STAFF MANAGEMENT 1: Disciplinary process guidelines

Question 1

Disciplinary process guidelines.

Summary of Disciplinary Process: Disciplinary process guidelines should be used in conjunction with advice obtained from whom? (3)

Answer 1

1. District/Service Centre
2. Human Resources (HR)
3. Employment Relations (ER).

Question 2

Disciplinary process guidelines.

Summary of Disciplinary Process: What obligations do managers have in the Disciplinary Process? (3)

Answer 2

Ensure matters are dealt with:

1. Appropriately.
2. In a timely manner.
3. Respecting the need for confidentiality.

Question 3

Disciplinary process guidelines.

Summary of Disciplinary Process. What are the 9 steps for the Disciplinary Process Guidelines?

Answer 3

1. Initial Assessment.
2. Categorisation - HR, Professional Conduct team.
3. Criminal and Employment investigations (how/when).
4. Restricted duties, suspension, stand down.
5. Drafting Allegations - disclosure.
6. Investigation -I nitial steps.
7. Investigation and Investigation meeting.
8. Making decision.
9. Outcomes. (warning/final warning/dismissal)

Question 4

Disciplinary process guidelines.

Summary of Disciplinary Process: In the Initial Assessment, if an issue is raised about a breach of CoC who should undertake the assessment as to whether it requires further investigation?

Answer 4

An appropriate manager with guidance from HR.

Question 5

Disciplinary process guidelines.

Summary of Disciplinary Process. If established that we do have concerns the matter is referred to whom for categorisation?

Answer 5

Appropriate manager HR rep Professional Conduct team member.

Question 6

Disciplinary process guidelines.

Summary of Disciplinary Process: Why should the Professional Conduct team member be involved in categorisation?

Answer 6

To assess potential criminal offending, OR If the allegation has resulted from a complaint against Police.

Question 7

Disciplinary process guidelines.

Summary of Disciplinary Process. If the matter is categorised as requiring a criminal investigation, what do we need to consider?

Answer 7

How and when to commence the employment investigation.

NB: Seek advice from ER when this happens.

Question 8

Disciplinary process guidelines.

Summary of Disciplinary Process: When should restricted duties, suspension and stand down be considered? (2)

Answer 8

1. Where there is a risk in allowing the employee undertake their current duties
2. Where it is necessary and appropriate to remove the employee under investigation from the workplace.

Question 9

Disciplinary process guidelines.

Summary of Disciplinary Process. Whose advice must we seek prior to Restricted Duties, Suspension or Stand Down?

Answer 9

HR

Question 10

Disciplinary process guidelines.

Summary of Disciplinary Process. When drafting allegations, as part of our good faith obligations, what must be disclosed to the employee?

Answer 10

Notification of employment concerns or allegations. This should include full disclosure of information that you have about the allegations.

Question 11

Disciplinary process guidelines.

Summary of Disciplinary Process. Who may be appointed in an employment investigation?

Answer 11

Appropriate investigator i.e. the employees Manager or for more serious or complex matters another investigator

Question 12

Disciplinary process guidelines.

Summary of Disciplinary Process: In the initial steps of the investigation the appointed investigator should ensure the investigation is?

Answer 12

Scoped and planned ensuring the allegations are addressed.

Question 13

Disciplinary process guidelines.

Summary of Disciplinary Process. The purpose of an employment investigation is to establish what? (2)

Answer 13

1. What conduct has occurred AND
2. Whether the conduct is misconduct and the seriousness of it.

Question 14

Disciplinary process guidelines.

Summary of Disciplinary Process: Once the investigation is completed, the employee needs to be informed of the preliminary decision. What needs to occur BEFORE a final decision on the outcome is made? (2)

Answer 14

1. The employee must have the opportunity to comment either in person and/or in writing.
2. Any comments or submissions need to be considered.

Question 15

Disciplinary process guidelines.

Summary of Disciplinary Process: If misconduct is established, what are the two main outcomes available for consideration by the decision maker depending on the circumstances and conclusions reached as part of any employment investigation? (3)

Answer 15

1. Warning
2. Final warning
3. Dismissal.

Question 16

Disciplinary process guidelines.

Summary of Disciplinary Process. Any employee aggrieved by any action taken in a disciplinary process may what?

Answer 16

Pursue the matter as an employment relationship problem.

Question 17

Disciplinary process guidelines.

Initial Assessment: In the initial assessment, what are the 5 questions that need to be considered when assessing the information?

Answer 17

1. Is there any substance to it or is more information needed?
2. Is it necessary to speak/notify employee (or others) about the matter to determine what the next appropriate step is?
3. Is the alleged conduct a breach of CoC, policy or employment agreement.
4. What info is available for consideration?
5. What are the appropriate next steps?

Question 18

Disciplinary process guidelines.

Initial Assessment: What are the 3 possible pathways that can come out of the ‘Initial Assessment’?

Answer 18

1. No conduct or performance concerns.
2. Potential misconduct or serious misconduct.
3. Performance issue.

Question 19

Disciplinary process guidelines.

Initial Assessment: If the matter is addressed as No Conduct or Performance Concerns, what then?

Answer 19

No further action.

NB: if the employee concerned has been notified and/or spoken to about the matter, notify them in writing.

Question 20

Disciplinary process guidelines.

Initial Assessment. If the matter is addressed as Potential Misconduct or Serious Misconduct, what then? (2)

Answer 20

1. Matter is referred to HR.
2. HR will determine next steps in initiating an Employment Investigation.

NB: If there is a criminal aspect work with Police Professional Conduct (PPC).

Question 21

Disciplinary process guidelines.

Categorisation: What is the Role of those categorising a potential disciplinary matter? (3)

Answer 21

1. Review all the information and consider the nature of the alleged conduct.
2. Determine if an investigation is needed? (may be ready to go straight to disciplinary meeting)
3. Detail clear allegations and specify how the alleged behaviour does not align with our CoC, policies and values.

Question 22

Disciplinary process guidelines.

Categorisation: When ‘categorising’ a disciplinary matter, what 4 types of matters are considered? (4)

Answer 22

1. Internally identified matters
2. Complaints we have concerns about.
3. Notifiable incidents under S13
4. Significant traffic matters.

Question 23

Disciplinary process guidelines.

Categorisation: Under the ‘categorisation’ process what matters are not considered? (2)

Answer 23

1. Poor performance.
2. One off low level misconduct or mistakes that can be dealt with by the manager.

Question 24

Disciplinary process guidelines.

Categorisation: What are the 4 possible outcomes of the ‘categorisation’ part of the process?

Answer 24

1. No further action.
2. Performance Management.
3. Employment Investigation.
4. Criminal Investigation.

Question 25

**Disciplinary process guidelines.** Criminal and Employment Investigations: If the matter is a criminal investigation and misconduct is also identified, what must occur?

Answer 25

An employment investigation must be commenced with a separate investigator to the criminal investigation.

Question 26

**Disciplinary process guidelines.** Criminal and Employment Investigations: When can you proceed with the employment investigation?

Answer 26

**Aspects** of the **employment investigation** which **do not raise** issues of **self-incrimination** may proceed where possible.

Question 27

**Disciplinary process guidelines.** Restricted Duties/Suspension/Stand-down: It may be appropriate to place a employee under investigation on restricted duties, suspension or stand-down to mitigate potential risks. What are those risks? (4)

Answer 27

1. Risks to the health and safety of employee and others. 2. Risk the employee will interfere with investigation. 3. Risk the employee will interfere with police operations or police routines. 4. The nature and gravity of the alleged conduct will prejudice the public interest or damage police reputation.

Question 28

**Disciplinary process guidelines.** Drafting Allegations: When drafting allegations, it is critical to clearly outline what to the employee? (3)

Answer 28

1. Fully inform them of the your concerns about their conduct. 2. Explain why, if true, Police would consider their conduct unacceptable. 3. Enable them to properly respond to the allegation.

Question 29

Disciplinary process guidelines. Investigation Initial Steps. In an employment investigation, who should be the investigator? (4)

Answer 29

Someone objective and not involved in the matter. In many cases, it will be appropriate for the employee's manager to be the investigator. For a more serious matter or one of a sexual nature, a more senior manager may be more appropriate. In exceptional circumstances, an external investigator may be appropriate.

Question 30

**Disciplinary process guidelines.** The Investigation: What is the difference between an employment Investigation (4) and a criminal Investigation (4) when it comes to: participation by employee; disclosure to employee; time to consider before commenting; and standard of proof test?

Answer 30

**Employment Investigation:** 1. Expectation on both parties to participate in good faith 2. Relevant info to be disclosed 3. Employee given time to consider disclosure before commenting 4. Balance of probability **Criminal Investigation:** 1. No requirement to participate in good faith 2. Investigative 3. Don't necessarily disclose info AND don't need to give them time to consider it. 4. Beyond reasonable doubt are requires evidential sufficiency.

Question 31

**Disciplinary process guidelines.** Investigation meeting: What is the purpose of an investigation meeting? (2)

Answer 31

To hear the employee's views/ explanation re the situation or conduct. To seek clarity/ explore any aspect of the situation that is not clear.

Question 32

**Disciplinary process guidelines.** Investigation meeting. Before you commence an investigation meeting with the employee, what (6) steps do need to ensure has occurred first?

Answer 32

1. Has sufficient notice of the meeting. 2. Is aware of the allegations/ concerns. 3. Has received copies of relevant information to be relied upon. 4. Has had an opportunity to bring along a rep or support person. 5. If they have a rep/ support - then any communication should be via them. 6. Ensure an appropriate location/room is booked.

Question 33

**Disciplinary process guidelines.** Investigation meeting: During a meeting with an employee, what 6 things should you ensure takes place?

Answer 33

1. Confirm employee is aware of allegations and concerns. 2. If meeting is to be digitally recorded, ensure everyone is aware and they consent to it. 3. Take breaks (stressful) 4. Be honest and upfront with employee 5. Ask open ended questions 6. Check what other enquiries the employee thinks needs to be made.

Question 34

**Disciplinary process guidelines.** Investigation meeting. After the meeting with an employee, what 3 things should you do?

Answer 34

1. Review documentation to ensure you have captured everything discussed. 2. Verify your meeting notes with the person interviewed. 3. If you gather any new information or evidence, be sure to give the employee a copy and the opportunity to comment on it.

Question 35

**Disciplinary process guidelines.** Investigation meeting: What should the investigation report be? (3)

Answer 35

1. Concise 2. Clear 3. Completed in a timely manner.

Question 36

**Disciplinary process guidelines.** Making the Decision. Who can make the decision to: Give Disciplinary Warning Dismissal?

Answer 36

**Warning:** DC or NM and above (may delegate to Inspector or equivalent.) **Dismissal:** DC or GM: Training, NM Comms, Assist Commissioner and above (all in consultation with respective manager & HR)

Question 37

**Disciplinary process guidelines.** Outcomes: What are the 2 levels of warnings and when could they be appropriate to use?

Answer 37

1. Warning: generally for misconduct 2. Final Warning: generally for serious misconduct or where previous warnings have been issued. (one step away from dismissal)

Question 38

**Disciplinary process guidelines.** Outcomes: Where dismissal is the appropriate option, it is because the employee's conduct is such that Police no longer have trust and confidence in that employee, what are examples of when this might occur? (3)

Answer 38

1. Further misconduct occurs whilst on a final warning. 2. Serious misconduct warranting dismissal. 3. Repeated performance issues which have not been remedied through the performance management process.

Question 39

**Disciplinary process guidelines.** Outcomes: If the decision is made to dismiss, in most cases a dismissal notice will be provided however in the most serious cases a summary dismissal may be appropriate. What is a summary dismissal?

Answer 39

The employee will not be required to work out their notice period.