INTRODUCTION TO DISCIPLINE - TRAINING

INTRODUCTION TO DISCIPLINE - TRAINING

FIRE OFFICERS’ ASSOCIATION
Contents: FIRE OFFICERS’ ASSOCIATION Session 1: Discipline - Rules and Procedures Session 2: Statutory dismissal and disciplinary procedures and their impact Session 3: Disciplinary Investigations Session 4: The right to be accompanied Session 5: Investigations in Employment Good Practice Session 6: Workplace Investigations & Interviews Session 7: Grievance Procedures Session 8: Discipline - Supporting Legislation Session 9: Employment Tribunals and Unfair Dismissal Session 10: Interviewing Skills INTRODUCTION

Discipline - Rules and Procedures
SESSION 1 DISCIPLINE FIRE OFFICERS’ ASSOCIATION Discipline - Rules and Procedures Training for Representatives INTRODUCTION

DISCIPLINE FIRE OFFICERS’ ASSOCIATION What the dictionary says…
SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION DISCIPLINE What the dictionary says… Training Instruction Correction Improvement Punishment INTRODUCTION

FIRE OFFICERS’ ASSOCIATION Discipline at work
SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Discipline at work The objective of a discipline policy should be to help and encourage all employees in achieving and maintaining expected standards of conduct, attendance and job performance. The aim of a discipline policy should be to ensure consistent and fair treatment of all employees. INTRODUCTION

The ideal discipline framework consists of rules and procedures
SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION The ideal discipline framework consists of rules and procedures Rules should set standards should set boundaries INTRODUCTION Procedures should ensure fairness and consistency

Rules and Procedures FIRE OFFICERS’ ASSOCIATION Why have them?
SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Rules and Procedures Why have them? The employers expectations are clear The employers standards are clear Employees know what will happen if a transgression occurs They ensure fairness and consistency They have legal implications INTRODUCTION

What should rules cover?
SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION What should rules cover? Examples: timekeeping holidays sickness absence other absence health and safety use of work facilities use of IT and internet bullying harassment discrimination INTRODUCTION

There may be separate procedures for:
SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION What should rules cover? There may be separate procedures for: misconduct unsatisfactory performance bullying and harassment absence equal opportunities INTRODUCTION

End of Session 1 INTRODUCTION Return to Contents: Go to Session 2

Statutory dismissal and disciplinary procedures and their impact
SESSION 2: DISCIPLINE Session 2 Statutory dismissal and disciplinary procedures and their impact INTRODUCTION

Standard dismissal and disciplinary procedure
SESSION 2: DISCIPLINE Standard dismissal and disciplinary procedure Step 1 written statement / letter Step 2 meeting decision Step 3 right of appeal INTRODUCTION

Statutory dismissal procedure
SESSION 2: DISCIPLINE Statutory dismissal procedure Applies to dismissal or action short of dismissal Will include individual redundancies, expiry of a fixed term contract, dismissal on grounds of ill-health or retirement. Failure to follow procedure can render a dismissal automatically unfair. Employment Tribunals have powers to increase any awards for unfair dismissal by between 10% and 50% where procedures are not followed. INTRODUCTION Will not be implied into employment contracts.

Step 1 - Written statement / letter
SESSION 2: DISCIPLINE Step 1 - Written statement / letter details of allegation copy to employee invitation to meet right to be accompanied INTRODUCTION

Step 2 - Meeting and Decision
SESSION 2: DISCIPLINE Step 2 - Meeting and Decision timing and location must be reasonable right to be accompanied decision right of appeal INTRODUCTION

Step 3 - Right of Appeal employee notifies employer further meeting
SESSION 2: DISCIPLINE Step 3 - Right of Appeal employee notifies employer further meeting right to be accompanied more senior/different manager final decision INTRODUCTION

Gross Misconduct - Examples
SESSION 2: DISCIPLINE Gross Misconduct - Examples Fighting or physical assault Falsification of attendance records Serious incapability through misuse of alcohol or drugs Serious breach of health and safety rules Harassment, victimisation, bullying or discrimination Bringing the fire authority into disrepute INTRODUCTION

Gross Misconduct - Guidelines
SESSION 2: DISCIPLINE Gross Misconduct - Guidelines Serious matters Suspension Need to investigate remains Dismissal without notice/pay in lieu of notice Statutory dismissal and disciplinary procedures apply INTRODUCTION

NATURAL JUSTICE The key principles of natural justice: INTRODUCTION
SESSION 2: DISCIPLINE NATURAL JUSTICE The key principles of natural justice: The employer should acknowledge the right of the employee to know the allegation against him or her. The employer should allow the employee to express their view/give an explanation. The employer should treat the employee fairly and in good faith. INTRODUCTION

CORE PRINCIPLES OF REASONABLE BEHAVIOUR
SESSION 2: DISCIPLINE CORE PRINCIPLES OF REASONABLE BEHAVIOUR The employer should seek to improve not punish The employer should inform, explain and listen The employer should allow the accused the right to be accompanied The employer should establish facts The employer should never dismiss for first offence-except gross misconduct The employer should give a written decision with explanation The employer should acknowledge the right of the employee to be treated fairly and in good faith INTRODUCTION

Session 3 Disciplinary Investigations INTRODUCTION
SESSION 3: DISCIPLINE Session 3 Disciplinary Investigations INTRODUCTION

Disciplinary Stages Investigation Informal action Formal warnings
SESSION 3: DISCIPLINE Disciplinary Stages Investigation Informal action Formal warnings Dismissal Appeals INTRODUCTION

The Investigation Should:
SESSION 3: DISCIPLINE The Investigation Should: Proceed promptly Be objective The employee should be interviewed Witnesses should be interviewed The facts should be established and documented Records should be kept Suspension may be considered INTRODUCTION

SUSPENSION INTRODUCTION
SESSION 3: DISCIPLINE SUSPENSION An employee may be suspended for the following reasons: To enable investigations to be made where gross misconduct is suspected Pending criminal investigations or prosecutions Where specific circumstances dictate it would be appropriate INTRODUCTION NB – Suspension is not a disciplinary sanction

Might be all that was needed
SESSION 3: DISCIPLINE Informal The right word at the right time and in the right way Might be all that was needed INTRODUCTION

Informal INTRODUCTION
SESSION 3: DISCIPLINE Informal Informal action is used to deal with minor issues Matters are usually dealt with the by line manager Prior to meeting the manager is responsible for assessing issues and establishing facts Issues are discussed on a one to one basis Two way dialogue Corrective measure are identified Way forward agreed Employee must be made aware, if necessary, that failure to improve could lead to action being taken under formal procedure The record does not form part of the disciplinary record BUT a record may be kept on personal record file INTRODUCTION If you are acting as a companion, take care that the meeting does not drift into formal action.

Formal disciplinary procedure
SESSION 3: DISCIPLINE Formal disciplinary procedure First formal stage – (first written warning) Second formal stage – (final written warning) Third formal stage – (dismissal or other sanction) Appeals INTRODUCTION

Formal disciplinary procedure
SESSION 3: DISCIPLINE Formal disciplinary procedure The employee should be informed in writing of the allegation The employee should be advised if the allegations could be regarded as gross misconduct The employee has a right to be accompanied The employer should include copies of relevant documents, and include witness statements It should be confirmed to the employee who will be conducting the meeting, and time and place The notice should include a copy of the disciplinary procedure INTRODUCTION

Disciplinary meeting – Procedure prior to the meeting
SESSION 3: DISCIPLINE Disciplinary meeting – Procedure prior to the meeting The employer must notify the employee of the disciplinary meeting Timescales First formal stage – 7 days Second formal stage – 10 days Third formal stage – 21 days Employee must inform manager of witnesses they intend to call – not less than 3 working days before the meeting Each party should ensure their witnesses attend and are notified of the time and place of the meeting INTRODUCTION

Disciplinary meeting INTRODUCTION
SESSION 3: DISCIPLINE Disciplinary meeting The employer should introduce the members of the meeting and explain their roles The employer should explain the purpose of the meeting and how it will be conducted The employer should confirm the allegations being made Investigating officer will put forward Management evidence from investigation including any witnesses The employer will consider the employees response including any witnesses Both parties will sum up their case The may be an adjournment for the facts to be considered The employer should make a decision INTRODUCTION

Informing the decision
SESSION 3: DISCIPLINE Informing the decision The employer’s procedure Past penalties Special circumstances Past record Reasonableness The decision must be based on: ‘a genuine belief on reasonable grounds after reasonable investigation’ INTRODUCTION

Informing the decision
SESSION 3: DISCIPLINE Informing the decision Written records should be kept during the disciplinary process: The allegation against the employee The employee’s defence The findings and action taken Whether an appeal was logged The outcome Any follow-up action INTRODUCTION

Possible courses of action
SESSION 3: DISCIPLINE Possible courses of action The matter is dropped The matter is dealt with it informally at line manager level A disciplinary hearing is to be arranged – as it is deemed by the employer that there is a case to answer The member is notified in writing The member is given a period of warning The rules should be reviewed in the light of this incident Practice and procedure should be reviewed in the light of the incident INTRODUCTION

SESSION 3: DISCIPLINE Records Written records should be kept during the disciplinary process The allegation against the employee The employee’s defence The employers findings and action taken Whether an appeal was logged The outcome Any follow-up action INTRODUCTION

Employees who have had formal disciplinary action taken can appeal:
SESSION 3: DISCIPLINE Appeals Employees who have had formal disciplinary action taken can appeal: In writing No later than seven days from when informed verbally of the decision Must be sent to the employer setting out reasons for the appeal INTRODUCTION

Appeal meeting INTRODUCTION Heard by the Appeal Panel Review
SESSION 3: DISCIPLINE Appeal meeting Heard by the Appeal Panel Review Appeal manager reaches decision based on the documentation and submissions from the original meeting Or re-meeting If there was a defect in the procedure New evidence has come to light There was a dispute about evidence given by one or more witnesses Employee puts case Management puts case Witnesses can be brought by either side Decision INTRODUCTION

An Employee may choose to appeal for any of the following reasons:
SESSION 3: DISCIPLINE Appeals An Employee may choose to appeal for any of the following reasons: There was a defect in the procedure The issue was not proven on the balance of probabilities The disciplinary sanction was too severe New evidence has come to light INTRODUCTION

The right to be accompanied
SESSION 4: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Session 4 The right to be accompanied

Who has the right to be accompanied?
SESSION 4: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Who has the right to be accompanied? “Employees” That is most of the staff who personally provide services but not the genuinely self employed

How does the right apply?
SESSION 4: DISCIPLINE FIRE OFFICERS’ ASSOCIATION How does the right apply? At all formal stages – including investigation Not at informal disciplinary meetings The Companion can be a fellow worker or a trade union official

Role of companion – formal stages
SESSION 4: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Role of companion – formal stages Present the employee’s case Sum up the employee’s case Respond on employee’s behalf to any view expressed at the meeting Confer with the employee Ask witnesses questions

Role of the companion – in investigative meetings
SESSION 4: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Role of the companion – in investigative meetings To ensure that the investigation and or meeting is: Conducted fairly That the employee understands the questions being put They are not there to speak on behalf of the employee Or the witnesses being interviewed

Investigations in Employment
SESSION 5: DISCIPLINE Session 5 Investigations in Employment Good Practice

SESSION 5: DISCIPLINE Burden of Proof All disciplinary meeting decisions will be made on the balance of probabilities This means that the alleged offences are more likely to have occurred than not The test is not one of proving allegations beyond all reasonable doubt

Investigation Reasonable belief
SESSION 5: DISCIPLINE Investigation Reasonable belief It is the employer who must show that misconduct was the reason for dismissal. They must establish a ‘genuine belief on reasonable grounds after reasonable investigation’ that the employee was guilty of misconduct British Home Stores – v – Burchell – 1990 Monie – v – Coral Racing

British Home Stores v Burchill:
SESSION 5: DISCIPLINE British Home Stores v Burchill: For a dismissal to be fair the employer: Must have a reasonable belief that the incident occurred That belief must be on reasonable grounds Those grounds must result from a reasonable investigation of the facts INVESTIGATION CASE STUDIES The following scenarios are all real life employment tribunal cases: Was the dismissal fair or unfair? Why did you come to this conclusion? 1. The employers kept a stall in Smithfield Market at which T had been a meat salesman for 14 years. Concerned about stock losses, they from time to time issued warnings that the staff must follow the procedure whereby tickets were issued on sales. A policeman observing the stall when T was working there saw an irregularity which he reported to the employers. They decided not to confront T that day, in case he should say he had been intending to issue a proper ticket all along, but they checked the stock at the end of the day and found some meat was missing. Next day T was questioned by the police. After the weekend a manager put it to T that he had allowed meat to leave the stall without a ticket (not that he had pocketed the money) and said for that reason the employers had decided to dismiss him. 2. H had worked for the respondents as a service engineer for six years and had a good work record. The employers were told by W that H had thrown a stone at one of their vans while picketing their depot. The disciplinary panel heard evidence from W, and heard H's denial, but preferred W's account. H exercised his right to appeal to another panel, who heard the same evidence again and also the evidence of one McV who supported H's assertion that he had not thrown the stone. The appeal panel upheld the dismissal. 3. W, who had been employed for six years, was 'back door manager' responsible for checking deliveries to the employers' supermarket. A delivery was found to be considerably short of the amount recorded both in the driver's delivery note and in the receipt issued by W. The same driver returned later, and at first said the delivery had been correct, then changed his story. The employers reported the matter to the police and suspended W from duty. There was a disciplinary interview with W's union representatives present. He was dismissed after the other witnesses did not support his story, though the police decided subsequently not to prosecute. 4. A was the manager of the appellant's abattoir. Difficulties arose because A consistently failed to comply with his instructions to buy the bulk of his animals from farmers rather than dealers. He was accordingly dismissed on , this being confirmed by letter dated , in which it was stated that he would get six weeks' salary in lieu of notice plus an ex gratia payment of £6000. By a letter dated the appellants withdrew the offer of six weeks' salary and £6000 ex gratia payment, stating that it had come to light since that A had been guilty of gross misconduct and that he would be treated as summarily dismissed 5. C was employed as manager of one of the appellants' public houses. One of their tanker drivers was found to have been guilty of a sustained course of theft of beer over a long period, and a number of pub managers were discovered to have received the stolen beer. Some confessed - but others, including the respondent, denied the charges. C was summoned to a disciplinary interview with the regional manager at which he was accused of receiving stolen beer on three dates. The principal evidence consisted of breaks or 'jumps' in the tanker meter readings on two of those days, which indicated discharges of beer at his public house, unaccounted for by any authority or receipts. C could not provide any adequate explanation for these 'jumps' and he was summarily dismissed. At an appeal interview under the company's internal disciplinary procedure, C raised a number of new points: that the guilty tanker driver's mileage records had not been checked and that C and he were strangers to each other; C also raised the possibility that the driver had in his case made a genuine mistake, but the decision to dismiss was upheld. Following the rejection of C's appeal, further investigations were made, which disclosed reported 'jumps' on other drivers' lorries, some of which had been explained by mechanical failure but others not. It further emerged that the meter on the guilty driver's tanker had been changed between the two dates when the discrepancies arose in the meter readings of beer discharged at C's pub. Some weeks later a meeting was held at the Lord Daresbury hotel in Warrington between management and union representatives to review all the cases, including C's. All factors relevant at C's appeal hearing were gone through and considered, without resulting in any change in the dismissal decision. 6. Mr. Ramsey and two other colleagues worked at Walkers crisp factory. They were dismissed on the grounds that they had taken part in a 'scam' at the factory involving the unauthorised removal of crisp packets from the production line. The packets were thought to contain sums of money which had been inserted into the packets during a sales promotion. The decision to dismiss was taken largely on the basis of written statements provided anonymously by other workers at the factory. All three men brought claims for unfair dismissal in the Newcastle employment tribunal, alleging that the statements were lacking in detail and that the witnesses had not been questioned 7. Mr. Laker commenced employment with Avon Cosmetics Ltd in February He worked his way through the ranks until in 2000 he was made Head of Support Services, a senior management role at their Northampton site. Despite his promotions he received no management training, although his performance was from time to time praised. His service record was unblemished. In April 2001 complaints were made against him by junior members of staff of what amounted to bullying were made by. An investigation was carried out leading to a disciplinary hearing in June Mr. Laker was then summarily dismissal and his subsequent internal appeal against dismissal failed. 8. Ms Panama was employed by the London Borough of Hackney ("Hackney") as a rehousing manager from In 1994 she obtained part-time work at a firm of solicitors, Bhardwaj & Co. She continued to work for Hackney at the same time subject to an express condition that she would not at any time place herself in a position of conflict with them. In May 1998, however, Hackney received a letter about a housing assessment from Bhardwaj & Co on behalf of a tenant with whom the Council were in dispute. The letter bore Ms Panama's reference and was thought to have been written by her. Ms Panama was suspended by Hackney. Further investigation then indicated that the letter written by Ms Panama for the client might in fact have included fraudulent allegations (she had exaggerated the seriousness of her client's childrens' medical condition). She was summarily dismissed by Hackney before a disciplinary hearing took place

British Leyland UK Ltd – v – Swift - 1981
SESSION 5: DISCIPLINE Investigation Band of reasonable responses Employers often have a range of reasonable responses to the conduct or capability of an employee at their disposal; the range may be from summary dismissal down to informal action. It is inevitable that different employers will choose different options: British Leyland UK Ltd – v – Swift

The Band of Reasonable Responses
SESSION 5: DISCIPLINE The Band of Reasonable Responses Applies as much to the investigation as to the decision to dismiss

Investigation Sex/Race Discrimination/Harassment and Bullying
SESSION 5: DISCIPLINE Investigation Sex/Race Discrimination/Harassment and Bullying An employer can be found to be liable for sex discrimination perpetrated by an employee ‘in the course of his/her employment’ An employer also has a ‘duty to prevent employees suffering discrimination in the workplace in so far as it is in his power to do so’ Intent – v - Action

Investigating the facts
SESSION 5: DISCIPLINE Investigating the facts ACAS code of practice guidance: Investigations should be carried out promptly, while the events are clear in the memory of those concerned Statements should be taken from available witnesses Statements should be recorded for future reference

Witness Statements Should be obtained promptly Include dates and names
SESSION 5: DISCIPLINE Witness Statements Should be obtained promptly Include dates and names Written personally, or taken by someone not involved in influencing the outcome of any disciplinary hearing

Requirements when investigating misconduct
SESSION 5: DISCIPLINE Requirements when investigating misconduct Ensure written records are made by the employer Ensure all parties are informed of all the allegations against them Witnesses interviewed should confirm that the information they give is a true account All parties should be allowed time to prepare for meetings and at formal meetings it should be ensured that the accused know they have the right to be accompanied Conduct of all meetings must be consistent – fair All the facts must be reported

Requirements when investigating performance
SESSION 5: DISCIPLINE Requirements when investigating performance The employer should ask the employee for reasons Is training required? Alternative work? The employer may issue an improvement note Review The employer should not dismiss without warnings If change in job is it redundancy?

What should an improvement note contain?
SESSION 5: DISCIPLINE What should an improvement note contain? Timescale for improvement Review date Support to be given Opportunity to appeal The employee should be informed that an improvement note represents the 1st stage of formal procedure and could lead to a 2nd stage warning or dismissal

Core Principles of Reasonable Behaviour
SESSION 5: DISCIPLINE Remember Core Principles of Reasonable Behaviour Procedures should be used primarily to help and encourage employees to improve rather than just as a way of imposing punishment. The employee must be informed the of the complaint against them, and provide them with an opportunity to state their case before decisions are reached. Employees must be allowed to be accompanied at disciplinary meetings. Ensure that disciplinary action is not taken against the employee until the facts of the case have been established and ensure that the action is reasonable in the circumstances. Continued/…

Core Principles of Reasonable Behaviour - continued
SESSION 5: DISCIPLINE Core Principles of Reasonable Behaviour - continued An employee should not be dismissed for a first disciplinary offence, unless it is a case of gross misconduct. The employee should be given a written explanation for any disciplinary action taken and it should be ensured that they know what improvement is expected. The employee should be given an opportunity to appeal. The employer should deal with issues as thoroughly and as promptly as possible. The employer should act consistently.

Investigating officers – should:
SESSION 5: DISCIPLINE Investigating officers – should: Take witness statements promptly Review standing of potential witnesses Establish facts Decide what records would or would not support the case Establish the standing of the rule in question Ensure facts and circumstances surrounding the case are fair and reasonable Establish that agreed/negotiated performance standards are in place Continue/…

Investigating officers – should (continued)
SESSION 5: DISCIPLINE Investigating officers – should (continued) Review training and development records for individuals and the team Review training given and its appropriateness Review the quantity and quality of supervision/management support Identify unanswered points that could be clarified at a hearing Consider whether it is a medical situation

WORKPLACE INVESTIGATIONS & INTERVIEWS
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Session 6 WORKPLACE INVESTIGATIONS & INTERVIEWS INTRODUCTION

SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Investigation “The purpose of an investigation is to objectively and reliably make a determination of the facts and circumstances of reported or suspected wrongdoing affecting the interests of the organisation”

The many benefits to the employer for conducting an investigation are:
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION The many benefits to the employer for conducting an investigation are: They provide a sound evidential basis for management action Minimises labour relations issues Professionalism/credibility Effectiveness/usefulness of the report Opportunity to improve

The employer’s planning and preparation should include:
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION The employer’s planning and preparation should include: Identifying the investigation’s true purpose Setting out their goals and objectives Identifying potential conflicts Gathering related documents/information Determining/assembling the appropriate team

SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION The employer should managing the investigation correctly and determine: What is the allegation? Who is the alleged offending employee? Are there any issues/requirements? They may consider if the organisation faces a threat? How much time is available or needed to continue?

How they manage the investigation will depend on:
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION How they manage the investigation will depend on: Do they require a third party to handle the case? Do they have an investigator that possesses the necessary training and qualities to conduct the interview? Are there any conflicts of interest?

FIRE OFFICERS’ ASSOCIATION Legal considerations
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Legal considerations The employer must ensure there reasonable grounds for an investigation? The employer must avoid damage to the alleged offending employee’s reputation The employer must contain the investigation through appropriate lines of communication and internal controls The employer must maintain confidentiality The employer must ensure objectivity in the investigation The employer must conduct the investigation to a high standard The employer must ensure a high quality of record keeping The employer must disclose enough information to the employee allowing them the opportunity to respond meaningfully to the allegations

FIRE OFFICERS’ ASSOCIATION Preparedness
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Preparedness The employer will have a plan and prepared strategy The employer will have specific goals and objectives in mind The employer should have reviewed all documents, photocopied relevant documents for working copies. The employer should have preserved the original documents

Principles to remember
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Principles to remember An investigation should be fair The employee has a right of accompaniment The employer should keep detailed notes The investigation should be consistent

SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Integrity Investigators should not participate in the interview if: They have any personal involvement with the employee. i.e., friends, ex-partner, business partner outside of work They have any involvement in the incident

An Interviewer should not:
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION An Interviewer should not: Mislead the employee about the nature of the investigation Mislead the employee about the potential consequences of the investigation Subject the employee to persistent questioning

An Interviewer should :
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION An Interviewer should : Put all relevant documents to the employee Keep all rough notes (data protection means all notes can be viewed by another party) Ask the employee about other similar circumstances Ask the employee about mitigating circumstances such as, provocation, personal/health problems, pre-meditated or spur of the moment, inconsistencies Ask the employee for a further explanation or some evidence to support their story

Representatives should remember
SESSION 6: DISCIPLINE FIRE OFFICERS’ ASSOCIATION Representatives should remember In certain circumstances, failure to comply with a reasonable request to answer questions constitutes insubordination and can be grounds for dismissal

GRIEVANCE PROCEDURES Getting it right
SESSION 7: GRIEVANCES Session 7 GRIEVANCE PROCEDURES Getting it right

Grievance procedures Why?
SESSION 7: GRIEVANCES Grievance procedures Why? To address concerns from employees about their work, working conditions or relationships with colleagues Allows a quick, fair and consistent way of dealing with issues For when informal approach has failed Legal implications

Examples Interpretation or implementation of policy Health and safety
SESSION 7: GRIEVANCES Examples Interpretation or implementation of policy Health and safety Working relationships New working practices Working environment Equal opportunities

The grievance procedure is not intended for use where:
SESSION 7: GRIEVANCES The grievance procedure is not intended for use where: The matter involves a disciplinary issue The matter involves a medical issue The grievance relates to a salary grade The grievance relates to pay The grievance relates to bullying or harassment The matter relates to collective disputes The grievance relates to conditions of service or terms and conditions

Stages - Grievance Procedure
SESSION 7: GRIEVANCES Stages - Grievance Procedure Stage 1 – informal resolution Stage 2 – formal resolution Stage 3 – the appeal meeting Stage 4 – special appeal

Stage 1 – Informal Resolution
SESSION 7: GRIEVANCES Stage 1 – Informal Resolution Employee requests informal meeting with their line manager Meeting arranged Free from interruption Discussion Explain both points of view Identify actions for amicable resolution NB – if resolution is not possible, the employee should be advised that they can activate stage 2 if they are not satisfied

Stage 2 – Formal Resolution
SESSION 7: GRIEVANCES Stage 2 – Formal Resolution The employee must set out their grievances in writing Copies to: The line manager The Single Point of Contact (SPOC) Employee retains a copy Statement should summarise issues and provide a more detailed description of events relating to the grievance Responsibility of the line manager to acknowledge receipt of the grievance and arrange a resolution meeting Right of accompaniment

Prior to the Resolution Meeting
SESSION 7: GRIEVANCES Prior to the Resolution Meeting The line manager will have: Considered the written submission Spoken to other involved parties Any individual identified in a written submission may be required to make a statement On most occasions notes of what evidence that persons offers will suffice Line manager will retain the notes If facts are not clear – this stage of the resolution process can be extended by no more than 7 working days

The Resolution Meeting
SESSION 7: GRIEVANCES The Resolution Meeting Panel may consist of the line manager and a member of personnel/human resources The employee given opportunity to explain their complaint Both sides may discuss how they feel it could be resolved Both sides present evidence Questions The meeting may adjourn if it is not clear how to deal with the grievance or further investigations are required Decision – may be delayed as manager will often need to seek further information/advice

SESSION 7: GRIEVANCES Possible resolutions Facilitative resolution – where both parties agree the issues and the resolution Steps can be taken to ensure the same issues do not arise again Directive resolution – where there is no common ground or agreement between the parties Line manager needs to decide the outcome Set out action required Appeal against resolution within 10 working days of the meeting

SESSION 7: GRIEVANCES Stage 3 – appeal meeting Fire authority determines who hears the appeal Once appeal has been received, SPOC* acknowledges right of appeal Date set within 10 days of receiving notice of appeal Reasonable steps to attend Right of accompaniment *Single Point of Contact Link to FSC 22/2004 SPOC Training

Appeal Panel Consists of:
SESSION 7: GRIEVANCES Appeal Panel Consists of: Line manager of manager who dealt with stage 2 A member of personnel A member of the service improvement team SPOC will take into consideration the involved parties, the issues, availability and expertise/skills when assembling the panel

SESSION 7: GRIEVANCES Appeal Meeting Panel will take into consideration all previously submitted evidence Verbal submissions Not the intention to consider new evidence unless there is compelling reason why this could not be previously submitted Final decision confirmed in writing within 3 working days of the appeal

SESSION 7: GRIEVANCES Records Written records should be kept during the grievance process including: The grievance raised by the employee The Fire Authority’s position The findings of the resolution meeting Whether an appeal was lodged The outcome of the appeal At the conclusion of the process papers may be filed on the individuals PRF and retained for 5 years

SESSION 7: GRIEVANCES Confidentiality All forms, papers and other documents will be treated confidentially Must be accepted that the process of resolving grievances, disclosure may be necessary Failure to maintain reasonable confidentiality may be dealt with under the disciplinary procedure

Overlapping Discipline and Grievance
SESSION 7: GRIEVANCES Overlapping Discipline and Grievance Suspend disciplinary action Deal with grievance Note: Statutory procedures allow for one meeting to satisfy requirements of both the dismissal and discipline procedures and the grievance procedure

Statutory grievance procedure
SESSION 7: GRIEVANCES Statutory grievance procedure Step 1 – write to the employer Step 2 – meeting and decision Step 3 – right of appeal

Modified statutory grievance procedure
SESSION 7: GRIEVANCES Modified statutory grievance procedure Exceptionally, applies where the employment has ended and Employer unaware of grievance or Standard procedures not started/completed Both Parties MUST agree in writing to use modified procedure

Discipline - Supporting Legislation
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION Session 8 Discipline - Supporting Legislation

Human Rights Act and Employment
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION Human Rights Act and Employment Link to full Act Everyone is entitled to a fair and public hearing Within a reasonable time Adequate time and facilities to prepare the defence Independent impartial tribunal established by law The laws must be clear Right to respect for private and family life (Everyone has the right to his private and family life, his home and his correspondence) Freedom of thought, conscience and religion (Freedom to change religion or belief)

FIRE OFFICERS’ ASSOCIATION HRA TEST
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION HRA TEST Freedoms to follow a religion, or belief are subject to: Limitations prescribed by law Necessary to a democratic society Interests of public safety Protection of public order Protection of health Protection of morals Protection of rights and freedom of others

PROHIBITION OF DISCRIMINATION
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PROHIBITION OF DISCRIMINATION Prohibits discrimination on grounds such as: Sex Race Colour Language Religion Political or other opinion National or social origin Association with a national minority Property Birth Other status

PUBLIC INFORMATION DISCLOSURE ACT
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PUBLIC INFORMATION DISCLOSURE ACT Commonly known as: The Whistleblowers Act PIDA Came into force on 2nd July 1999 Link to full Act

SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PIDA – THE REASONS The introduction of the act lies in the scandals and disasters that happened in the 1990’s - Employees had been aware of the situation but had either been too scared to sound the alarm or had raised the matter in the wrong way or with the wrong person.

FIRE OFFICERS’ ASSOCIATION PIDA – EXAMPLES
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PIDA – EXAMPLES Clapham Rail Crash Inspector saw loose wiring but didn’t want to “rock the boat” Piper Alpha Disaster Workers’ didn’t want to put their employment in jeopardy Zeebrugge Ferry Tragedy On five occasions staff had raised concerns Collapse of BCCI Too scared of autocratic senior management Babies and the BRI Many concerns were ignored

FIRE OFFICERS’ ASSOCIATION PIDA – Background
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PIDA – Background Employment Rights Act 1996 gave legal protection to any worker against dismissal or other penalty as a result of their disclosure of the following: Crimes Breaches of legal obligation Miscarriages of justice Negligence Breach of contract Dangers to health and safety PIDA made it automatically unfair dismissal if any employee is dismissed for making a “protected” disclosure

PIDA – Eligibility of worker
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PIDA – Eligibility of worker No requirement to complete any period of employment Worker must act in good faith Worker must have reasonable grounds

Introduction of a whistle blowing policy:
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION PIDA – background Introduction of a whistle blowing policy: Introduce the policy to the workforce Review and refresh it regularly Promote the policy effectively Don’t shoot the messenger Key issues for employer will be to reduce any risk of creating grounds for protected disclosures

Regulation of Investigatory Powers Act (RIPA)
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION Regulation of Investigatory Powers Act (RIPA) Came into force October 2000 Legislation to govern interception of , internet and telephone communications OFTEL published guidelines in 1999 covering the responsibilities of organisations in relation to recording phone calls

FIRE OFFICERS’ ASSOCIATION RIPA – Action
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION RIPA – Action Alison Halford in the ECH v Merseyside Police Breach of article 8 Individual’s right to respect for privacy and family life. No prior warning that her calls were being tapped Employee must be informed if their calls are to be recorded.

Breach of Human Rights Act
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION RIPA – Background Employees must be able to make calls which will not be recorded Contract of employment can state that calls will be recorded OFTEL guidelines state tapping of calls only were absolutely necessary Breach of Human Rights Act

Why is RIPA relevant in employment?
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION Why is RIPA relevant in employment? Misuse of , internet and telephone calls Breach of contract, misrepresentation, breach of copyright Employers could be liable as operators of the system Employee can sue for damages if employer intercepts calls without consent

FIRE OFFICERS’ ASSOCIATION RIPA and Employment
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION RIPA and Employment Employees need to be aware of...... Constructive dismissal claims Breach of implied trust and confidence Liability under human rights and data protection

SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION RIPA and Employment Why might employers want to intercept their employees’ communications? Performance – assess quality quantity of employee’s work Behavioural – to ensure compliance by the employee with work rules and standard of conduct

RIPA – getting the balance right
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION RIPA – getting the balance right “The right of employees to privacy and the right of employers to run their businesses” Regulations authorise monitoring or recording of calls without consent for the following reasons…. Establishing facts relevant to the business Ascertaining compliance with regulatory and self regulatory practice Demonstrating standards of performance Investigation of unauthorised use of telecommunications systems Effective operation of the system Also a business can monitor but not record without their employees’ for the following Checking calls are relevant to the business Monitoring calls to confidential counselling or support services run free of charge Public authorities to monitor calls in the interest of national security

FIRE OFFICERS’ ASSOCIATION RIPA – Best Practice
SESSION 8: LEGISLATION FIRE OFFICERS’ ASSOCIATION RIPA – Best Practice The employer should get the consent of the employee The employer should incorporate a specific provision in the contract of employment The employer should notify employees on the intranet or on staff notice boards N.B. Employers must be confident that all relevant staff will be informed The employer should have an , internet and telephone policy in place The employer should make sure all employees are aware that a policy is in place The employer should make sure all employees understand the consequences of misuse The rules should be consistently applied – all managers should be trained in the policy

Employment Tribunals and Unfair Dismissal
SESSION 9: EMPLOYMENT TRIBUNALS Session 9 Employment Tribunals and Unfair Dismissal

Unfair Dismissal and Tribunals
SESSION 9: EMPLOYMENT TRIBUNALS Unfair Dismissal and Tribunals Employment Tribunals must decide: Has there been unfair dismissal ? Was the dismissal for one of the 5 potentially fair reasons? Conduct Capability Redundancy Statutory ban Some Other Substantial Reason

Unfair Dismissal and Tribunals
SESSION 9: EMPLOYMENT TRIBUNALS Unfair Dismissal and Tribunals Employment Tribunals must decide: Have the statutory dismissal procedures been complied with? If not – dismissal is automatically unfair If statutory procedures complied with; was the decision to dismiss within the range of reasonable responses of a reasonable employer? NB. Employment tribunals cannot substitute their own view for that of the employer

Employment Tribunal Possible Awards:
SESSION 9: EMPLOYMENT TRIBUNALS Employment Tribunal Possible Awards: Basic award Compensatory award Statutory procedures Employer fails to complete procedure Automatically unfair dismissal Minimum award 4 weeks pay Increase 10 – 50% Employee fails to complete procedure Decrease 10 – 50%

Session 10 Interviewing Skills FIRE OFFICERS’ ASSOCIATION

Interviewing Skills - Listening
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interviewing Skills - Listening What makes a good listener? How do you know when you are being listened to? How do others know you are listening to them?

Interviewing Skills – Active Listening
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interviewing Skills – Active Listening There is little point in asking any questions at all if you do not listen to the answers There is little point in listening to the answers if you do not understand what has been said There is little point in understanding what has been said if you do nothing with the information Listening is a skill which needs effort and can be developed

FIRE OFFICERS’ ASSOCIATION Active Listening
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Active Listening Avoid distractions / side issues Look at the person you are talking or listening to Summarise your points during the discussion Keep an open mind – do not pre-judge the outcome If the interviewee says something that needs to be followed up – note the comment and make sure you follow it up later. (Do not “lose” information).

FIRE OFFICERS’ ASSOCIATION Body language
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Body language During the interview be aware of the member’s, and the interviewers: Behaviour responses Non-verbal responses Gestures and movements

SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interview Pitfalls The listener is internally distracted by: Time constraints / fatigue Personal needs and fears Misinformation from other sources not verified The speakers manipulations

Tactics Adopted by an Interviewer:
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Tactics Adopted by an Interviewer: Questions directly addressing the issue may be asked in the same tone of voice as other questions The employee will be encourage to say as much as possible Remember that listening is not just waiting for your turn to speak

FIRE OFFICERS’ ASSOCIATION Interviewing Tips
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interviewing Tips members who sense that you have prematurely concluded that they are lying will become defensive It is vital in your interview to keep your personal views, judgements and suspicions contained A member will not speak openly with you if they fined you judgemental, critical, or sceptical

SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interviewing Tips Avoid Too many questions A question within a question Lack of questions Interrupting the member Becoming emotional or losing control Tunnel vision and prejudging the outcome Impatience, rushing the interview

SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interviewing Tips “Truthfulness is signalled by acute memory, a perceptive recounting of facts and a flowing narration. Truthful interviewee’s display a consistent recollection of details and attempt to dig up related specifics, often offering more information than they are asked for.” “Deception is the intentional act of concealing or distorting the truth for purposes of misleading. Interviewee’s deceive when they deliberately hide from the interviewer what they saw or what they did, and why.”

SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interviewing Tips Don’t avoid or be afraid of asking the tough or embarrassing questions You have to be brave enough to ask questions that would be intrusive in other situations

SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Effective Guidelines Use open and closed questions where appropriate Keep your questions simple Avoid questions with more than one meaning Encourage co-operation Pursue unanswered questions

Try simply repeating the same question
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interview Tips Dealing with resistance: “A common form of resistance occurs when a subject answers a question with a question” Try simply repeating the same question

FIRE OFFICERS’ ASSOCIATION Interview Tips
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Interview Tips Verbal evasion: Phrases such as “that’s basically it”, or “I guess that’s about all I can remember” Are usually an admission that there is more information that has not been divulged

Investigation Process - Summary
SESSION 10: INTERVIEWING SKILLS FIRE OFFICERS’ ASSOCIATION Investigation Process - Summary The employer should: Collect and document facts Take statements from witnesses Inform employee in writing of allegation Make a preliminary analysis Devise an investigation plan Summarise his/her findings Make conclusions Recommendations Present a written report Follow up / feedback

Get Further Information
End of Session 10 INTRODUCTION Return to Contents: Get Further Information

SESSION 11: FURTHER INFORMATION
INTRODUCTION

Acas INTRODUCTION Advisory Handbook Discipline and Grievances at Work
SESSION 11: FURTHER INFORMATION Acas Advisory Handbook Discipline and Grievances at Work Discipline and Grievance Procedures Bullying and Harassment at Work - Employee Guidance Bullying and Harassment at Work - Employer Guidance Rights at Work - Equality and Discrimination Rights at Work - Information and Consultation Rights at Work - Discipline and Grievances Rights at Work - Trade Unions and Representation Rights at Work - Right to be Accompanied INTRODUCTION

Statutory Instruments
SESSION 11: FURTHER INFORMATION Statutory Instruments Employment Rights Act 1996 Human Rights Act 1998 Public Interest Disclosure Act 1998 Regulation of Investigatory Powers Act 2000 Data Protection Act 1998 Disability Discrimination Act 1995 Industrial Tribunals Act 1996 Protection from Harassment Act 1997 Offence of causing intentional harassment Access to Medical Reports Act 1988 INTRODUCTION

End of Presentation INTRODUCTION End Show

INTRODUCTION TO DISCIPLINE - TRAINING

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