The role of HR
• Provide advice on employment law and best practice • Support the recruitment and selection process• Support a range of wellbeing activities including OH
referrals and return to work programmes• Provide advice and assistance in managing staff
performance and conduct• Support change management initiatives• Develop a range of HR policies and procedures
HR Survival Kit for Managers - content
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Objectives
• Provide you with knowledge of key HR processes• Enable you to deal with common staffing problems before
referring to HR• Understand when HR should be contacted for expert
guidance• Understand where to look for further support/reference
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Recruitment and Selection R&SProbationCapabilitySickness AbsenceDisciplinaryGrievance
The Process
• Post Approval• Job Description/Person Specification
Stage 1 –Approval
• Sentinel – approximately £1200• Sentinel online – approximately £350• Keele Website, Job Centre and Facebook/Twitter – Free
Stage 2 - Advert
• Shortlisting – Against the Person Specification• Testing – If included in the Person Specification• Interview – Against the Person Specification
Stage 3 - Selection
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Selection Methods
Selection methods
Interview
In tray test
Role play
Assessment
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Interview Techniques
• Ask open questions• Questions must relate to the person specification • Ask candidates to talk about their experiences• All questions must be the same for every candidate –
follow up questions may vary• Use it as an opportunity to test the candidates
knowledge • Ensure sufficient notes are kept
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Beware of practices that may be discriminatory!
Race
Age
DisabilityMarital status
and civil partnership
Religion or belief
Sex or sexual orientation
Gender reassignment
Pregnancy and maternity
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Recruitment and Selection
In summary:• We have training to prepare you for interviews. These are
mandatory if you’re involved in the selection process• Advertising is expensive! Be creative wherever possible • Competence can be assessed through a number of
selection methods• Ensure all recruitment decisions relate back to the person
specification • The main legislation governing recruitment is to prevent
discrimination
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ProbationR&SProbationCapabilitySickness AbsenceDisciplinaryGrievance
Probation - Discussion
Why is the probationary period important for both the manager and the employee?
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Benefits of probation
Employee Manager
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Effective management of probation
• Ensure a thorough induction • Provide clear and timely feedback and clarify expectations• Keep robust records of good and not so good performance • Provide support, training and guidance in development areas• Hold a probationary review meeting at 1, 3 and 6 months • Things not working out? Contact HR ASAP
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Probation - Case Study
2 months ago a new member of staff (Tina Turner) joined your team. Since Tina started, you have encountered the following problems:
• 2 instances of lateness• Poor attendance record (bradford factor score of 36)
These problems are having a negative impact on the team. Staff are saying that they don’t want to be put on the same shift as Tina as she is unreliable.
You have given Tina the benefit of the doubt and have not yet spoke to her about the issues. As things haven't improved, you now want to take things
forward.
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Probation – Case Study
• How would you approach the situation?
• How would you manage the remainder of the individuals probationary period?
• What could have been done differently?
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Case study notes…
_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
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Probation
What happens if you don’t address the issues and concerns you have and you do confirm the individual in post at the end
of their probation?
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Probation
This happens!...
• You keep an under-performing colleague for a long time (potentially)• There could be an impact on the service delivery and a morale issue within your
team• You will need to manage them under the capability procedure once they have
been confirmed in post
Remember - Your most effective way of dealing with an employee who isn’t performing is during their probationary period
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ProbationIn summary:• Hold regular discussions within appropriate timeframes,
allowing reasonable opportunity for any concerns to be addressed
• Be honest – the individual may not be aware of their under performance and may need direction to address / improve this
• Document discussions – summarise your discussions in writing, identifying successes and concerns, including any target setting and supportive measures
• Ensure employee is aware of the consequences of continued poor performance
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CapabilityR&SProbationCapabilitySickness AbsenceDisciplinaryGrievance
Capability
• The purpose of the capability procedure is:• to ensure that staff achieve and maintain the level of work
performance that is expected of them
• to provide a fair and consistent mechanism for dealing with those employees who are unable to achieve a satisfactory level of work performance
• If performance continues to be unsatisfactory, despite appropriate support, the outcome may be relevant formal warnings potentially leading to dismissal
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When should you consider using the Staff Performance Capability Procedure?
Failure to deliver
outcomes or meet
deadlinesSeries of smaller
events that are
continuous
After the probation has been
confirmed Still under-performing
despite feedback,
guidance and support
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Capability• The process:
– Informal:• Stage 1 - Investigation of the 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 with guidance from HR
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Capability
• The purpose of informal guidance/advice is to provide a positive framework in which the individual 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
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Personal Development Plans Objectives Measured by
Support measures
Reviewed by
THESE ARE SPECIFIC OBJECTIVES RELATING TO THE EMPLOYEE’S DEVELOPMENT AREAS. IT IS USEFUL TO RELATE THESE BACK TO THE COMPENTENCIES OUTLINED WITHIN THE APPRAISAL DOCUMENTATION
i.e To consistently comply with health and safety standards and procedures, ensuring the safety of yourself and others at all times.
THINK ABOUT HOW YOU WILL KNOW IF THE OBJECTIVE HAS BEEN ACHIEVED AND HOW THEY WILL BE MEASURED
i.e. Customer feedback, self reflection, management observation, audit/inspections, incident rates
HOW WILL YOU SUPPORT THE EMPLOYEE IN ACHIEVING THEIR OBJECTIVES?
i.e. mentoring, formal/ informal training, shadowing, regular feedback and guidance, use of clear policies and procedures
SPECIFIC DATE THAT THE OBJECTIVES WILL BE REVIEWED AND BY WHOM. DATES NEED TO BE REALISTIC.
i.e. manager to review objectives by December 2013.
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Capability - Case Study
A member of your team (Barry White) has a role that involves regularly serving customers. You have received feedback on a few customer comment cards that refer to Barry being quite unfriendly and unhelpful. You have also noticed that he only
communicates with other team members when asked to do so. The team have started to become quite hostile towards Barry and you’ve heard a few whispers from staff referring to him as
being miserable and anti-social. You’ve provided feedback during your last couple of 1-1
meetings, however no improvement has been made.
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Capability – Case Study
1/ Based on the information within the case study, draft a personal development plan (PDP) for Barry. Consider what objectives you would set to assist him in improving his performance.
2/ What key points would you discuss with Barry as part of the informal stage?
3/ How would you deal with the team?
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Capability Vs Disciplinary
- Displays a lack of interaction with the customer
- Struggles to complete appropriate Health and Safety
documentation effectively - IT skills need improvement
- Receive a complaint of rude and offensive behaviour from a customer- Conscious breach of health and safety guidelines - Accessing inappropriate website during work
CAN’T DO WON’T DO
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CapabilityFactors which could affect an individual’s performance and what you can do to understand these better:
• Health issues• refer to OH for guidance on determining reasonable
adjustments• Emotional Wellbeing
• make aware of the counselling service (OH may do this)• Dyslexia
• contact HR to arrange a Dyslexia assessment• Work relationships
• is everything ok within the team?
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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 do/won’t do - capability is about can’t do. Won’t do 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 your HR link for further advice
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Sickness AbsenceR&SProbationCapabilitySickness AbsenceDisciplinaryGrievance
Types of Absence
• Short-term/ intermittent Sickness Absence
• Long-term Sickness Absence• Unauthorised Absence
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Sickness Absence – Exercise
What do you think are the top 4 causes of Short-term and Long-term absences?
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Sickness Absence – ExerciseMost common reasons
SHORT TERM ABSENCE LONG TERM ABSENCE
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Why manage 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• Risk of it being seen as the ‘norm’• Managerial and moral obligation
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Managing Absence – Short Term
The most common methods used to manage short-term absence are:
• Return-to-work interviews
• Record & monitor attendance
• Set trigger mechanisms to review level of absence
• Formal procedures for unacceptable absence
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Sickness Absence – Role Play
Return to work Interview – role play
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Managing Absence – Long Term
The most common methods used to manage long-term absence are:• Regular telephone contact
• Occupational health involvement
• Consideration of fit note recommendations
• Absence review meetings
• Risk assessments
• Phased Return to work plans
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Sickness Absence – Exercise
Occupational Health ReferralWhat’s good? What’s not so good?
What could you do differently?
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Disability and Reasonable Adjustments
• 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• Additional time allowance for writing reports, letters, etc.
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Managing Absence - Unauthorised
What is Unauthorised Absence &How would you manage it?
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Discussion notes…
_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
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Sickness Absence
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
appropriate ways forward• Seek guidance from HR regarding complex sickness absence
issues
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Disciplinary R&SProbationCapabilitySickness AbsenceDisciplinaryGrievance
Managers role• The primary purpose of the disciplinary procedure is to ensure
acceptable standards of conduct are met and maintained. When an individual breaches these standards, as a Supervisor/Line Manager you may be appointed as the ‘Investigating Officer’
• Before invoking the formal stages of this procedure, HR advice should be sought
• All parties involved must ensure that they maintain, as appropriate, the confidentiality of the process within and outside the University
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Misconduct
• Examples of misconduct are refusing or neglecting to comply with reasonable and legitimate management instructions; unauthorised absence, persistent lateness, rude or offensive behaviour
• Minor lapses of conduct may be dealt with informally
• There is no definitive list regarding sanctions to be issued for specific acts of misconduct
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Gross Misconduct • Serious offence
• Disciplinary action that may warrant suspension from duty whilst the matter is being investigated
• May result in the employee’s dismissal from the University if the allegation is upheld
• A dismissal for gross misconduct would be with immediate effect and without notice (summary dismissal)
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Disciplinary – Exercise
Gross misconduct or misconduct?
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Disciplinary - Exercise
Please circleIdentify for each example below if you think it would potentially constitute misconduct or gross misconduct:
M GM An employee has claimed for hours that they may not have worked
M GM An employee has assaulted another member of staff
M GM An employee is disappearing during working hours
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Informal stage
• Use for minor lapses of conduct• Informal investigation• Clarify standards of acceptable conduct• Outline expected improvements (in writing)• No warnings to be given at this stage
Should the individual fail to meet the required standards, the formal stage of the process may be invoked. Please liaise with manager/ HR for further advice.
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Investigations • As the investigating officer you should ensure that the employee is invited
to an investigatory meeting and given an opportunity to respond to the allegations made against them
• If this is as part of the formal disciplinary process, the invite should be made in writing with the required notice, specifying the allegation and the right to be accompanied
• Consider appropriate sources of information. Investigation Guidelines are available to assist you.
• Compose a list of suitable questions ensuring the appropriate techniques (i.e. open/closed/probing) are used.
• You will then investigate the issues and summarise your findings in a management report which will be sent to senior management for consideration
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Disciplinary – The cost of getting it wrong!
Did you know??
The maximum compensatory award for Unfair Dismissal
currently stands at £74,200
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Disciplinary In summary • Deal with minor lapses of conduct informally where
appropriate and ensure discussions are documented• Consider if misconduct or gross misconduct and seek HR
guidance before invoking formal stages• Ensure appropriate notification and right to representation is
given• Ensure a full investigation is completed in accordance with the
Investigation Guidelines• No warnings can be issued outside of the formal disciplinary
process
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Grievances and Raising Concerns R&SProbationCapabilitySickness AbsenceDisciplinaryGrievance
Purpose of the Grievance Procedure
• To provide individuals with a course of action should they have a complaint
• To provide a framework within which a complaint will be investigated/explored
• To endeavour to achieve a successful outcome
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Grievances and Raising Concerns
The principles of informal meetings:
• 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 reaching the resolution
• No formal action taken or decision made at this meeting against any party involved
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Exploring the grievance
• Carry out necessary investigations, including speaking to other relevant parties to establish the facts
• Consider the case and facts carefully
• Consider if and how the concern can be resolved, including what reasonable actions or measures can be implemented
• Sum up response in writing
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What is harassment?
• Harassment is a range of unacceptable behaviour which subjects an individual or a group to unwelcome attention, intimidation, humiliation, ridicule, offence or loss of privacy and creates an intimidating, hostile or offensive environment.
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Harassment
Harassment
BULLYING
GENDER
RACE
DISABILITY
SEXUALORIENTATION
AGE
RELIGION
OTHER
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Grievance - Exercise
What's your first action?
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GrievanceIn summary:
• Ensure complaints are raised under correct policy and procedure
• Ensure informal steps have been exhausted• Complaints are thoroughly investigated
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So, do you think you can survive HR matters?!
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• Got concerns?• Have some questions? • Want more information?
Information at your fingertips!
• Link HR Advisor (see HR website homepage for details)
• HR website – policies & procedures
• DOHS website• ACAS website
QUESTIONS or COMMENTS?