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.

1. Wendy Blake Ranken, HR Consultant
wendy@blakeranken.clara.co.uk

2. 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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3. Early conciliation
ET fees
A drop in ET cases
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4. 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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5. 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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6. A robust process
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7. 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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8. 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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9. Standard letters: invite to interview, invite to disciplinary, disciplinary outcomes
Template report format
Template for interview notes (with numbered paragraphs)
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10. 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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11. 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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12. 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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13. Upskilling managers – key areas
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14. Questioning and probing skills
Listening skills
Impartiality skills
Understanding memory
Demeanour and credibility
Building rapport
Interview management
Report writing skills
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15. ‘She was really aggressive to him in the kitchen’
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17. 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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18. What can we remember?
Is our memory reliable?
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19. 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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20. 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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21. The rambler
The reluctant witness
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22. Have a format with guidance
Managers then ‘fill in the blanks’
Consider practising report writing during investigation skills training
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23. Anticipating pitfalls
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24. Counter-allegations
Employee sickness absence
Anonymous witnesses
Covert recordings
Bias in the disciplinary hearing
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25. A robust, objective process
Skilled managers
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