Chapter 7: Staff Management Flashcards
Code of Conduct - Our Code
How can we be sure our conduct complies with the Code of Conduct and policies - i.e. what should we apply to situations… the ‘what’ test.
What does this acronym stand for?
SELF test
Scrutiny - would decision/behaviour withstand scrutiny or be seen as appropriate by others
Ensure Compliance - decision/behaviour comply with Code and policy, GI’s and Proceedure
Lawful - is decision/behaviour lawful
Fair - is D/B fair and reasonable?
What are the things we must protect when we are considering decisions/behaviours - headings?
Our… x 8
- Our Acceptance of others
- Our Diversity
- Our History
- Our Influence and conflicts of interest
- Our Information
- Our Reputation
- Our Resources
- Our Safety
What factors are considered regarding breaches of the Code of Conduct? x7
- Nature and circumstances
- Intent when breach occurred
- Position, duties and responsibilities
- Ability to fulfil 3.
- Impact on organisation and relationships
- Impact of T&C police has in you
- how similar behaviour was treated in the past
What is definition of MISCONDUCT ?
What may misconduct result in - penalty-wise?
Give examples: x8
Def: behaviour/actions breach the code/policies.
May result in formal disciplinary action.
- Absent without proper reason
- Abusive/offensive language
- Bringing police into disrepute by actions/behaviours
- Misuse of police equipment
- Misuse of police internet or email
- Not complying with lawful instruction from supervisor
- Treating person harshly
- Use NIA for unauthorised use
What is definition of SERIOUS MISCONDUCT?
What could this behaviour justify happening?
What are some examples - incl. criminal stuff? x9
Def: behaviour/actions breach the code/policies.
seriously undermine or damage T&C police has in you.
May justify dismissal.
- Bullying / harassment
- Convicted, plead guilty to offence.
- Corruption, accepting bribes, inducements
- Dishonesty / theft of any kind
- Excessive unjustified violence.
- Knowingly making false declaration or statement
- Repeated misconduct
- Sexual misconduct
- Unauthorised access or disclosure of police info - NIA
Definition of Performance Management?
Is this a disciplinary process?
When does this become a disciplinary process?
Seeking improvement through dialogue and providing support to enable employee to perform satisfactorily.
Not disciplinary process…
Only becomes disciplinary when employee unable/unwilling to improve following Performance Improvement Plan
What are the steps in Performance Management Process? x 4
- Informal Discussion
- Performance Meeting
- Performance improvement Plan
- Completion of PIP
(… disciplinary)
What is step 1 of the the Performance Management Process?
How should this be done? x 8 steps
Starts with : Talk with Employee…
INFORMAL DISCUSSION
- encourage dialog
- establish underlying causes of underperformance
- Talk in private, discuss ways to improve, employee can have support person
- Listen to what they have to say
- Careful that informal action doesn’t turn into disciplinary action.
- Reach agreement on way forward.
- Send letter recording discussion (email)
- Arrange followup meeting
- Consider referral to Welfare etc.
- discuss with Human Resource Manager whether formal meeting appropriate.
What is Step 2 of the the Performance Management Process?
What are the steps to complete BEFORE the meeting - ie. during the initial phase but after the informal discussion… includes info in letter to employee etc… x 6
Performance Meeting
- ID minimum standard of performance and how they fall short.
- send letter of invitation to performance meeting
- set up PM file
- Discuss with HRM and consider options to remedy performance concerns
- checklist of items to be discussed
- further support needed, get contact details of support
Step 2 of the the Performance Management Process: Meeting
What are the steps to complete DURING the meeting? x5
- Intro - open meeting, explain reasons, set agenda
- Provide info - minimal accepted standard, where they’ve fallen short, provide egs
- Opportunity to respond
- Problem solve - action to be taken.. (may be PIP)… or training/support, inform employee if standard not met, issue may go up to misconduct issue
- Record keep - notes, signed by all. copy to employee and to performance management file.
What is Step 3 of Performance Management Process?
What is included in the plan? (x 9 points)
(scroll)
PERFORMACE IMPROVEMENT PLAN
Include following:
- Performance to be improved.
- Minimum acceptable standard of performance with ref. to competencies, pos. description, code, etc…
- Remedial steps to be taken.
- Support /resources required.
- Timelines for feedback and support to be provided, and for achievement.
- Review periods and progress meeting dates.
- Start date for PIP
- Consequences if performance standards not met.
- Signature of all parties and date.
Once the PIP has been implemented - what is expected of manager/supervisor.? x4
- ensure agreed assistance provided.
- Diary meetings, notes of meetings.
- system in place to monitor performance
- PIP specific to the behaviours / poor performance raised - if new matters arise, another performance meeting and pip revised.
What is Step 4 of Performance Management Process?
What has to happen if PIP is completed? x3
Completion of the PIP
- After PIP implemented and completed, if reached required standards, informed of such.
- PIP ended and end-date recorded and letter confirming this to employee.
- Copy and letters on their file
Disciplinary Process for Non-performance of PIP - who must become involved at this point?
EPM - Employment Practice Manager
Disciplinary Policy - What are the two key things to note about the reason for the policy?
- process used to determine whether alleged breaches of Code and/or Policies are substantiated, if so - what appropriate outcome is,
- Underpinned by employment principles of good faith.
Good faith - what does this mean everyone in the police must do re the ‘disciplinary policy’? x4
(general comment x1
must do’s x3)
Breaches of Code dealt with fairly and in good faith with a view to improving conduct.
- Engage openly, honestly and respectfully
- Be responsive and communicative
- Be active and constructive in maintaining a productive employment relationship
Re. ‘Good faith’, what are 10 things NZ Police are expected to do as an employer? (in reas. order - SCROLL)
(specifically for the disciplinary process)
- FAIR: Conduct disciplinary processes fairly and responsibly
- PRIVACY: Ensure privacy of police employees and confidentiality maintained
- GOOD REASON: Undertake employment investigation only when good reason to
- COMMENCE: Notify employees when employment investigation is commenced
- REPRESENTATION: Advise of right to take advice/be represented
- PROVIDE DETAILS: Provide details of specific allegations so they can respond
- RESPOND: Allow reasonable opportunity to respond
- EXPLANATION: Consider their explanation in unbiased manner
- OUTCOME: Notify employee of outcome of police investigation
- PROPORTIONATE: Ensure outcomes are proportionate to nature and seriousness of conduct
What are the steps in the Disciplinary Process? x 9
starts from “Initial Assessment” and goes right to the end.
- Initial Assessment: whether requires further investigation
- Categorisation: If legit concerns, determine Criminal or code breach
- Criminal and Employment investigations: If criminal, then how/when to commence Employment Inv.
- Restricted duties, Suspension, Stand down: risk assessed for all scenarios
- Drafting Allegations - incl. full disclosure
- Investigation initial steps: appointing correct investigator
- Investigation and Inv. Meeting: with employee and support - obtain their version
- Decision: Misconduct, what type, what sanction, advise employee, invite to comment, then final decision.
- Outcomes: Warning, Final Warning, Dismissal.
What happens in the Initial Assessment of a disciplinary process, * who assesses and * what do they assess?x2
What are the possible pathways depending on this ‘Initial Assessment’? x3
- Manager to assess with support from HR.
- substance, employee version, breach of what?, information available… etc.
If assessed as:
- No conduct/performance concerns… No further action. Notify employee
- Potential Misconduct or Serious Misconduct… Refer to HR to determine next investigation steps. If criminal aspect, work with PPC: Police Professional Conduct.
- Performance issue… Manager to manage, help from HR
CATEGORISATION of Disciplinary process:
- Who categorises?
- What categories can breaches fall into?
- What are the 3 roles of those categorising?
- Manager and HR rep
- Performance, Breach of Code of Conduct, Criminal
- Review and consider situation and alleged behaviour
- Investigation, or straight to disciplinary meeting (ie. no investigation needed: excess data use)
- Clear allegations drafted
What are the possible outcomes of a ‘complaint’ after investigation? x4
Which of these can run congruently?
- No further action
- Performance Management
- Employment Investigation
- Criminal Investigation
3 and 4 can run congruently
Empl. Inv.
If the outcome is an employment investigation, what 2 things should you consider first? x2
- EMPLOYEE: Is restricted duties, stand down or suspension appropriate?
- INVESTIGATOR: Who should be the investigator of the empl. inv.
Criminal and Employment Investigations.
When running congruently, when can the EI commence?
When aspects of the EI don’t raise issues of self-incrimination - then it can proceed congruently.
What does it mean by “request to hold employment investigation in abeyance”?
Who should be notified if it is held in abeyance? (high up)
Means that Employment Investigation can be suspended or stopped in case it prejudices the defence case in the criminal proceedings.
National Manager: Police Professional Conduct (PPC)
National Employee Relations Manager - NERM
When criminal process is completed, then what can happen with Employment Investigation held in abeyance?
What happens if the Employment Investigation is not held in abeyance? Can it be revisited after the criminal case is finished?
Regardless of result of Criminal, EI can be undertaken to determine whether there is a breach of code regarding the same incident .
If EI not held in abeyance and is concluded before criminal process finished, it CAN’T be revisited, regardless of outcome of criminal case.
Empl. Inv.
What are the risks that are alleviated when an employee is on Restricted duties, Suspension or Stand down? x4
- H&S: risk to health and safety of employee/others
- INTERFERE INV: risk employee interferes with inv.
- INTERFERE OPS: risk employee interfere with police operation or routines
- PREJUDICE: nature or gravity of conduct may prejudice public interest or damage reputation of police
Empl. Inv.
What are the options open re. “duties” of employee when investigation is begun. (x4 options)
What must happen before a decision on options is made?
- Employee remains in current position under supervision.
- Move employee to restricted duties
- Suspend from duty
- Temp stand down while assessment of situation made.
Discuss with employee before making decision
Empl. Inv.
Suspension of employee will be on full pay unless…x2?
- On leave without pay at time of suspension
2. Employee refuses to engage with investigation or obstructs investigation process…
Empl. Inv.
What must happen when employee is on restricted duties or suspension (during the course of investigation)…
ie. What do they have to do/can’t they do? x6
- UNIFORM: May require handing in ID and uniform.
- EOI, NAV: Not apply for promotion or vacancy
- TRAINING: Training on hold
- TERTIARY: Not eligible for tertiary study assistance
- SECONDARY: Approvals for secondary reviewed… NOT allowed to do secondary during police work hours.
- MEETINGS: They remain police employee and must be available for meetings.
Empl. Inv.
Who can make the decision to suspend an employee?
Only those with Delegated Statutory Authority…
Empl. Inv.
When drafting allegations in a Performance Investigation, why is it so important for allegations to be clear? x8
- Investigation starts with correct focus
- Allegations reflect police’s concerns, ie. “doesn’t align with values, policies, code…”
- Right to know what is alleged.
- Relevant facts considered
- Helps ID appropriate course of action
- Investigator retains knowledge of what’s already been put to employee.
- No need to re-introduce allegations
- Minimise risk that disciplinary outcome considered unfair/unjustified.