Information for IRS Assignment

7/27/2019 Information for IRS Assignment

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Discipline and grievance issues

It is absolutely vital that you follow fair and transparent procedures in disciplinary and grievance matters. If you

fail to do so, you could find yourself judged to have dismissed someone unfairly.

Good procedures will enable you to stay on the right side of the law and enable you to deal with disciplinary and

grievance issues consistently and fairly, with a view to sorting them out before they become serious. This briefing

covers:

1. The legal requirements.

2. When the procedures apply.

3. Drawing up disciplinary rules.

1 Establishing the principles

The procedural requirements set out the rules that you and your employees must follow when dealing with

disciplinary issues and grievances.

1.1 Make sure employees can find out about your disciplinary rules.

Inform employees where they can see the rules. For example, in a handbook or displayed on a staff

noticeboard.

You cannot reasonably complain if someone breaks a rule they did not know existed.

1.2 Your rules must be reasonable.

The seriousness of the offence should be assessed according to the damage done.

Ensure your rules are not discriminatory. For example, requiring more formal dress from men than

women.

1.3 Your rules must be applied fairly, reasonably and consistently.

Investigate thoroughly before you lay any disciplinary charges.

Give the employee time to consider a response and the opportunity to make representations (or to have

representations made on their behalf).

Take time to consider your findings and carry out a follow-up investigation if required.

Any appeal should, if possible, be heard by someone senior, who was not involved in the first hearing.


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In deciding on penalties, it is important to be consistent and reasonable - you can take mitigating

circumstances into account.

If you treat people differently for the same offence, you must be able to explain why.

1.4 You must use fair and reasonable procedures when dealing with disciplinary and grievanceissues.

Your procedures should ideally comply with the Acas Code of Practice which sets out principles for

handling discipline and grievance issues in the workplace.

See the Code of Practice.

Failure to follow the Code of Practice could be very expensive.

Put your procedures down in writing and give all employees access to a copy.

Dealing with grievances

You are required to have grievance as well as disciplinary procedures. Your procedures should be clear and

transparent.

Train managers to enable them to handle grievances effectively.

Try to resolve grievances informally.Many issues can be solved by simply talking them through.

Where informal measures do not resolve the grievance, the employee should put the grievance in writing.

Arrange a face-to-face meeting to discuss the problem.The employee has the right to be accompanied.

Decide on any necessary action.

If the employee is not happy with the outcome, he or she can appeal.

Any appeal should be heard by someone impartial not involved in the original hearing.

Keep a written record of the case.Ensure they are kept confidentially.


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Undertaking a Disciplinary Investigation :A Guid e for Invest igat ing Off icersIntroduction:Your responsibilitiesAs investigating officer your responsibilities are to:

gatherall the relevant facts promptly before peoples memories fadeestablish the exact nature of the allegations and the evidence to substantiate these

summarise your findings in an investigation report

recommend whether or not the allegations should be considered at a disciplinaryhearing

present evidence at any disciplinary hearing and answer questions as required

attend any appeal hearing as a witness, where requiredIn carrying out an investigation you should:

ensure the investigation is carried out as quickly as possible

be thorough and fair

remain impartial and objective, do not make assumptions

consider whether there are any mitigating circumstancesmaintain confidentiality as appropriate

talk to staff and, where appropriate, clients concerned with the incident asappropriate to establish the full facts

seek supporting evidence, including any that is favourable to the employee

obtain statements from witnesses and keep notes of investigation meetings

compare statements and notes and attempt to resolve any discrepanciesWest Berkshire CouncilUndertaking an Investigation January 2007

Copyright West Berkshire Council

The Process

Prepare :Plan your investigation before you begin consider what information youneed to gather. Before meeting with the employee and other witnesses, planthe questions you should ask. ( You can use appendices 1 and 2 to help youprepare.)

Throughout the investigation a member of Human Resources will be availableto advise you, for example, in the preparation of questions.

Decide how best to conduct the investigation. This will depend on thecomplexity of the case. For example, you may decide, in somecircumstances, a witness statement will suffice. In other circumstances, youmay decide to meet with witnesses , but ask them to produce a statementbefore the meeting. Or, you may chose to meet the witness / employee in

person in the first instance.Decide the order in which you will meet witnesses and the employee. Youcan meet with them more than once if necessary.

Plan where to hold investigation meetings - this needs to be in a private placethat will be free from interruptions.

You should take notes of key points raised at the meetings. The notes do notneed to be verbatim. You should give a copy of the notes to theemployee/witness following the meeting and ask them whether the/she wouldlike to add anything to them. Where the employee/witness providesalternative notes of the meeting both versions should be included in theevidence supporting your investigation report.

Meet the employee :Give the employee notice of the meeting so that they can prepare


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When meeting with the employee against whom the allegations have beenmade, remind him/her of his/her right to be accompanied by a trade unionrepresentative or work colleague. Ensure that the employee understands theallegations that have been made. Ask him/her to respond to these allegationsand produce evidence to support his/her response.

Use open questions to gain information, clarify the issues e.g. what happenedthen? and to check your understanding of what has been saidNote:A police investigation may delay investigation or disciplinary action under theWest Berkshire Council/school procedure. Where a police investigation is beingundertaken seek further advice from HR.West Berkshire CouncilUndertaking an Investigation January 2007

Copyright West Berkshire CouncilMeet witnesses :You may decide it is not necessary to interview every witness, and a written and datedstatement will suffice. Where you decide to meet with a witness, the following will apply

You may wish to ask witnesses to write a personal statement prior to meeting

with them. Where appropriate you could ask them to respond to certainquestions.

Where a witness provides a written statement you need to be happy that youhave got all the information that you require from them and that there are nounanswered questions. If you are not satisfied you can reinterview the witness.

Discuss with HR if a witness is unwilling to get involved

Meet witnesses and ask them to explain what happened, or where you haveasked for a written statement in advance, to gain clarification and/or furtherinformation about points that they have made.

Use open questions to gain information, clarify the issues e.g. what happenedthen? and to check your understanding of what has been said

Dont lead the witness, but do encourage them to concentrate on the mainfacts.

Advise witnesses that their statements and responses to questions may bemade available to the employee and to the management side if the investigationresults in a disciplinary hearing. Witnesses also need to be made aware thatthey may be called to give evidence at a disciplinary hearing.

Gather other evidence :Ask and seek supporting evidence to substantiate information provided bywitnesses and/or the employee. Keep copies to use as supportingdocumentation.

You may need to look at documents such as work rotas, attendance reports,shift/handover notes, incident reports, minutes of team meetings, one to one

records, appraisal documentation, emails, letters, training records, developmentplans. Again, you will need to make copies, for supporting documentation.

Look at the employees background and employment record as well as anyspecial circumstances that need to be taken into account.West Berkshire CouncilUndertaking an Investigation January 2007

Copyright West Berkshire CouncilPreparing an investigation report:Once you have completed the investigation you will need to write a report, which youshould give to Human Resources, to be included in the documentation used at anysubsequent disciplinary hearing.The summary and recommendation section of your report should be given to the Head

of Service/Headteacher so that he/she can confirm whether the allegations should beheard at a disciplinary hearing. It is important that you do not discuss the full details of


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the case with the Head of Service/Headteacher as this could prevent them fromhearing any subsequent appeal.Your report should be clear, concise and presented in a logical format. It should:

Outline the allegations

Provide full supporting evidence. Make sure you include all the relevant facts

so that it would make sense to someone unfamiliar with the case. Include thosefacts favourable to the employee.

Contain a summary of events as evidenced by your investigation, referring tosupporting evidence in the appendices as appropriate.

Make recommendations based on the findings of your investigation you canrecommend that the case is:DroppedHandled informallyConsidered at a disciplinary hearingAppendix 2 provides a suggested format for the investigation report.West Berkshire CouncilUndertaking an Investigation January 2007

Copyright West Berkshire CouncilAppendix 1Preparing questionsIt is important to prepare questions before you meet with the employee andwitnesses. A member of Human Resources can help you with this.Think about the allegations that have been made and what facts you need to gather.Questions may include:

What did you see?

Are there any records that confirm the allegations?

Where were you standing/sitting?

Why did you react in that way?Witness statementWitness statements should contain the following:

The name and job title of the person giving the statement

Details of the date, place and time of the incident being investigated

Confirmation of the names and job titles of all those present

The reason for the witness being able to comment on the incident

Position in which the witness was able to see the incident

Full details of what was witnessed, the sequence of events, names of otherpersons present, facts.

Sketch or plan if appropriate

Date, time and place the statement was taken

The signature of the witness.

West Berkshire CouncilUndertaking an Investigation January 2007

Copyright West Berkshire Council

Appendix 2Format of an investigation report:Introduction:Background information relating to the employee:

Name and job title of the employee

Length of service, hours of work etc

Details of any relevant misconduct previous warnings can only bementioned if they are still live at the time at which the misconduct took place.

Background information about the workplace, such as:Environment


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Staffing levels

Type of clients (if applicable)

Workload and shift patternAllegations:These should be very specific:

Date, time, place of the alleged incident(s)Refer to the employee by name

Specify the nature of the misconduct/allegationsInvestigation:

Who conducted the investigation (Your name, job title and servicearea/position in school)

How the allegations were brought to your attention

How you carried out your investigation

Refer to witness statements, and clarify why these are relevant

What other sources of information you accessedStatement of caseFrom the information that you have gathered, take each allegation and present thesequence of events cross referencing to documents/statements within theappendices as appropriate:

Highlight the salient points of statements

If appropriate, clarify the line managers expectations of what should havehappened

Explain the correct procedures

Demonstrate whether the employee had received sufficient training, supportand information to meet these expectations and comply with procedures

Refer to any additional supporting evidence

Consider the employees explanation of what happened

Consider any mitigating factors

West Berkshire CouncilUndertaking an Investigation January 2007

Copyright West Berkshire CouncilSummary and recommendation for action following your investigation: (Thissect ion is given to th e relevant Head of Service/Headteacher in addit ion to HR)

Deal with each allegation separately

Summarise the nature of the allegation

Emphasise any risks if applicable (e.g. to clients/pupils, finances, theCouncils/schools reputation)

State the reasons why the misconduct would be unacceptable

State the reasons why you believe the allegations are proven or not (Briefly

referring to witness statements, supporting evidence)Recommend whether or not the allegations should be considered at adisciplinary hearingNotes:

The investigation report will comprise the evidence that you will present at thedisciplinary hearing.

All documentary evidence that supports your investigation (e.g. witness statements,rotas, training records) should be included as appendices and cross referenced through outthe report.

You should only give the Head of Service/Headteaacher a copy of the summary andrecommendations section of the report.

You can seek further advice from Human Resources if you are unsure about what you

should include.West Berkshire Council


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Undertaking an Investigation January 2007

Copyright West Berkshire CouncilAppendix 3

Time-scales : Guidelines for the Investigation:To ensure a fair process, the investigation needs to be carried out promptly. As

investigating officer it is important you treat the investigation as a priority.All cases are different and timescales will vary from case to case depending upon thecomplexity of the allegations, but the following provides a guide as to the duration ofeach stage of the investigation. If timescales are slipping, contact HR.

Day 1

Allegationsare made

By Day 2

Employee advised of allegations(by line manager)

Preliminary investigation carriedout if appropriate and allegations

confirmed to employee (by linemanager)

Investigating Officer appointed

By Day 5

Witness statements requested

byInvestigating Officer

Relevant records accessed

Statement and recordsexaminedby investigating officer

By Day 7Investigation interviews plannedand arranged and employee /witnesses advised of dates


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By Day 21 orDay 28 for complexcasesInterviews undertakenStatements collatedRelevant records copiedInvestigation report written andforwarded to HR, summaryreportforwarded to Head ofService/headteacher


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Page3Preparation Steps Review all your evidence; fill in anygaps you discover.

Determine the importance andrelevance of each fact and piece ofinformation. Distinguish between allegations andopinions on the one hand and factson the other. (Example: Allegation Sarah gets all the well behavedkids; Fact Only 10% of thestudents Sarah teaches havediscipline records versus 25% ormore in the other classes.

Work with TALB staff to research thegrievance file for any pastgrievances on similar situations. Discuss the grievance with otherrepresentatives and officers to gaintheir insights on the case. Write the grievance (see below forpointers on writing a grievance). Prepare the grievant for thegrievance meeting with management;remember, the grievant may have

never filed a grievance before andwill not know what to expect in agrievance meeting. Describe thesetting, who will be there, and howthe grievance will be presented.Review with the grievant what he/shewill and will not say during themeeting. Some stewards role-playthe hearing with the grievant.Anticipate managements arguments,questions and point of view; know

how you and the grievant willrespond to each of these.


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5 Step Approach to GrievanceHandlingFirst Step: Identify the Problem: Whats the Violation?Does the problem violate the contract? A rule or regulation? Policy or procedure?Federal or StateLaw? Past Practice? If you can answer yes to any of these questions, it is most likelya grievance.

Second Step: Investigation: Use the 5 WsYour role as a TALB Rep is to investigate every worksite complaint. Remember, wedont judgemembers, we represent them. Investigation begins with interviewing the affectedemployee;

Witnesses (dont count on hearsay) and the Supervisor involved (tell employeefirst). Remember the5 Ws: Whos involved? What happened? Where and When did it happen? Why isthis a grievance?

Third Step: Document, Document, DocumentTALB Reps have the right to information in preparing for a grievance orresearching a potentialgrievance. Always make the request in writing. Examples of information --attendance records;correspondence; discipline actions; job descriptions; safety data; payroll records; andpersonnel files.

Fourth Step: Preparation & Writing the GrievanceThe outcome of a grievance very often depends on how well you prepare ahead oftime. GrievancePreparation Tips: (1) review all your evidence fill in the gaps; (2) determine therelevance of thedata; (3) distinguish between opinion and fact; (4) research the locals grievance file;(5) discuss thecase w/ other TALB representatives; (6) try to resolve the issue informally; (7) writethe grievance; (8)prepare the grievant for the meeting with management; and (9) anticipatemanagements arguments.Writing a Grievance: Be concisejust basic facts & information; Dont includeopinions, evidence, orarguments; List any & all management violations; Clearly state the desired remedy;Include aninformation request for all data needed to handle the case; Complete the grievanceform withgrievant--have them sign it; and Make a copy of the grievance form.

Fifth Step: Presenting the GrievanceIn a grievance meeting, you are an equal with management. It is no longer bossand employee.

Treat the supervisor with respect, and expect and insist upon respect in return. Inmeetings, TALB reps


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are entitled to speak for the grievant and to stop the meeting at any time to conferwith the member.Tips for Presenting the Grievance: Use a positive direct approach; Stick to thesubject of thegrievance; Try to resolve grievances at the lowest possible level; Focus on issues

not personalities;Remain calm cool, and collected; Get every settlement in writing; State what youbelieve theresolution is.

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