Blyth Consultancy Ltd Anne Blyth

HR Essentials 25th February 2016

Objectives

ü Appreciation of the HR Essentials ü Understand employer responsibilities in HR ü Recognise the breath of the employment law

framework and its impact on a business and on the manager role

ü Recognise any potential issues in the workplace as early as possible

ü Learn to avoid costly pitfalls

Agenda

•  Employment life-cycle •  4 Step Process

–  Step In: Recruitment

–  Step On: Training & Development

–  Step Up: Managing Performance –  Step Out: Terminations

•  Equality Act 2010 •  Data Protection Act

•  Get Ready for Legislation Changes

•  Further Information & Support

Employment Lifecycle Hire to Retire

1. STEP IN

Recruitment

Pre-Employment Planning:

Business Need

Budgeting | Salary Roles & Responsibilities

Legal Responsibilities

Recruitment Process:

Interview Process + Assessment Process

Equality Act 2010

2. STEP ON

Train & Develop

Legal Relationship: Offer Letter

Employment Contract | Statement of Employment

Company Handbook

Key Policies

Company Induction:

Company History

Health & Safety

3. STEP UP

Managing Performance

Managing Day to Day Performance

Absence Essentials

Lapses in performance

Performance Management:

Reviews | Appraisals

KPIs | Objectives

4. STEP OUT

Terminations

Dismissals:

Fair Reasons

Stage 1

STEP IN PROCESS

1. Step In: Recruitment

First things first… §  Business need for recruitment

§  Question: return on investment §  Clear roles and responsibilities

§  Full understanding the financial and legal responsibilities §  Salary | PAYE | HMRC | Pension | Liability

insurance §  Type of contract: permanent, temporary, fixed

term, zero hour contracts §  Place of work and necessary equipment to do

the job i.e. laptop §  Day to day people management

Preparation and Planning

1. Step In: Recruitment

§  Recruitment Policy in place §  Decide on the best and most efficient method

§  Job Advert §  Application form | CV §  Telephone interview §  Group assessment exercise §  Presentation §  Interview

§  Assessment criteria for shortlisting to interview stage (job specification)

§  Interview assessment | rating document §  Beware Discrimination: Equality Act 2010

Factual note-taking throughout

Recruitment Process

Equality Act 2010

§  The Act replaces previous legislation such as the Race Relations Act 1976 & the DDA 1995

§  Unlawful discrimination can take a number of different forms:

–  You must not treat a job applicant worse than another job applicant because of a protected characteristic

§  9 Protected Characteristics: age, disability, gender

reassignment, race, religion or belief, sex, sexual orientation, marriage and civil partnership and pregnancy and maternity

§  Disability Discrimination: It also limits the ability of employers

to ask questions about health and disability during the recruitment process.

Direct Discrimination - treating a person less favourably because they have a protected characteristic (applies to all protected characteristics). Example: A colleague is not offered a position because they are disabled or pregnant.

Indirect Discrimination - can occur when you have a rule or policy that applies to everyone but disadvantages a particular protected characteristic (applies to all protected characteristics except pregnancy/maternity) Example: If an employer requires everyone to work totally flexible hours this could indirectly discriminate against women who are less likely to be able to comply because of child care responsibilities.

Associative Discrimination - direct discrimination against someone because they associate with another person who possesses a protected characteristic (does not cover marriage/civil partnerships) Example: An employee who is refused, without good reason, a flexible working request to care for a disabled or elderly relative could have a claim for disability or age discrimination.

Discrimination by Perception - direct discrimination against someone because others think they possess a particular protected characteristic (does not cover marriage/civil partnerships) Example: Offensive comments made to a colleague who is perceived to be gay but who in fact is heterosexual.

Equality Act 2010

Equality Act 2010

§  Bullying §  Harassment §  Victimisation

Bulling

Abuse of someone's power or position to coerce others by fear or threat or to

undermine in front of others

10

Unwanted conduct that affects the dignity of men and women that creates an offensive or

hostile environment

11

Harrassment

Treating someone less favourably on the

basis that they have made a complaint or raised a grievance, or treating

someone less favourably on the basis that they supported another colleague’s

grievance

12

Victimisation

Discrimination?

Example An employer does not interview a job applicant because of the applicant’s ethnic background

Yes

Direct Discrimination

(Race)

Discrimination?

Example An employer says in a job advert ‘this job is

unsuitable for disabled people’.

Yes

Direct Discrimination

(Disability)

Discrimination?

Example A job involves travelling to lots of different places to see clients. An employer says that, to get the job, the successful applicant has to be able to

drive.

Yes

Indirect

Discrimination (Disability )

No (if objectively justified)

Discrimination?

Example An employer does not give someone the job,

even though they are the best-qualified person, just because the applicant tells the employer they

have a disabled partner.

Yes

Discrimination by Association

Discrimination?

Example A construction company is recruiting scaffolders. The company asks about health or disability on the application form or at interview because the

questions relate specifically to an applicant’s ability to climb ladders and scaffolding to a

significant height.

No – if objectively justified

Ability to climb ladders is an intrinsic part of the job

Discrimination?

Example An employer rejects an applicant for a

management job because they are 25 years old and much younger than the people they would be

managing. Yes

Direct Discrimination

(Age)

Discrimination?

Example An employer does not give an applicant the job, even though they are the best-qualified person,

because the employer incorrectly thinks the applicant is gay.

Yes

Discrimination by perception (Sexual

Orientation)

Discrimination?

Example An employer makes a job applicant feel

humiliated by telling jokes about their religion or belief during the interview.

This may amount to harassment

Discrimination?

Example An employer specifies that a job must be done on a full-time basis without having looked at whether

it might be suitable for part-time work or jobsharing

Yes

Indirect Discrimination (Sex)

Tribunal Awards 2014 / 2015

Although such payouts are not the norm, it is important to note that they do happen. Discrimination cases can be costly for firms- especially small

businesses. Average, median and maximum payouts for unfair dismissal & discrimination

claims (2014 – 2015):

Maximum Award Median Award Average Award Unfair Dismissal £238,216 £6,955 £12,362

Race Discrimination £209,188 £8,025 £17,040

Sex Discrimination £557,039 £13,500 £23,478

Disability Discrimination £239,913 £8,646 £17,319

Religious Discrimination £1,080 £1,080 £1,080

Sexual Orientation Discrimination

£80,783 £6,000 £17,515

Age Discrimination £28,428 £7,500 £11,211

Recruitment Materials Examples

Shortlisting Assessment Criteria Interview Form & Assessment

Step In: Getting it right

ü  Familarise yourself with the Equality Act (www.equalityhumanrights.com)

ü  Fair and consistent recruitment process ü  All applicants should be considered for roles applied for, regardless

of any protected characteristics ü  Keep (factual) full notes at all stages

–  Observation sheets | interview records in –  Retention 6 months (Data Protection Act)

×  Remember: not permitted to ask any health related questions prior to employing an applicant

ü  We are permitted to ask if the applicant would like us to consider any reasonable adjustments to enable them to take part in the online application or interview

2. Step On: Train & Develop

Legal Relationship

§  Offer letter: probationary period | references | right to work

§  Written Statement of Employment: known as a

"statement of terms”

§  Employment contract: comprehensive contract of employment allows an employer to specify an employee's duties and responsibilities

§  Company Handbook §  Key policies: Disciplinary & Grievance, Health &

Safety, Diversity & Equality

Written Statement of Employment

Main conditions of employment must include: §  Business’s name

§  Employee’s name, job title or a description of work and start date §  if a previous job counts towards a period of continuous employment, the date the period

started §  How much and how often an employee will get paid

§  Hours of work (and if employees will have to work Sundays, nights or overtime §  holiday entitlement (and if that includes public holidays)

§  Place of work §  How long a temporary job is expected to last or the end date of a fixed-term contract

§  Notice periods

§  Pension §  Who to go to with a grievance

§  How to complain about how a grievance is handled §  How to complain about a disciplinary or dismissal decision

Signature from both the employer and employee signifying acceptance to the terms and conditions of employment

2. Step On: Train & Develop

Purpose: to give new starts the appropriate welcome to the organisation. Content §  An organisational overview §  Physical and organisational orientation §  Health & safety information

§  Policy, H&S poster, accident book, first aiders & fire wardens

§  The job itself – role & requirements

Consequences §  Poor team integration §  Low morale, especially for the new starter §  Loss of productivity §  Health & safety: accidents

Company Induction

Step On: Getting it Right

ü  Ensure all candidate’s right to work documentation has been thoroughly checked, photocopied and filed in personal file §  Probationary periods and references support your recruitment decision

ü  Ensure all new employees have a written statement of employment

within the first 2 months of employment

ü  Think seriously about investing in a Company Handbook §  Includes key policies: disciplinary and grievance, health & safety, equality and

diversity as a minimum

ü  Develop an Company Induction for all new starts to include key health & safety training points

3. Step Up: Managing Performance

Absence | Attendance: §  Process for reporting absence (written

statement of employment) §  Call back on the day and regular contact

thereafter §  Return to work interview (1, 2, 3 absence

procedure) General Performance issues: §  Informal discussion to address performance

lapse §  Counselling session (record notes and actions

for improvement §  Disciplinary procedure

Performance Triggers

Absence: Key Principles

§  Ensure ‘how to report absence’ incorporated into the contract

§  Self-certification for the first 7 days

§  Doctor’s fit note thereafter §  Regular contact with employee during absence

§  Return to work on the first day back to work §  1st occasion in rolling 26 weeks: well-being discussion

§  2nd occasion in rolling 26 weeks: well-being, check-in to see if there is anything else causing absences (counselling)

§  3rd occasion in 26 weeks: pattern of absence and may progress to an investigation process

Performance Tools

Return to Work Form / Self-Cert

Counselling Form

Return to Work

Counselling Principles

§  Does not form part of the Disciplinary & Grievance process

§  Often a more satisfactory way to resolve problems than a formal interview §  The right word at the right time to bring about the desired

improvement

§  Informal discussion therefore no right to representation

§  Live for a maximum of 12 months

§  An employee does not have to be counselled before a formal disciplinary process is invoked - counselling should only be used for minor breaches of procedure

Preventing Grievances

§  Listen out for any comments or concerns raised by employees on a day to day basis – even those that may seem trivial, and act upon them!

§  Always try and make yourself available for employees to come and talk to you. If you are busy then agree a time when you can discuss any concerns with the employee

§  If an employee has raised concerns with you personally, then take them to a private area, and ask if they feel comfortable discussing it with you.

§  Take all grievances regarding diversity & equality seriously §  Take notes of all discussions: General File Note

Grievances: Note-taking

General File Note Investigation Hearing Notes

3. Step Up: Managing Performance

Performance Reviews

New Starter: §  Regular reviews in the probationary period §  Record and file all notes Performance Appraisals §  Yearly with a 6 month touch point §  Set clear objectives | KPIs

§  SMART (specific, measurable, achievable, realistic and timely

§  Personal training plans

Benefits §  Transparency on performance §  Motivational and engaging

Step On:Getting it Right

ü  Ensure absence reporting and the standard around occasions of absence is included in the written statement of employment (where a handbook is not available)

ü  Ensure that all absences are followed with callbacks (recorded and kept on file and return to work interviews)

ü  ‘nipping lapses in performance in the bud’ early can be advantageous

ü  Where informal ‘coaching for improvement’ doesn’t have the desired effect – progress to recorded discussions ie counselling

ü  Recognise the importance or reviews in new starter performance as well as SMART objectives on-going

4. Step Out: Terminations

Fair reasons to dismiss 1.  Conduct 2.  Capability or qualifications 3.  Redundancy 4.  Retirement 5.  Continued employment would be

against the law 6.  Some other substantial reason Dismissal Claims: Unfair Dismissal | Wrongful Dismissal | Constructive Dismissal

Step On: Getting it Right

ü  Complete an ‘exit interview’ with all employees that resign

ü  Always seek advice from an HR expert before initiating disciplinary procedure §  Unless already trained and have a set policy and procedure in place

ü  Always seek advice from an HR expert before a dismissal outcome is given

Data Protection Act 1998

What does this mean to employers?

Data Protection Act 1998 (DPA)

40

§  The Data Protection Act 1998 (DPA) is an Act of Parliament of the United Kingdom of Great Britain and Northern Ireland which defines UK law on the processing of data on identifiable living people. It is the main piece of legislation that governs the protection of personal data in the UK.

§  Controls how your personal information is then used by organisations, businesses or the government.

§  The Data Protection Act 1998 (DPA) is based around eight principles of ‘good information handling’. These give people specific rights in relation to their personal information and place certain obligations on those organisations that are responsible for processing it.

DPA Principles

1.  Personal data should be processed fairly and lawfully 2.  Data should be obtained only for one or more specified and

lawful purposes 3.  Data should be adequate, relevant and not excessive

4.  It should be accurate and where necessary kept up to date 5.  Any data should not be kept for longer than necessary

6.  Personal data should be processed in accordance with the individuals rights under the act

7.  Data should be kept secure

8.  Personal data should not be transferred outside the European Economic Areas unless the country offers adequate data protection

41

Employee Rights

An employee has a right to be told: §  what records are kept and how they’re used

§  the confidentiality of the records

§  how these records can help with their training and development at work

§  If an employee asks to find out what data is kept on them, the employer will have 40 days to provide a copy of the information

§  An employer shouldn’t keep data any longer than is necessary and they must follow the rules on data protection.

DPA Complaints

43

q Complaints can be made to

the ICO office:- §  If an employee thinks that their

data has been misused or that the organisation holding it hasn’t kept it secure

§  Nuisance calls & messages §  Accessing information §  How your information has been

handled §  Internet search results §  Cookies

q  ICO helpline number

The UK’s independent authority set up to: •  Uphold information rights in

the public interest, promoting openness by public bodies and data privacy for individuals.

DPA: Getting it Right

All employees to have an employee file: §  Name | address |date of birth | sex §  Education and qualifications §  Work experience §  National Insurance number | tax code §  Details of any known disability §  Emergency contact details

An employer can also keep details about an employee such as: §  Employment history with the organisation §  Employment terms and conditions (eg pay, hours of work,

holidays, benefits, absence)

§  Any accidents connected with work §  Any training taken §  Any disciplinary action | performance notes

Get Ready for Legislative Changes

§  National Living Wage: £7.20 for employees aged 25+ §  Holiday Pay

§  Zero Hours Contracts: employees right to bring employment claims if they are dismissed or subjected to a detriment for breaching an exclusivity clause

§  Workplace Pensions auto-enrolment mandatory for all business

Planning & Preparation for Change:

1.  Identify who will be affected 2.  Map out the process to implement the changes

3.  Seek support and advice

Further Supporting Information

§  GOV.UK (Employing people) §  https://www.gov.uk/browse/

employing-people

§  Equality and Human Rights Commission:

§  Equality Advisory Support Service (EASS) §  www.equalityadvisoryservice.com §  www.equalityhumanrights.com

§  Acas – The Independent Advisory, Conciliation and Arbitration Service §  www.acas.org.uk

Supporting Documents

ü Self-cert form ü Return to work ü Counselling form: lapses in

performance ü General file note: general

employee discussion

Q & A

       

Blyth Consultancy Ltd T: +44(0) 141 334 4788 M: +44(0) 7736 339 031

hello@blythconsultancy.co.uk

HR Experts | Training | Business Coach