Managers Guide - Disciplinary Process (Preliminary Investigation)

Applies to: all Torpedo7 team

Preliminary Investigation

When you become aware of potential misconduct you will need to conduct a preliminary investigation in the first instance. 

Potential misconduct can include all elements of work, not just basic task completion (refer to House Rules for examples of misconduct).  All behaviour while at  work or work functions or in uniform is work-related. Just because a behaviour is not mentioned in the House Rules does not mean that it cannot be classed as Misconduct. The House Rules are EXAMPLES only.

The preliminary investigation is best described as what happened and who was involved – not the why it happened – that detail is for the disciplinary meeting. You do not share the preliminary investigation document with the team member.

Steps

Now that you have become aware of potential misconduct you will need to:

1. Conduct preliminary investigation: Check with witnesses, look at performance data and the team member’s file to determine what has happened before. 
   
2. Ask yourself: Have this type of behaviour been condoned in the past? Is there a culture of this behaviour in your store? 
   
3. Review the relevant evidence if any:
   

CCTV

Any Other Documentation

• Damaged Goods Policy
  
• House Rules
  
• Team Member Appraisals
  
• 1:1 Meeting Notes
  
• Diary Notes
  

Witness Statements

You should ask the witnesses to write out a statement but very often they will not include a lot of detail. By asking, and writing down these questions and answers you have information that helps you decide on the credibility of the witness

NB: Asking the team member questions at this stage is not advisable. You may need to check at a very basic level that something did happen but do not get into any “Why” questions until the team member has been advised of their rights as per our process.The preliminary investigation is best described as finding out what happened and who was involved – not the why it happened – that detail is for the disciplinary meeting. You do not share the preliminary decision document with the team member.

4. Contact the Ask People Support team to confirm the next steps: including whether this case should be classed as misconduct or serious misconduct, the best way to write any disciplinary notification       and allegations, appropriate notice period of meeting and potential disciplinary action that may be the outcome. Often it is good to send them a draft copy of the Disciplinary Meeting Advice Letter to check.

NEXT: Go to Managers Guide - Issuing the Disciplinary Meeting Advice Letter.

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