1. Louise Woolridge / Andy Davies Human Resources

2. 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.

3. HR Survival Kit for Managers - content
Probation
Capability
Sickness Absence
Grievance
Disciplinary
The session is broken down into 6 key areas and follows the lifecycle of an employee at Keele University. This starts with the Recruitment & Selection process which should link seamlessly into probation. Unfortunately for our graphic to work, we need to assume the employee becomes the worst employee at Keele.
At first, they will have capability issues which impact on their ability to conduct their duties. They then suffer from repeated short-term sickness which needs to be managed.
Just when our manager thought they had overcome all the issues, the employee submitted a grievance against their manager. Although this was handled superbly by the manager and their HR link, the employee continued on their wayward path and was disciplined for a separate misdemeanour.
We really don’t wish you to become experts in the finer details of the HR policies in the next 2 hours. We hope that this will give you the understanding and confidence to know where to look, who to ask and what initial steps you can take to be self-sufficient. The majority of HR casework can be resolved at the earliest stages by a simple conversation. Apart from R&S, we intend to explain to you the informal stages of each of these policies so you can ‘nip it in the bud’.

4. HR Survival Kit for Managers - Objectives
Probation
Capability
Sickness Absence
Grievance
Disciplinary
HR Survival Kit for Managers - Objectives
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.

5. Recruitment & Selection
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Recruitment & Selection
I am sure that many of you will have worked at different organisations and therefore, will have experienced different arrangements for recruitment and selection. Our aim in the first segment is to briefly explain the process at Keele and then point you in the direction of our workshops which will enable you to conduct interviews.
The key point to know is that the main pitfall to avoid is discrimination. The legislation provides plenty of opportunity for candidates to raise a complaint against a myriad of areas where they believe they have been unfairly treated.
Our workshops provide you with the knowledge and skills to avoid such issues. Additionally, a recent complaint against one recruitment panel was successfully defended due to the adherence of our policies, the successful completion of the workshops by the panel and their application of their knowledge to the process.
As recruiting managers, you are responsible for not only the process but also determining where the post is advertised to archive the best selection of candidates. Importantly, it is your Faculty/Directorate that pays the advertising bill. We will discuss this more in a few minutes but I encourage you to look at alternative sources of advertising!

6. Recruitment & Selection
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Recruitment & Selection
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…..
I am sure that many of you will have worked at different organisations and therefore, will have experienced different arrangements for recruitment and selection. Our aim in the first segment is to briefly explain the process at Keele and then point you in the direction of our workshops which will enable you to conduct interviews.
The key point to know is that the main pitfall to avoid is discrimination. The legislation provides plenty of opportunity for candidates to raise a complaint against a myriad of areas where they believe they have been unfairly treated.
Our workshops provide you with the knowledge and skills to avoid such issues. Additionally, a recent complaint against one recruitment panel was successfully defended due to the adherence of our policies, the successful completion of the workshops by the panel and their application of their knowledge to the process.
As recruiting managers, you are responsible for not only the process but also determining where the post is advertised to archive the best selection of candidates. Importantly, it is your Faculty/Directorate that pays the advertising bill. We will discuss this more in a few minutes but I encourage you to look at alternative sources of advertising!

7. Recruitment & Selection
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Recruitment & Selection
And now it’s time for a quiz….
A quick quiz, see how many of these you get right.

8. How many jobs were advertised at Keele in 2012/2013
121
371
243 91

9. How many jobs were advertised at Keele in 2012/2013
The answer is 371

10. How many interviewees were there in 2012/2013?
1184
421
232
871

11. How many interviewees were there in 2012/2013?
The answer is 1184

12. What % of new starters remained at Keele for more than 1 year?
91%
99%
94%
97%

13. What % of new starters remained at Keele for more than 1 year?
The answer is 94%

14. How much was spent on advertising vacancies in 2012/2013?
£180k
£60k
£100K
£80K

15. How much was spent on advertising vacancies in 2012/2013?
The answer is £180k

16. Recruitment & Selection
R&S
Probation
Capability
Sickness Absence
Grievance
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.

17. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
Probationary periods are used for new employees to enable both managers and employee to assess their suitability for the role in which they have been appointed. At Keele, there are varying lengths of probationary periods which are based on the job family. This means that probationary periods can range from 6 months to 3 years.
The contract request form provides a list of options and guidance notes for the recruiting manager. This helps determine the probationary period which is then recorded in the contract of employment.
You should think carefully before dismissing the probationary period. Even if a new colleague is a ‘known’ from a previous University new appointees should always complete the probationary period for reason we are about to discuss.
Importantly, the law has recently changed regarding unfair dismissal. It now requires that an employee must have served at least 2 years continuous service before they can claim unfair dismissal at an Employment Tribunal. However, this does not stop a colleague applying to the ET for another reason such as discrimination.

18. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
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?
Probationary periods are used for new employees to enable both managers and employee to assess their suitability for the role in which they have been appointed. At Keele, there are varying lengths of probationary periods which are based on the job family. This means that probationary periods can range from 6 months to 3 years.
The contract request form provides a list of options and guidance notes for the recruiting manager. This helps determine the probationary period which is then recorded in the contract of employment.
You should think carefully before dismissing the probationary period. Even if a new colleague is a ‘known’ from a previous University new appointees should always complete the probationary period for reason we are about to discuss.
Importantly, the law have recently changed regarding unfair dismissal. It now requires that an employee must have served at least 2 years continuous service before they can claim unfair dismissal at an Employment Tribunal. However, this does not stop a colleague applying to the ET for another reason such as discrimination.

19. Was the appointment right?
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
Employee
Manager
Understand the organisation.
Induct the employee into the organisation.
Fully understand the requirements of the post.
Get to know the strengths and 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?
Employee:
They gain a greater understanding of the culture and values of the organisation. For some, this may also lead onto the practicalities of working at the University; e.g. travelling arrangements to and from work.
Although the post details are in the advertisement, along with the JDPS, the realities of the post are often not seen until conducting the duties.
Previous skills and knowledge which are assessed through the selection process may not align to the needs of the role. Some may have lied or embellished their abilities and this can become quite obvious when asked to conduct tasks.
Some roles demand specific training before they can be conducted. For some posts this may require a series of workshops (internal/external) which is tied to the completion of probation. Where this is the case, managers must provide support to employees to source the workshops and make the time for them to attend.
Manager:
This is your chance to explain to a new employee ‘how things are done around here’. It is important that they understand the history and ethos; the Keele Knowledge Programme can assist with this. More locally, you can explain some of the inter-team relationships, who to call when sick, where the stationary cupboard is etc. In short, it can help with your expectation setting which is then back-up by a series of robust probationary objectives.
The employee may also show greater ability/capacity that was realised during the selection process. This can be built upon to shorten the timescales of probationary objectives and deliver a greater output to your business. If the opposite applies and weaknesses are identified, you will need to find the underlying reasons; capability, training, lack of application, distraction, undisclosed disabilities or external factors.
The skills and knowledge tested during the selection process are only a snap-shot. The probationary period can help to reinforce the decision you made to appoint them or it can show further areas for development. This link with the previous and last points and may determine what training objectives you include in the probationary targets.

20. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
What would you do if an employee just isn’t meeting the probationary targets?

21. Probation What would you do if an employee just isn’t working out?
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
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.
Simply put, you should have regular meetings where you are honest about their performance. These should be documented so that both of you are clear about your discussions and expectations.
These should set and review probationary objectives. From these discussion should come training requirements which support the employee to conduct the duties.
If, in spite of support/guidance/training, the colleague still does not meet the objectives, should should again have an honest conversation.
One option is to extend the probationary period to provide a final period do time for the employee to display the skills and knowledge you expect of the incumbent. You should set out clearly what is expected and re-affirm that ‘…should these targets not be achieved I will be unable to confirm your appointment and therefore, your employment will cease on DD MM YY…’
If the end of the probation date passes and you haven’t sought to extend it or explained that they are not meeting the objectives, the appointment will technically be confirmed by default.
We do have some templates for you but you are not mandated to use them. If nothing else, your colleague to record the discussion.

22. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
What happens if you don’t have the honest conversation and you do confirm them in post at the end of their probation?
Shoutout

23. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
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.
We could use Charles Dickens’ Christmas Carol to think about this. Imagine 12 months after appointment, you have a colleague who is now under-performing. Other colleagues have started to complain to you that you are not doing anything about them and they are not delivering on their objectives. Colleagues from other departments have started to make oblique references to your new starter and that ‘things are not the same as they used to be’. You have also heard some students talking between themselves and mimicking the mistakes your new starter has made. Your own manager comes to see you to feedback some comments they have received at a working group where your new starter has meant to be contributing and tells you that they are just not producing results. Your manager then asks ‘What are you doing about it?’ We will discuss the answer to this question is a few minutes time.
How much of this could have been avoided by regular, honest conversations, objective setting etc?

24. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Quick Quiz
We have a few questions for you….we are not displaying results but hopefully you will be able to see which is the right answer as we discuss each point.

25. What is taken into account when determining the length on probationary period?
Salary.
Complexity, seniority, experience and terms & conditions.
Number of direct reports.
Month in which appointed.

26. 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: Complexity, seniority, experience and terms & conditions.

27. Which of the following comments is it likely to be unhelpful for a manager to make at a probationer's progress meeting?
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.

28. 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.

29. Which of the following statements will help both employee and manager during the probationary period?
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.

30. Which of the following statements will help both employee and manager during the probationary period?
The answer is: Be honest and document meetings.

31. Probation Hand-outs: In summary,
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Probation
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.

32. Capability R&S Probation Capability Sickness Absence Grievance
Disciplinary
Capability

33. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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.

34. Capability The levels:
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Capability
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.

35. Capability What is the threshold where there is a capability issue?
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Capability
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.
By discussing your situation with HR, we will be able to explore and challenge the failings of your employee. The harder to spot capability issue are the small events over a period of time.

36. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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?
There may be good reason why your colleague has capability issues. However, these are often not discussed by the colleague or understood by the manager.
Home situations have a direct effect on people’s ability to conduct their duties at work. These are the most difficult to understand but can be assisted by counselling though the in-house Staff Counselling service.
Mental Health issues (commonly stress/depression/anxiety) are causes of capability problems at work. Referral to OH can help to understand how colleagues can be supported through reasonable adjustments and to ensure that colleagues are receiving the correct support from GP/other health providers.
Many people will try to hide dyslexia during the selection process albeit this may become a problem during their employment. Clearly, this would not prevent them from being appointed to a role and if we were aware during the selection process, we could make adjustments for test time etc. Once employed, it maybe that colleagues with dyslexia require simple adjustments to help them become more effective. This could include reader software that would be funded after referrals to Access to Work and our on-site Educational Psychologist.
And how the team functions also affects the capability of colleagues, especially new members to the team.

37. R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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.

38. Capability Please read the case study for Barry.
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Capability
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?
Consider the case study for Barry and answer the 4 questions.

39. Capability Informally?
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Capability
Informally?
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/Signposting:
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:
How does he think his performance has been?
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?
Team Interaction:
Speak to the all team leaders and advise them that poking fun has to stop.
Remind them they have a responsibility as Team members to lead by example.
Ask how they can all work together with common outputs.
Here are the answers to the 4 questions which we will discuss. Clearly, this is an exceptional case with everything present for the sake of the workshop. This would be a great opportunity to discuss with HR after the open day debacle when we would discuss many of the background issues that may be affecting his performance.

40. Capability Completion of a Personal Development Plan.
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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.
Prepare 500 faculty open day packs, containing up-to-date information as listed in the contents list, and deliver to me by 20 March.
Possible shut out – dependant on time.

41. Capability In summary: Act promptly where there are capability issues.
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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.

42. Break for 15 minutes.

43. Sickness Absence R&S Probation Capability Sickness Absence Grievance
Disciplinary
Sickness Absence

44. So ….. Why manage sickness absence?
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Sickness Absence
So ….. Why manage sickness absence?
For most people, sickness absence will not be a problem. It is natural that people become sick and then recover. Sickness absence management is used when the levels of sickness are unacceptable and directly affecting the business outputs.

45. 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
Cost - Paying sick pay, paying someone else to perform the absent employee’s work
Impact on service - Continuity, reduced level of service, loss of service completely
Impact on others- High levels of absence can cause resentment, low morale and demotivate those employees who have to take on the absent employee’s work.
People go off sick for a number of reasons, not always because of illness. These can be:
- Childcare and Dependent responsibilities
- Personal or family problems
- Transport
- Leisure Activities/lifestyle
- Location of home relative to work
Contagion - If left unmanaged, high levels of sickness absence will be seen as acceptable
Responsibility - Good attendance management conveys to employees that their employer is concerned about their attendance and well-being, that management genuinely wishes to remove or reduce any work-related factors that might discourage reliable attendance, and that taking time off work without good reason will not be tolerated.
The majority of sickness absence is genuine and we as an employer have a responsibility to ensure that we provide all reasonable support to facilitate an employee’s ability to return to health and the workplace.

46. 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.

47. Types of sickness absence
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Types of sickness absence
Long-term
Short-term, intermittent, or sporadic
Non-compliance with sickness absence reporting procedures

48. Sickness Absence – Information and Records
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Sickness Absence – Information and Records
Information on sickness history, patterns, trends and reasons can be accessed on the HR Dashboard
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.
Talk about:
Dashboard, and what it can be used for. Also Qlikview
The OH service and what they can advise on, and how it helps managers and employees
Talk about record keeping – file notes after phone conversations, hard copies of s, signed statements from formal meetings, etc. Make point that many sickness cases can become extremely complex and confrontational if good records are not kept

49. Sickness Absence – Information and Records
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Sickness Absence – Information and Records
Talk about:
Dashboard, and what it can be used for. Also Qlikview
The OH service and what they can advise on, and how it helps managers and employees
Talk about record keeping – file notes after phone conversations, hard copies of s, signed statements from formal meetings, etc. Make point that many sickness cases can become extremely complex and confrontational if good records are not kept

50. Disability and Reasonable Adjustments
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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 to assist with lifting, carrying or portering duties
- Additional time allowance for writing reports, letters, grant publications, etc.
Ill health or injury is sometimes caused by a specific event such as an accident. More often it is a combination of factors, such as increased workloads, lack of control over work or a failure to take breaks. Pain and discomfort feel more acute when there are other difficulties to deal with at the same time.
If an employee is suffering from back or joint pain, you may need to consider adjustments to ergonomic factors like working posture, the equipment used, the working environment, the pace of production and the spacing of rest breaks.
Employees will readjust more easily and gain confidence to cope with lingering pain or depression brought about by events outside work if they feel supported at work, demands are reasonable and tasks are satisfying.

51. Sickness Absence quiz! What would you do first??!
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Sickness Absence quiz!
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

52. Sickness Absence In summary:
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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 possible ways forward
Keep clear, detailed audit trails and notes of all communication
Refer more complex sickness absence issues to HR

53. Complaints & Grievances
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Complaints & Grievances

54. Complaints & Grievances
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Complaints & Grievances

55. Complaints & Grievances
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Complaints & Grievances
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.
If we think about the employment life cycle again, and each ‘segment’ of the wheel, there are numerous reasons or bases for an employee to raise a complaint or grievance. These may include, and are likely to be centred around:
Recruitment & Selection –
Non-selection complaints (application & interview) (associated to discrimination by the applicant)
Non-selection complaints (application & interview) (process and/or criteria)
Non-selection complaints from internal candidates (application & interview) (possibly due to communication and/or feedback)
Equality of treatment during selection process
Conduct of panel (possibly associated to discrimination)
Appointment & Induction -
Expected salary / increment
Lack of / poor induction
Probation -
Disagreement over length of probation
Extension of probation
Disagreement over targets and PDP
Management of probationary period, process followed, and any extension period
Confirmation of probation -
Delays in decision to confirm or not confirm
Non-confirmation of probation (termination of employment)
Capability and performance processes -
Explain definition of capability and performance, and what it encompasses, such as sickness incapability
The most common complaint arises from the employee disagreeing with being managed under capability or performance process:
Being managed
Processes requiring them to be monitored and reviewed
Disagreeing that their performance is poor or lacking
Disputing the KPI’s used to measure performance
Complaining about lack of or poor management guidance, instruction and clarity around expectations
Manner in which issue dealt with (particularly formal proceedings – hence better to deal with informally)
Complaints about reasonableness of management expectations around performance and attendance in sickness cases

56. Complaints & Grievances
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Complaints & Grievances

57. Complaints & Grievances
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Complaints & Grievances
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 achieving the resolution
No formal action taken or decision made at this meeting against any party involved

58. Complaints & Grievances
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Complaints & Grievances
In summary:
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

59. Disciplinary R&S Probation Capability Sickness Absence Grievance

60. Disciplinary It’s the ‘won’t do’ rather than the ‘can’t do’
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Disciplinary
It’s the ‘won’t do’ rather than the ‘can’t do’
For what kind of acts might you consider taking disciplinary action?
There is no definitive list regarding sanctions to be issued for specific acts of misconduct
It is for the investigating officer, with appropriate support from HR, to determine the facts of the case and present them accordingly
It will be for the manager hearing the disciplinary case, with HR guidance, to determine the appropriate sanction
They are:
Breaches of standards of conduct and behaviour
e.g. timekeeping, breach of policy/procedures, theft, abuse, violence, fraud, etc
Won’t Do
They are not:
Related to under-performance – genuine incapability
Capability issues- where due to ill health or disability
Can’t Do
Examples of misconduct might include:
refusing or neglecting to comply with reasonable and legitimate management instructions;
unauthorised absence, or poor timekeeping.
Examples of gross misconduct, which could lead to an
employee’s summary dismissal, might include:
fraud, for example falsification of qualifications, timesheets, expenses and overtime claims;
theft of, or wilful damage to, property of the University, or colleagues and students of the University or of other persons performing duties or services for the University.
Further guidance can be found in the policy
This list is not exhaustive

61. Disciplinary Informal Action: Used wherever possible
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Disciplinary
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!

62. Disciplinary Formal Action:
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Disciplinary
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

63. Disciplinary Quiz! Please consider:
R&S
Probation
Capability
Sickness Absence
Grievance
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?
The informal solution may not be appropriate because of what the actions led to. As an manager, we would hope you want to address the poor behaviour of both colleagues through a formal disciplinary hearing. This is a case where you would definitely call HR!
Which employee would you suspend while the investigation is carried out? One or both? HR would discuss with you the backg4round to this case, especially any previous incidents that you may have dealt with informally, to see if there is a bigger issue that just what is shown on the video. Overall, we may suggest that both are suspended pending investigation and hearing as the outcome of the formal procedures could see one or both dismissed. Or if, either of them was to return to work, we may also discuss if their position was tenable within that office.
Just on the basis of the video, the minimum expect would be a warning. However, this could easily be a dismissal for one or both. The hearing would take into account the provocation that caused the man on the left to respond but would not mitigate his attack on the other man.

64. The maximum compensatory award for Unfair Dismissal
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Disciplinary
The cost of getting it wrong!
Did you know??
The maximum compensatory award for Unfair Dismissal
currently stands at £74,200
Also, bad press and negative PR.

65. Disciplinary - Summary
R&S
Probation
Capability
Sickness Absence
Grievance
Disciplinary
Disciplinary - Summary
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.

66. So, do you think you can survive HR matters?!
Probation
Capability
Sickness Absence
Grievance
Disciplinary
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.
Information at your fingertips!
HR link person (see HR website homepage for details)
HR website – policies & procedures
DOHS website
ACAS website
HR Dashboard