The role of HR

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

R&SProbationCapabilitySickness AbsenceDisciplinaryGrievance

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


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


Selection Methods

Selection methods

Interview

In tray test

Role play

Assessment


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


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


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


ProbationR&SProbationCapabilitySickness AbsenceDisciplinaryGrievance

Probation - Discussion

Why is the probationary period important for both the manager and the employee?


Benefits of probation

Employee Manager


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


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.


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?


Case study notes…

_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


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?


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


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


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


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


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


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


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.


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.


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?


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


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?


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


Sickness AbsenceR&SProbationCapabilitySickness AbsenceDisciplinaryGrievance

Types of Absence

• Short-term/ intermittent Sickness Absence

• Long-term Sickness Absence• Unauthorised Absence


Sickness Absence – Exercise

What do you think are the top 4 causes of Short-term and Long-term absences?


Sickness Absence – ExerciseMost common reasons

SHORT TERM ABSENCE LONG TERM ABSENCE


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


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


Sickness Absence – Role Play

Return to work Interview – role play


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


Sickness Absence – Exercise

Occupational Health ReferralWhat’s good? What’s not so good?

What could you do differently?


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.


Managing Absence - Unauthorised

What is Unauthorised Absence &How would you manage it?


Discussion notes…

_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


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


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


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


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)


Disciplinary – Exercise

Gross misconduct or misconduct?


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


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.


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


Disciplinary – The cost of getting it wrong!

Did you know??

The maximum compensatory award for Unfair Dismissal

currently stands at £74,200


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


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


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


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


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.


Harassment

Harassment

BULLYING

GENDER

RACE

DISABILITY

SEXUALORIENTATION

AGE

RELIGION

OTHER


Grievance - Exercise

What's your first action?


GrievanceIn summary:

• Ensure complaints are raised under correct policy and procedure

• Ensure informal steps have been exhausted• Complaints are thoroughly investigated


So, do you think you can survive HR matters?!


• 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?

Documents

The role of HR