Louise Woolridge / Andy Davies
Human Resources
HR Services
• We provide a range of services to you which includes
expert advice from professionally qualified staff.
• Establishment of new posts, advertisement, recruitment &
selection of new staff.
• We support a range of wellbeing activities for you and
your staff including OH referrals and return to work
programmes.
• Performance management including training on the
appraisal process.
• Provision of employee benefits to recruitment of quality
staff and remain an employer of choice.
HR Survival Kit for Managers content
Disciplinary
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
HR Survival Kit for Managers Objectives
Grievance
Sickness
Absence
• Provide you with knowledge of key HR processes.
• Enable you to deal with common place staffing problems
before referring to HR.
• Understand when HR should be contacted for expert
guidance.
• Understand where to look for further support/reference.
R&S
Probation
Capability
Disciplinary
Recruitment & Selection
Grievance
Sickness
Absence
R&S
Probation
Capability
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Recruitment & Selection
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Grievance
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Capability
• All organisations do this differently.
• Main legislation surrounding R&S is through the Equality Act
2010; i.e. don’t discriminate against anyone or group of
applicants.
• We run separate R&S workshops which you will need to
undertake prior to conducting an interview.
• The LPDC website contains advice on induction at Keele.
• And don’t get me started on advertising costs…..
Disciplinary
Recruitment & Selection
And now it’s time for a quiz….
Grievance
Sickness
Absence
R&S
Probation
Capability
How many jobs were advertised at
Keele in 2012/2013
A.
B.
C.
D.
121
371
243
91
How many jobs were advertised at
Keele in 2012/2013
The answer is 371
How many interviewees were
there in 2012/2013?
A.
B.
C.
D.
1184
421
232
871
How many interviewees were
there in 2012/2013?
The answer is 1184
What % of new starters remained
at Keele for more than 1 year?
A.
B.
C.
D.
91%
99%
94%
97%
What % of new starters remained
at Keele for more than 1 year?
The answer is 94%
How much was spent on
advertising vacancies in
2012/2013?
A.
B.
C.
D.
£180k
£60k
£100K
£80K
How much was spent on
advertising vacancies in
2012/2013?
The answer is £180k
Disciplinary
Recruitment & Selection
Summary:
- We have workshops to prepare you for interviews.
- We will soon have these available as e-learning.
- Please book through the LPDC website.
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Probation
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Probation
R&S
Grievance
Sickness
Absence
Probation
Capability
• There are a variety of probationary periods ranging from 6
months to 3 years.
• This will have been identified on the contract request form
following selection of the successful candidate.
• ……Why do you think it is important for both colleague and
manager?
Disciplinary
Grievance
Probation
Employee
R&S
Sickness
Absence
Probation
Capability
Manager
Understand the organisation.
Induct the employee into the
organisation.
Fully understand the requirements of the Get to know the strengths and
post.
weaknesses of the employee.
Show they have the skills and knowledge
to perform the duties.
Confirm the employee has the skills and
knowledge.
Undertake training required for the post
and to meet any areas of development.
Identify areas for development.
Was the appointment right?
Disciplinary
Probation
Grievance
Sickness
Absence
What would you do if an employee just isn’t meeting the
probationary targets?
R&S
Probation
Capability
Disciplinary
Probation
R&S
Grievance
Sickness
Absence
Probation
Capability
What would you do if an employee just isn’t working out?
• Need regular reviews and be honest.
• Consider re-explaining tasks, re-training or developmental
training to increase ability to conduct the role.
• If still not meeting expectations, state that clearly and
explain why.
• Consider extending the probationary period to provide an
opportunity for the benefit of the training etc to be realised.
• Document discussions – write to them.
Disciplinary
Probation
Grievance
Sickness
Absence
What happens if you don’t have the honest conversation and
you do confirm them in post at the end of their probation?
R&S
Probation
Capability
Disciplinary
Probation
R&S
Grievance
Sickness
Absence
Probation
Capability
What happens if you don’t have the honest conversation and
you do confirm them in post at the end of their probation?
• You keep an under-performing colleague for a long time
(potentially).
• There could be an impact on your business output and a
morale issue within your team.
• You will need to manage them under the capability
procedure.
• Your most effective way of dealing with someone who isn’t
performing is during their probation.
Disciplinary
Quick Quiz
Grievance
Sickness
Absence
R&S
Probation
Capability
What is taken into account when determining
the length on probationary period?
1.
2.
3.
4.
Salary.
Complexity, seniority, experience and terms &
conditions.
Number of direct reports.
Month in which appointed.
Which of the following comments is it likely to be unhelpful for a
manager to make at a probationer's progress meeting?
1.
The answer is: Complexity, seniority, experience and terms & conditions.
Which of the following comments is it likely to be unhelpful for a
manager to make at a probationer's progress meeting?
1.
2.
3.
4.
I've noticed a substantial improvement in your
written work since our last meeting. In the past
month, you made only one error, compared to 10
in the previous month.
I'd like you to work on improving your
timekeeping. In the past month you've been over
15 minutes late on 10 different occasions, which
is unacceptable.
Some further improvement in your work is
required. While you have increased your output
from 20 to 25 units per hour, the target output is
30 units per hour.
You seem to be doing ok generally.
Which of the following comments is it likely to be unhelpful for a
manager to make at a probationer's progress meeting?
The answer is: You seem to be doing ok generally.
Which of the following statements will help both
employee and manager during the probationary
period?
1.
2.
3.
4.
Lie about the employee’s
performance.
Blame others for the employee
not achieving their objectives.
Be honest and document
meetings.
Change the probationary
objectives without informing the
employee.
Which of the following statements will help both
employee and manager during the probationary
period?
The answer is: Be honest and document meetings.
Disciplinary
Probation
Grievance
Sickness
Absence
• Hand-outs:
– Guidance notes for Managers dealing with probationary periods.
– Templates for probationary reviews – feel free to customise them.
• In summary,
– Hold regular discussions.
– Be honest.
– Document discussions.
R&S
Probation
Capability
Disciplinary
Capability
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Capability
R&S
Grievance
Sickness
Absence
Probation
Capability
• The aim of the capability procedure is to assist the member
of staff to achieve satisfactory work performance.
• However, continued underperformance may also result in
relevant warnings and ultimately to dismissal.
Disciplinary
Capability
Grievance
Sickness
Absence
• The levels:
– Informal:
• Stage 1 - Investigation of problem, identification of causes and provision of
guidance/advice/adjustments.
– Formal:
• Stage 2 - First Formal Written Warning
• Stage 3: Final Formal Written Warning
• Stage 4: Dismissal
• We want to equip you to handle the informal stage of this
procedure. For anything beyond this, call your HR link.
R&S
Probation
Capability
Disciplinary
Capability
Grievance
What is the threshold where there is a capability issue?
- Judgement call for a manager.
- Often a failure to deliver outcomes or meet deadlines.
- Series of smaller events that are continuous.
- Should be used after probation.
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Capability
R&S
Grievance
Sickness
Absence
Probation
Capability
What factors could affect a colleague’s performance and what
would you do to understand these better?
- Health issues – refer to OH for a report to help determine
reasonable adjustments.
- Wellbeing – the counselling service is available although this
may be picked up and signposted by OH.
- Dyslexia – contact HR to arrange a Dyslexia assessment.
- Work relationships – is everything ok within the team?
Disciplinary
Capability
R&S
Grievance
Sickness
Absence
Probation
Capability
• The purpose of informal guidance/advice is to provide a
positive framework in which the colleague can improve their
performance.
• Achieved by:
– Support from the manager.
– Advice, guidance, coaching, training or supervision.
– Use of Personal Development Plans.
• Should be within a timescale that takes account of the
context of the problem, the individual and the needs of the
University.
Disciplinary
Capability
Grievance
Sickness
Absence
• Please read the case study for Barry.
• If it helps, discuss the case with your neighbour.
• Consider:
– Is this a case that you would deal with through the informal stage?
– What questions would you have for Barry?
– Would you refer Barry to anyone to establish any further
background?
– What would you do about the interaction within the team?
R&S
Probation
Capability
Disciplinary
Capability
R&S
Grievance
Sickness
Absence
Probation
Capability
Informally?
Referral/Signposting:
Yes. It could be argued that action should have been
taken earlier. There is now plenty of substance to
include in an honest conversation. Main output
should be a Personal Development Plan which is
reviewed regularly.
Referral to OH – the text must be shown to Barry.
Outcome is to ensure he is receiving the right
treatment from GP, that you are aware of impact of
any medication/treatment and possible further
referral to counselling service.
Questions for Barry:
Team Interaction:
How does he think his performance has been?
Speak to the all team leaders and advise them that
poking fun has to stop.
Any issues you need to be aware of?
How is he getting on with the wider team?
How are the 121s with staff going?
Has he identified any training/support needs?
Remind them they have a responsibility as Team
members to lead by example.
Ask how they can all work together with common
outputs.
Disciplinary
Capability
R&S
Grievance
Sickness
Absence
Probation
Capability
• Completion of a Personal Development Plan.
• Depends on context but for Barry, 6-8 weeks.
• Objectives: Specific, Measurable, Achievable, Realistic, Time
bound.
Have a go at writing a SMART objective for Barry to prepare the
packs for the next open day which is due on 22 March.
Disciplinary
Capability
R&S
Grievance
Sickness
Absence
Probation
Capability
In summary:
• Act promptly where there are capability issues.
• The informal stage is an opportunity for both parties to
quickly resolve an issue.
• Can’t work/won’t work - capability is about can’t work.
Won’t work is a disciplinary issue.
• Where you have followed the informal stage, with a PDP and
suitable period of time for improvement, and there are still
problems…..call you HR link.
Break for 15
minutes.
Disciplinary
Grievance
Sickness Absence
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Grievance
Sickness Absence
So ….. Why manage sickness absence?
Sickness
Absence
R&S
Probation
Capability
Sickness Absence
•
•
•
•
Cost of loss of productivity and working time
Impact on service
Impact on others – morale, pressure of workload
Duty of care and responsibility to the member of staff off
sick
• Contagion!
• Managerial and moral obligation
Sickness Absence
• Work related factors for sickness absence could be:
- Working patterns making it difficult to manage
work/family commitments
- Terms and conditions e.g. pay, holiday, etc.
- Career or job frustration – leads to boredom and inertia
- Management style – need for direction, support, recognition,
development
- Perceived stress
- Specific problems at work, e.g. bullying, workload
- Environmental factors affecting employee’s levels of comfort
at work.
Types of sickness
absence
• Long-term
• Short-term, intermittent, or sporadic
• Non-compliance with sickness absence
reporting procedures
Disciplinary
Grievance
Sickness
Absence
R&S
Probation
Capability
Sickness Absence –
Information and Records
Disciplinary
Grievance
Sickness
Absence
R&S
Probation
Capability
• Information on sickness history, patterns, trends and reasons can be
accessed on the HR Dashboard http://hrinfo.admin.keele.ac.uk/
• A referral to Occupational Health, if appropriate, can provide up to date,
impartial medical information and advice, to help you manage the case,
support the individual, and inform your decision making and consideration
of adjustments
• It’s vital that detailed and accurate records are kept by managers,
throughout all stages of the sickness absence case – these clear audit trails
could defend your position when/if you need to.
Sickness Absence –
Information and Records
Disciplinary
Grievance
Sickness
Absence
R&S
Probation
Capability
Disability and Reasonable
Adjustments
•
Disciplinary
Grievance
Sickness
Absence
R&S
Probation
Capability
A disability is defined in the Equality Act 2010 (Disability Regulations) as:
“a physical or mental impairment that has a substantial
and long-term adverse effect on an employee's ability
to carry out normal day-to-day activities”.
•
Employers have an obligation to consider any reasonable adjustments, which may
include:
- Specialised computer hardware or software
- Increased flexibility to attend medical appointments
- Disabled access to a building or floor
- Specialist equipment to assist with lifting, carrying or portering duties
- Additional time allowance for writing reports, letters, grant publications,
etc.
Disciplinary
Sickness Absence quiz!
Grievance
Sickness
Absence
What would you do first??!
Put the following in order of action/consideration:
•
•
•
•
•
•
•
•
•
•
•
•
Refer to Occupational Health
Contact the employee
Contact HR
Consider a formal sickness incapability hearing
Invite the employee to meet with you
Conduct Return to Work interview
Discuss and consider reasonable adjustments
Discuss and agree a phased return to work
Make file notes of phone conversations
Write to the employee as not been possible to speak to them by phone
Find out reason for absence and request Fit Note
Implement attendance targets and monitor over set timescales
R&S
Probation
Capability
Disciplinary
Sickness Absence
Grievance
Sickness
Absence
R&S
Probation
Capability
In summary:
• Act promptly, and maintain regular contact with the employee
• Ensure that poor attendance is closely monitored and
managed
• Refer to Occupational Health as per timescales, and act upon
this medical advice in conjunction with HR
• Meet with the employee to discuss absence, well being and
possible ways forward
• Keep clear, detailed audit trails and notes of all
communication
• Refer more complex sickness absence issues to HR
Disciplinary
Complaints & Grievances
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Complaints & Grievances
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Complaints & Grievances
Grievance
Sickness
Absence
• Scenario:
How would you manage a situation whereby one of
your employees writes to you formally, to say they
believe they have been treated unfairly?
• Consider in pairs, what steps you would take and
why.
R&S
Probation
Capability
Disciplinary
Complaints & Grievances
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Complaints & Grievances
The principles of informal meetings:
R&S
Grievance
Sickness
Absence
Probation
Capability
• Confidential 1 to 1 with the member of staff
• Conducted in a private room/setting where the member of staff feels
comfortable
• No HR or Trade Union presence
• Open and probing discussion to establish facts
• Recommended 80:20 (employee:manager) ratio for discussion
• Establishing:
– What the individual wants to achieve
– How they would want to achieve it
– What role the manager has in achieving the resolution
• No formal action taken or decision made at this meeting against any party
involved
Disciplinary
Complaints & Grievances
In summary:
R&S
Grievance
Sickness
Absence
Probation
Capability
• Can arise at any time where staff have a grievance relating to
their employment.
• Need to be dealt with immediately and every effort will be
made to seek a resolution to the matter through informal
discussions.
• The aim is to resolve all grievances and disputes in a timely,
consistent and equitable manner.
• Good, detailed records should be taken at all meetings and
kept confidentially on a case file
• Refer more complex or unresolved issues to HR
Disciplinary
Disciplinary
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Disciplinary
R&S
Grievance
Sickness
Absence
Probation
Capability
• It’s the ‘won’t do’
rather than the
‘can’t do’
• For what kind of
acts might you
consider taking
disciplinary action?
Disciplinary
Disciplinary
R&S
Grievance
Sickness
Absence
Probation
Capability
Informal Action:
•
•
•
•
Used wherever possible
Used for minor offences – can be a “quiet word”
Highlight the areas of concern and consider the use of guidance/training
Warning that more formal action may be taken if unacceptable conduct
continues
• Confirm in writing the details of the issue and what improvement is
required
• Highlight that this may be referred to if formal action becomes necessary
• Must be done promptly!
Disciplinary
Disciplinary
R&S
Grievance
Sickness
Absence
Probation
Capability
Formal Action:
•
•
•
•
•
•
Used when Informal action is not appropriate or has not been successful
More serious offences
Consistent breaches of rules and/or procedures
Serious breach of rules and/or procedures
Employee must be informed of allegations in writing
Investigation required - no disciplinary meeting can be convened without
an investigation
• May need to consider suspension depending on the seriousness of the
offence
• Formal warnings can only be given at formally convened disciplinary
hearings
Disciplinary
Disciplinary Quiz!
Please consider:
 Could the situation be resolved
through formal/informal action?
 Is there a need to suspend the
employee? If so, why?
 Is this situation likely to result in
a warning/dismissal?
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Disciplinary
The cost of getting it wrong!
Did you know??
The maximum compensatory award
for Unfair Dismissal
currently stands at £74,200
Grievance
Sickness
Absence
R&S
Probation
Capability
Disciplinary
Disciplinary - Summary
Grievance
Sickness
Absence
R&S
Probation
Capability
•
The primary purpose of the disciplinary procedure is to ensure acceptable
standards of conduct are met and maintained.
•
Disciplinary issues are breaches of these standards of conduct – otherwise known
as Misconduct, or if severe, Gross Misconduct.
•
As a Line Manager you are likely to be appointed as the ‘Investigating Officer’ for a
member of staff in your team.
•
As a Senior Manager you may be appointed to hear a disciplinary case .
•
Managers should seek HR advice before invoking this procedure.
•
Maintaining confidentiality is imperative, within and outside the University.
So, do you think you can
survive HR matters?!
Summary:
• Keep records or
conversations that you
may need later.
• Act early to prevent
issues escalating.
• Contact your HR link.
Disciplinary
R&S
Grievance
Sickness
Absence
Probation
Capability
Information at your
fingertips!
• HR link person (see HR website
homepage for details)
• HR website – policies &
procedures
• DOHS website
• ACAS website
• HR Dashboard