Investigation - leading to a disciplinary

[G-side]

Hi,
I'm looking for advise. i work for a self storage company and i manage a small team. We have sales targets to meet monthly. Yesterday me and the team were asked that we were being investigated. Basically i have juggled a couple of figures so that everyone had reached there targets, as one of the part timers had been threatened that if their figures don't improve, they would be let go.

They have gathered some information and I was told that there would probably be a disciplinary. I would like to know what that means and what i should do to prepare?

I would welcome any advice.

Thanks

[teaboy2]

Re: Investigation - leading to a disciplinary

Juggling figures is deemed as false accounting, which is a fraudulent act and deemed as gross misconduct which is a dismissible conduct.

I know you thought you were doing someone a favour, but by doing so you have put your own job at risk. Targets may also be connect to bonus pay too, meaning your altering of figures not only falsifys facts, but also could cost the company money which would be criminal fraud under the fraud act 2006 (Though its unlikely the police will be called).

Basically you will now be called to an investigatory meeting, and asked questions about it. You they will then investigate further (You may be suspended as for a week or 2) prior to holding a disciplinary meeting with you to go over their findings with you and explain the likely course of action they will take.

Your best bet is to be completely honest and apologise profusely and make out that you felt sorry for the part timer as they do work really hard and you didn't want to see them let go off. Admit you were an idiot too and it was a moment of madness out of sympathy for the part timer.

[Rhothgar]

Re: Investigation - leading to a disciplinary

Juggling figures is deemed as false accounting, which is a fraudulent act and deemed as gross misconduct which is a dismissible conduct.

Juggling sales figures would be false accounting but the OP does not states that they are sales figures. It may be KPI figures which could be linked to a bonus system. Would that truly be gross misconduct?

We need to get this into perspective as the OP clearly doesn't work for Lehmans! Can the OP clarify if this is KPI linked and/or linked to bonuses and, if so, what is the scale of the bonus that would be paid to the affected employee?

Fraud is fraud but the situation still needs perspective IMHO.

Basically you will now be called to an investigatory meeting, and asked questions about it. You they will then investigate further (You may be suspended as for a week or 2) prior to holding a disciplinary meeting with you to go over their findings with you and explain the likely course of action they will take.

Your best bet is to be completely honest and apologise profusely and make out that you felt sorry for the part timer as they do work really hard and you didn't want to see them let go off. Admit you were an idiot too and it was a moment of madness out of sympathy for the part timer.[/QUOTE]

I am not experienced in disciplinary procedures but should any procedure be laid out in a contract of employment? As for an investigatory meeting, can the employer conduct 1, 2 or however many they like and does the employer have to make the employee aware that an investigatory meeting is being conducted. What is the format for recording the meeting, teaboy2?

I think the fuller the information we can give the OP, the better prepared they will be.

I'd almost advise the OP not to give their employer any more rope to hang them with but I see where you're coming from with the grovelling ploy.

[bluebottle]

Re: Investigation - leading to a disciplinary

Strictly speaking, TB is correct regarding the false accounting aspect. However, unless the employer is likely to suffer loss, they need to proceed carefully if they are to avoid this becoming messy and any losses suffered are due to the employer acting disproportionately.

[teaboy2]

Re: Investigation - leading to a disciplinary

The OP did in fact stated "Sales Targets" prior to stating they juggled figures. So its seems like the sales target figures are what was juggled by the OP! And yes its is false accounting, Rhothgar. Any falsification of figures, whether they have a financial impact or are performance only related is false accounting of figures. Falsifying performance related figures gives a false account of staff performance, which in term can impact company and other employees financial performance bonuses, but can also incur other financial costs on the company, due to wrongful performance efficiency figures. So whether they give false account of financial data or performance, it is still gross misconduct.

As for disciplinary procedure, well first they must ask the employee to attend a investigatory meeting, no notice is needed for this. But they must state what they accusation or reason for the investigation is and whether the employee is to be suspended or not. They must then write to the employee inviting them to attend a disciplinary meeting where i minutes taker most be present, they most also inform the employee of his/her right to be accompanied, and also provide the Employee. Am not going to write down the full in's and out's of the procedure as you simply have to look up ACAS code of practice 1 - Disciplinary and grievance procedures.

I wasn't suggesting giving the employer more rope to hang the employee with, though i see how it may look like that. The fact is the employer already knows what they did, if the OP is correct and the reason is for his juggling of figures. So hes only admitted to what they already know. And unlike in a court of law, the employer only needs reasonable belief (supported by the evidence they have) that a employee is guilty in order to sack them. Sometimes honesty is the best policy in these cases. But off course it depends on how sympathetic the decision maker is, and whether the employee is held in high regard or is easily replaceable or not..

[G-side]

Re: Investigation - leading to a disciplinary

Thanks Teaboy2,

Sorry for the late reply. Me employer has held an investigation and I don't think they have enough evidence to prove what has been done. All the staff were interviewed and all gave the same account of what happened. My MD called my and tried to extract more info from me, he said if there was anything I should say, i should email him over the weekend. which have not done. I don't really want to give them any more info, as they are very ruthless in my experience, they have a high turn over of staff. I guess they will summons me to a disciplinary meeting. Can you please advise me on what to expect and what should I do.

Many thanks.

[teaboy2]

Re: Investigation - leading to a disciplinary

They have to summon in writing giving you at least 5-7 days notice and advising you of your right to be accompanied by a colleague or trade union member. You also need to request, after receiving the letter asking you to attend a disciplinary, copies of all their evidence. As you have a right to see what evidence they have, so that you can prepare in advance of the disciplinary meeting to defend yourself against said evidence and even dispute the validity of the evidence. You also have the right to request the date of the meeting be rearranged to a later date, to give you more time to prepare, especially if you only receive copies of evidence a day or 2 before hand.

Acas Code of conduct one: Disciplinary and grievance procedure - Read all the info on ACAS site to get a good understanding of the correct procedures that an employer needs to follow, it will also explain what to expect at the disciplinary meeting too.

[G-side]

Re: Investigation - leading to a disciplinary

Thank you for the advice. I have been informed that the company have planned another investigative interview with all the staff. I guess they are within their right to do this. I'm not sure if they have new evidence or are trying to force one of us, to say what they want to hear. I am currently collecting all communications regarding the enquiry. In your opinion do you thing there is anything i should do?

Many thanks.

[teaboy2]

Re: Investigation - leading to a disciplinary

There isn't a lot you can do until you have copies of the evidence they have against you to be honest. If you did juggle the figures like you said you did, then you can't really defend against such claim. Like i said earlier, you'd be better planning what your going to say and how you are going to apologies etc. In the hope you get the sympathy vote, and get a written warning and not dismissal.

[G-side]

Re: Investigation - leading to a disciplinary

They interviewed the part timer the other week who changed her story and essentially dropped me in it.

The financial loss to the company is between Ł10 - Ł30. I cannot believe they are going to all these lengths over such a small amount. It seems disproportionate.

I have to say that prior to this I had an exemplary employment record with the company since starting in July 2008.

I have been unable to admit the faux-pas in the 2nd investigatory meeting as I felt bad I had lied to them in the first place and put other colleagues up to it too. I feel I am in a deep hole.

It transpires that it was the error of a colleague who has since resigned that they are trying to pin on me. They are saying I should have spotted the error in the KPI's and this is essentially what they are trying to get me to admit to.

I received a letter on Friday 23rd advising me of the disciplinary which is to be Wednesday 28th. This does not give 5 working days. Neither is it signed. Also, the manager undertaking the disciplinary is very close to the investigator. He called me on Thursday 22nd and asked if I could do Thursday 29th. I verbally confirmed this but I think it is too soon.

I am drafting a letter to postpone the meeting and have found some good examples on the London Law Centre website.

Their letter from my employer states that the Company's disciplinary procedure from the Employee Handbook is attached and that the documents which they will be referring to at the hearing are attached.

Nothing is attached.

Should I raise this now or should I let the hearing occur, risk them possibly dismissing me and then appeal and go to Early Conciliation or Tribunal? Would the book be thrown at them for their failures?

What concerns me is since stepping up as manager, that although I have requested a copy of my contract, it is dated 1st December 2013 but it is not signed and I do not recall signing the contract. Also the date on the bottom right footer is 31/07/2009. Could my contract therefore be considered as not deemed to exist in my capacity as the manager?

It states in the "Statement of Main Terms of Employment" (previously referred to as contract) that I will be notified of details of commission payments separately. Again, this did not happen though they have paid me commissions since Dec 2013.

It states that the commission payment is non contractual.

It also states exactly the same for bonus payments and again that they are non contractual. I find this all a bit confusing.

One thing also of major concern since speaking with others and I would really appreciate advice on this matter is the fact that the Line Manager who has conducted the investigations is guilty of colluding with me by not entering enquiries onto the company system with the last 4 months since I have been Manager.

I have not received any formal training as manager.

For example. we had one customer who came in looking for storage for someone else. I greeted him. Asked for information, contact details, etc.. He was reluctant to give any details. I gave him a quote for storage. He said he would pass the information on. I asked the Line Manager and they advised me not to bother putting it on the system which is in contravention of the company rules.

What is going on now is a case of one rule for one, one rule for another.

Should I call her as a witness to the disciplinary hearing in the vain hope that I can question her about this and hope she recalls the gentleman coming in, acknowledges it and then drop a bombshell?

Would I be allowed to take a customer of the company in as witness who could perhaps help to guide me through the process / answers?

The letter goes on to say, "If you cannot attend you may wish to provide written submissions for our consideration prior to a decision being made.

If you fail to attend without good reason or prior notification, the hearing will be dealt with in your absence and a decision will be made based on the evidence. As this meeting may result in your dismissal, I urge you to attend."

[G-side]

Re: Investigation - leading to a disciplinary

I have drafted a postponement letter given various reasons.

I appreciate it is a Bank Holiday and my employers timing seems to have been designed to cause maximum impact.

Please can someone review this and my previous post as I have a deadline of tomorrow in which to reply.

The main reason is that they have failed to attach any evidence.

I am seriously distraught about what is happening to me.

[bluebottle]

Re: Investigation - leading to a disciplinary

If you ask me, the employer is heading for an ET hearing whether they like it or not. Their lack of adherence to statutory procedures, natural justice and fairness may well prove to be their undoing. They would do best to drop the matter now or face a thumping and loss of reputation as an employer.

[G-side]

Re: Investigation - leading to a disciplinary

Thank you for the advice. My employer has asked me to get back to them about the disciplinary meeting by Monday 26th May (tomorrow), if I am unable to attend. I had a verbal discussion on 22/05/14 and the disciplinary meeting was agreed it would take place on the Thursday the 29th May 2014. However the letter I received by recorded mail has the date of Wednesday 28th May 2014, which was the date they had planned to conduct the meeting, but because one of my colleagues were also to attend the disciplinary meeting (not as a witness) were off on that day they decided to change to the Thursday. The letter also states that it had attachments
. The Company's disciplinary procedure from the employee handbook.
. Also the documents "I will be referring to at the hearing are attached"
. I also asked if they could email me the letter and all documentation relating to the hearing, this I have not received.

None of the above documents were attached and the Disciplinary letter was not signed.
As I don't have any of the documentation of the what their allegations are I feel I cant properly defend myself. Should I email my response in a letter to them as I will not have time for it to get to them by post, as its a bank holiday.

My colleague who is also to attend the disciplinary meeting, has worked for the company part time for the last 6 months. Should they be attending?

If you have any suggestions or can point me in the right direction on what to do next, that would be very much appreciated.

Many Thanks.

[teaboy2]

Re: Investigation - leading to a disciplinary

Did you ask for the colleague to attend? If not then, no they certainly should not be at the meeting, especially if its the part timer that had given a witness statement against you!

You may be accompanied by a colleague or union rep of your choosing though, but not as a witness, nor may you call upon the part timer to question his/her story, as its not a court case. You may off course question and dispute his/her witness statement, but he/she can not be present at the meeting.

[G-side]

Re: Investigation - leading to a disciplinary

Thanks for the reply.
My colleague the part timer is also under disciplinary and as they have only been employed by the company for a short period of time. Should they be required to attend a disciplinary meeting? There is something in there contract saying they would not be required and am I right the legislation also says the same?

Should I have all copies of notes from all parties involved in the investigation?

Thanks Adam