Performance Management & Disciplinary Policy/Process

Question 1

What is performance management? And what is it not?

Answer 1

Seeking improvement through dialogue and providing support to enable the employee to perform satisfactorily.

It is not a disciplinary process.

Question 2

Step one of performance management is the informal discussion. What is the objective of this?

Answer 2

Encourage dialogue and try identify if there are underlying causes contributing to performance issues.

Question 3

How should the informal meeting be done? (7 steps)

Answer 3

1. Talk in private - two way discussion, support person welcome, aim is to point out shortcomings in performance (use practical examples where possible)
2. Listen to the employee
3. Take care informal action doesn’t become a formal disciplinary process
4. Reach agreement on way forward
5. Send a letter recording discussion
6. Arrange a follow up meeting time to assess progress
7. Consider welfare referral if appropriate

Question 4

What do you do if the performance issue isn’t resolved satisfactorily after the informal discussion?

Answer 4

Discuss with HR Advisory whether a more formal performance meeting is appropriate

Question 5

What are the 4 steps involved in Performance Management?

Answer 5

1. Informal meeting
2. Performance meeting
3. PIP
4. PIP completion

Question 6

When do you go from informal discussion to performance meeting?

Answer 6

When employee’s performance has not improved despite informal discussion.

Question 7

Does a PIP necessarily follow the performance meeting?

Answer 7

No. Every issue should be considered on its facts.

Question 8

There are three parts to the performance meeting that you need to prepare for - what are they?

Answer 8

Before, during and after the meeting

Question 9

Part one of the performance meeting is what you need to do before the meeting - list the 6 steps.

Answer 9

1. ID minimum standard of performance and how employee has fallen short of that standard
2. Send letter of invite
3. Set up performance management file
4. Discuss with HR Advisory and consider possible options to remedy issues
5. Draw up checklist of discussion points
6. If further org support required, get names of contact persons

Question 10

The performance meeting is broken down in to 5 parts (what happens during the meeting). List those 5 parts and summarise their definitions.

Answer 10

1. Introduction - Open by explaining reasons for meeting and setting agenda - give agenda (no predetermined conclusions) to employee.
2. Provide information - Outline min standard and where performance has dipped below that standard. Provide examples and relevant documentation
3. Opportunity to respond - Give genuine opportunity to respond. Clarify issues raised. Adjourn meeting if necessary
4. Problem solving - Explain process and what happens next. If PIP necessary, go through PIP form. Inform employee they will receive support and if PIP req. & min standard not met, may be a treated as misconduct issue
5. Record keeping - Record discussion in notes and make sure they’re signed by both parties

Question 11

What should you do after the performance meeting if no PIP in place?

Answer 11

Monitor and if no improvement after reasonable period, a further meeting required to put PIP in place

Question 12

Once a PIP is implemented, what do you need to do? (4 points)

Answer 12

1. Ensure all agreed assistance is provided
2. Diary meetings at interval agreed - keep notes of these meetings and be prepared to revise PIP by agreement
3. Put a system in place to monitor progress and provide ongoing feedback
4. PIP is specific to identified behaviours. If new issues arise, another performance meeting should be scheduled

Question 13

If an employee has reached the required standard following a PIP, what might you do?

Answer 13

Monitor performance informally and explore options for ongoing training or additional support

Question 14

What happens if the employee does not meet the standard at the conclusion of the PIP?

Answer 14

PIP may need revision, or a disciplinary meeting scheduled. In the latter case, you MUST involve HR Advisory or you local employment resolutions team.

Question 15

A new disciplinary process is being piloted that adopts a preventative and educational focus. What does it aim to embed?

Answer 15

• A trusted process that supports employee’s wellness and safety
• An approach that is fair, consistent, responsive, transparent & aligns with good faith obligations

Question 16

The key things to note about the disciplinary policy are that the process is what?

Answer 16

• Used to determine whether breaches of the CoC or policies substantiated, and appropriate outcome
• Underpinned by good faith

Question 17

What is the purpose of the disciplinary policy?

Answer 17

To ensure breaches of the CoC are managed and dealt with fairly and in good faith

Question 18

Why must Police ensure it’s disciplinary process enables it to meet obligations of good faith?

Answer 18

To comply with legal obligations under ERA 2000

Question 19

What does ‘good faith’ mean?

Answer 19

Police and employees (& representatives):

• engage openly, honestly, respectfully
• responsive & communicative
• Active & constructive in maintaining productive employment relationship

Question 20

Regarding disciplinary matters, what are managers’ obligations?

Answer 20

To ensure disciplinary matters are dealt with appropriately, timely manner, confidentially, in good faith.

Question 21

There are nine key elements of the disciplinary process… (quite a few!). List… them?

Answer 21

1. Initial assessment
2. Categorisation
3. Criminal employment investigations
4. Restricted duties, suspension and stand down
5. Drafting allegations
6. Investigation - initial steps
7. Investigation & Investigation meeting
8. Decision
9. Outcomes

Question 22

What is the purpose of the initial assessment?

Answer 22

To identify if there is an issue that Police needs to address or investigate

Question 23

If, after initial assessment potential misconduct or serious misconduct is identified, what happens next?

Answer 23

The matter is referred to HR who will determine next steps in employment investigation. (If there’s a criminal element, they will work with PPC).

Question 24

Who is responsible for categorising a disciplinary matter?

Answer 24

Generally the manger and HR representative. If particularly serious, ER may be included for guidance and PPC if potentially criminal.

Question 25

What types of matters are considered for categorisation? (4 points)

Answer 25

1. Internally identified that may involve breach of CoC
2. Complaints Police have concerns about
3. Notifiable incidents under s13 of IPCA
4. Significant traffic matters

Question 26

What is not considered for categorisation in the disciplinary process?

Answer 26

1. Poor performance

2. One off, low level misconduct or mistakes that manager can deal with

Question 27

What are the five possible outcomes of the categorisation?

Answer 27

1. No further action
2. Performance management
3. Employment investigation
4. Criminal investigation
5. Dual investigation

Question 28

If the outcome of the categorisation is an employment investigation, what should be considered?

Answer 28

• Nature of continued employment - restricted duties, stand down, suspension?
• Who should be the investigator?
  (advice must be sought from HR before decision of restricted duties or suspension - and approval required from District Commander/ Director level)

Question 29

What risks might you consider in determining if restricted duties, suspension or stand down may be appropriate?

Answer 29

• Health & safety of employee & others
• Interference with investigation
• Interference with Police operations or routines
• Nature and gravity of alleged conduct that may prejudice public interest or damage Police reputation

Question 30

Why is it critical to outline the allegation to the employee?

Answer 30

• Fully inform them
• Explain why, if true, Police consider conduct unacceptable
• Enable employee to properly respond

Question 31

What is the purpose of an investigation - initial steps?

Answer 31

Establish and consider the facts of what happened and assess whether actions were in breach of CoC, policies or agreements & Our Values

Question 32

If the matter is subject to criminal investigation, does there need to be a separate investigator?

Answer 32

Yes

Question 33

Who can determine who is best to investigate a matter?

Answer 33

District Commander or National Manager with advice from HR

Question 34

When might an external investigator be appropriate?

Answer 34

Normally in exceptional cases, or where matter is complex or sensitive

Question 35

In a criminal investigation, is there the requirement to operate in good faith?

Answer 35

No. Don’t necessarily disclose information and don’t need to give time to consider it.

Question 36

What is the level of proof required in an employment investigation?

Answer 36

Balance of probability.

Question 37

What is the purpose of the investigation meeting?

Answer 37

To hear from the employee and seek clarity on matters not clear

Question 38

What must you ensure the employee has prior to the meeting?

Answer 38

• Sufficient notice of the meeting
• Aware of allegations and concerns
• Received copies of information being relied upon
• Opportunity to bring along a representative

Question 39

Can you covertly record meetings?

Answer 39

NO. If you want to digitally record the conversation, everyone needs to be aware AND consent

Question 40

After the meeting, what do you need to do? (3 points)

Answer 40

• Review documentation while it’s fresh
• Verify meeting notes with the person interviewed
• If new info identified, another meeting may be required. Anything found as a result needs to be given to the employee and they given opportunity to comment on it (same process as first time)

Question 41

Who makes the decision to give a disciplinary warning, and who makes the decision to dismiss?

Answer 41

Warning: District Commander or Nat Manager & above. MAY be delegated to Inspectors or equiv. level managers (in consultation with their manager & HR)

Dismissal: District Commander; GM: Training; Nat Man: Comms; ACs & above (in consultation with their manager & HR)

Question 42

There are, generally, two main types of disciplinary outcomes - what are they?

Answer 42

1. Warning/Final warning

2. Dismissal

Question 43

While there are two levels of warning, can a ‘final warning’ be delivered as a first response?

Answer 43

Yes

Question 44

Dismissal is appropriate when you assess Police can have no trust or confidence in the employee. What are some examples?

Answer 44

• Further relevant misconduct occurs when on final warning
• Serious misconduct found after investigation
• Repeated performance issues not remedied through performance management process, which led to disciplinary process

Question 45

What do you need to give due consideration to prior to any decision to dismiss?

Answer 45

Alternatives to dismissal