Protocol for the provision of information to the MPA on Employment Tribunal cases and Fairness At Work process

Report: 10
Date: 06 April 2006
By: Chief Executive and Clerk

Summary

This report sets out a revised Protocol relating to the provision of information to the MPA on employment tribunal cases and the fairness at work process. It replaces and updates an existing protocol in force since October 2002, to take into account changes in practice and the conclusions of the Morris Inquiry.

A. Recommendation

That that the Protocol be adopted.

B. Supporting information

1. In October 2002, the MPA agreed a protocol relating to the provision of information on compensation cases including employment tribunal (ETs). That protocol dealt with civil actions of all sorts, professional standards cases and employment matters. Following the Morris Inquiry, and the change in organisational responsibility for ET cases within the MPS, a revised protocol has been prepared dealing with ET cases and fairness at work matters. The 2002 Protocol will continue to apply to other cases.

2. The Morris Inquiry recommended (recommendation 12) that

“the MPA puts in place comprehensive oversight systems and processes to scrutinise grievances and Employment Tribunal cases as soon as possible, taking account of the Association of Police Authorities’ guidance in this area.”

3. The revised protocol (Appendix 1) reflects what has been happening in practice since the Morris Inquiry reported. It requires the MPS to notify the MPA of “significant cases” which are defined (see para 3 of the Protocol) and to obtain MPA approval of “exceptional cases” which are defined as “any case with the potential to cause real damage to the Authority or to the Service”. It also defines the requirement for periodic reporting of ET and Fairness at Work (FAW) statistics to the MPA.

4. The protocol is intended to provide the framework for effective oversight of MPS handling of ET cases by the MPA. MPS provide weekly briefing reports to the Chief Executive of MPA, which enables the MPA to scrutinise individual cases as appropriate as well as being aware of emerging trends. There are bi-monthly meetings with the HR portfolio holder. In future, following changes to the MPA committee structure, formal oversight will be a function of the Professional Standards Committee.

C. Race and equality impact

MPA is committed to secure effective oversight of the way that the MPS deals with all of its people. ET and FAW cases are of vital importance in that regard and the protocol will assist the MPA to carry out the kind of rigorous oversight commended by the Morris Inquiry.

D. Financial implications

There are no direct financial implications arising from the protocol.

E. Background papers

None

F. Contact details

Report author: David Riddle, Deputy Chief Executive, MPA.

For more information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

Appendix 1

Protocol: the provision of information to the MPA on Employment Tribunals cases and grievances

Purpose and scope of protocol

1. The purpose of this Protocol is:

1. To set out agreed arrangements for notifying the MPA on a regular basis as to the number and progress of “significant” cases in the categories covered by the protocol.
2. To set out agreed arrangements for the type and level of information to be provided to the MPA regularly and routinely on all grievances and Employment Tribunal cases
3. To set out agreed understandings between MPA and the MPS on which cases require the approval of the MPA for all expenditure proposals in relation to the settlement of cases
4. To set out agreed arrangements for the MPA to approve settlements of cases requiring reference to the Police Authority

2. The cases to which it applies are cases involving discrimination relating to race, gender, sexual orientation, disability, religion/faith age or harassment or bullying or other discrimination including:

• Current Employment Tribunals
• Civil actions alleging breach of contract of employment

Notification of significant cases to the Authority

3. The MPS Director of Human Resources will inform the Authority of all individual cases that are “significant”. For the purposes of this Protocol, a “significant case” is a case where any one or more of the following criteria are met:

1. A Tribunal hearing is likely to generate significant adverse publicity.
2. Significant media interest has been generated prior to the hearing.
3. There is potential to cause embarrassment to the MPA, an MPA Member, the MPS, or senior MPS staff.
4. Any case that is likely to attract an unusually high compensation award (£50,000 or over)
5. The applicant is someone of media interest, such as a celebrity, senior police officer or high profile member of a staff association
6. Overtly racist or sexist behaviour is alleged by the applicant.
7. The case has significant policy / operational / legal implications for the MPS.
8. An applicant is likely to actively seek publicity for the case.
9. The alleged harassment / discrimination has taken place in a sensitive area of policing
10. A case is liable to develop as a “tabloid” human interest story
11. It involves any issues of principle and/or financial policy (e.g. medical/ill-health retirements)
12. It is in nature a test case

4. The MPS will provide weekly briefing reports to the Chief Executive of the MPA containing brief summary information of all current significant cases within the scope of this protocol. This report will include

• The name of the claimant, including rank or grading
• A summary of the allegations or ET claim
• Details of the current status/progress of the case
• Summary of key issues including assessment of potential compensation liability when available
• Statement of any action being taken in respect of persons who are complained about
• Statement of any action taken by MPS to remedy the grievance/ claim

5. Cases will be reported as early as possible even if only brief details are known. Where necessary, for legal or operational reasons, information to the MPA will be depersonalised in individual cases.

6. Many cases may fall outside the definition of “significant” and do not therefore need to be notified to the Police Authority. However, it is recognised that individual cases may become “significant” at short notice through the sudden interest of the media or other events. Such cases will then be notified to the Chief Executive to the Police Authority.

7. The summary information provided within the report of significant cases will enable the Authority, exceptionally, to request further briefing information in a specific case, and any request for further briefing will be communicated by the Chief Executive to the MPA to the Director of HR or his nominated representative.

8. The Chief Executive of the MPA will keep the Member of the MPA with portfolio responsibility for HR matters informed of cases and their progress, and will as necessary inform other Members of the Authority.

9. From time to time, the Director of HR or his nominated representative will meet with the Chief Executive of the MPA and the MPA HR portfolio member (and any other MPA Member with particular interest) to review current cases. The Review will include lessons learned in individual cases and how change to effect learning will take place corporately and at local level as the case may be.

Approval to settle cases

10. The notification of significant cases, normally by means of the weekly report, will allow the MPA, through the Chief Executive to identify those cases that are to be treated as “exceptional” cases requiring Authority approval to settle or otherwise make a payment. The working definition of an “exceptional” case in this context is “any case with the potential to cause real damage to the Authority or to the Service”, for example

• It involves a high profile claimant or an ACPO rank police officer or a member of MPS Management Board;
• There is a particular public interest in the case (i.e. claims of persistent harassment or discrimination over a sustained period of time, or it arises from a targeted operation against a police officer or police staff;
• There is a real risk that the MPS or MPA will be exposed to serious public criticism or that serious weaknesses in organisation or policy or procedures will be revealed.

11. The MPS will have a responsibility to identify exceptional cases even if the Authority has not specified that its settlement authority is required. Such cases will be individually notified to the Chief Executive in the first instance.

12. The Director of HR will make every effort to ensure that proposals for settlement of exceptional cases are presented to the Authority at the earliest opportunity.

13. Any application for authority to settle will be made to the Chief Executive who will then arrange for the case to be considered and determined. The request seeking approval will contain an adequate summary of the issues involved, including the legal advice, specifying a recommended course of action and level of funding sought, together with an assessment of alternative options, where appropriate. The Chief Executive will arrange for a case to be considered by the relevant Committee or under the Urgency procedure, as the case may be. Written confirmation of the Authority's approval is required by the MPS in every case. In any case, where a very urgent response is required due to sudden developments in the case, including immediately before or during a hearing, a verbal reports to the Chief Executive or nominee will be followed by a faxed copy of the request.

14. The Urgency Procedure will only be used as a last resort. Every effort will be made to ensure that decisions requiring Authority approval are dealt with through the appropriate committee processes of the Authority. Careful planning, underpinned by the timely receipt of appropriate information should minimise the need to invoke the urgency procedure.

Periodic reporting of statistics relating to employment cases

15. The Authority shall be provided with the following information every six months as a report to the Co-ordination and Policing Committee:

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