7.2 Staff Management

Question 1

In relation to the Code of Conduct, what are the four ‘self test’ questions you might ask yourself?

Answer 1

SCRUTINY - Would your decision or behaviour withstand scrutiny and be seen as appropriate by others?

ENSURE COMPLIANCE - Does your decision or behaviour comply with the Code and other Police policy, general instructions and procedural expectations?

LAWFUL - Is your decision or behaviour lawful?

FAIR - Is your decision or behaviour fair and reasonable?

Question 2

Describe four key points of the code of conduct?

Answer 2

We have high standards.
- Our reputation, Our influence, and conflicts of interest

We protect people, our information, & our resources.
- We keep ourselves, each other and the public safe, we always need to handle information appropriately, and we have an obligation to properly manage and use resources.

We do right by others
- Our diversity, Our acceptance of others, and Our history.

We are responsible
- We choose to be responsible for consistently demonstrating our values, working in a manner consistent with this Code, and seeking help when we are unsure.

Question 3

What is considered if there is a breach of the code of conduct?

Answer 3

Depending on the circumstances, misconduct may be considered serious misconduct, and vice versa.

Misconduct and serious misconduct can apply to behaviour that has occurred outside of work.

The individual circumstances of each situation will determine how the misconduct is treated.

In considering if a behaviour or decision is a breach of this Code and how serious it is, the factors that may be considered are:

• The nature and circumstances,
• Intent – did you knowingly make decisions or act out of line with this Code, Our Values and policies?
• Your position, duties and responsibilities,
• Your ability to fulfil your duties and responsibilities,
• The impact on the organisation and relationships,
• Impact on the trust and confidence Police has in you,
• How similar behaviour has been treated in the past.

Question 4

What is misconduct?

Answer 4

This is behaviour or actions that breach this Code of Conduct or other Police policies. While misconduct may not justify dismissal it may result in formal disciplinary action.

Question 5

What is serious misconduct?

Answer 5

This is behaviour or actions that breach this Code of Conduct or other Police policies and employment agreements and seriously undermine or damage the trust and confidence Police has in you, calling into question if the employment relationship can continue. It is behaviour or actions that may justify dismissal.

Question 6

What are some examples of misconduct?

Answer 6

• Breaching Police policies or procedures
• Treating a person harshly
• Using abusive or offensive language
• Misuse of Police internet or email systems
• Using any Police databases for any unauthorised or personal purpose
• Being absent from work or late without proper reason
• Failure to declare a conflict of interest
• Misuse, mistreatment or not taking reasonable care of Police property
• Not complying with a lawful and reasonable instruction without a good and sufficient reason
• Bringing Police into disrepute through any actions or behaviour

Question 7

What are some examples of serious misconduct?

Answer 7

• Being convicted of or pleading guilty to an offence
• Corruption – accepting a bribe, inducement or reward
• Bullying or harassment
• Sexual misconduct
• Theft or dishonesty of any kind
• Unauthorised access to, or disclosure of any matter or information related to Police business including NIA
• Repeated misconduct (including breach of a warning)
• Knowingly making a false declaration or statement (including incorrectly recording data)
• Excessive unjustified violence.

Question 8

What is performance management?

Answer 8

Performance Management is about seeking improvement through dialogue and providing support to enable the employee to perform satisfactorily.

Question 9

What is performance management not?

Answer 9

It is not a disciplinary process.

Question 10

When does performance become a disciplinary process?

Answer 10

Performance matters only become relevant for disciplinary purposes where an employee has been unable or unwilling to satisfactorily improve following a Performance Improvement Plan.

Question 11

What are the four steps in the performance management process?

Answer 11

Step 1: Informal Discussion

Step 2: The Performance Meeting

Step 3: The Performance Improvement Plan (PIP)

Step 4: Completion of the PIP - Required Standard Reached

Question 12

Describe the steps for an Informal Discussion?

Answer 12

1. Talk to the employee in private. This should be a two-way discussion aimed at pointing out the shortcomings in conduct or performance and encouraging comment and improvement. Explain clearly and use practical examples where possible. Criticism should be constructive, with the emphasis on finding ways to improve and for the improvement to be sustained. Should the employee wish to bring a support person, they are welcome to do so.
2. Listen to whatever the employee has to say about the issue. It may become evident that there is no problem.
3. Be careful that the informal action does not turn into formal disciplinary action, as this may unintentionally deny the employee rights, such as the right to be accompanied by a support person.
4. Where possible, reach agreement on the way forward, including a reasonable period for the employee to achieve the standard of behaviour sought.
5. Send a letter to the employee recording the discussion
6. Arrange a follow-up meeting time to assess any progress.
7. Consider whether a referral to Wellness Services would also be appropriate at this stage.

Question 13

Describe the steps before a performance meeting?

Answer 13

1. Identify the minimum standard of performance and how the employee’s performance falls short of that standard. All discussion should focus on this shortfall.
2. Send the employee a letter of invitation to a performance meeting.
3. Set up a performance management file (separate to any performance appraisal documentation).
4. Discuss with the HRM and consider possible options to remedy the performance concerns.
5. Draw up a checklist of items to be discussed.
6. If further organisational support is required, ascertain names of contact persons.

Question 14

Describe the stages during a performance meeting?

Answer 14

1. Introduction
   - Open the meeting by explaining the reasons for the meeting and setting the agenda.
   - If you have a written agenda, give the employee and their support person a copy.
   - Ensure the agenda does not contain any predetermined conclusions or outcomes.
2. Provide Information
   - Outline the minimum acceptable standard of performance and outline where the employee performance has fallen short of that standard.
   - Provide examples and any relevant documentation, including any relevant benchmarks.
3. Opportunity to Respond
   - Give the employee a genuine opportunity to explain any reasons for the shortfall in performance.
   - Clarify with the employee any issues raised. Adjourn the meeting briefly if necessary.
4. Problem Solving
   - Explain the performance management process and the action that will be taken next.
   - If a Performance Improvement Plan (PIP) seems necessary, go through the PIP form with the employee and his or her support person.
   - Inform the employee that they will receive all reasonable support, training and assistance from Police in order to reach the required performance level. Record the agreed assistance on the PIP form.
   - Inform the employee that if they do not reach the minimum standard of performance, the issue may be treated as a misconduct issue and addressed under the progressive disciplinary process.
5. Record Keeping
   - Record the discussion including employee’s explanation in the notes of the meeting and make sure this is signed by both parties at the end of the meeting.
   - Copy all documentation to the employee’s performance management file and provide a copy to the employee.

Question 15

Describe the process after a performance meeting?

Answer 15

• If a PIP was put in place, follow the instructions in Step 3.
• If no PIP was put in place, continue to monitor the employee’s performance. If there continues to be no improvement after a reasonable period, a further meeting may be required to put a PIP in place.

Question 16

Describe the steps for a Performance Improvement Plan?

Answer 16

A PIP should include the
following information:

1. The performance to be improved; you need to be specific and cite examples. Include a brief statement about the aim of the PIP.
2. The minimum acceptable standard of performance with reference to the competencies, position description, Code of Conduct and any other available benchmarks.
3. The remedial steps to be taken. This standard should be measurable, realistic and have an achievable timeline.
4. The support and resources Police will provide to assist the employee. If the employee wants to source their own help, note this on the PIP form. Note the target date for achieving the improvement.
5. How and when you will provide feedback to the employee.
6. Review periods, including with whom and how often. Specify the measurements you will consider in evaluating progress.
7. The dates for progress meetings when the performance issue and target date for improvement will be re-evaluated.
8. The start date for the PIP.
9. Possible consequences if performance standards are not met.
10. The signature of both parties and the date the PIP was signed.

Question 17

Once a PIP is implemented what steps must be taken?

Answer 17

1. Ensure all agreed assistance is provided to the employee. If for some reason a matter that has been agreed to cannot be provided, the employee must be advised and steps should be taken to reach agreement over what alternative assistance may be given.
2. Diary meetings at the interval agreed. It is essential that these meetings proceed to enable assessment of the employee and for feedback to be given. Notes should be kept of the meetings. It may be necessary to revise the PIP, by agreement.
3. Put in place a system to monitor the employee’s progress in meeting the requirements of the PIP. Provide ongoing feedback to the employee on progress including any areas that still need improving.
4. Note that the PIP is specific to the behaviours/poor performance that has been raised with the employee. Should new matters arise whilst the employee is subject to a PIP, another performance meeting will need to be convened and the PIP revised.

Question 18

Describe the steps upon completion of the PIP?

Answer 18

After a PIP has been implemented and completed the employee’s performance should be evaluated in accordance with the PIP.

If the employee has reached the required standard, he or she should be informed that they have achieved the level of performance required and that there is no longer a need to continue performance management through the PIP. The end date should be confirmed in writing on the PIP form and a letter confirming this should be provided to the employee.

Performance monitoring may continue on a more informal basis. Options for on-going training or additional support may be explored with the employee to ensure that he or she maintains the required level of performance, and ongoing dialogue should be encouraged between the employee and supervisor.

A copy of the PIP should be retained in the employee’s performance management file along with a copy of any letters sent to the employee.

Question 19

Describe the disciplinary process for non-performance?

Answer 19

Where an employee does not achieve the required standard following a Performance Improvement Plan consideration may be given to revising the PIP. However, in some circumstances, it may be appropriate for the matter to go directly to the progressive disciplinary process.

Question 20

Police’s vision is that it has the trust and confidence of all. In order to achieve this, it is critical that…

Answer 20

Police employees continue to be:

• Challenged
• Reported
• Investigated, and
• Appropriately dealt with.

Question 21

What is inappropriate behaviour?

Answer 21

• Unethical behaviour (this includes behaviour that causes you to be concerned)
• Behaviour which may be a breach of the Code of Conduct
• Serious wrongdoing as defined by section 3 of the Protected Disclosures Act 2000.
• Harassment, bullying and discrimination.

Question 22

Ideally what should happen with any inappropriate behaviour?

Answer 22

It should be challenged on the spot.

Question 23

Who could I report inappropriate behaviour to?

Answer 23

• another trusted supervisor, Field Training Officer or senior employee in your district or service centre or work group;
• local HR team, Area or District Commander, National Manager or Assistant Commissioner;
• one of the Deputy Commissioners or Deputy Chief Executives, or the Commissioner.

Question 24

What steps should I take when receiving a report of inappropriate behaviour?

Answer 24

1. Discuss the situation in a neutral and unbiased fashion.
2. If appropriate, obtain a full and detailed account of the alleged inappropriate behaviour including (but not limited to):
   (i) the nature of the inappropriate behaviour;
   (ii) the name or names of the people involved;
   (iii) time, date and place of the inappropriate behaviour; and
   (iv) other relevant facts such as the circumstances in which the inappropriate behaviour occurred if known.
3. Advise you:
   (i) what initial steps will be taken in relation to their report including who will be informed of, or receive information about their report; and

(ii) about the protections and support available to them.
4. Report to the People Group, as appropriate.
5. Maintain detailed records and ensure strict confidentiality by only disclosing the information for the purpose for which it was taken.

Question 25

Describe Tier 1 of support for Speak Up?

Answer 25

Tier 1 - Core supervisory responsibilities

Police has an obligation to provide adequate support to anyone who decides to Speak Up in good faith.

Your supervisor is the primary person responsible for ensuring this support.
Where your normal supervisor is considered unsuitable to this role due to a conflict of interest, Police will delegate responsibility for delivering this support to another supervisor.

The term ‘Support Supervisor’ is used to describe the person delegated responsibility for providing that support, whether they are your normal supervisor on an alternative supervisor.

Question 26

Describe Tier 2 of support for Speak Up?

Answer 26

Tier 2 - Productive Management

Additional support processes apply where:

(a) The allegation being reported may require an employment or criminal investigation.
(b) An employee reports experiencing some form of retaliation for Speaking Up.

In these circumstances your Support Supervisor will, as soon as possible:

1. Meet with you to fully explore any concerns you may have as a result of Speaking Up.
2. In discussion with you, identify steps to be taken to mitigate those concerns and work to address anything else that should be considered.
3. Offer to appoint a support person. It is critical that your support person is someone you trust. Your support person’s supervisor should be contacted at the outset to ensure sufficient time can be allowed to provide the necessary support.
4. Offer to put you in contact with the District Welfare Officer, and advise you regarding the availability of EAP and Harassment Support Officers.

• Employee Assistance Programme (EAP)
  (i) The Employee Assistance Programme provides free counselling or professional/specialist assistance to Police employees on a wide range of concerns that may affect their work performance or impact on their health and well being. See the ‘Employee Assistance Programme’ policy for further information.
• Harassment Support Officers
  (ii) Harassment Support Officers (HSO) provide support and advice to all staff facing harassment issues. They are approachable (in confidence) on issues relating to harassment and discrimination in the workplace. (See the ‘Discrimination and harassment policy’.)

Question 27

Describe Tier 3 of support for Speak Up?

Answer 27

Tier 3 – Active intervention

Where the support provided to you through the tier one and two processes is insufficient, the People Group, PNHQ will, with your approval, refer your case to a local Harassment Support Officer and/or the sub-committee of the Executive Leadership Board (ELB) responsible for People–related issues.

A Harassment Support Officer can work directly with you, your Support Supervisor and other relevant managers as required. The ELB
subcommittee can help to resolve any issues that require senior management involvement.

Question 28

What must an employee self report?

Answer 28

• any charge(s) you are to face in court.
• any infringement for driving with an excess breath or blood alcohol concentration.
• any suspension of your drivers licence.
• any speeding notice at a speed in excess of 40km/hr above the limit.
• becoming a respondent of a protection order.
• any charge or infringement that could lead to suspension or partial suspension of your drivers licence (e.g.: demerit points from a new offence could put you over 100, or the offence is one which could result in the suspension of one class of your drivers licence while keeping other classes valid, such as a suspension of a truck licence but retain a current car licence).

Note: Failure to notify your supervisor may result in disciplinary action.

Question 29

What other self reporting requirements are there?

Answer 29

There is a requirement for self reporting where you are summonsed or elect to give evidence, other than as a Police prosecution witness.

Question 30

What are the guiding principles applied to information management, privacy and assurance?

Answer 30

All employees must:
- embrace, actively support and promote information management, privacy and assurance policy

• make responsible use of Police technology systems and equipment for personal benefit
• have no expectations of privacy even if the devices are used for personal benefit
• acknowledge that Police are entitled to access any data or records (including personal use records) on Police technology systems and equipment for any lawful purpose
• not misuse Police technology, systems and equipment
• apply the ‘Code of Conduct’ and ‘SELF test’ to their use of Police technology systems and equipment.

Question 31

What are the ‘Do’s’ of social media?

Answer 31

• When posting personal opinions on your personal social media accounts, make sure that it’s clear that it is your own view and not the
  Police view on a particular issue.
• Only access personal social media sites at work as outlined in the ‘Information management, privacy and assurance’ chapter in the Police Manual.
• Select high privacy settings on your personal accounts to prevent others (including media) viewing or using your information and photos.
• Be aware of security advice issued through the Bulletin Board – do what you can to avoid being the victim of harassment, identity theft, or other unwanted attention from criminals.

Question 32

What are the ‘Dont’s’ of social media?

Answer 32

• Posting photos of yourself in uniform on personal social media accounts, or anything that identifies you as a Police officer is not recommended.
• Don’t use your personal email address or phone number for Police social media accounts.
• Don’t post anything that can bring Police into disrepute or negatively impact the reputation of Police (i.e. anything in breach of our Code of Conduct).
• Don’t post anything that compromises your security or the security of family or colleagues (e.g. posting personal information such as phone numbers or addresses).
• Don’t use Facebook as a channel to send unprompted messages to members of the public, e.g. “we need your help tracking someone down” is for Intel. As anyone can set up a social media profile and claim to be a Police officer (via a non-NZ Police verified page), this kind of practice is a risk we need to avoid. If a member of the public has contacted Police (through Facebook for example), then it is OK as they
  have asked to be contacted.

Question 33

Under Section 13 of the Interdependent Police Conduct Authority Act 1988, there is a Duty of the Commissioner to notify Authority of certain incidents involving death or serious bodily harm. Explain this?

Answer 33

Where a Police employee acting in the execution of his or her duty causes, or appears to have caused, death or serious bodily harm to any person, the Commissioner shall as soon as practicable give to the Authority a written notice setting out particulars of the incident in which the death or serious bodily harm was caused.

Note that “Serious bodily harm” includes any fracture, deep laceration, injury to internal organ, impairment of a bodily function, blow to the head that causes severe concussion, injury that results in admission to hospital, or allegation of sexual assault.

Notification ought to be made under section 13 whenever a person is hospitalised as a result of Police actions.

Question 34

What is an exception to the commissioners duty in regards to ‘Serious Bodily Harm.’

Answer 34

An exception that does not have to be reported are dog bites where the injury is not a “deep” laceration and the subject has been admitted to
hospital only to allow the wound to be washed out and sutured before the subject is discharged.

Question 35

Under Section 15 of the Interdependent Police Conduct Authority Act 1988, there is a Duty of the Commissioner to notify Authority of complaints. Explain this?

Answer 35

(1) The Commissioner shall notify the Authority… of every complaint received by the Police, other than a complaint notified to the Commissioner by the Authority.
(2) Notification must be given as soon as practicable, but no later than 5 working days after receipt of the complaint.

Question 36

In addition to the statutory notification requirements under section 13 and section 15 of the Independent Police Conduct Authority Act 1988, the Commissioner may notify the Authority of…?

Answer 36

Any matter involving criminal
offending or serious misconduct by a Police employee, where that matter is of such significance or public interest that it places or is likely to place the Police reputation at risk. The Authority may act on these notifications in the same manner as a complaint notified under section 15 of the Independent Police Conduct Authority Act 1988.

Examples:
- Non injury pursuit that causes significant damage or is of such significance or public interest that it places or is likely to place the Police reputation at risk.

• Cell block or other custody self harm attempt that does not result in serious injury, that is of such significance or public interest that it places or is likely to place the Police reputation at risk.
• Use of force matter that does not result in serious injury, that is of such significance or public interest that is places or is likely to place the Police reputation at risk.