Chapter 2

Question 1

Essence of Section 4, Employment Relations Act 2000

Answer 1

Parties to employment relationship to deal with each other in good faith.

Question 2

Who does code of conduct apply to and when

Answer 2

Anyone employed or engaged by nzp; permanent, temporary or casual, contractors, consultants, volunteers, and any other groups / individuals.
At all times even when off duty.

Question 3

How can we be sure our conduct complies with the code and policies.

Answer 3

Values, common sense, act with self respect, SELF test.

Question 4

What is SELF test

Answer 4

Scrutiny -
Ensure compliance - code of conduct, other policy, GI
Lawful -
Fair

Question 5

A breach of the code - what is considered. Hint 6 IPAITS

Answer 5

Intent
Position, duties, responsibilities
Ability to fulfil duties, responsibilities
Impact on org and relationships
Impact on T and C
Similar behaviour in the past - how dealt with.

Question 6

Misconduct e.g.s

Answer 6

Breach police policy
Treat a person harshly
Use abusive or offensive language
Misuse of internet or email
Using database for unauthorised or personal use
Absent or late for work without proper reason
Failure to declare conflict of interest
Misuse or mistreatment of police property
Bring police into disrepute through actions or behaviour

Question 7

Serious misconduct e.g.s

Answer 7

Being convicted of or pleading guilty to an offence
Corruption
Bullying or harassment
Sexual misconduct
Theft or dishonesty of any kind
Unauthorised access to or disclosure of info 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

Performance mgmt - what is it

Answer 8

Seeking improvement through dialogue and providing support to enable employee to perform. NOT DISCIPLINARY unless employee has been unable or unwilling to satisfactorily improve following a PIP.

Question 9

Performance mgmt

Step 1 Informal discussion - objective

Answer 9

Encourage dialogue and try and id if there are underlying causes that are contributing to performance issues. Role is to encourage, support and try to help employee to improve. Also important to give employee a chance to explain and talk about the issues and their causes, to make suggestions for how issues might be resolved.

Question 10

Informal discussion - how

Answer 10

1 Talk in private, 2 way discussion, give examples, criticism should be constructive with an emphasis on finding ways to improve and for the improvement to be sustained. Employee allowed support person.
2 Listen to employee.
3 NOT formal, NOT disciplinary
4 Where possible reach agreement on the way forward including reasonable period.
5 Send the employee a letter as a record of conversation
6 Arrange a follow up meeting to assess progress
7 Consider a referral to wellness services
If problem doesn’t improve consult with HRM.

Question 11

Performance mgmt

Step 2 - Performance meeting - why

Answer 11

Performance hasn’t improved despite informal discussion. Note; Performance meeting doesn’t mean PIP will be commenced. Every issue considered on it’s facts.

Question 12

Before Step 2 Performance meeting

Answer 12

1 ID minimum standard of performance and shortfall - focus discussion on shortfall
2 Send employee letter of invitation
3 Set up performance mgmt file
4 Discuss with HR
5 Checklist of items for discussion
6 If org support is req’d, ascertain names of contact persons.

Question 13

During Performance meeting

Answer 13

1 Reasons and agenda. Give agenda to employee (without any pre determined conclusions)
2 Provide info - min standard of performance and shortfall. Provide examples, documentation.
3 Opportunity to respond.
4 Problem solving. If a PIP seems necessary, go through it with them and support person. For PIP inform them they will be supported trained and assisted to reach required level of performance. Record agreed assistance on PIP form. Inform them 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 explanation in the notes of meeting and make sure this is signed by both parties. Copy all documentation to the employees performance mgmt file and provide a copy to employee.
After meeting - if PIP in place follow step 3 PIP instructions. If no PIP, continue to monitor the employees performance. If no improvement after reasonable period, a further meeting may be required to put a PIP in place.

Question 14

Performance mgmt

Step 3 - PIP - info to include

Answer 14

1. Performance to be improved - specific, statement about the aim.
2. Minimum acceptable standard of performance with reference to the competencies, position description, code of conduct and any other benchmarks.
3. Remedial steps to be taken.
4. Support and resources Police will provide.
5. How and when you will provide feedback.
6. Review periods - with whom and how often. Specify the measurements for evaluation.
7. Dates for progress meetings.
8. Start date for PIP.
9. Possible consequences if performance standards are not met.
10. Signature of both parties and the date.

Question 15

Performance mgmt

Step 4 - Completion of the PIP - required standard reached

Answer 15

Evaluation of performance, if required standard then no longer required.
The date confirmed in writing on the PIP form and a letter confirming this.
Performance monitoring may continue on an informal basis.
Options for ongoing training or additional support may be explored with the employee to ensure he maintains the required level of performance, ongoing dialogue should be encouraged.
A copy of PIP on employees performance mgmt file along with a copy of any letters sent to the employee.

Question 16

Performance mgmt - PIP non performance - what to do (2 options)

Answer 16

Revise PIP

Progressive disciplinary process

Question 17

Disciplinary Policy - key things to note (2)

Answer 17

1 Process is used to determine whether alleged breaches of Our Code and / or policies are substantiated and if so, what the appropriate outcome is.
2 This process is underpinned by the employment principles of good faith.

Question 18

Disciplinary Policy - why and purpose

Answer 18

1. Enables us to meet obligations of good faith and comply with its legal obligations under the employment relations act 2000.
2. Ensure breaches of Our Code are managed and dealt with fairly and in good faith with a view to improving conduct.

Question 19

Good faith - must do’s (3)

Answer 19

1. Engage openly, honestly and respectfully
2. Be responsive and communicative
3. Be active and constructive in maintaining a productive employment relationship.

Question 20

Disciplinary and good faith - how (10)

Answer 20

Fair and reasonable
Employment investigation only if there is good reason
Notify employee upon commencement
Provide details of specific allegations for response
Advise them of right for advice and representation
Allow employees a reasonable opportunity to respond to allegations
Consider explanation in an unbiased manner
Notify employee of the outcome of investigation into allegations
Ensure outcomes are proportionate to nature and seriousness
Ensure privacy and confidentiality of investigation is maintained

Question 21

Disciplinary process steps / guidelines (9)

Answer 21

1 initial assessment
2 categorisation
3 criminal and employment investigations
4 restricted duties, suspension and stand down
5 drafting allegations
6 investigation - initial steps
7 investigation and investigation meeting
8 making the decision
9 outcomes - warning or dismissal

Question 22

Initial assessment purpose and who can assess

Answer 22

To ID if there is an issue that Police need to address or investigate. Manager should be able to assess with support and guidance from HR.

Question 23

What to consider during initial assessment - 5

Answer 23

Any substance or is more info needed.
Is it necessary to notify and/or speak to the employee about the matter.
Is the alleged conduct a breach of Our Code, Policies or employment agreements.
What info is available for consideration.
What are the appropriate next steps.

Question 24

Possible pathways after initial assessment

Answer 24

1 No conduct or performance issues - no further action.
2 Potential misconduct or serious misconduct - referred to HR.
3 If criminal aspect refer and work with PPC.
4 Performance issue - manager will manage and may seek advice from HR.

Question 25

Categorisation purpose

Answer 25

To determine whether allegations about conduct should be addressed and if so if it is performance, breach of our code or a criminal matter. A formal categorization may be required if matter is serious or complex in nature. Consider notifying IPCA.

Question 26

Who categorises

Answer 26

Manager and their HR representative.
If serious PPC if potential criminal offending or
If the allegation has arisen from a complaint.

Question 27

Role of those categorizing (3)

Answer 27

Review info
Determine if matter needs to be investigated
Detail clear allegations

Question 28

Categorisation - what matters are considered

Answer 28

Internally identified matters that may involve a breach of our conduct or criminal offending.
Complaints that we have concerns about.
Notifiable incidents under S.13 of the IPCA Act or under memo of understanding between Police and the IPCA.
Significant traffic matters.

Question 29

What is not considered for categorization.

Answer 29

Poor performance.

One off or low level misconduct or mistake that can be dealt with by the manager.

Question 30

Types of possible outcomes after categorisation.

Answer 30

No action.
Perf mgmt.
Employment investigation.
Criminal investigation.

Question 31

If employment investigation what else should be considered.

Answer 31

Is restricted duties stand down or suspension appropriate.

Who should be the investigator.

Question 32

When is restricted duties suspension or stand down appropriate to mitigate risk. Theses risks may include;

Answer 32

h and s of employee and others.
interference with investigation.
interfere with police operations or disrupt police routines.
nature or gravity of alleged conduct may prejudice public interest or potentially damage the rep of Police.

Question 33

Drafting allegations - purpose (3)

Answer 33

Inform employee of concerns about their conduct.
Explain why if true police would consider the employees conduct unacceptable.
Enable them to properly respond to the allegation.

Question 34

Investigation initial steps - who should be the investigator.

Answer 34

Objective and not involved.
If appropriate the employees manager.
If serious or sexual, senior member.
Specialist investigator.
External investigator if additional independence is required.
DC or National Manager with HR to determine who.
If subject to criminal investigation there needs to be a separate investigator.

Question 35

The investigation - differences between employment and criminal investigations.

Answer 35

Employment; both need to uphold good faith obligations, relevant info disclosed to allow time to respond, test is balance of probability (more likely than not misconduct occurred.) The more serious the misconduct or possible consequences the stronger the supporting info needs to be.

Criminal; No requirement to participate in good faith, investigative, don’t necessarily disclose info and don’t need to give them time to consider it, need to prove wrongdoing beyond reasonable doubt.

Question 36

Investigation meeting - purpose (2).

Answer 36

To hear from the employee regarding their view and explanation on situation or conduct.
To seek clarity or explore any aspect of the situation that is not clear or where witness accounts do not match.

Question 37

Before the investigation meeting - what to do.

Answer 37

1 Ensure employee has;
Sufficient notice of meeting.
Is Aware of allegations and concerns that you need to discuss.
Has received copies of all relevant information to be relied upon.
Has had the opportunity to bring along representation or support.
2 If representative, then comms via them. During meeting rep is support role not speaking.
3 Appropriate location - booked and private.

Question 38

During investigation meeting (6).

Answer 38

1 Employee is aware of and understands the allegations and concerns that you are going to discuss with them.
2 If you want to digitally record everyone in room has to be aware and consent to this.
3 Due to stress there may need to be a break.
4 Be honest and upfront with the employee if there are areas of concern or discrepancies or if you don’t believe they are being honest. Give them opportunity to correct.
5 Ask open ended questions and use probes to seek clarity.
6 Check what other enquiries the employee thinks you need to make.

Question 39

After the investigation meeting.

Answer 39

Review documents to ensure everything is captured while fresh in your mind.
Verify meeting notes with the person interviewed.
Depending on new info a 2nd meeting may be appropriate. If new info the employee needs to have a copy and opp to respond.

Question 40

Who makes the decision re; outcome of investigation.

Answer 40

Disciplinary warning - DC or National manager and above. May be delegated to an Inspector. In consultation with HR.
Dismissal - DC, General Manager; Training, National Manager; Comms centres and SIT, AC’s and above, in consultation with manager and HR.

Question 41

Types of warnings.

Answer 41

Warning - generally for misconduct.
Final warning - serious misconduct as a first response or where a warning has already been issued. A final warning is a step away from dismissal - a last chance.

Question 42

Dismissal - when you can do so.

Answer 42

In consulation with Mgr and ER,
No t and c.
Further relevant misconduct occurs when employee is on final warning.
There is a finding of serious misconduct warranting dismissal following an investigation.
Repeated performance issues which haven’t been remedied through perf mgmt which has led to disciplinary process.
As decision maker you will need consideration to alternatives to dismissal including any alternative proposed by the employee.

Question 43

Summary Dismissal

Answer 43

Most serious cases summary dismissal may be appropriate and employee will not be required to work out notice period.

Question 44

Employment relationship problem policy - when does the policy apply;

Answer 44

All Police Employees and all employment relationship problems.
NOT;
Independent contractors but can apply where an employment relationship problem arises due to the actions of a contractor.
A matter that has another specific review or resolution procedure.
A matter that is the subject of a claim under the Human Rights Act.

Question 45

Principles relating to all employment relationship problems

Answer 45

1 Both parties must act in good faith.
2 Parties are encouraged to use dialogue and exchange relevant info to try and resolve employment relationship problems, referring to mediation if the problem cannot be resolved first through informal dialogue.
3 Employees have the right to be represented at any stage of the process for resolving an employment relationship problem.
4 The primary parties to a problem must have initial responsibility to resolve unless resolution raises issues of org significance or the problem; relates to actions or inactions of employers supervisor and therefore not appropriate for supervisor to deal with OR involves some other reason that would justify escalating responsibility to a person more senior than employees supervisor.

Question 46

Dispute - defn

Answer 46

A dispute about the interpretation, application, or operation of an employment agreement.

Question 47

Employment relationship problem - defn

Answer 47

Includes a personal grievance, a dispute, and any other problem relating to or arising out of an employment relationship but does not include any problem with the fixing of new terms and conditions of employment.

Question 48

Good faith - defn

Answer 48

Behaviour in respect of resolving an employment relationship problem includes but is not limited to;
1 Both parties providing sufficient information about a problem to enable them to consider resolution,
2 Not acting in a way that will or is likely to mislead or deceive another party,
3 Listening to the other party’s point of view,
4 Being prepared to consider whether the matters raised by the other party justify modifying a previous decision or position in relation to the alleged problem,
5 Being respectful and constructive when communicating with the other party about an alleged problem and stating any reasons for disagreement with their stated position
6 Until a problem is resolved, actively taking steps to progress its resolution to the next stage of the process in a timely way, and
7 Limiting involvement to those who are directly involved in the problem or its resolution.

Question 49

Mediation - defn

Answer 49

The process by which the participants together with the assistance of a neutral person systematically isolate disputed issues in order to develop options and consider alternatives, with a view to reaching a consensus on resolution that will accommodate their respective needs.

Question 50

Personal grievance - defn

Answer 50

Personal grievance means any grievance an employee may have against Police because of a claim that the employee has been;
Unjustifiably dismissed or
Subjected to disadvantage in that their employment is, are or was affected to the employees disadvantage by some unjustifiable action by Police or
Discriminated against in their employment, or
Sexually or racially harassed in their employment or
Subjected to duress in their employment relating to membership or non membership of a union or service org.

Question 51

Personal grievance time restraint

Answer 51

90 days

Question 52

Discrimination and harassment policy covers which legislation

Answer 52

HR Act 1993
H and S in employment act 1992
Employment relations act 2000

Question 53

Harassment includes allegations of;

Answer 53

Sexual harassment
Racial harassment
Bullying

Question 54

Principles of harassment policy

Answer 54

1 Adhere to behaviours set out in code of conduct and core values of police.
2 All parties may use informal constructive dialogue to try and resolve
3 All employees have the right to be represented.
4 All respondents have the right to know the substance of any allegations made against them and any info presented on behalf of the other party. They also have the right to respond.
5 All allegations should be resolved in a timely manner.

Question 55

Additional rights - formal resolution - harrassment policy

Answer 55

Impartial investigator.
Be heard by the investigator and decision maker.
Be kept informed about the progress of the investigation.
A timely investigation.
Be advised of the outcome of the investigation.