1. Human Resources Division
Personal and Professional Development
@cam_ppd
Managing Staff Performance: Disciplinary and Capability Procedures for those with responsibility for others
9.30 Intro: me, aims, prog, them, watch film (Acas Challenging Conversations: Nick is the finance manager and it’s come to his attention that some invoices were not sent out on time last week. Carol is in his team and she has responsibility for these invoices. He asks Carol for a meeting.)
Deal with these together as issues can intersect – principle and skills are common
Will not get detailed support for individual cases or details of all policies across all staff groups today
Intro activity: in pairs, name and why here?
Qs to group – for background/dev? An issue? A potential issue? Experience (managing, being managed, observation)?
You might be: New to the Uni, new to management, involved in HR support, have a problem…
To get the most from it
Share experience
Understand common principles and processes
Build on skill for management more generally
Aims, by the end of the session you will:
Understand how the procedures fit in to the broader framework of managing performance, behaviour and development
Identify good practice in day to day management that can help to prevent problems involving arising
Have an understanding of the ‘formal’ elements of the Capability and Disciplinary procedures, including the key similarities and differences between them
Have an overview of procedures in place to support employees with concerns in the work place, including the Grievance and Dignity and Work procedures (bearing in mind that treated well/consistently likely at avoid a grievance)
Programme
 We will cover:
Avoiding problems: good practice in managing others 9.50
Why employees may not meet expected standards in their role (reasons)
Other relevant University support and guidance
Recognising and dealing fairly with underperformance or misconduct: (10.10)
Capability vs Disciplinary
The procedures – an overview of the steps (10.20)
Useful skills: questions, setting standards and giving feedback
BREAK 11.00
The Grievance procedure, Dignity at Work and the Mediation Service
HR Advisory – Q&A (11.30)
Remember that majority of perf and behavior issues are dealt with informally
Watch ACAS film – watching it go wrong! What are possible consequences of this discussion? ACAS Advisory, Conciliation and Arbitration Service (non-dept public body)
Performance?
Behaviour?
– blame
Grievance
Skills used/needed?
Related courses:
MSP
Ass in Mangt
SRD ILM
Online – LE: R&R, FB, Diff convs.
Jessie Monck, PPD,

2. Roles and responsibilities
Managers…
responsibility to create an environment to help ensure individuals and the team can and do get the job done
All employees…
responsibility to meet the standards and expectations of the job
Activity – page 2
Managing well takes time. Not managing well takes even more time (and personal cost).
A manager’s role is to manage the TASKS, TEAM, and INDIVIDUALS.
Their role is to get the best from people in terms of performance, development and behaviour.
And ALLOW them to get the job done (encourage independence)
It is not an event but rather a strategic and integrated process that operates as a continuous cycle.
Good managers… ensure individuals and the team can and do get the job done
Commit time to planning and managing the team as well as other tasks
Recruit the right person, use induction and probation effectively
Plan ahead, agree and communicate clear objectives
Give regular and constructive feedback
Review and make plans with individuals, give opportunities for development
Be approachable, encourage input, listen and communicate effectively
Lead by example, celebrate successes and learn from mistakes
Support, build trust, motivate and encourage independence
Good employees… share responsibility to make the most of these
Employees must take responsibility to meet the expectations and requirements and OBJECTIVES of the job. This may include:
Take time to plan ahead – how they will achieve their objectives?
Review and communicate about progress or difficulties
Ask for support if necessary
Take on board constructive feedback
Take opportunities to develop necessary skills and knowledge
Contribute to overall team plans and objectives
Communicate effectively
NB managers are also employees  with standards to meet

3. Why do people sometimes not meet the standards and expectations of their role?
Insufficient training
Unclear instructions
Not aware of standard expected
Cannot reach standard despite support
Ill health
Carelessness or lack of effort
Under influence of drink/drugs …
Activity/discussion page 3

4. Overview of approach to achieving improvement
Having a structured and rational problem-solving approach
Gradual increase in formality where necessary
Part of working relationship, actions by managers have to be:
proactive and supportive
timely, consistent and justifiable
in line with good management practice
Page 2
Whatever the problem is – approach to getting improvement – it is expected that manager and employee take an active role in achieving the improvement – slide is basic principles
Procedures are
a structured way of achieving improvement
facilitative, not punitive
protective to the employer as well as supportive for the individual
any actions by managers have to be consistent and justifiable
and in line with the principles and substance of employment legislation
ideally would move gradually if problems arise after the probationary period from advice and support to more formal steps to rectify whatever problem has arisen
Use the correct policy and procedure to support improvement

5. University guidance, policies and procedures for managing and supporting performance and behaviour
All policies start with informal (day to day) actions and progress to more formal actions
Capability – lack of capability i.e. employee can’t (outside their control, may include skills, ability, aptitude and knowledge)
Disciplinary – deals with misconduct i.e. employee won’t (behaviour within their control)
Also: Sickness absence, Induction, Probation, Staff Review and Development, Grievance, Dignity at Work …
– information for:
Established Officers (academic and academic-related
Unestablished Officers (incl CRS)
Assistant staff
Page 3 – Disc/Cap
Sickness absence or capability
In deciding whether the Sickness Absence Policy or the Capability Policy will apply, consideration should be given to how the ill-health is affecting the employee's ability to carry out their job to the required standard. If the issue is primarily that the individual has unacceptable levels of absence from work, then the Sickness Absence Policy will apply. If the individual is largely attending work but their performance of their work is affected due to ill-health, the Capability Policy will apply. For advice and guidance on managing cases related to capability, please contact the relevant HR Business Manager or their team.
Disciplinary
Absence due to persistent lateness or poor timekeeping should be managed under the relevant Disciplinary Policy. For advice and guidance on managing cases related to conduct, please contact the relevant HR Business Manager or their team.
Disability
Consideration must be given to whether an individual’s absence may be caused or exacerbated by a disability under the Equality Act Disability is defined under the Act as a physical or mental impairment that has a ‘substantial’ and ‘long-term’ negative effect on an individual’s ability to do normal daily activities. Where this is the case, care should be taken to avoid discrimination arising from the disability. In practice, this means that any action taken in response to absence concerns will need to be proportionate and appropriate. Consideration must also be given to whether there are reasonable adjustments which could be made to the employee’s working arrangements, including changing duties or providing additional training, as well as making reasonable adjustments to the application of the Sickness Absence Policy.

6. In exceptional circumstances it may be necessary to move to stage 3
Issue identified
Informal
Discussion
Formal meeting (
stage 1 )
First Improvement
Notice 2
Final Improvement 3
Improvement
Further action
Further action*
No further action
Employee informed
of the decision in writing
Consult with HR
In exceptional circumstances it may be necessary to move to stage 3
Discuss Page 4 – compare with Page 5 Disciplinary procedure – similarities/differences?
Exceptional circumstances only – employee's performance has fallen significantly below the acceptable standard with extremely serious consequences.
Capability procedure: Informal stage and 3 formal stages
Follow the correct University procedure – be prompt, fair and consistent.
Records should be kept at all stages of the procedure and be confidential (in line with the DPA).
1. Take informal action wherever possible
2. Take formal action:
Carry out an investigation to establish the facts
Inform employee in writing
Hold meeting – chance to discuss
Allow employee to be accompanied
Decide action
3. Inform employee of result, for example:
No penalty
First written warning or improvement note
Final written warning
Dismissal or other sanction
Consider mediation at any stage
Keep records at all stages
*Speak to HR if you haven’t already

7. Informal stage (day to day management)
Seek to resolve issues informally and as early as possible
Plan to meet. Give feedback using CEDAR – be specific, factual and give examples, including:
Asking questions to enable the individual to self-review and identify possible future actions and support
Agree future actions and support
Allow time to demonstrate improvement and plan time to review progress
Be clear that if the problem persists there may be a need to make it more formal
Is there sufficient improvement? Yes (no further action) or No (progress to the formal stage*)
*Speak to your HR School team if you have not already
RECORD
The process should be supportive not punitive – Problem solving approach
Agree training if needed & RECORD discussions/plans
Record: e.g. minutes, s, letters, phone calls.
Next 2 slides: feedback and activities to support development

8. Activities to support development needs
go on a course
work shadow or swap
find a mentor or be a mentor
reading/research
observe/speak to ‘an expert’
coaching with ‘an expert’
be ‘the expert’ and teach someone else
take opportunity to practise
attend meeting/event
work on a project with others
delegation – can provide many possibilities for development
Self reflection and assessment (supported as appropriate)
If underperformance is due to lack of skills/knowledge, assess training needs.
Training/development may be useful if employee new joiner/promoted, new technology introduced, or work methods changed.
Consider job rotation, job shadowing

9. Disciplinary policy – examples of misconduct
(from Disciplinary Policies)
wilful failure to perform the duties of the post
persistent unsatisfactory timekeeping
unauthorised absence from work
refusing to comply with reasonable requests from the work supervisor
incapacity to perform the duties of the post effectively due to alcohol or drug abuse
Acts of discrimination, bullying or harassment against any member of the University community
misconduct in research
breach of duty regarding non-disclosure of confidential information
breach of the University or Department safety or other regulations or rules
breach of any other conditions of employment

10. Your School HR team will support with:
Advice at informal stages
Support with formal stages, possibly including:
Investigation
Suspension as appropriate
Inviting employee to formal meeting in writing
Conducting formal meeting including preparation and structure
Confirm warning as appropriate
Deciding on next action at each stage
Letter including Accompaniment, right to appeal, timescales
Structure: chair, presentation of the case, adjournment if req, meeting outcomes
Improvement notice:
State improvement in performance required (performance improvement plan)
Targets for improvement
Timescales Support to be provided
Consequence of not meeting targets
Right to appeal
Review periods

11. Preventing problems (create harmony)
Clear expectations of performance and behaviour
Deal with problems early on
Communicate and listen well
Keep it objective not personal
Focus on actionable solutions
Encourage ‘no-blame’ culture
Show mutual respect
Keep confidences and build trust

12. Creating harmony and wellbeing at Cambridge
Happy employees = 80% on task
Least happy = 40% on task

13. Further support for managers
Use relevant Policies, Guidance and Toolkits
Contact your HR School Team for advice and template letters
Consider learning more about:
Enhancing your communication skills
Providing constructive feedback
Adapting your management style to enhance performance
Understanding learning styles
Setting SMART objectives
See toolkit for advice in each of these areas.

14. PPD’s online learning resources
Effective SRD
Behavioural Attributes Framework
Giving Effective Feedback
Managing Challenging Conversations
Roles and Responsibilities
Communicating Assertively
And more

15. What will you… Stop doing (or do less of)? Start to do more of?
Continue to do?
Think it, ink it, do it, review it
Think about how you support others.