Three points of failure in Grievance and Disciplinary investigations

There are 3 possible points of quality failure in Grievance and Disciplinary processes that are worth being mindful of and risk managing before you start implementing a grievance or disciplinary process.

1. You may have experienced and skilled managers, but do they know how to do a fair and unbiased investigation? The first point of failure is that too often by the time someone is senior enough to take the role, their confidence in their own subjective judgement has grown to the point where they confuse subjectivity with objectivity. “In my view he came over as a reflective and responsible manager who is aware of the difference between firm management and bullying” may feel neutral and insightful but it is in fact subjective and nothing like the ‘evidence’ required. “Have you ever heard of Mary bullying anyone else?” may feel like you’re probing, but is actually asking for gossip and hearsay.
2. But say that your manager has done a thorough investigation into the facts. S/he now has to translate the wealth of data into a logical and transparent report. The evidence may be there, but getting it across in a way which shows clear thinking and analysis, is the second potential point of failure. The evidence gathered is only as good as the report it is contained in. If the report is too long, we risk losing the sight of the key issues. If it’s too short, vital evidence may have been omitted.
3. Your manager has done a thorough and fair investigation which has produced a neutral outline of the facts, cross referenced to the witness statements and which is easy to digest and comprehend. The third point of failure now lies in the deciding officer. Do they understand bullying and harassment properly? Are they senior management who may have some out of date views on what’s appropriate at work? And is there a consistent understanding and set of standards across your SMT? Or is Senior Manager 1 likely to discipline someone for an offense that Senior Manager 2 would put down to banter? Getting your deciding officers to work from the same principles and values is the final stage in your risk management.

If you manage each point of failure properly you will control your risk of appeal, ET and reputational damage.

Watch out for my White Paper on Taking a Risk Management Approach to Formal ER Processes later this summer.