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INTRODUCTION TO DISCIPLINE - TRAINING. FIRE OFFICERS’ ASSOCIATION Session 1:Discipline - Rules and ProceduresDiscipline - Rules and Procedures Session.

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Presentation on theme: "INTRODUCTION TO DISCIPLINE - TRAINING. FIRE OFFICERS’ ASSOCIATION Session 1:Discipline - Rules and ProceduresDiscipline - Rules and Procedures Session."— Presentation transcript:

1 INTRODUCTION TO DISCIPLINE - TRAINING

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

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

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

5 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. SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION

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

7 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 SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION

8 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 SESSION 1: DISCIPLINE FIRE OFFICERS’ ASSOCIATION

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

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

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

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

13 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.  Will not be implied into employment contracts.

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

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

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

17 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

18 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

19 SESSION 2: DISCIPLINE 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. NATURAL JUSTICE

20 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

21 Return to Contents:Contents: End of Session 2 Go to Session 3Session 3

22 SESSION 3: DISCIPLINE Session 3 Disciplinary Investigations

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

24 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 SESSION 3: DISCIPLINE

25 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 NB – Suspension is not a disciplinary sanction SESSION 3: DISCIPLINE

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

27 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 If you are acting as a companion, take care that the meeting does not drift into formal action. SESSION 3: DISCIPLINE

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

29 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 SESSION 3: DISCIPLINE

30 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 SESSION 3: DISCIPLINE

31 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 SESSION 3: DISCIPLINE

32 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’ SESSION 3: DISCIPLINE

33  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 Informing the decision Written records should be kept during the disciplinary process: SESSION 3: DISCIPLINE

34  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 SESSION 3: DISCIPLINE Possible courses of action

35  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 Records Written records should be kept during the disciplinary process SESSION 3: DISCIPLINE

36 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 SESSION 3: DISCIPLINE

37  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 SESSION 3: DISCIPLINE Appeal meeting

38 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 SESSION 3: DISCIPLINE Appeals

39 Return to Contents:Contents: End of Session 3 Go to Session 4Session 4

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

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

42 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 FIRE OFFICERS’ ASSOCIATION SESSION 4: DISCIPLINE

43 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 FIRE OFFICERS’ ASSOCIATION SESSION 4: DISCIPLINE

44 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 FIRE OFFICERS’ ASSOCIATION SESSION 4: DISCIPLINE

45 Return to Contents:Contents: End of Session 4 Go to Session 5Session 5

46 SESSION 5: DISCIPLINE Investigations in Employment Good Practice

47 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 SESSION 5: DISCIPLINE

48 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 SESSION 5: DISCIPLINE

49 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 SESSION 5: DISCIPLINE

50 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 SESSION 5: DISCIPLINE

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

52 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 SESSION 5: DISCIPLINE

53 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 SESSION 5: DISCIPLINE

54 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 SESSION 5: DISCIPLINE

55 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 SESSION 5: DISCIPLINE

56 Requirements when investigating performance SESSION 5: DISCIPLINE  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?

57 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 1 st stage of formal procedure and could lead to a 2 nd stage warning or dismissal SESSION 5: DISCIPLINE

58 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/… SESSION 5: DISCIPLINE

59 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. SESSION 5: DISCIPLINE

60 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/… SESSION 5: DISCIPLINE

61 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 SESSION 5: DISCIPLINE

62 Return to Contents:Contents: End of Session 5 Go to Session 6Session 6

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

64 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” FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

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

66 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 FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

67 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? FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

68 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 SESSION 6: DISCIPLINE

69 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 SESSION 6: DISCIPLINE

70 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 FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

71 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 FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

72 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 FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

73 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 FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

74 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 FIRE OFFICERS’ ASSOCIATION SESSION 6: DISCIPLINE

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

76 Return to Contents:Contents: End of Session 6 Go to Session 7Session 7

77 GRIEVANCE PROCEDURES Getting it right SESSION 7: GRIEVANCES

78 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 SESSION 7: GRIEVANCES

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

80  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 SESSION 7: GRIEVANCES The grievance procedure is not intended for use where:

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

82 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 SESSION 7: GRIEVANCES

83 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 SESSION 7: GRIEVANCES

84 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 SESSION 7: GRIEVANCES

85 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

86 Possible resolutions Facilitative resolution – where both parties agree the issues and the resolution Line manager needs to decide the outcome Set out action required Appeal against resolution within 10 working days of the meeting SESSION 7: GRIEVANCES 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

87 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 SESSION 7: GRIEVANCES *Single Point of ContactLink to FSC 22/2004 SPOC Training

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

89 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

90 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

91 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 SESSION 7: GRIEVANCES

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

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

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

95 Return to Contents:Contents: End of Session 7 Go to Session 8Session 8

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

97 Human Rights Act and Employment FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION  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) Link to full Act

98 HRA TEST  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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION Freedoms to follow a religion, or belief are subject to:

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

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

101 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 SESSION 8: LEGISLATION

102 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 SESSION 8: LEGISLATION

103 PIDA – Background Employment Rights Act 1996 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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION

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

105 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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION

106 Regulation of Investigatory Powers Act (RIPA)(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 SESSION 8: LEGISLATION

107 RIPA – Action  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. FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION Alison Halford in the ECH v Merseyside Police

108 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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION

109 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 SESSION 8: LEGISLATION

110 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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION

111 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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION

112 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 SESSION 8: LEGISLATION

113 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 FIRE OFFICERS’ ASSOCIATION SESSION 8: LEGISLATION

114 Return to Contents:Contents: End of Session 9 Go to Session 9Session 9

115 SESSION 9: EMPLOYMENT TRIBUNALS Employment Tribunals and Unfair Dismissal

116 Unfair Dismissal and Tribunals SESSION 9: EMPLOYMENT 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

117 Unfair Dismissal and Tribunals  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 SESSION 9: EMPLOYMENT TRIBUNALS Employment Tribunals must decide:

118 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 9: EMPLOYMENT TRIBUNALS

119 Return to Contents:Contents: End of Session 9 Go to Session 10Session 1

120 Session 10 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS Interviewing Skills

121 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? FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

122 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 SESSION 10: INTERVIEWING SKILLS

123 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 SESSION 10: INTERVIEWING SKILLS

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

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

126 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS Remember that listening is not just waiting for your turn to speak

127 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

128 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

129 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.” FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

130 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

131 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

132 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 SESSION 10: INTERVIEWING SKILLS

133 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

134 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 FIRE OFFICERS’ ASSOCIATION SESSION 10: INTERVIEWING SKILLS

135 Return to Contents:Contents: End of Session 10 Get Further InformationFurther Information

136 SESSION 11: FURTHER INFORMATION Further Information

137 SESSION 11: FURTHER INFORMATION 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 Acas

138 SESSION 11: FURTHER INFORMATION Employment Rights Act 1996 Human Rights Act 1998 Public Interest Disclosure Act 1998 Regulation of Investigatory Powers Act 2000 Data Protection Act 1998 Public Interest Disclosure 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 Statutory Instruments

139 End ShowShow End of Presentation


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