Managing Performance or Concerns at Work

Our disciplinary and capability policies are outlined later in this section, so it’s important to understand when each will apply. In the event that a colleague is not meeting the standards required of their job role, despite any support offered, their line manager will need to determine whether this is being caused by a lack of capability or as a result of misconduct.

• Misconduct – Deliberate actions of unacceptable behaviour or, equally, inaction.
• Lack of capability – A lack of ability for reasons outside of the colleague’s control, such as a skills, knowledge or competence ‘gap’, or a disability or underlying ill health.

Issues of misconduct will be addressed via our Disciplinary policy, whereas capability matters will be dealt with sensitively via our Capability - Health or Medical or Capability – Skills, Knowledge or Competence policy, as appropriate. In situations where both conduct and capability issues exist, we will adopt what we consider to be the most appropriate approach.

Our disciplinary policy promotes the fair and consistent treatment of our colleagues, whilst still balancing the need to address disciplinary matters in order to protect our co-op, our members, customers and colleagues.

What are the key stages in dealing with any issues regarding colleague conduct or performance?

We’ve outlined the key stages which will be followed when addressing any conduct or performance concerns (including unplanned absence). You can read more about our unplanned absence management procedure under Absence from Work.

Informal - We promote an informal approach to resolving workplace issues. Where appropriate, your line manager will speak with you to discuss the areas of concerns and explain what improvements are needed. You should let your manager know what additional support you need, if any (for example, additional training). There is no requirement for documentation to be produced or issued at this informal stage.

Investigation - If your line manager considers that your conduct or performance (including attendance) has not been satisfactory and it was not appropriate or possible to resolve this informally, the issue will be investigated. The investigation will depend on the nature of the allegations and will vary from case to case. You may be required to attend an investigation meeting and other colleagues may also be interviewed. However, where the facts are straightforward and are supported by documentation (or are otherwise evidenced) it may be appropriate for this to form the investigation without the need for investigation meetings. This might be the case for attendance issues, for example. Once the investigation has been completed, it will be determined whether a disciplinary hearing is appropriate given the findings of the investigation. If there is not, you will be advised that no further action is to be taken.

Disciplinary Hearing - If you are required to attend a disciplinary hearing, you will receive at least 48 hours’ notice of the meeting, in writing (by letter or email). This will outline the arrangements for the hearing and state the nature of the allegation(s) against you, along with any other relevant information (for example, witness statements) to help you to prepare. In the case of gross misconduct, it will also advise you that a potential outcome of your disciplinary is your dismissal.

At the disciplinary hearing, the manager will discuss the issue with you and provide you with the opportunity to explain matters from your point of view. You’ll be able to state your case, respond to any concerns and provide your own evidence. This will take place before the manager decides what, if any, disciplinary action should be taken. We will take all reasonable steps to avoid the investigating officer also conducting any subsequent disciplinary hearing. However, in some exceptional circumstances, this may be impractical, so we reserve the right for this to be the same person. 

Disciplinary Outcome - Following the disciplinary hearing, the manager will advise you of their decision, which will be confirmed to you in writing (by letter or email). The outcome will be one of the following:

• No Action - You will be advised if it has been decided that a formal disciplinary outcome is unnecessary or inappropriate.
• First Written Warning - You will normally be given a first written warning if your conduct, performance or attendance has not met satisfactory standards. The outcome letter will set out the issue and the standards that you need to meet moving forward (where appropriate). This warning will remain on your file but will be disregarded for disciplinary purposes after 9 months.
• Final Written Warning - You will normally be given a final written warning if your conduct, performance or attendance has not met satisfactory standards (including instances of serious misconduct) or if there is a further breach or failure to improve following a previous warning that is still live on your file. The outcome letter will set out the issue and the standards that you need to meet moving forward (where appropriate). This warning will remain on your file but will be disregarded for disciplinary purposes after 12 months.
• Dismissal - If you still fail to improve your conduct, performance or attendance (despite previous warnings) the final step in the procedure may be dismissal. You may also be dismissed for a first conduct issue if you are found to have committed an act of gross misconduct. We may also consider demotion as an alternative sanction.

You will always have the right of appeal (see below) against any formal disciplinary warning, or your dismissal.

What happens if I’m suspended pending further investigation?

Where we deem it necessary, you may be suspended from work on your normal basic pay while we investigate an alleged offence. During any period of suspension, you must not attend your place of work other than for the purpose of attending disciplinary proceedings (including investigation meetings), without our prior consent. You should not contact any other colleagues, suppliers, or customers of our co-op, except your nominated companion, without our prior consent. Suspension prior to a disciplinary hearing is not an assumption of guilt, nor is it a disciplinary sanction. Equally, you may still be invited to a disciplinary hearing for gross misconduct (where deemed appropriate), even if you weren’t suspended during the investigative stage. The suspension will be for no longer than is necessary to investigate the allegations.

What if the investigation or disciplinary hearing relates to criminal conduct?

Where a colleague’s conduct is the subject of a criminal investigation, charge or conviction, we will investigate the facts before deciding whether to take formal disciplinary action. A criminal investigation, charge or conviction relating to your conduct outside work may be treated as a disciplinary matter if we consider that it's relevant to your employment and / or may bring our co-op into disrepute. We will not usually wait for the outcome of any prosecution before deciding what action to take, if any.  Where you're unable or have been advised not to attend a disciplinary hearing or say anything about a pending criminal matter, we will make a decision based on the available evidence. 

What is considered gross misconduct?

We’ve provided some examples, but they are for illustrative purposes only and this isn’t an exhaustive list. Each disciplinary case will be considered on its own merits.

• Theft, fraud, dishonesty or unauthorised possession of our property.
• Provoking or being involved in violent behaviour or abusive language.
• Deliberate and serious damage to property.
• Alleged criminal conduct which is relevant to the colleague’s suitability to carry out their job.
• Bullying, harassment, victimisation or other unjustified discriminatory behaviour in breach of our Inclusion and Diversity and Dignity at Work policies.
• Serious misuse of our co-ops’ name or property.
• Deliberately accessing internet sites containing pornographic, offensive or obscene material.
• Actions or activities that have the potential to bring, or have brought, our co-op into disrepute.
• Inappropriate use or abuse of our colleague benefits, including our colleague discount scheme (see our Colleague Benefits & Wellbeing section).
• Inappropriate use or abuse of promotional or incentive schemes (see our Safety, Security & Compliance section).
• Use or possession of illegal substances, or incapacity at work due to drugs or alcohol.
• Serious negligence.
• Serious infringement of Security or Health & Safety rules.
• A serious breach of confidence.
• Unauthorised absence.
• Applying unauthorised discounts.
• Private trading in competition with our co-op.
• A serious failure to follow a reasonable request.
• A serious or persistent breach of our Smoking at Work policy.
• Serious misuse of our technology and telecommunications systems, including unauthorised use of email and unauthorised entry to computer records (see IT and Communications policy).
• Serious personal data breach (including deliberately accessing CCTV without authorisation or valid reason).
• Giving deliberately inaccurate or misleading information in connection with your application for employment at our co-op.
• Wilfully or negligently serving an underage person(s) with such items that result in an illegal act, e.g. alcohol, tobacco, etc. (see our Restricted Products policy).
• Serious breach of our Driving for Work policy.
• Other serious breach of our policies and procedures.

If you're found to have committed an act of gross misconduct, you will normally be dismissed without notice or payment in lieu of notice.

We recognise that there may be occasions where colleagues aren’t able to perform to the standard required of their job (including delivering a regular attendance) because of long-term underlying ill health or a disability. Whilst we will need to address these situations, our focus will be on maintaining the colleague’s dignity, as we understand they may be feeling especially vulnerable. Therefore, our normal disciplinary procedure and / or the issuing of formal warnings is not normally appropriate in these circumstances.

How will capability issues due to underlying ill health or disability be addressed?

If you have a medical condition or disability which you think may affect your performance, please tell your line manager (or you can contact the Colleague Relations Team if you’re not comfortable to disclose this to your manager in the first instance). We will consider with you what support we can offer to help you remain in work, or to return to work if you're off sick. Such support or adjustments will vary and will be appropriate to the circumstances. Examples include:

• Visiting you in your place of work or visiting you whilst you are absent from work to check how you are and to see if there are any ways we might support you.
• Getting a medical report from your GP or arranging an occupational health assessment with your permission (you have the right to see the outcome / report before it’s sent to the Colleague Relations Team).
• Consulting with you about the available options based on the medical facts.
• Via a Wellness Action Plan (available via Zellis ESS), considering together whether there are any reasonable adjustments that might be made to help you in the workplace, or to return to work. This might include making reasonable adjustments to your work or the workplace itself, such as changing your role, location, contractual hours or normal working pattern, providing equipment, additional training time or extra coaching, etc. Wellness Action Plans also meet the requirements of a Health Risk Assessment by identifying needs and agreeing measures to reduce identified risks. We will always seek to involve you in making suggestions about reasonable adjustments or other ways we can help you in your job role or to return to work.
• Agreeing a phased return to work.
• Making details of vacancies available to you to consider other roles that might be more suitable (these can be viewed on our website).

What happens if I can’t perform my role or return to work due to underlying ill health or disability, despite any adjustments and support offered?

Our priority will always be to help you to perform, or return to, your job role with us. We'll make all reasonable efforts to consider other options to avoid dismissal which is considered only as a last resort. However, if you're still unable to return to work, or perform your work to an agreed and acceptable standard, having considered all reasonable adjustments, we will consider the termination of your contract on grounds of capability.

The following will always apply:

• We will seek to meet informally with you before any formal meetings take place.
• You will be advised in writing (by letter or email) in advance of any meeting where termination of your contract is a possible outcome.

You will always have the right of appeal (see below) against any decision to terminate your contract due to capability.

We recognise that there may be occasions where colleagues aren’t able to perform to the standard required of their job because of other capability issues, such as a skills, knowledge or competence ‘gap’. Whilst we will need to address these situations, our focus will be to work with the colleague to ensure they’re clear of the expectations of them, and to provide any appropriate training, coaching and support to help them to achieve the required standards.

What are the key stages in dealing with any issues regarding capability in these circumstances?

Informal - We promote an informal approach to resolving workplace issues. Where appropriate, your line manager will speak with you to discuss the areas of concern and consider if there are any underlying factors affecting your performance. This is especially important in a time of change, such as new systems or ways of working being introduced. Factors that might be considered are your training needs, workload or anything outside of work which might be affecting you. There is no requirement for documentation to be produced or issued at this informal stage.

Your manager will explain what improvements are needed and clarify their expectations moving forward. Any additional training or support will be discussed and agreed. In some circumstances, redeployment to another job or location may be agreed at this stage, if agreeable to both you and your manager.

Issuing a Performance Improvement Plan (PIP) - If your line manager considers that your performance has not been satisfactory and it was not appropriate or possible to resolve this informally, they may provide you with a Performance Improvement Plan (PIP). Your manager will hold a meeting with you to establish the PIP. The PIP should set out:

• Areas of underperformance*.
• What needs to be achieved (this should be clear and measurable).
• When this needs to be achieved by.
• The support or training which will be provided (if applicable).

A date should be set for the formal review of the PIP. This should give you a period of time long enough to allow you a reasonable opportunity to achieve the required standard of performance and overcome any barriers previously identified.

* Please note that areas where it's assumed or known you're performing effectively will not be included in the PIP, although these may still be considered as part of performance discussions (i.e. to ensure wider and overall performance is being maintained). The PIP should only be added to a later date if your performance in other areas declines during the capability process.

Formal PIP Review Meetings - There will normally be up to three formal PIP review meetings (a first, second and final stage), dependent on the outcome of any previous review. The arrangements for any formal PIP review meeting will be confirmed to you in advance, in writing (by letter or email). This will outline the arrangements for the meeting and will also include any other relevant information to help you to prepare. It will advise of the potential outcome of the meeting (in the event of a final formal PIP review, this may be your dismissal).

It is important that your performance is carefully understood and monitored. This means any PIP meetings will usually be best conducted by your line manager. At the formal PIP review meeting, the manager will assess the current situation and your performance against the PIP. You’ll be able to explain or comment on the PIP, ask questions and provide your own evidence. This will take place before the manager decides what, if any, action should be taken.

Formal PIP Review/s Outcome - Following the formal PIP review meeting, the manager will advise you of their decision, which will be confirmed to you in writing (by letter or email). The outcome will be one of the following:

• Cease the PIP – Where an acceptable standard of performance has been reached according to the PIP and its timescales.
• Extend the monitoring period – In exceptional circumstances only.
• Issue a formal warning / sanction – The potential level of warning and next steps will depend at which formal review stage you are at, as follows:
   

Please note that there may be occasions where a first instance of unsatisfactory performance or a serious act of incompetence, is sufficiently serious enough to issue a higher sanction (e.g. final written warning or dismissal). This might occur where your actions have had, or are liable to have, a serious impact on our co-op. You'll always have the right of appeal (see below) against any formal warning, or your dismissal.

My manager is conducting my formal PIP review meeting/s. Can I still contact them for informal support?

Yes. Your manager’s ultimate aim is to work with you and support you in achieving the standards required in your PIP. At any time after your PIP has been issued, including in between any formal PIP reviews, your manager will be available to provide ongoing informal support, advice and to answer any questions you may have.

What are the key stages in dealing with any grievance I may have about work?

Informal - We promote an informal approach to resolving workplace issues. Most problems can be sorted out quickly and without the need for a formal process. If you have a concern or complaint, please discuss this, in confidence, with your line manager. They’ll be able to discreetly look into the issue and will attempt to resolve the issue for you as quickly as possible. If your concern involves your line manager, then you should approach the next senior manager or the Colleague Relations Team for further guidance and support.

Raising a Grievance – If it wasn’t possible or appropriate to resolve your concerns via an informal route, then you may choose to raise a formal grievance. The details of your grievance should be submitted in writing to your line manager, and a copy sent to the Colleague Relations Team. If your grievance relates to your line manager, this should just be sent to the Colleague Relations Team instead.

Grievance Hearing – You’ll be invited in writing (by letter or email) to attend a grievance hearing. This will outline the arrangements for the hearing, which will usually take place within 14 calendar days of receipt of your written grievance. We will let you know if this is likely to be delayed due to exceptional circumstances.

At the meeting, the manager will discuss the details of your grievance with you and will ask questions to ensure they have as full an understanding of your concerns as possible. It may be helpful if you can let the manager know what you're looking for as a resolution to your grievance. Following the hearing, the manager will investigate your complaint, which may include investigating your colleagues / any witnesses.

Your grievance hearing will usually be conducted by your manager, unless this is inappropriate (for example, if your concerns relate to your manager), in which case, the hearing will be led by an independent manager from the business nominated by us.

Grievance Outcome – Once the manager has considered your complaint, conducted any investigations required and reached their decision, they will write to you (by letter or email) to inform you of the outcome of your grievance. Where appropriate, this will explain any changes or actions put in place to resolve the issue. Please be aware that, due to confidentiality, you won’t be advised of the details of any action taken against any other individual in connection with your grievance.

The manager will normally provide their outcome within 7 days of your grievance hearing, but they’ll let you know if it’s likely to take longer. You will always have the right of appeal (see below) against any formal grievance outcome.

Can I withdraw my grievance once I’ve submitted it?

You may request to withdraw your grievance and choose not to participate in the grievance procedure. However, once we’re aware of your grievance we may still choose to investigate it, depending on its nature.

Will it be held against me if I raise a grievance?

You will not suffer any detriment in relation to your employment or career for raising a genuine grievance. We will take seriously any instances where you experience unfavourable treatment as a direct result of raising a grievance. Equally, we expect any grievances raised by colleagues to be genuine. Therefore, should a colleague make a complaint or submit evidence which they know to be untrue, disciplinary action may be taken against them.

What if a group of colleagues at the same workplace have the same grievance?

Where a group of colleagues working at the same location have a complaint relating to the same workplace issue and this has not been resolved informally then, at our discretion, this may be dealt with as a collective grievance. The group of colleagues may be asked to nominate a spokesperson to attend the formal grievance meeting on behalf of all those who have raised the grievance.

Do I attend work and carry on as normal whilst my grievance is being investigated?

Once you’ve raised a formal grievance, you'll be expected to continue to carry out your job role and duties in the normal way. If you have any concerns in this regard, you should speak to your line manager or contact the Colleague Relations Team, as appropriate.

Our approach to managing any issues or concerns during a colleague's probationary period is outlined under our Resourcing policy.

Can I appeal any disciplinary, capability, PIP review or grievance outcome?

Yes. You will have the right to appeal against any outcome to these formal processes (including any outcome to the Unplanned Absence Management Procedure). If you do want to appeal, you must do so in writing to the Colleague Relations Team within 7 calendar days of receiving the outcome letter, setting out your grounds for appeal. You will then be invited to attend an appeal hearing.

What happens at an appeal hearing?

During the meeting, the manager will ask you to explain the grounds for your appeal and why you feel that the original decision was inappropriate. The manager will consider your appeal and conduct any appropriate investigations. Following the appeal hearing the manager will consider:

• Whether the outcome was appropriate and fair in the circumstances.
• Whether any new information has been submitted that may have altered the original decision.
• Whether the information available supports the original decision.
• Whether our policies and procedures have been correctly and fairly followed.
• What you would like as an outcome (although, ultimately, the decision will be the appeal hearing manager’s). 

The appeal hearing manager will be allocated by the business and, wherever reasonably possible, will not have been involved in the process to date and will be senior to the manager who made the original decision.

How do I hear about the outcome of my appeal?

The appeal manager will confirm their decision to you in writing (by letter or email). This will normally be within 14 calendar days but there may be exceptional occasions where this will be longer. The outcome will be any of the following:

• Reject the appeal – i.e. the original outcome was reasonable and it should remain unchanged.
• Uphold the appeal in part – i.e. replace the original outcome with another lesser outcome (for example, issuing a lower-level formal warning instead). 
• Uphold the appeal in full – i.e. the original outcome was not appropriate and should be retracted.

You only have the right to appeal against any sanction or outcome once, so the formal process is exhausted once you've received your appeal outcome.

Will the meetings always be held in-person?

In some instances, meetings (including formal hearings) may be held remotely, using platforms such as Zoom or Microsoft Teams. You’ll be advised of the meeting arrangements at the earliest opportunity so you can check you have access to the necessary equipment and technology. If the meeting is being held remotely, you should be particularly mindful to forward copies of any evidence you intend to present to the hearing manager in advance.

Do I have the right to be accompanied at any formal hearings?

You have the right to be accompanied at any formal disciplinary, capability, PIP review, grievance, attendance or appeal hearing, either by a work colleague or a trade union representative. If you are a trade union representative yourself, you may be accompanied by an area organiser or a full-time trade union official.  You should let us know the details of your companion as soon as possible, and no later than the day before any meeting. We reserve the right to refuse to accept an individual as a companion in the event that there is an unreasonable conflict of interest or if unwarranted expense or a time delay would be incurred. 

If you choose to be accompanied, it's your responsibility to ensure that you communicate directly with your trade union or work colleague regarding representation, including details of the meeting and making them aware of / providing them with copies of any associated paperwork. If your companion is not available to attend the meeting, you can suggest another date as long as it is not more than five calendar days after the date originally proposed by us. If they’re unable to attend in person please speak with the hearing manager or the Colleague Relations Team as arrangements might be able to be made for them to access the meeting remotely (for example, via Microsoft Teams or Zoom).

What is the role of my companion during a meeting?

The companion is allowed to address the hearing to put forward and sum up your case, and to confer with you during the hearing. The companion does not have the right to answer questions on your behalf, address the hearing if you do not wish them to or prevent us from explaining our case.

Do I get any additional support with any of these procedures if I have a disability and / or English isn’t my first language?

If you have difficulty understanding any of the procedures outlined in this section, or you require adjustments as part of any process, you should let you line manager or  know as soon as possible so we can consider how to best support you.  In some circumstances, such as if you have a disability or language difficulty, then we will allow different accompaniment arrangements.  This will be at our discretion and must be agreed in advance of the meeting with the Colleague Relations Team so please discuss any potential requirement at the earliest opportunity.

What is the role of the management witness during a meeting?

At formal disciplinary, capability, PIP review, grievance, attendance and appeal hearings, a management witness will normally be present. This may also be the case at investigation meetings too. Their role is:

• To help to ensure that the meeting is conducted fairly and appropriately.
• To help to ensure that a proper record of the meeting is kept.
• To ask additional questions for clarification.

What is the role of HR during investigations and other formal proceedings?

A HR representative may attend investigation or other formal meetings in the capacity of a management witness (equally it may be another operational colleague, as above). Whether attending the meeting or not, a HR colleague may also provide advice and guidance to both the line manager and the colleague on the process. They will not make any decisions as to the appropriate outcome but, if asked, may give information that will help the line manager reach a decision which is fair and consistent, taking into account all the individual circumstances of the case in hand.

What happens if I’m sick during investigation or other formal proceedings?

Pay arrangements (disciplinary investigation and disciplinary proceedings only)

In situations where you are facing disciplinary investigation or disciplinary proceedings, and a period of sickness absence occurs at that time or directly afterwards, we reserve the right to withhold company sick pay. We will consider the application of relevant legislation concerning disability, pregnancy and maternity before such a decision is made.

Managing investigatory and other formal issues during periods of sickness absence

Our priority will be to manage any such issues fairly and promptly and will, wherever possible, continue to follow the principles set out in the relevant procedure. However, circumstances may arise when the ill health of a colleague prevents the relevant procedure from being followed because the colleague is too ill to fully participate. Where this is the case, we will act consistently with the following principles:

• The ill health of a colleague will not usually be a ground for abandoning any ongoing procedure/s.
• Where the absence is likely to be short, we will usually wait until the colleague recovers and is able to take a full part in the process.
• When the absence is ongoing and it appears to us that the colleague is likely to remain off sick for an extended period, we may require the colleague to cooperate with our Occupational Health provider in determining whether or not they are fit to take part in the process.
• Any colleague who is signed off as sick during a period of suspension will have their suspension rescinded until such time as they become fit for work.
• If, following consultation with Occupational Health or otherwise, it appears to us that the colleague is fit to take part in the process, the process will continue, although we may, at our discretion, also take any of the steps listed in special measures below.
• Where it appears that the colleague is not fit to take a full part in the standard procedure, we will consider taking any of the special measures set out below to enable the colleague to participate effectively.

Special measures

We may, at our discretion, propose adjusting our standard procedure/s by taking any or all of the measures set out below with a view to ensuring the effective participation of the colleague in the process:

• Venue: We will consider holding the meeting or hearing at a venue other than our premises (or virtually, e.g. via Teams), either to reduce the stress caused to the colleague by attending or to accommodate any physical needs that the colleague may have.
• Representation: Where it appears that the colleague's illness may affect their ability to explain their case, we will consider any request that the colleague may have to be represented in the process by a colleague, union official or such other person as we may specify. The representative may be allowed an expanded role in the process where this would assist the colleague in ensuring that their case is fully explained.
• Written representations: Where the colleague may have difficulty in explaining their case, consideration will be given to allowing the colleague to rely on written representations, which may be prepared by a representative.
• Documentation: We will take particular care to ensure that the colleague receives all documentation relating to the process sufficiently in advance to allow them to prepare fully, taking into account any effect that the colleague's health may have on their ability to analyse the information and prepare a response.
• Timings: While being committed to the principle that matters should be dealt with promptly, we may allow extra time for any stage of the process to ensure that the colleague can participate effectively. Particular attention will be given to the duration of any meeting or hearing and its impact on the colleague and the need to take appropriate breaks.

Holding the hearing in the colleague's absence

We believe that, in the vast majority of cases, it should be possible by using any or all of the measures outlined above to conduct a fair process in which the colleague fully participates. However, there may be exceptional circumstances when the colleague will not be able to attend a meeting or hearing, whatever measures are taken. In such circumstances, we reserve the right to proceed with a meeting or hearing in the colleague's absence, although full consideration will be given as to whether or not this is necessary in the circumstances.

Where this is the case, the colleague and their representative will be informed of the time and location of the meeting or hearing and will remain free to attend. The representative will be free to attend, even if the colleague is not present. The outcome of the meeting or hearing will be communicated in writing (by letter or email) to the colleague, paying particular attention to the need to explain the details of any factual findings made and the basis of the decision reached. The colleague will be given a full opportunity to appeal against any decision in accordance with the relevant procedure. The special measures outlined above will also be considered by us in relation to any appeal.