Disciplinary Policy & Process Flashcards
What must Police, employees and their representatives do in ‘Good Faith’ when engaging with each other? (3)
Clue: OHR,RC,AC
- engage openly honestly and respectfully
- responsive and communicative
- active and constructive (maintaining relationship)
How must police conduct a disciplinary process? (10)
Clue: fair, reason, notify, details, advise,reponse, consider, notify, outcomes, ensure
- fairly and reasonably
- only when good reason to
- notify employee(s)-unless exceptional circumstances
- Provide details of specific allegations
- advise rights
- reasonable opportunity to respond
- consider explanation
- notify of outcome
- outcomes are proportionate
- ensure privacy
If undergoing an employment diciplinary process, when should an employee be put on restricted duties, suspended or stood down? (2)
- There is risk in allowing them to continue current duties
- necessary and appropriate to remove employee
(seek HR adivce before doing this)
What are the nine steps for the ‘Disciplinary Process Guidelines?’ (9)
Clue: IA,C,C&EI,RD,DA,IS,I&IM,D,O
- Initial Assessment
- Categorisation -HR, Professional Conduct team
- Criminal & Employment investigations (how/when)
- Ristricted duties, suspension, stand down
- Drafting Allegations -disclosure
- Investigation-Initial steps
- Investigation & Investigation meeting
- Making decision
- Outcomes
What are the five considerations when doing an initial assessment for a potenital disciplinary matter? (5)
Clue: S,S,B,IC,NS
- Any substance/need more infomation
- Speak/notify employee? (or others)
- Breach? (CoC, policy, employment agreement)
- What info available for consideration?
- appropriate next steps?
What are the three possible pathways to come out of the ‘Initial Assessment?’
- No conduct or performance concerns
- Potential misconduct/serious misconduct
- Performance issue
What is the role of those catagorising a potential disciplinary matter? (3)
Clue: review, determined, detail
- Review all information
- Determined if investigation needed (may be ready to go straight to disciplinary meeting)
- Detail clear allegations
When ‘Categorising’ a disciplinary matter, what four types of matters are considered?
Clue: #1. Internally Identified,C,I,TM
Internally identified
Complaints causing concern
IPCA s.13 (Notificable incidents)
Significant traffic matters
Disciplinary Process
What are the four possible outcomes of the ‘Categorisation’ part of the process?
Clue: N,PM,EI,CI
- No further action
- Performance Management
- Employment Invesitgation
- Criminal Investigation
Discipline Process
When a matter leads to both an employment Investigation and a criminal investigation, when can the employment investigation begin?
Aspects of the employment investigation which do not raise issues of ‘self-incrimination’ may proceed where possible.
Disciplinary Process
What four risks need to be considered when considering to impose restricted duties or suspend or stand down an employee during an investigation?
Clue: H,I,I,G
- Health & safety risk (self/others)
- Interfer with Investigation risk
- Interfer with normal police operations/police routine
- gravity of alledged conduct (Public Interest)
What is the difference between an employment Investigation and a criminal Investigation when it comes to:
- participation by employee
- disclosure to employee
- time to consider before commenting
- what standard of proof test?
Employment Investigation:
- expectation to participate in good faith
- relevant info to be disclosed
- allow time before commenting
- balance of probability
Criminal Investigation
- no requirement to participate
- don’t necessarily disclose info
- dont need to give time to comment
- beyond resonable doubt
Before an investigation meeting with an employee, what six things should you ensure have occurred?
Clue: N,A,C,R, R, BR
- sufficient notice
- aware of allegations & concerns
- copies of relevant info
- representation/support
- If has Rep, communicate via them
- Book room
Disciplinary Process
Making the decision: After an investigation, who can make the decision to:
- Give Disciplinary Warning
- Dismissal
Warning:
DC or NM (may delegate to Inspector or equivalent.)
Dismissal:
DC or GM: Training, NM Comms, Assist Commissioner or above
(all in consultation with respective manager & HR)
Drafting Allegations: Clearly outlining the allegation to the emnployee is critical to: … (3)
Clue: inform…, explain…, allow…
- fully inform them of concerns about their conduct
- explain why, if true, police would consider conduct unexceptable
- allow them to properly respond to allegation
What are the seven point to factor when considering who should be the investigator of a disciplary matter?
Clue: O, M, S, S, E, D, S
- Someone objective…not involved. (Conflicts?)
- employee’s manager in most situations
- serious/sexual nature, more senior manager
- specific skills or knowledge needed?
- External investigator where additional independance needed
- DC or NM can decide with advice from HR
- Criminal investigation needs separate investigator
During a meeting with an employee, what six things should you ensure about the employee?
Clue: A, DR, B, HU, Q, E
- Confirm aware of allegations & concerns
- digitally record, everone aware
- Take breaks (stressfull)
- Be honest and upfront
- Open ended questions
- What other enquiries?
What are the two levels of warnings and when could they be appropriate to use?
- Warning: generally for misconduct
- Final Warning: generally for serious misconduct or where previous warnings have been issued
(one step away from dismissal)
When considering dismissalas an option, what examples may indicate that police no longer have trust & confidence in the employee? (3)
Clue MFW, SM, PI
- misconduct when on final warning
- serious misconduct warranting dismissal
- repeat performance issues after performance process
