introduction to employment law and hr practices louise plant university human resources

Introduction to Introduction to Employment Law and HR Employment Law and HR

practicespracticesLouise PlantLouise Plant

University Human ResourcesUniversity Human Resources

Morning session - planMorning session - plan

Introduction to HR issues Introduction to HR issues Recruitment & Selection Recruitment & Selection Break at approx. 11:30amBreak at approx. 11:30am Complaints & Grievances Complaints & Grievances

Lunch 1-2pmLunch 1-2pm

Afternoon session - planAfternoon session - plan

Line Management in briefLine Management in brief Disciplinary & Performance Disciplinary & Performance

Incapability ManagementIncapability Management Managing Sickness AbsenceManaging Sickness Absence Confidentiality & Data ProtectionConfidentiality & Data Protection

Finish approx 4:30pmFinish approx 4:30pm

An introduction to Human An introduction to Human Resources (HR) Resources (HR) The management of people at workThe management of people at work Is a management advisory function, both Is a management advisory function, both

strategic and operationalstrategic and operational Chartered Membership of the Chartered Chartered Membership of the Chartered

Institute of Personnel and Development Institute of Personnel and Development (CIPD), plus Degree (CIPD), plus Degree

Detailed knowledge of employment law and Detailed knowledge of employment law and practical applicationpractical application

Advising, negotiating, influencing, Advising, negotiating, influencing, persuading, defending, justifying, persuading, defending, justifying, challenging, decision-makingchallenging, decision-making

Role of Human Resources Role of Human Resources

Managing employee relations casesManaging employee relations cases Supporting and advising managers Supporting and advising managers Compiling detailed case files, and Compiling detailed case files, and

documentation for Employment Tribunalsdocumentation for Employment Tribunals Attendance in Court – justify decision-Attendance in Court – justify decision-

making and defend University’s positionmaking and defend University’s position Providing Management training, Providing Management training,

development and coachingdevelopment and coaching Ensuring best practice is followed and Ensuring best practice is followed and

avoiding claims of discriminationavoiding claims of discrimination

What do HR deal with and What do HR deal with and why?why? Sickness management, and cases linked to the Sickness management, and cases linked to the

DDA (1995)DDA (1995) Performance Management and incapability Performance Management and incapability Complaints and grievancesComplaints and grievances

- Harassment & Bullying- Harassment & Bullying

- Discrimination- Discrimination Disciplinary cases & DismissalsDisciplinary cases & Dismissals Resourcing and Workforce PlanningResourcing and Workforce Planning Change Management – VS, re-structuring, Change Management – VS, re-structuring,

redundancyredundancy Management development Management development Policy formulation and implementationPolicy formulation and implementation

Intro to Human Resources Intro to Human Resources

Any Questions?Any Questions?

Recruitment & SelectionRecruitment & Selection

Use fair and equitable processesUse fair and equitable processes Plan and prepare to ensure the Plan and prepare to ensure the

process is effective and professionalprocess is effective and professional Aim to provide a positive experience Aim to provide a positive experience

for all applicantsfor all applicants Highlight the University / Students Highlight the University / Students

Union as an employer of choiceUnion as an employer of choice


It is unlawful to discriminate on grounds of:It is unlawful to discriminate on grounds of: gendergender marital statusmarital status maternitymaternity racerace disabilitydisability sexual sexual orientation religion or beliefreligion or belief gender reassignmentgender reassignment ageage

Discrimination - definitionsDiscrimination - definitions

Direct DiscriminationDirect DiscriminationTreating a person less favourably than Treating a person less favourably than

another because of actual or perceived another because of actual or perceived gender, race, disability, marital status, gender, race, disability, marital status, gender reassignment, sexual orientation, gender reassignment, sexual orientation, religion or belief, age.religion or belief, age.

Indirect DiscriminationIndirect Discrimination (not disability) (not disability)Applying a provision, criterion or practice to Applying a provision, criterion or practice to

everyone which disadvantages people of a everyone which disadvantages people of a particular gender, race, marital status, particular gender, race, marital status, gender reassignment, sexual orientation, gender reassignment, sexual orientation, religion or belief, age.religion or belief, age.

Disability DiscriminationDisability Discrimination

Discrimination either direct or disability-Discrimination either direct or disability-relatedrelated

Employers are required to make Employers are required to make reasonable adjustmentsreasonable adjustments

Keele operates the ‘two ticks’ scheme:-Keele operates the ‘two ticks’ scheme:-

Promoting Equality, Valuing Diversity.Promoting Equality, Valuing Diversity.

Harassment & VictimisationHarassment & Victimisation

It is unlawful to victimise or harass a person on the grounds of gender, race, disability, marital status, gender reassignment, sexual orientation, religion or belief, age.

Harassment – Conduct which violates a person’s dignity or creates an environment for them which is intimidating, hostile, degrading, humiliating or offensive.

Victimisation - Treating someone less favourably when they have made a complaint or allegation, or have given evidence in such a complaint or allegation of discrimination

Impact of Poor Recruitment Impact of Poor Recruitment

Service/workload issuesService/workload issues Opportunity costsOpportunity costs Re-recruitment costsRe-recruitment costs Impact on other staffImpact on other staff Training costs/inputs/timeTraining costs/inputs/time Legal costsLegal costs Public relations costsPublic relations costs

ImmigrationImmigration

5 Tier Framework5 Tier Framework New Points Based SystemNew Points Based System Resident Labour Market Test Resident Labour Market Test

(RLMT)(RLMT) Certificates of SponsorshipCertificates of Sponsorship Changes to process and Changes to process and

documentationdocumentation Interview NotesInterview Notes

Advert TextAdvert Text

Words/phrases that are commonly used in adverts:

Young Young EnergeticEnergetic

Able bodied Dynamic

Motivated Newly Qualified

Team Player Experienced

Self Starter Mature

Sense of humour Flexible

Q. Which of these are unsuitable and why?

AdvertisingAdvertising

DO:DO: Advertise in suitable locations Advertise in suitable locations Include a contact name and Include a contact name and

number for enquiriesnumber for enquiries Keep the advert text relevantKeep the advert text relevant Advertise for at least two/four Advertise for at least two/four

weeks for external advertsweeks for external adverts


Quiz!Quiz!

(10 mins)(10 mins)

Person SpecificationPerson Specification

Description of qualifications, skills, Description of qualifications, skills, experience and personal attributes experience and personal attributes required to do the jobrequired to do the job

Usually broken down into essential Usually broken down into essential (minimum) and desirable criteria(minimum) and desirable criteria

All criteria must be relevant and All criteria must be relevant and assessable assessable

Avoid criteria which could be viewed Avoid criteria which could be viewed as discriminatoryas discriminatory

Role of the Chair of the panelRole of the Chair of the panel

Chair is responsible for entire Chair is responsible for entire selection processselection process

Agree shortlisting and selection Agree shortlisting and selection processesprocesses

Ensure processes meet Equal Ensure processes meet Equal Opportunities requirementsOpportunities requirements

Agree format of interview and Agree format of interview and allocate areas of questioningallocate areas of questioning

Keep notes of decision-making Keep notes of decision-making processprocess

Open, control and close interviewOpen, control and close interview

ShortlistingShortlisting

Carried out by Appointment Carried out by Appointment PanelPanel

Input from outside Appointment Input from outside Appointment PanelPanel

Based on Person SpecificationBased on Person Specification Process must be fair and non-Process must be fair and non-

discriminatory to all candidatesdiscriminatory to all candidates Sponsorship/Eligibility to work in Sponsorship/Eligibility to work in

the UKthe UK

Interviews Interviews

• Prepare and plan the structure of the Prepare and plan the structure of the interviewinterview

• Questions based on Person Questions based on Person SpecificationSpecification

• Ask open, probing questionsAsk open, probing questions• Let the candidate do the most of the Let the candidate do the most of the

talkingtalking• Keep master copy of notesKeep master copy of notes• Treat internal applicants exactly the Treat internal applicants exactly the

same as external applicantssame as external applicants

Making the most of interviewsMaking the most of interviews

Ask job-related questions Ask job-related questions Listen to the answersListen to the answers Ask follow-up job- related questionsAsk follow-up job- related questions Let the candidate do most of the Let the candidate do most of the

talkingtalking Give the candidate the opportunity to Give the candidate the opportunity to

ask questionsask questions Make notesMake notes Get someone else to make notes Get someone else to make notes

when you are asking questionswhen you are asking questions

The Offer of Employment The Offer of Employment

Offer comparable salary for postOffer comparable salary for post Consider all conditions of Consider all conditions of

employment before making offeremployment before making offer Beware of verbal (legally Beware of verbal (legally

binding) contract when offering binding) contract when offering jobjob

All offers should be conditional – All offers should be conditional – subject to references, CRB, etcsubject to references, CRB, etc

FeedbackFeedback

Responses should be carefully prepared Non-selection for interview feedback must

relate to the Person Specification Non-selection following an interview must

relate to the job requirements and performance at interview/assessments etc

Refusal to give feedback may infer culpability

If in doubt, please contact your HR Link

Conclusion – Recruitment & Conclusion – Recruitment & Selection Selection Remember - it is an important Remember - it is an important

processprocess Make sure your process is fair and Make sure your process is fair and

compliant with all relevant legislation compliant with all relevant legislation – check with HR if not sure– check with HR if not sure

Avoid personal opinions/prejudicesAvoid personal opinions/prejudices Relate everything to the Relate everything to the

requirements of the jobrequirements of the job Plan and prepare thoroughlyPlan and prepare thoroughly

Break!Break!

15 minutes15 minutes

Complaints & Grievances Complaints & Grievances

Q. How and when do complaints arise?

(group discussion – 10 minutes)(group discussion – 10 minutes)

The Employment Life CycleThe Employment Life Cycle

Recruitment andSelection

Appointment and Induction

Probation

Confirmation of Probation

Capability and Performance

Processes During employmentprocesses

Disciplinary Processes

Leaving employmentprocesses End of Fixed Term

Contracts

Retirement/ resignation

Disciplinary process

Managing Complaints – the Managing Complaints – the role of the Managerrole of the Manager To support by providing opportunities for To support by providing opportunities for

individuals to raise concernsindividuals to raise concerns To endeavour to resolve a complaint To endeavour to resolve a complaint

informallyinformally To have a working knowledge of the policiesTo have a working knowledge of the policies Not to form an opinion at an early stageNot to form an opinion at an early stage To establish the factsTo establish the facts To facilitate the individual to identify their To facilitate the individual to identify their

preferred resolution to the issuepreferred resolution to the issue To ensure the individual is treated fairlyTo ensure the individual is treated fairly To have processes and mechanisms in To have processes and mechanisms in

place to ensure that staff place to ensure that staff feel feel they are being they are being treated fairlytreated fairly

Role of the ManagerRole of the Manager

To discuss with the individual as to what To discuss with the individual as to what their desired resolution would be, and how their desired resolution would be, and how they might achieve itthey might achieve it

When appropriate, to provide or offer a When appropriate, to provide or offer a resolutionresolution

To be able to recognise when to seek To be able to recognise when to seek advice from HR, or when it is appropriate to advice from HR, or when it is appropriate to escalateescalate

To keep a record of the discussionsTo keep a record of the discussions To resolve the complaint as quickly as To resolve the complaint as quickly as

possiblepossible To provide a working environment for staff, To provide a working environment for staff,

which is ‘felt fair’which is ‘felt fair’

The principles of Informal The principles of Informal MeetingsMeetings 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 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 or decision made against

any party involved

Complaints Management Complaints Management Scenario:Scenario:

How would you manage a situation, How would you manage a situation, where an employee verbally raises a where an employee verbally raises a

complaint with you that they are complaint with you that they are being racially harassed by a being racially harassed by a

colleague, but asks for it to remain colleague, but asks for it to remain confidential?confidential?

(Group discussion - 10 minutes)(Group discussion - 10 minutes)

SummarySummary

Complaints can arise at any time, for almost any reason, due to individual perceptions and views of the world

Complaints need to be dealt with as early as speedily as possible to avoid escalation

Managers need to confident in taking control of situations, and to work with employees to resolve issues raised

HR provide an advisory service to managers, and will facilitate proceedings when appropriate

SummarySummary

It is always preferable to resolve complaints and grievances at the informal stage, wherever possible

There is a required skill set, which managers need, to deal with complaints effectively, which will sharpen with experience

HR are available to provide management guidance, advice and support, as well as policy and legal knowledge and expertise

It is imperative that notes of meetings are taken, and retained for future referral and to build a clear, detailed case file for future reference

Helpful Hints and Tips!Helpful Hints and Tips!

Act promptly and gather all the relevant facts Be firm and fair – manage the situation, but remain

objective and keep an open mind Be calm and careful and avoid giving your opinion Prepare well for meetings, try to anticipate what

might be said and how you could respond Deal with matters without undue delay Always keep proceedings, statements and records

strictly confidential ‘Soft’ management skills and qualities are vital to

defuse situations – empathy, listening, emotional intelligence and conflict management

Maintain regular contact and communication with the employee

Helpful Hints and Tips!Helpful Hints and Tips!

Take time to look for and notice any early signs of problems

Ensure recruitment and selection is fair, and that you appoint the best person for the post

Have good induction policies and processes Use the informal stages of counselling and advice

effectively Ensure equality of opportunity to avoid complaints

of this nature Refer to formal procedures as a last resort, not as

your first port of call Consult HR if you’re unsure - before acting!!

Complaints & Grievances Complaints & Grievances

Any Questions?

Lunch time! Lunch time!

1pm – 2pm1pm – 2pm

Line Management in briefLine Management in brief

What is Line Management about?What is Line Management about? Motivating team of employeesMotivating team of employees Responsible for their development and Responsible for their development and

performanceperformance Professional relationship based on mutual respectProfessional relationship based on mutual respect Day to day, on-going communicationDay to day, on-going communication Clarifying role and providing directionClarifying role and providing direction Working towards common objectives: service Working towards common objectives: service

delivery, customer satisfaction, etcdelivery, customer satisfaction, etc Responsible for welfare at workResponsible for welfare at work Being fair, and dealing with problems as they Being fair, and dealing with problems as they

arise to ensure equality arise to ensure equality


What is it not?What is it not? Abusing position of authority in terms of power Abusing position of authority in terms of power

and controland control Harassing or victimising one or several Harassing or victimising one or several

employeesemployees Solely concerned with status or paySolely concerned with status or pay Delegating unnecessarily or unfairlyDelegating unnecessarily or unfairly Accepted that employees should do/act Accepted that employees should do/act

without reasonable debate, questioning or without reasonable debate, questioning or challengechallenge

Solely about formal processes such as Solely about formal processes such as appraisal, disciplinary, performance, etcappraisal, disciplinary, performance, etc


Group Discussion:Group Discussion:

1. What makes a good line manager?1. What makes a good line manager?

2. What makes a good leader?2. What makes a good leader?

3. What is the difference? Is there a 3. What is the difference? Is there a difference?difference?


Shout out:Shout out:

What do managers have the right to expect What do managers have the right to expect from their staff?from their staff?

What do staff have the right to expect from What do staff have the right to expect from their manager?their manager?

Disciplinary ManagementDisciplinary Management

& &

Performance Incapability Performance Incapability


What governs disciplinary management?What governs disciplinary management?

Employment LegislationEmployment Legislation ACAS Codes of ConductACAS Codes of Conduct Case LawCase Law HR policies and proceduresHR policies and procedures Expected standards of behaviour: Expected standards of behaviour:

organisational culture, society, rules and organisational culture, society, rules and regulationsregulations

Disciplinary Management Disciplinary Management What are and aren’t Disciplinary issues?What are and aren’t Disciplinary issues?

They are:They are:

Breaches of standards of conduct and behaviourBreaches of standards of conduct and behaviour e.g. timekeeping, breach of policy/procedures, theft, e.g. timekeeping, breach of policy/procedures, theft,

abuse, violence, fraud, etcabuse, violence, fraud, etc

Won’t DoWon’t Do

They are notThey are not::

Related to under-performance – genuine incapabilityRelated to under-performance – genuine incapability Capability issues- where due to ill health or disabilityCapability issues- where due to ill health or disability

Can’t DoCan’t Do


An incident takes place, so you:An incident takes place, so you:

Gather the informationGather the information

Decide whether any rules/procedures/policies Decide whether any rules/procedures/policies have possibly been breachedhave possibly been breached

Decide how serious the matter isDecide how serious the matter is

Consider whether the matter can be dealt with Consider whether the matter can be dealt with informally/formallyinformally/formally

Disciplinary ManagementDisciplinary ManagementInformal Action:Informal Action:

Used wherever possibleUsed wherever possible

Used for minor offences - a “quiet” wordUsed for minor offences - a “quiet” word

Highlight the areas of concern and consider the use Highlight the areas of concern and consider the use of guidance/trainingof guidance/training

Warning that more formal action may be taken if Warning that more formal action may be taken if unacceptable conduct continuesunacceptable conduct continues

Confirm in writing the details of the issue and what Confirm in writing the details of the issue and what improvement is requiredimprovement is required

Highlight this may be referred to if formal action is Highlight this may be referred to if formal action is necessary necessary

Must be done promptlyMust be done promptly


Formal Action:Formal Action: Used when Informal action is not appropriate or has Used when Informal action is not appropriate or has

not been successfulnot been successful More serious offencesMore serious offences Consistent breaches of rules and/or proceduresConsistent breaches of rules and/or procedures Serious breach of rules and/or proceduresSerious breach of rules and/or procedures Employee must be informed of allegations in writing Employee must be informed of allegations in writing Investigation required - no disciplinary meeting can Investigation required - no disciplinary meeting can

be convened without an investigationbe convened without an investigation May need to consider suspension depending on the May need to consider suspension depending on the

seriousness of the offenceseriousness of the offence Formal warnings can only be given at formally Formal warnings can only be given at formally

convened disciplinary hearingsconvened disciplinary hearings


Group Activity Group Activity – refer to Disciplinary handout:– refer to Disciplinary handout:

How serious is each matter?How serious is each matter?

Consider:Consider: Could the situation be resolved through Could the situation be resolved through

formal/informal action?formal/informal action? Is there a need to suspend the employee? If so, Is there a need to suspend the employee? If so,

why?why? Is this situation likely to result in a warning/dismissal?Is this situation likely to result in a warning/dismissal?


Gross Misconduct (GMc) – what is it?Gross Misconduct (GMc) – what is it?

Serious offenceSerious offence Disciplinary action that warrants Disciplinary action that warrants

suspension from duty whilst investigatedsuspension from duty whilst investigated Normally results in the employee’s Normally results in the employee’s

dismissal from the University if the dismissal from the University if the allegation is upheldallegation is upheld

Can result in dismissal with immediate Can result in dismissal with immediate effect and without notice (Summary effect and without notice (Summary Dismissal)Dismissal)

Examples of GMc are available in the Examples of GMc are available in the KUSU Disciplinary Procedure – the list is KUSU Disciplinary Procedure – the list is not exhaustive!!not exhaustive!!


The Right of AppealThe Right of Appeal This is a Statutory right – open to everyoneThis is a Statutory right – open to everyone Appeal chair cannot have been involved in Appeal chair cannot have been involved in

the original meetings or decisionthe original meetings or decision Cannot be used to increase the warning or Cannot be used to increase the warning or

to penalise the employee for appealingto penalise the employee for appealing Must be in writing, and be received by the Must be in writing, and be received by the

correct person, within the timescale correct person, within the timescale prescribed in the policyprescribed in the policy

Must invite employee to meeting to hear Must invite employee to meeting to hear appeal appeal

Must have an adjournment to consider the Must have an adjournment to consider the appeal, and reconvene to deliver decisionappeal, and reconvene to deliver decision

Disciplinary Management – Disciplinary Management – Employment TribunalsEmployment Tribunals A Dismissal may result in a Tribunal claim from the A Dismissal may result in a Tribunal claim from the

employeeemployee To successfully defend the claim, the employer will need To successfully defend the claim, the employer will need

to be able to evidence that:to be able to evidence that:

KUSU Policy was followedKUSU Policy was followed A full, fair investigation was completed A full, fair investigation was completed The decision was considered and justified The decision was considered and justified

based on the best information available at based on the best information available at the timethe time

Employee was informed of their right to Employee was informed of their right to appealappeal

There has been no discrimination of any kindThere has been no discrimination of any kind They are a reasonable employer They are a reasonable employer Successfully respond to all cross-Successfully respond to all cross-

questioningquestioning

Disciplinary Management – Disciplinary Management – the cost of getting wrongthe cost of getting wrong Impact on the employee Impact on the employee

Impact on the departmentImpact on the department

Unfair dismissal claim - ETUnfair dismissal claim - ET

Reputation of the University / KUSUReputation of the University / KUSU

Progression to Employment Appeals Progression to Employment Appeals Tribunal (EAT)/ European Court of Justice Tribunal (EAT)/ European Court of Justice (ECJ) - further exposure and bad press(ECJ) - further exposure and bad press


What is performance incapability?What is performance incapability?

““Incapability is where, despite receiving Incapability is where, despite receiving appropriate support and training, a member appropriate support and training, a member of staff still cannot achieve a satisfactory of staff still cannot achieve a satisfactory level of performance. ……..level of performance. ……..

When it is apparent that a member of staff is When it is apparent that a member of staff is not capable of achieving the required level of not capable of achieving the required level of performance, the University will deal with the performance, the University will deal with the situation in a reasonable manner.”situation in a reasonable manner.”

(University HR policy introduction (University HR policy introduction 2.2)2.2)


How do you clarify performance How do you clarify performance expectations and standards?expectations and standards?

Use Job DescriptionUse Job Description Job PlanJob Plan WAMWAM Agreed objectivesAgreed objectives

Performance Management - Performance Management - principlesprinciples Set clear, specific, measurable standards of Set clear, specific, measurable standards of

performance and explain their importance. performance and explain their importance. Outline how performance is managed, monitored, Outline how performance is managed, monitored,

assessed. assessed. Provide specific concerns as a basis for providing Provide specific concerns as a basis for providing

help and guidance – reinforcing standards and help and guidance – reinforcing standards and facilitating improvement = COUNSELLING (1).facilitating improvement = COUNSELLING (1).

Support Counselling (1) with guidance, training, Support Counselling (1) with guidance, training, information, supportive supervision. information, supportive supervision.

Record/Diary Record/Diary AllAll discussions/Key Performance discussions/Key Performance Incidents.Incidents.

Flag continued problems with relevant Head.Flag continued problems with relevant Head. Consider scope for role modification/alternative role. Consider scope for role modification/alternative role. Consider Counselling as a prelude to formal action Consider Counselling as a prelude to formal action Initiate formal proceedings.Initiate formal proceedings.

Performance Management – Performance Management – the Counselling Interviewthe Counselling InterviewDefinition: One-to-one, two way discussion Definition: One-to-one, two way discussion

designed to facilitate improvementdesigned to facilitate improvement Explain concerns – cite specific examples, share Explain concerns – cite specific examples, share

records, if appropriate.records, if appropriate. Invite employee to comment on concerns / Invite employee to comment on concerns /

examples. examples. Ask if employee is encountering any problems Ask if employee is encountering any problems

which may have contributed to the concerns raised which may have contributed to the concerns raised as a basis for finding informal and formal solutions as a basis for finding informal and formal solutions

Discuss and agree the requirement for further Discuss and agree the requirement for further direction and / or training. direction and / or training.

Outline the effects of your concerns, thereby Outline the effects of your concerns, thereby reinforcing standards. reinforcing standards.

Type up a note of interview including expected Type up a note of interview including expected standards, review and monitoring procedures, copy standards, review and monitoring procedures, copy - employee to sign. - employee to sign.

Performance ManagementPerformance Management

Monitoring and Reviewing Performance:Monitoring and Reviewing Performance:

Vary – normally 6 weeks minimum, if satisfactory Vary – normally 6 weeks minimum, if satisfactory then extend reviews over longer timeframe.then extend reviews over longer timeframe.

Not constraining Not constraining - can be extended- can be extended- can be reduced- can be reduced

At the end of the review period, there are 3 At the end of the review period, there are 3 possible situations:possible situations:

1.1. Employee has not met action planEmployee has not met action plan

2.2. Employee has met part of the action plan – some Employee has met part of the action plan – some improvementimprovement

3.3. Employee has performed wellEmployee has performed well

Performance ManagementPerformance ManagementFormal Process:Formal Process: Stage 2: First Formal Written WarningStage 2: First Formal Written Warning Stage 3: Final Formal Written WarningStage 3: Final Formal Written Warning Stage 4: Dismissal (and Right of Appeal)Stage 4: Dismissal (and Right of Appeal) Again, any dismissal could result in the employee Again, any dismissal could result in the employee

bringing an Employment Tribunal claim, for any of bringing an Employment Tribunal claim, for any of the following reasons:the following reasons:

- Unfair Dismissal- Unfair Dismissal

- Constructive Dismissal- Constructive Dismissal

- Discrimination- Discrimination

- Harassment & Bullying- Harassment & Bullying

- Wrongful Dismissal , etc- Wrongful Dismissal , etc Only needs to be based on their perception of how Only needs to be based on their perception of how

they have been treated – need to ensure procedure they have been treated – need to ensure procedure has been followedhas been followed

Performance Management - Performance Management - DismissalDismissal

Normally with noticeNormally with notice Communicated within a Communicated within a

reasonable timeframereasonable timeframe Give right of appealGive right of appeal Hold appeal hearing if appeal Hold appeal hearing if appeal

letter receivedletter received Same principles as Disciplinary Same principles as Disciplinary

Appeals ManagementAppeals Management

Disciplinary Management & Disciplinary Management & Performance Incapability – Performance Incapability – failure to follow the correct failure to follow the correct proceduresprocedures

What happens when organisations fail to What happens when organisations fail to follow the correct procedures?follow the correct procedures?

Unfair dismissal claimUnfair dismissal claim Possible discrimination claimsPossible discrimination claims ET will look at whether we have followed ET will look at whether we have followed

ACAS code and our own proceduresACAS code and our own procedures

Sickness Absence Sickness Absence ManagementManagement

Shout out:Shout out:

What are the reasons for managing What are the reasons for managing sickness absence?sickness absence?

Sickness Absence Sickness Absence Management – why manage Management – why manage it?it?CostCostImpact on serviceImpact on serviceImpact on others – morale, pressure of workImpact on others – morale, pressure of workContagion!Contagion!Responsibility to individual member of staffResponsibility to individual member of staffManagers have a moral and service Managers have a moral and service obligation to deal with itobligation to deal with it

Sickness Absence Sickness Absence Management – Management – why do people why do people go off sick?go off sick?

Personal/Domestic Factors:Personal/Domestic Factors:

Childcare and Dependent responsibilitiesChildcare and Dependent responsibilities Personal or family problemsPersonal or family problems TransportTransport Leisure Activities/lifestyleLeisure Activities/lifestyle Location of home relative to workLocation of home relative to work

Sickness Absence Sickness Absence Management – Management – why do people why do people go off sick?go off sick?Work Related Factors:Work Related Factors:

Working patterns making it difficult to manage Working patterns making it difficult to manage work/family commitmentswork/family commitments

Terms and conditions eg pay, holiday etcTerms and conditions eg pay, holiday etc Career or job frustration – leads to boredom and Career or job frustration – leads to boredom and

inertiainertia Management style – need for direction, support, Management style – need for direction, support,

recognition, developmentrecognition, development Perceived stressPerceived stress Specific problems at work, e.g. bullying, workloadSpecific problems at work, e.g. bullying, workload Environmental factors affecting employee’s levels Environmental factors affecting employee’s levels

of comfort at workof comfort at work

Sickness Absence Sickness Absence Management – Management – types of types of sickness absencesickness absence

Long-term or sporadicLong-term or sporadic

Short-term intermittentShort-term intermittent

Non-compliance with sickness absence Non-compliance with sickness absence reporting proceduresreporting procedures

Managing Sickness Absence Managing Sickness Absence – the framework:– the framework:• Long term or sporadic – underlying health problem. Long term or sporadic – underlying health problem.

CAPABILITYCAPABILITY

• Short-term intermittent – no underlying health Short-term intermittent – no underlying health problem. problem. ATTENDANCEATTENDANCE (Some Other Substantial (Some Other Substantial Reason)Reason)

• Non compliance with sickness absence reporting Non compliance with sickness absence reporting procedures. Unauthorised Absence. procedures. Unauthorised Absence. DISCIPLINE - DISCIPLINE - CONDUCTCONDUCT

Sickness Absence Sickness Absence Management – determining Management – determining acceptability acceptability Take a specific period of absence as a basis Take a specific period of absence as a basis

for the review – e.g. six monthsfor the review – e.g. six months Look at recent attendancesLook at recent attendances Consider pattern of absence – e.g. regularity Consider pattern of absence – e.g. regularity

of single days off; or absences taken either of single days off; or absences taken either side of weekendside of weekend

Consider level and frequency of absences – Consider level and frequency of absences – frequency is keyfrequency is key

Be consistent – use relevant benchmarks – Be consistent – use relevant benchmarks – e.g. five days or more absence over three e.g. five days or more absence over three occasions in three monthsoccasions in three months

Review ‘worst offenders’ first and work downReview ‘worst offenders’ first and work down

Sickness Absence DismissalSickness Absence Dismissal

““There comes a time when the reasonable There comes a time when the reasonable employer is entitled to say ‘enough is employer is entitled to say ‘enough is enough’ and, so long as warnings have enough’ and, so long as warnings have been given, he will be justified in treating been given, he will be justified in treating the frequent absences as a sufficient the frequent absences as a sufficient reason for dismissing…”reason for dismissing…”

(Employment Appeals Tribunal (EAT), (Employment Appeals Tribunal (EAT), 1980)1980)

Follows same broad principles as disciplinary Follows same broad principles as disciplinary dismissal and performance dismissaldismissal and performance dismissal

Sickness Absence Sickness Absence Management – Medical Management – Medical InvestigationInvestigation

Refer to Occupational Health and request Refer to Occupational Health and request information on:information on:

The nature of the illnessThe nature of the illness Expected period of absenceExpected period of absence Possible return in foreseeable futurePossible return in foreseeable future Limitations/constraints in work upon returnLimitations/constraints in work upon return Reasonable adjustments to Reasonable adjustments to

support/facilitate a returnsupport/facilitate a return

Sickness Absence Sickness Absence Management – Disability Management – Disability DiscriminationDiscrimination

A disability is defined in the A disability is defined in the Disability Disability Discrimination Act (DDA)1995 (and Discrimination Act (DDA)1995 (and Amendments 1998 and 2005) Amendments 1998 and 2005) as:as:

““a physical or mental impairment that has a substantiala physical or mental impairment that has a substantial

and long-term adverse effect on an employee's abilityand long-term adverse effect on an employee's ability

to carry out normal day-to-day activities”.to carry out normal day-to-day activities”.

The effect of an impairment is long term if it has The effect of an impairment is long term if it has lasted at least 12 months, is likely to last at least lasted at least 12 months, is likely to last at least that long, or is likely to recur if in remission.that long, or is likely to recur if in remission.

Sickness Absence Management – Sickness Absence Management – Reasonable AdjustmentsReasonable Adjustments

The key steps in planning adjustments are:The key steps in planning adjustments are: Consider your employee’s needs and what they can Consider your employee’s needs and what they can

dodo Assess the possible barriers to your employee’s Assess the possible barriers to your employee’s

returnreturn Consider the adjustments needed to overcome Consider the adjustments needed to overcome

these barriersthese barriers Review health and safety risk assessments in the Review health and safety risk assessments in the

light of the proposed adjustmentslight of the proposed adjustments Review how well the adjustments workReview how well the adjustments work Seek professional advice, where necessary, to help Seek professional advice, where necessary, to help

you make informed decisionsyou make informed decisions

Sickness Absence Management – Sickness Absence Management – Unauthorised Absence guidance Unauthorised Absence guidance Make sure people are aware of the reporting Make sure people are aware of the reporting

proceduresprocedures Do not assume Unauthorised Absence immediatelyDo not assume Unauthorised Absence immediately Contact them at home and enquire why they are not Contact them at home and enquire why they are not

at workat work If no response and they fail to attend next day – If no response and they fail to attend next day –

write to them – ask them to contact you as a matter write to them – ask them to contact you as a matter of urgency;of urgency;

Give a deadline date or no alternative but to regard Give a deadline date or no alternative but to regard as being on Unauthorised Absenceas being on Unauthorised Absence

May be formally investigated – pay may be withheldMay be formally investigated – pay may be withheld If you do not hear – suspend + set up disciplinary If you do not hear – suspend + set up disciplinary

hearinghearing

Sickness Absence ManagementSickness Absence Management


Confidentiality and the Data Confidentiality and the Data Protection Act (DPA)(1998)Protection Act (DPA)(1998) Confidentiality and the protection of Confidentiality and the protection of

people’s personal information by people’s personal information by organisations, governed by the DPA 1998organisations, governed by the DPA 1998

Conflict with Freedom of Information Act Conflict with Freedom of Information Act (2005) which permits people to make (2005) which permits people to make requests to organisations for access to requests to organisations for access to sensitive or personal informationsensitive or personal information

What problems / issues do you think there What problems / issues do you think there are for organisations with this?are for organisations with this?

Confidentiality & Data Confidentiality & Data Protection Protection Confidentiality underpins all HR practices, Confidentiality underpins all HR practices,

and is the most important principle of case and is the most important principle of case management and line managementmanagement and line management

Must never be breachedMust never be breached

Breach can leave the University / KUSU Breach can leave the University / KUSU open to all kinds of claims – would be hard open to all kinds of claims – would be hard to defendto defend

Confidentiality & Data Confidentiality & Data Protection - guidanceProtection - guidance Keep all confidential documents/information Keep all confidential documents/information

filed, and locked away in drawers/cupboards filed, and locked away in drawers/cupboards Password protect your PC and filesPassword protect your PC and files Ensure employee information is stored on Ensure employee information is stored on

individual personal files, and stored in a individual personal files, and stored in a locked cupboardlocked cupboard

Ensure that case work and information is Ensure that case work and information is never discussed with anyonenever discussed with anyone

If an FOI request and payment is received, If an FOI request and payment is received, ensure it is dealt with under the appropriate ensure it is dealt with under the appropriate procedure and timescalesprocedure and timescales

Confidentiality & Data Confidentiality & Data Protection Protection


Introduction to Employment Introduction to Employment Law and HR practicesLaw and HR practices


Thank you !Thank you !

If in doubt, please contact HR – before If in doubt, please contact HR – before acting!acting!

introduction to employment law and hr practices louise plant university human resources

Documents

sickness management

management training

management of people

brief line management

management advisory

pm slide

implementation slide

decisionmaking slide