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

INTRODUCTION TODISCIPLINE - TRAINING

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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

Contents:

Training for Representatives

SESSION 1 DISCIPLINEFIR

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Discipline - Rules and Procedures

Training

Instruction

Correction

Improvement

Punishment

What the dictionary says…

DISCIPLINE

SESSION 1: DISCIPLINEFIR

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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.


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The ideal discipline framework consists of rules and procedures

Rules should set standards should set boundaries

Procedures should ensure fairness

and consistency


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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


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What should rules cover?Examples:

timekeeping holidays sickness absence other absence health and safety use of work facilities use of IT email and internet bullying harassment discrimination


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What should rules cover?

There may be separate procedures for:

misconduct unsatisfactory performance bullying and harassment absence equal opportunities


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Return to Contents:Return to Contents:

End of Session 1

Go to Session 2Go to Session 2

SESSION 2: DISCIPLINE

Session 2

Statutory dismissal and disciplinary procedures and their

impact


Standard dismissal and disciplinary procedure

Step 1 written statement / letter

Step 2 meeting decision

Step 3 right of appeal


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.


Step 1 - Written statement / letter

details of allegation

copy to employee

invitation to meet

right to be accompanied


Step 2 - Meeting and Decision

timing and location must be reasonable


decision

right of appeal


Step 3 - Right of Appeal

employee notifies employer

further meeting


more senior/different manager

final decision


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


Gross Misconduct - Guidelines

Serious matters

Suspension

Need to investigate remains

Dismissal without notice/pay in lieu of notice

Statutory dismissal and disciplinary procedures apply


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


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


End of Session 2



Session 3

Disciplinary Investigations

Disciplinary Stages

Investigation

Informal action

Formal warnings

Dismissal

Appeals


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


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


Informal

The right word at the right time and in the right way

Might be all that was needed


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.


Formal disciplinary procedure

• First formal stage – (first written warning)

• Second formal stage – (final written warning)

• Third formal stage – (dismissal or other sanction)

• Appeals


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


Disciplinary meeting – Procedure prior to the meeting

The employer must notify the employee of the disciplinary meeting

TimescalesFirst formal stage – 7 daysSecond formal stage – 10 daysThird 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


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


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’


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:


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


Possible courses of action

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


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


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


Appeal meeting

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


Appeals


End of Session 3


Session 4

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The right to be accompanied

Who has the right to be accompanied?

That is most of the staff who personally provide services but not the genuinely self employed

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“Employees”

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

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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

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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

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End of Session 4


Session 5


Investigations in EmploymentGood Practice

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

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 – 1990Monie – v – Coral Racing - 1981


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

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 - 1981


The Band of Reasonable Responses

Applies as much to the investigation as to the decision to dismiss


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

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

• Written personally, or taken by someone not involved in influencing the outcome of any disciplinary hearing


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


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?

• 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


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

• 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:• 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)

• 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



End of Session 5


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Session 6

WORKPLACE INVESTIGATIONS &

INTERVIEWS

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”

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• They provide a sound evidential basis for management action

• Minimises labour relations issues

• Professionalism/credibility

• Effectiveness/usefulness of the report

• Opportunity to improve

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The many benefits to the employer for conducting an investigation are:

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

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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?

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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?

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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

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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

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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

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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

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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

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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

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Representatives should remember

In certain circumstances, failure to comply with a reasonable request to answer questions constitutes insubordination and can be grounds for dismissal


End of Session 6


Session 7

GRIEVANCE PROCEDURES Getting it right

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

Working relationships

New working practices

Working environment

Equal opportunities


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


The grievance procedure is not intended for use where:

Stages - Grievance Procedure

Stage 1 – informal resolution

Stage 2 – formal resolution

Stage 3 – the appeal meeting

Stage 4 – special appeal


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 ResolutionThe 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

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

• 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


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


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

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:

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

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


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


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


OverlappingDiscipline 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

Step 1 – write to the employer

Step 2 – meeting and decision

Step 3 – right of appeal


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


End of Session 7


SESSION 8: LEGISLATION

Session 8

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Discipline - Supporting Legislation

Human Rights Act and Employment

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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

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

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Freedoms to follow a religion, or belief are subject to:

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

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Prohibits discrimination on grounds such as:

PUBLIC INFORMATION DISCLOSURE ACT

Came into force on 2nd July 1999

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Commonly known as:

The Whistleblowers Act

PIDA

Link to full Act

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.

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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

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PIDA – BackgroundEmployment 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

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PIDA – Eligibility of worker

No requirement to complete any period of employment

Worker must act in good faith

Worker must have reasonable grounds

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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

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Regulation of Investigatory Powers Act (RIPA)

Came into force October 2000

Legislation to govern interception of email, internet and telephone communications

OFTEL published guidelines in 1999 covering the responsibilities of organisations in relation to recording phone calls

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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.

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Alison Halford in the ECH v Merseyside Police

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

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Why is RIPA relevant in employment?

Misuse of email, 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

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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

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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

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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

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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 email, 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

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End of Session 9


Session 9

SESSION 9: EMPLOYMENT TRIBUNALS

Employment Tribunals and Unfair Dismissal

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

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 Tribunals must decide:

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%



End of Session 9


Session 10

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SESSION 10: INTERVIEWING SKILLS

Interviewing Skills

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?

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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

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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).

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Body language

During the interview be aware of the member’s, and the interviewers:

Behaviour responses

Non-verbal responses

Gestures and movements

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Interview Pitfalls

The listener is internally distracted by:

Time constraints / fatigue

Personal needs and fears

Misinformation from other sources not verified

The speakers manipulations

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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

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Remember that listening is not just waiting for your turn to speak

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

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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

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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.”

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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

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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

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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

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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

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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

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End of Session 10

Get Further Information

Get Further Information

SESSION 11: FURTHER INFORMATION

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


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

End ShowEnd Show

End of Presentation

Documents

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