Management Instructions for completing Investigations Potential Disciplinary Investigation & Disciplinary Hearings
Once either a verbal complaint has been lodged either directly with a member of staff or supervisor on duty or a written complaint has been received, you are responsible for following this up by completing the following check list:-
1) Verbal complaint - make detailed notes of the complaint and follow up (or) If a written complaint has been received and list all staff on duty that may have witnessed an incident
2) Detail and make a written record [Investigation Interview Statement] of all telephone conversations and/or informal meetings with any staff member that may have witnessed the incident in order to get clarification of the complaint/issue – make a note of the people present at the meeting – Start & Finish TIME stated.
3) Refer to your T&Cs as it is not a statutory requirement to invite "in writing/by letter" your employee in to an investigation meeting and you can simply call them into a meeting to discuss and advise them directly of the allegations that they are to be questioned on [for misconduct cases eg – failure to follow instructions/policy or procedures; poor attendance/timekeeping; serious breach of contract etc]. However if the concern is a potential serious misconduct and/or gross misconduct case, ie:-
bringing GBS in to disrepute;
assault/physical violence;
falsification of records/fraud;
serious breach of Airport Authority regulations [ID Pass]
4) Log the issue with HR (either inhouse or Consultant) and obtain the necessary documentation and support via email or over the phone to – Sally Jones-Percival on 07808 772836/07738 353027 jpemploymentlaw@gmail.com
5) Once a FULLY documented investigation has taken place with all relevant staff who may have witnessed the incident/concern, then you need to decide if there is a case to be answered with the supporting information you have obtained OR if there is no case to answer based on lack of supporting evidence – you will need to sum up your investigation with your recommendations to HR/Manager on duty that:-
*Case to be answered – Disciplinary Hearing to be arranged
*No case to answer – lack of evidence
6) If a disciplinary hearing is to be arranged, ensure that either another Supervisor/Manager chairs the hearing and is given ALL the supporting evidence/witness statements/emails/attendance documentation etc in order that the bundle can be prepared for all involved at disciplinary stage
7) The disciplinary officer will need to invite the employee to a disciplinary hearing giving sufficient notice and informing the employee in the letter their right to be accompanied by a trade union official or work colleague and provide the a) Allegation; b) date, time and location of the hearing c) attach the bundle of evidence obtained during the investigation – double check the address and send out by hand/email and via post [either 1st class or recorded]
8) Sufficient notice must be given in order that the employee in question can review the bundle of evidence prior to the hearing taking place
9) AT THE START of the DISCIPLINARY – read through the first page of the Disciplinary Interview Statement – confirming and recording the employees name; job title; hearing date; reiterate their right to be accompanied and if alone, give a further opportunity to be accompanied by a work colleague/trade union official; Read through the Allegation(s) – Take your time and give employee the opportunity to answer the allegations and any questions put to them. If more than one allegation – read through each one and ask relevant questions for clarity of purpose
10) TOWARDS THE END of the DISCPLINARY Interview – ask the employee if they have anything further to add that is relevant to the allegation(s). Do not allow for any other issues to be brought in at this point unless relevant
11) AT the END – Note the Time and Adjourn the Hearing informing the employee of your consideration to what has been heard; then re-convene noting down the time – informing them either:-
a) Your decision [ie if low level, written warning], state length of time the warning will remain valid [ie 3/6/12 months] and state their right to appeal - confirm your decision in writing to them detailing who they appeal to and the timeframe involved
TIME FRAMES:
INVESTIGATIONS IDEALLY SHOULD BE COMPLETE WITHIN 10 DAYS [to include all witness signed witness statements and supporting evidence]
DISCIPLINARY HEARINGS MUST BE SET UP WITHIN A FURTHER 10-15 WORKING DAYS AFTER COMPLETION OF A FULL AND THOROUGH INVESTIGATION
THE FULL INVESTIGATORY AND DISCIPLINARY PROCESS MUST NOT TAKE MORE THAN TWO MONTHS TO COMPLETE IN FULL WITH AN OUTCOME PROVIDED THE EMPLOYEE CONCERNED
PLEASE REFER TO GBS DISCIPLINARY POLICY FOR FURTHER INFORMATION AND CONTACT SALLY FOR FURTHER ADVICE OR SUPPORT ON 07808 772836/07738 353027
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