tpp hr seminar: disciplinary investigations & hearing
DESCRIPTION
Presentation from our recent free HR breakfast seminar by Wendy Blake Ranken on Disciplinaries. TPP are the charity recruitment specialists. Find out more about our events and other free services on our website: www.tpp.co.uk.TRANSCRIPT
The ‘big stuff’ that needs investigation and may lead to a hearing: ◦ Bullying and harassment
◦ Abuse of service user
◦ Theft
◦ Alleged dereliction of duty
2 key areas: ◦ A robust process
◦ ‘Upskilling’ managers
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Early conciliation
ET fees
A drop in ET cases
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Fees may come back
We want to do things fairly. This involves:
◦ Robust findings of facts/evidence
◦ Analysis, based on those facts
◦ Conclusions ‘on the balance of probabilities’
◦ Decisions that are ‘within the band of reasonable
responses open to an employer’
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Fair to all parties
A robust, evidenced report, with appendices including clear, signed interview notes and relevant documents
Outcome of disciplinary and appeal hearings are evidenced – reasoning is clear and documented
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A robust process
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State the specific allegation
State what policy has been breached
Eg:
The allegation is that X used racist language to Y on three occasions in September 2014, in breach of the Dignity at Work Policy
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For example:
Date for completion
The allegation
Relevant procedure(s)
Likely people to interview and dates
Documents to review
A time plan – dates of interviews, date to write report, date to submit report
Format of report
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Standard letters: invite to interview, invite to disciplinary, disciplinary outcomes
Template report format
Template for interview notes (with numbered paragraphs)
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Date
Investigator
The allegation
Methodology
Background to the employee
Background to the workplace
Chronology of events (in more complex cases)
Assessment of each allegation – evidence supporting and evidence not supporting – with cross references to appendices
(Conclusions – whether there is a case to answer)
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Clearing diary
No right to be accompanied at investigation interviews
Interview notes ‘taken as read’ after 3 working days
Interview scheduling – several on one day
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Supports the investigator
Completes terms of reference with investigator
Checks progress and provides support
Receives the investigation report
Ensures report is to required format and standard
Decides whether the matter proceeds to a hearing
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Upskilling managers –
key areas
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Questioning and probing skills
Listening skills
Impartiality skills
Understanding memory
Demeanour and credibility
Building rapport
Interview management
Report writing skills
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‘She was really aggressive to him in the kitchen’
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He is the sort of person who.....
This upstanding citizen ‘couldn’t possibly.....’
People like me, people not like me, ‘in
groups’ and ‘out groups’
‘She always does it that way...’
‘Can you do an impartial investigation please. This is one of our most difficult employees.’
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What can we remember?
Is our memory reliable?
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Risks of relying on demeanour ◦ Mistaken belief in witness who has lied
◦ Mistaken disbelief of truthful witness
Are we able to accurately detect a lie? ◦ Concealment
◦ Falsification
Confusing emotions ◦ Innocent witness - fear of being disbelieved
◦ Guilty witness - apprehension of being detected
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Is the individual telling the ‘truth’?
Is their evidence consistent with the documents?
Is their evidence consistent with other witnesses?
Is the evidence internally consistent?
Is it consistent with what they previously said?
Is it implausible, improbable or absurd?
What is their motive or interest in the outcome?
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The rambler
The reluctant witness
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Have a format with guidance
Managers then ‘fill in the blanks’
Consider practising report writing during investigation skills training
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Anticipating pitfalls
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Counter-allegations
Employee sickness absence Anonymous witnesses
Covert recordings
Bias in the disciplinary hearing
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A robust, objective process
Skilled managers
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