Conduct Code Guidelines

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WORKERS UNION

Tuesday, 31 October 2006

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Northern Territory

Agreements

Conduct Code Guidelines

INTRODUCTION

The guidance contained in this document is intended to support the introduction of the revised Conduct Code by providing all managers with practical advice on how to use it effectively. Please read this guide in conjunction with the Code and keep it for future reference.

The important changes within the new Code include:

· Individual rights clearly specified.

· Individual responsibilities clarified.

· Emphasis in Conduct standards.

· A simplified process.

If you require any advice on how and when to use the processes described in this guide, please contact your local Personnel Manager who can provide a wide range of expertise.

Use of the Informal Approach

1. Communicating Standards

As a manager you will want to encourage a high standard of conduct from all members of your team.

To do this you will need to set a good example by living up to the values and associated behaviour standards described in the Leadership Commitment Guide. You will also need to ensure that the team you are responsible for is aware of, and understands, the required standards of conduct. You will find some general guidance on these standards in Section 4 of the Code. It is important, of course, that these standards are reasonable, and that they are applied consistently and fairly within the team for which you are responsible, and also across the Business generally – this is also a legal requirement in many cases. If you need any further advice on the standards required you should contact your manager.

2. Counselling

2.1 You have a key responsibility for developing team members and encouraging them to make a commitment to our business values. You will need to encourage individuals to develop self-discipline, and work with them to achieve the standards that we require of all employees.

2.2 Most conduct issues you will be faced with will only involve minor infringements of the laid-down standards, and will therefore be best handled informally. Often a failure to meet these standards is only of a relatively minor nature, for example, being careless in dealing with some aspects of the job. It is here where informal counselling, or even just a well chosen word at the right moment, can help you nip the problem in the bud before it becomes a more serious issue.

2.3 Every manager has their own style for running such discussions, but here are some broad guidelines designed to help you achieve an effective outcome:

· The discussion must be two-way.

· It must take place as soon as possible after the event.

· It must take place in private.

· Encourage the individual to give their point of view.

· Do not pre-judge the outcome, but listen carefully to any points the individual makes.

· Establish what the problem is, point out any shortcomings, and jointly seek ways of achieving an improvement.

· In offering constructive comments, concentrate on the problem to be solved rather than personalities.

· Emphasise the good business reasons why a change is required.

2.4 It is important to encourage the employee to accept responsibility for self-discipline by getting him/her to suggest ways of overcoming the problem. Agree a strategy for the required improvements. Always encourage the individual to seek help from Employee Health Services where appropriate.

2.5 You may find it useful to write a brief note of the discussion and the outcomes so you can refer to it when reviewing progress. You should ensure that any record of the discussion or outcomes is shared with the individual to promote a comment understanding of the issues.

Records of such counselling will not be associated with the individual’s conduct record and should not be copied to Personnel. In cases of persistent misconduct you will find it useful to keep a note of the facts. The purpose of such informal records is not to build a file of evidence against somebody, but to ensure a common and accurate understanding of the problem.

Use of the Formal Approach

3. When to use the Formal Discipline Procedure

3.1 It is impossible to define precisely when a problem would require a formal rather than an informal approach – this will always depend on the circumstances of the case. However, you will need to use the formal discipline procedure if:

· The infringement persists or,

· The failure to observe standards is of a more serious nature.

In an attempt to develop consistency and fairness in the treatment of individuals, the following tables provide a general guide to relationships between particular types of offence and appropriate action.

3.2 In the majority of cases, an isolated incident of most of the examples of Misconduct (Table 1) should be dealt with informally. Persistent or more serious examples should be dealt with under the formal procedure.

Table 1

EXAMPLES OF MISCONDUCT:

Unauthorised absence

Unexcused lateness (see note below)

Failure to observe standard procedures and instructions (inc. negligence)

Minor security lapse

Minor health and safety breach

Smoking in an unauthorised place

Lack of respect for customers

Misuse of resources including:

· Time

· Computers

· Equipment/telephones

· Facilities

· Accommodation

NOTE: Where an individual arrives late for genuine reasons, such as domestic or travel difficulties, the lateness should normally be excused and therefore disregarded for conduct purposes. Late attendances of less than 5 minutes will also normally be disregarded. If they become persistent, however, they should be recorded and regarded as misconduct. Where lateness is regarded as misconduct it will, initially, be dealt with informally as described in Section 2 of this guide. If an informal approach does not have the desired effect, the formal approach will be used and, in extreme cases, could result in dismissal.

Examples of Serious Misconduct (Table 2) will be dealt with formally. Those marked * may be so serious (gross misconduct) as to warrant summary dismissal, i.e. dismissal without notice.

Table 2

EXAMPLES OF SERIOUS MISCONDUCT including gross misconduct

*Theft

*Misuse of business funds

*Dishonesty (including falsification of accounts)

*Violence

Refusal to follow a reasonable instructions

*Major Health & Safety breach

Intoxication

Serious negligence

*Discrimination/harassment/victimisation

Disclosure of confidential information

Serious abusiveness

*Major security breach

Conduct which brings POL into disrepute.

*Criminal acts against the PO, its employees or agents

3.3 These lists are neither exhaustive nor prescriptive; they are shown simply as examples of the sort of misconduct which would normally be viewed as Misconduct, Serious Misconduct and Gross Misconduct. Many of these examples could be placed in any category depending on the circumstances in which they occur.

3.4 The decision on what level of disciplinary action may be appropriate will depend on the factors shown below. If the answer to any of the questions is “yes”, then it may be necessary to refer the papers to your line manager.

SOME FACTORS INFLUENCING THE SERIOUSNESS OF MISCONDUCT

Was it potentially dangerous?

Did it involve financial loss or potential financial loss?

Did it result in loss of customer confidence?

Is there a history of misconduct?

Was it wilful?

Was it indicative of a deeper lack of respect for authority?

3.5 Your decision must also take into account any extenuating personal circumstances which may have a significant bearing on an individual’s attitude and conduct at work (paying particular attention to advice from Employee Health Services). You should also satisfy yourself that this is indeed a problem of conduct rather than capability, and pay due regard to previous good service. In short, you must consider all the circumstances with that taken in other similar cases; take into account all mitigating circumstances; and be based on the principle of prevention rather than punishment. If you are in any doubt as to how to proceed, please seek advice from your Personnel Manager.

4. Formal Warnings

The first level of formal disciplinary action is a Formal Warning and will be handled by first-line managers. It is important that you follow the process mapped out in Figure 1. The fact that a case has not been managed correctly may be enough for your decision to be viewed as unfair, and subsequently overturned at appeal or by an Industrial tribunal.

4.1 When you consider that an individual’s conduct may warrant a formal warning, you should first request an explanation from the individual – this explanation may be offered in writing or at an interview. If the explanation is fully acceptable, no further disciplinary action should be taken. If the explanation is not acceptable, you will need to conduct further investigation.

4.2 As part of this investigation you must check any existing conduct records held by Personnel. You may also decide to interview the individual about some aspect of the case. If you do decide an investigatory interview is needed, you should treat it as such. There must be a clear distinction between any investigatory interview and any subsequent formal discipline interview.

4.3 If, after completing a full investigation, you decide a formal warning may be appropriate, you should write to the individual inviting them to a formal discipline interview. You should then follow the steps described in paragraph 5.3 to 5.8. If you decide a final warning or dismissal may be appropriate, you should refer the case to the second-line manager (see model letter 3).

Fig. 1

Formal Discipline Process

APPARENT MISCONDUCT

LINE MANAGER SEEKS EXPLANATION

INFORMAL ACTION

LINE MANAGER INVESTIGATES

GO TO (A)

YES

IS INFORMAL ACTION NEEDED?

IS FORMAL ACTION NEEDED?

INVESTIGATE

YES

NO ACTION

IS FORMAL WARNING BEING CONSIDERED?

REFER PAPERS TO NEXT LINE MANAGER

IS FURTHER INVESTIGATION NEEDED?

YES