Was the colleague entirely at fault or was someone else really responsible, or was it something outside the colleague’s control Do we believe that the colleague knew about the rule that has been broken, or could they have reasonably known? Consider live warnings on record for similar misconduct – has sufficient time been allowed for the colleague to improve? Have similar cases been handled in the past (if yes, what were the outcomes – where the circumstances identical? Don’t be overly focused on giving the same sanction as another colleague received – there’s rarely two identical cases so focus on the mitigation and reasons for this particular issue Does the colleague have a significant length of service with a clean disciplinary record (this could be the difference between a lower warning and more serious outcome and it could also be relevant to credibility when considering if their version of events is the most plausible)? Was the colleague’s version of events the most plausible? What do we know about them that would support or cast doubt on the credibility of their account of events? Did the colleague put forward any mitigating circumstances? In light of mitigating circumstances, does this fully excuse the conduct/behaviour? Have these rules/this policy been applied consistently in our store, CEC, function in the past? Do you believe that they are genuinely remorseful? Do you believe that if you give a warning, that there will be no repeat of the conduct/ issue? Did the colleague have a choice over their actions (skill or will)?

Internal, Disciplinary checklist, Version2, Page 6 of 14 May 2016

As an outcome of a disciplinary hearing, you can make the following decisions: 

   

 



Take no disciplinary action e.g. because there’s been an unavoidable misunderstanding, or the colleague has never been told the right way of doing things (consider what their common sense should tell them) along with a recommendation of retraining /coaching, and improvements required Verbal warning Written warning Final written warning Contractual dismissal - with notice – if there are already a number of warnings on file for a conduct offence (we can link warnings - if more than one disciplinary warning is issued, it may be that they are considered to be linked if they are all matters of conduct or all matters of capability. This means that a colleague will not have multiple verbal warnings (if they are both issues of conduct or capability) and instead go from verbal to first written for unrelated matters). Summary Dismissal (no notice pay) for one-off act of Gross Misconduct Disciplinary suspension of one to five days (this would be in unique circumstances where there has been a one off act of gross misconduct by a colleague who has a long length of service, a clean disciplinary record, excellent performance and they’ve made a serious out-ofcharacter mistake, possibly due to factors outside of work e.g. bereavement, shows remorse) Disciplinary demotion – should be used rarely and is generally used in capability situations. Seek advice from your People team.

Gross misconduct If the allegation is gross misconduct consider: 1. Has the colleague fundamentally breached the trust and confidence between them and the company (you don’t believe we can trust them anymore)? 2. If you issued a sanction short of dismissal (a final written warning, disciplinary demotion or disciplinary suspension) do you believe the colleague would reoffend again / will a warning change the way the colleague thinks and behaves? 3. When considering all the circumstances, is the decision to dismiss within the range of reasonable responses that a reasonable employer could make given the nature of the business and the offence committed? i.e. does the penalty fit the crime / is the sanction fair?

Internal, Disciplinary checklist, Version2, Page 7 of 14 May 2016

Invited to disciplinary hearing for:

What have you seen and heard that supports the allegation?

What have you seen and heard that doesn’t support the allegation?

Conclusion & rationale:

Internal, Disciplinary checklist, Version2, Page 8 of 14 May 2016

 1

Reconvene the meeting (if the same day) or invite the colleague to a reconvened hearing (if further time is required before confirming the outcome)

2

Confirm, as before that they are ok to continue

3

Inform them verbally of your decision

4

Briefly explain the rationale behind your decision

5

Inform them of their right to appeal (and who they need to appeal to, if known at the time)

6

Inform them that you will send them a letter confirming the outcome or hand them the letter if it’s been pre-prepared (disciplinary action can only be given for the reason(s) outlined on the invite letter i.e. the invite and outcome letters must be for the same reason(s))

7

Ask the colleague to read the notes and sign/initial each page to confirm that they are an accurate record of what has been said - If amendments need to be made, do not score out the original wording, simply write the correction at the end of the notes - if they refuse to read or sign the minutes, make a note that the colleague has done this

8

Ask the colleague if they would like a copy of the meeting notes and where possible provide these at the meeting or arrange for these to be provide afterwards

9

Confirm the outcome to the colleague’s manager

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Where applicable, arrange for an appropriate manager to hear the appeal

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Write and send the outcome letter

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If the colleague has not been dismissed and you have advised them of the improvement they are required to demonstrate, make a note of this (or ask their People Manager) on their Training Record Card (NB the training should also be recorded on their Training Record Card upon completion)

Says they didn't receive the invite letter with at least 24 hours’ notice

Says they want to resign

Says they have not seen the evidence before

The purpose of notice is to ensure the employee has had adequate time to prepare their case. If this is the first time they have been invited to a hearing, you should ask them if they would like to adjourn (postpone) the hearing and reschedule it for a different date Ask them not to make a hasty decision and ask them to think about it over the next 24/48 hours and to contact you with their decision. Adjourn the meeting If there are only a few small pieces of evidence which they haven't seen, adjourn the hearing and provide them with the opportunity to read through it. If there is a significant amount of evidence, adjourn the hearing for at least 48 hours to enable them to have the opportunity to prepare their case

Internal, Disciplinary checklist, Version2, Page 9 of 14 May 2016

Starts to act aggressively and you want to discipline them for this too

Storms out part of the way through the hearing

Fails to turn up at all and doesn't contact anyone (1st hearing) Fails to turn up at all and doesn't contact anyone (2nd hearing) Wants to bring an inappropriate companion with them (i.e. their sister who's a solicitor) Starts to cry Goes off sick during the process e.g. once they’ve been invited to a hearing

Refuses to attend a meeting

You can only discipline them for the reasons outlined in their invite letter. If their conduct during the hearing is hostile you should consider suspending them and re-inviting them to a disciplinary hearing for their aggressive behaviour as well as the matters originally listed Ask your note taker to state this within the notes. Everyone else should read and sign the minutes. If you or their Rep can find the colleague, ask them to come back. If they have left the premises, write to them again, inviting them to a further hearing, amending the letter "didn't turn up, now AWOL". If they fail to attend then you can hold the disciplinary in their absence Call them and (leave a message if necessary) ask why they failed to attend. Reschedule the hearing sending letter "didn't turn up, now AWOL". If suspended, stop their pay If you have sent letter "didn't turn up, now AWOL", hold the hearing in their absence and come to a decision If the person has received the letter clearly outlining who they can bring with them, explain that they cannot attend the hearing with this person and continue with the hearing, allowing them the opportunity to adjourn and liaise with their companion if necessary, outside of the meeting Adjourn the hearing for a few minutes and give them time to compose themselves. Repeat as necessary If the colleague is unwell due to the situation, encourage them to continue with the process – they are unlikely to return to good health while the situation remains ongoing. If they don’t wish to do this, refer them to Occupational Health and ask for a medical opinion on whether or not the colleague is medically well enough to continue. Seek advice from your People Manager. In some sensitive circumstances, consider a neutral venue, accepting written submissions or a Representative attending a hearing on behalf of a colleague.

As soon as you are informed of an appeal produce a ‘Master Copy’ appeal folder. This folder remains with the colleague’s People Manager/function and a copy is made to send to the appeals manager (who can then send it to our solicitors if required). Your folder should have two sets of tabs; the first one has the following labels:      

Background Information Training Record Work and Performance Case Outline Chronology Appendices

And the second set sits behind the appendices tab and are numbered 1 to ? (This set will hold all the appendices so the last number will depend on the number of appendices.) Internal, Disciplinary checklist, Version2, Page 10 of 14 May 2016

Complete the following page and use it as the first page for your folder:

Internal, Disciplinary checklist, Version2, Page 11 of 14 May 2016

Name:

Todays date:

Company pension

Yes / No

Phone no:

Address inc’ postcode:

Date of joining Tesco:

Contract type:

Date of birth: Store name:

Date of leaving Tesco: Department

Job title:

Store number:

Contracted hours per week: Hourly rate:

Employee no:

Weekly premium payments Union member:

Weekly basic pay:

Days or nights:

Yes / No

All pay supplements, amount and detail of what the supplement is for

Shift Pattern – (only complete if they are still employed) Sun

Mon

Tues

Wed

Thur

Fri

Sat

Investigation manager: Disciplinary manager: Appeal manager: People manager:

Internal, Disciplinary checklist, Version2, Page 12 of 14 May 2016

Remember that nothing you put in the file should be a surprise to the colleague! Don’t include:   

Documents put at the front of the file that are for our information only and not for forwarding. Post-its on documents, only attach if they are relevant. Random comments handwritten on documents.

If it is in the folder remember that it will be disclosed to the colleague (and potentially an Employment Tribunal).

This is a factual list/summary of relevant information that is held on their personnel file (please list the documents in date order) e.g. informal conversation notes, expired warnings, live warnings, progress review forms.

Include copies of their training record card (stores) and any relevant training (office).

This is a factual summary of their work and performance highlighting any relevant details. Include documents which relate to your summary.

Fully and factually describes the case, key facts end to end (on one page where possible).

This is a factual list in date order of which events took place and when, starting with the oldest date and ending on the most recent. If there are long (i.e. over two week) gaps between meetings or hearings or meetings haven’t been held within the policy timeframes please describe the reason for this. Give a reference number for each appendix (this corresponds with the numbering of the tabs) starting with the oldest as appendix one. Please place a contents list and the relevant appendix number at the front of the appendices section. All documents relevant to the case should be in the appendices.

Internal, Disciplinary checklist, Version2, Page 13 of 14 May 2016

Remember to also include in the relevant appendix:         

Checklists Typed notes followed by hand written versions where applicable. All letters and forms sent or received Records made of telephone conversations All written statements All supporting evidence e.g. absence reports, till receipts, photos, recordings etc. Appeal Forms CCTV evidence showing the screen date and timed to the second (only include the relevant section(s) not a full day of recording. Description from the relevant manager as to why they made the decisions they made.

Example of chronology layout: Date

Summary

21/04/16

Allegations raised by Colleague1 in writing

22/04/16

Met with Colleague1 to discuss allegations

25/04/16

Investigation meeting with Colleague2

Example of appendices contents list: Tab number

Document(s)

1

Grievance form from Colleague1

2

Notes from meeting with Colleague1

3

Letter inviting Colleague2 to investigation meeting

4

Notes from investigation with Colleague2

Internal, Disciplinary checklist, Version2, Page 14 of 14 May 2016