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Introduction to Employment Law and HR practices Louise Plant University Human Resources.

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1 Introduction to Employment Law and HR practices Louise Plant University Human Resources

2 Morning session - plan Introduction to HR issues Introduction to HR issues Recruitment & Selection Recruitment & Selection Break at approx. 11:30am Break at approx. 11:30am Complaints & Grievances Complaints & Grievances Lunch 1-2pm Lunch 1-2pm

3 Afternoon session - plan Line Management in brief Line Management in brief Disciplinary & Performance Incapability Management Disciplinary & Performance Incapability Management Managing Sickness Absence Managing Sickness Absence Confidentiality & Data Protection Confidentiality & Data Protection Finish approx 4:30pm Finish approx 4:30pm

4 An introduction to Human Resources (HR) The management of people at work The management of people at work Is a management advisory function, both strategic and operational Is a management advisory function, both strategic and operational Chartered Membership of the Chartered Institute of Personnel and Development (CIPD), plus Degree Chartered Membership of the Chartered Institute of Personnel and Development (CIPD), plus Degree Detailed knowledge of employment law and practical application Detailed knowledge of employment law and practical application Advising, negotiating, influencing, persuading, defending, justifying, challenging, decision-making Advising, negotiating, influencing, persuading, defending, justifying, challenging, decision-making

5 Role of Human Resources Managing employee relations cases Managing employee relations cases Supporting and advising managers Supporting and advising managers Compiling detailed case files, and documentation for Employment Tribunals Compiling detailed case files, and documentation for Employment Tribunals Attendance in Court – justify decision- making and defend Universitys position Attendance in Court – justify decision- making and defend Universitys position Providing Management training, development and coaching Providing Management training, development and coaching Ensuring best practice is followed and avoiding claims of discrimination Ensuring best practice is followed and avoiding claims of discrimination

6 What do HR deal with and why? Sickness management, and cases linked to the DDA (1995) Sickness management, and cases linked to the DDA (1995) Performance Management and incapability Performance Management and incapability Complaints and grievances Complaints and grievances - Harassment & Bullying - Discrimination - Discrimination Disciplinary cases & Dismissals Disciplinary cases & Dismissals Resourcing and Workforce Planning Resourcing and Workforce Planning Change Management – VS, re-structuring, redundancy Change Management – VS, re-structuring, redundancy Management development Management development Policy formulation and implementation Policy formulation and implementation

7 Intro to Human Resources Any Questions?

8 Recruitment & Selection Use fair and equitable processes Use fair and equitable processes Plan and prepare to ensure the process is effective and professional Plan and prepare to ensure the process is effective and professional Aim to provide a positive experience for all applicants Aim to provide a positive experience for all applicants Highlight the University / Students Union as an employer of choice Highlight the University / Students Union as an employer of choice

9 Recruitment & Selection It is unlawful to discriminate on grounds of: gender gender marital status marital status maternity maternity race race disability disability sexual sexual orientation religion or belief religion or belief gender reassignment gender reassignment age age

10 Discrimination - definitions Direct Discrimination Treating a person less favourably than another because of actual or perceived gender, race, disability, marital status, gender reassignment, sexual orientation, religion or belief, age. Indirect Discrimination (not disability) Applying a provision, criterion or practice to everyone which disadvantages people of a particular gender, race, marital status, gender reassignment, sexual orientation, religion or belief, age.

11 Disability Discrimination Discrimination either direct or disability- related Discrimination either direct or disability- related Employers are required to make reasonable adjustments Employers are required to make reasonable adjustments Keele operates the two ticks scheme:- Keele operates the two ticks scheme:- Promoting Equality, Valuing Diversity.

12 Harassment & 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 persons 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

13 Impact of Poor Recruitment Service/workload issues Service/workload issues Opportunity costs Opportunity costs Re-recruitment costs Re-recruitment costs Impact on other staff Impact on other staff Training costs/inputs/time Training costs/inputs/time Legal costs Legal costs Public relations costs Public relations costs

14 Immigration 5 Tier Framework 5 Tier Framework New Points Based System New Points Based System Resident Labour Market Test (RLMT) Resident Labour Market Test (RLMT) Certificates of Sponsorship Certificates of Sponsorship Changes to process and documentation Changes to process and documentation Interview Notes Interview Notes

15 Advert Text Words/phrases that are commonly used in adverts: Young Energetic Able bodied Dynamic Motivated Newly Qualified Team Player Experienced Self StarterMature Sense of humourFlexible Q. Which of these are unsuitable and why?

16 Advertising DO: Advertise in suitable locations Advertise in suitable locations Include a contact name and number for enquiries Include a contact name and number for enquiries Keep the advert text relevant Keep the advert text relevant Advertise for at least two/four weeks for external adverts Advertise for at least two/four weeks for external adverts

17 Recruitment & Selection Quiz! (10 mins)

18 Person Specification Description of qualifications, skills, experience and personal attributes required to do the job Description of qualifications, skills, experience and personal attributes required to do the job Usually broken down into essential (minimum) and desirable criteria Usually broken down into essential (minimum) and desirable criteria All criteria must be relevant and assessable All criteria must be relevant and assessable Avoid criteria which could be viewed as discriminatory Avoid criteria which could be viewed as discriminatory

19 Role of the Chair of the panel Chair is responsible for entire selection process Chair is responsible for entire selection process Agree shortlisting and selection processes Agree shortlisting and selection processes Ensure processes meet Equal Opportunities requirements Ensure processes meet Equal Opportunities requirements Agree format of interview and allocate areas of questioning Agree format of interview and allocate areas of questioning Keep notes of decision-making process Keep notes of decision-making process Open, control and close interview Open, control and close interview

20 Shortlisting Carried out by Appointment Panel Carried out by Appointment Panel Input from outside Appointment Panel Input from outside Appointment Panel Based on Person Specification Based on Person Specification Process must be fair and non- discriminatory to all candidates Process must be fair and non- discriminatory to all candidates Sponsorship/Eligibility to work in the UK Sponsorship/Eligibility to work in the UK

21 Interviews Prepare and plan the structure of the interview Prepare and plan the structure of the interview Questions based on Person Specification Questions based on Person Specification Ask open, probing questions Ask open, probing questions Let the candidate do the most of the talking Let the candidate do the most of the talking Keep master copy of notes Keep master copy of notes Treat internal applicants exactly the same as external applicants Treat internal applicants exactly the same as external applicants

22 Making the most of interviews Ask job-related questions Ask job-related questions Listen to the answers Listen to the answers Ask follow-up job- related questions Ask follow-up job- related questions Let the candidate do most of the talking Let the candidate do most of the talking Give the candidate the opportunity to ask questions Give the candidate the opportunity to ask questions Make notes Make notes Get someone else to make notes when you are asking questions Get someone else to make notes when you are asking questions

23 The Offer of Employment Offer comparable salary for post Offer comparable salary for post Consider all conditions of employment before making offer Consider all conditions of employment before making offer Beware of verbal (legally binding) contract when offering job Beware of verbal (legally binding) contract when offering job All offers should be conditional – subject to references, CRB, etc All offers should be conditional – subject to references, CRB, etc

24 Feedback 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

25 Conclusion – Recruitment & Selection Remember - it is an important process Remember - it is an important process Make sure your process is fair and compliant with all relevant legislation – check with HR if not sure Make sure your process is fair and compliant with all relevant legislation – check with HR if not sure Avoid personal opinions/prejudices Avoid personal opinions/prejudices Relate everything to the requirements of the job Relate everything to the requirements of the job Plan and prepare thoroughly Plan and prepare thoroughly

26 Recruitment & Selection Any Questions?

27 Break! 15 minutes

28 Complaints & Grievances Q. How and when do complaints arise? (group discussion – 10 minutes)

29

30 The Employment Life Cycle Recruitment and Selection Appointment and Induction Probation Confirmation of Probation Capability and Performance Processes During employment processes Disciplinary Processes Leaving employment processes End of Fixed Term Contracts Retirement/ resignation Disciplinary process

31 Managing Complaints – the role of the Manager To support by providing opportunities for individuals to raise concerns To support by providing opportunities for individuals to raise concerns To endeavour to resolve a complaint informally To endeavour to resolve a complaint informally To have a working knowledge of the policies To have a working knowledge of the policies Not to form an opinion at an early stage Not to form an opinion at an early stage To establish the facts To establish the facts To facilitate the individual to identify their preferred resolution to the issue To facilitate the individual to identify their preferred resolution to the issue To ensure the individual is treated fairly To ensure the individual is treated fairly To have processes and mechanisms in place to ensure that staff feel they are being treated fairly To have processes and mechanisms in place to ensure that staff feel they are being treated fairly

32 Role of the Manager To discuss with the individual as to what their desired resolution would be, and how they might achieve it To discuss with the individual as to what their desired resolution would be, and how they might achieve it When appropriate, to provide or offer a resolution When appropriate, to provide or offer a resolution To be able to recognise when to seek advice from HR, or when it is appropriate to escalate To be able to recognise when to seek advice from HR, or when it is appropriate to escalate To keep a record of the discussions To keep a record of the discussions To resolve the complaint as quickly as possible To resolve the complaint as quickly as possible To provide a working environment for staff, which is felt fair To provide a working environment for staff, which is felt fair

33 The principles of Informal Meetings 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

34 Complaints Management Scenario: How would you manage a situation, where an employee verbally raises a complaint with you that they are being racially harassed by a colleague, but asks for it to remain confidential? (Group discussion - 10 minutes)

35 Summary 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

36 Summary 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

37 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

38 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 youre unsure - before acting!!

39 Complaints & Grievances Any Questions?

40 Lunch time! 1pm – 2pm

41 Line Management in brief What is Line Management about? Motivating team of employees Motivating team of employees Responsible for their development and performance Responsible for their development and performance Professional relationship based on mutual respect Professional relationship based on mutual respect Day to day, on-going communication Day to day, on-going communication Clarifying role and providing direction Clarifying role and providing direction Working towards common objectives: service delivery, customer satisfaction, etc Working towards common objectives: service delivery, customer satisfaction, etc Responsible for welfare at work Responsible for welfare at work Being fair, and dealing with problems as they arise to ensure equality Being fair, and dealing with problems as they arise to ensure equality

42 Line Management in brief What is it not? Abusing position of authority in terms of power and control Abusing position of authority in terms of power and control Harassing or victimising one or several employees Harassing or victimising one or several employees Solely concerned with status or pay Solely concerned with status or pay Delegating unnecessarily or unfairly Delegating unnecessarily or unfairly Accepted that employees should do/act without reasonable debate, questioning or challenge Accepted that employees should do/act without reasonable debate, questioning or challenge Solely about formal processes such as appraisal, disciplinary, performance, etc Solely about formal processes such as appraisal, disciplinary, performance, etc

43 Line Management in brief Group Discussion: 1. What makes a good line manager? 2. What makes a good leader? 3. What is the difference? Is there a difference?

44 Line Management in brief Shout out: What do managers have the right to expect from their staff? What do staff have the right to expect from their manager?

45 Line Management in brief Any Questions?

46 Disciplinary Management & Performance Incapability

47 Disciplinary Management What governs disciplinary management? Employment Legislation Employment Legislation ACAS Codes of Conduct ACAS Codes of Conduct Case Law Case Law HR policies and procedures HR policies and procedures Expected standards of behaviour: organisational culture, society, rules and regulations Expected standards of behaviour: organisational culture, society, rules and regulations

48 Disciplinary Management What are and arent Disciplinary issues? They are: Breaches of standards of conduct and behaviour Breaches of standards of conduct and behaviour e.g. timekeeping, breach of policy/procedures, theft, abuse, violence, fraud, etc e.g. timekeeping, breach of policy/procedures, theft, abuse, violence, fraud, etc Wont Do They are not: Related to under-performance – genuine incapability Related to under-performance – genuine incapability Capability issues- where due to ill health or disability Capability issues- where due to ill health or disability Cant Do

49 Disciplinary Management An incident takes place, so you: Gather the information Gather the information Decide whether any rules/procedures/policies have possibly been breached Decide whether any rules/procedures/policies have possibly been breached Decide how serious the matter is Decide how serious the matter is Consider whether the matter can be dealt with informally/formally Consider whether the matter can be dealt with informally/formally

50 Disciplinary Management Informal Action: Used wherever possible Used wherever possible Used for minor offences - a quiet word Used for minor offences - a quiet word Highlight the areas of concern and consider the use of guidance/training Highlight the areas of concern and consider the use of guidance/training Warning that more formal action may be taken if unacceptable conduct continues 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 Confirm in writing the details of the issue and what improvement is required Highlight this may be referred to if formal action is necessary Highlight this may be referred to if formal action is necessary Must be done promptly Must be done promptly

51 Disciplinary Management Formal Action: Used when Informal action is not appropriate or has not been successful Used when Informal action is not appropriate or has not been successful More serious offences More serious offences Consistent breaches of rules and/or procedures Consistent breaches of rules and/or procedures Serious breach of rules and/or procedures Serious 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 be convened without an investigation Investigation required - no disciplinary meeting can be convened without an investigation May need to consider suspension depending on the seriousness of the offence May need to consider suspension depending on the seriousness of the offence Formal warnings can only be given at formally convened disciplinary hearings Formal warnings can only be given at formally convened disciplinary hearings

52 Disciplinary Management Group Activity – refer to Disciplinary handout: How serious is each matter? Consider: Could the situation be resolved through formal/informal action? Could the situation be resolved through formal/informal action? Is there a need to suspend the employee? If so, why? Is there a need to suspend the employee? If so, why? Is this situation likely to result in a warning/dismissal? Is this situation likely to result in a warning/dismissal?

53 Disciplinary Management Gross Misconduct (GMc) – what is it? Serious offence Serious offence Disciplinary action that warrants suspension from duty whilst investigated Disciplinary action that warrants suspension from duty whilst investigated Normally results in the employees dismissal from the University if the allegation is upheld Normally results in the employees dismissal from the University if the allegation is upheld Can result in dismissal with immediate effect and without notice (Summary Dismissal) Can result in dismissal with immediate effect and without notice (Summary Dismissal) Examples of GMc are available in the KUSU Disciplinary Procedure – the list is not exhaustive!! Examples of GMc are available in the KUSU Disciplinary Procedure – the list is not exhaustive!!

54 Disciplinary Management The Right of Appeal This is a Statutory right – open to everyone This is a Statutory right – open to everyone Appeal chair cannot have been involved in the original meetings or decision Appeal chair cannot have been involved in the original meetings or decision Cannot be used to increase the warning or to penalise the employee for appealing Cannot be used to increase the warning or to penalise the employee for appealing Must be in writing, and be received by the correct person, within the timescale prescribed in the policy Must be in writing, and be received by the correct person, within the timescale prescribed in the policy Must invite employee to meeting to hear appeal Must invite employee to meeting to hear appeal Must have an adjournment to consider the appeal, and reconvene to deliver decision Must have an adjournment to consider the appeal, and reconvene to deliver decision

55 Disciplinary Management – Employment Tribunals A Dismissal may result in a Tribunal claim from the employee A Dismissal may result in a Tribunal claim from the employee To successfully defend the claim, the employer will need to be able to evidence that: To successfully defend the claim, the employer will need to be able to evidence that: KUSU Policy was followed KUSU Policy was followed A full, fair investigation was completed A full, fair investigation was completed The decision was considered and justified based on the best information available at the time The decision was considered and justified based on the best information available at the time Employee was informed of their right to appeal Employee was informed of their right to appeal There has been no discrimination of any kind There has been no discrimination of any kind They are a reasonable employer They are a reasonable employer Successfully respond to all cross-questioning Successfully respond to all cross-questioning

56 Disciplinary Management – the cost of getting wrong Impact on the employee Impact on the employee Impact on the department Impact on the department Unfair dismissal claim - ET Unfair dismissal claim - ET Reputation of the University / KUSU Reputation of the University / KUSU Progression to Employment Appeals Tribunal (EAT)/ European Court of Justice (ECJ) - further exposure and bad press Progression to Employment Appeals Tribunal (EAT)/ European Court of Justice (ECJ) - further exposure and bad press

57 Disciplinary Management Any Questions?

58 Performance Incapability What is performance incapability? Incapability is where, despite receiving appropriate support and training, a member of staff still cannot achieve a satisfactory level of performance. …….. Incapability is where, despite receiving appropriate support and training, a member of staff still cannot achieve a satisfactory level of performance. …….. When it is apparent that a member of staff is not capable of achieving the required level of performance, the University will deal with the situation in a reasonable manner. (University HR policy introduction 2.2)

59 Performance Incapability How do you clarify performance expectations and standards? Use Job Description Use Job Description Job Plan Job Plan WAM WAM Agreed objectives Agreed objectives

60 Performance Management - principles Set clear, specific, measurable standards of performance and explain their importance. Set clear, specific, measurable standards of performance and explain their importance. Outline how performance is managed, monitored, assessed. Outline how performance is managed, monitored, assessed. Provide specific concerns as a basis for providing help and guidance – reinforcing standards and facilitating improvement = COUNSELLING (1). Provide specific concerns as a basis for providing help and guidance – reinforcing standards and facilitating improvement = COUNSELLING (1). Support Counselling (1) with guidance, training, information, supportive supervision. Support Counselling (1) with guidance, training, information, supportive supervision. Record/Diary All discussions/Key Performance Incidents. Record/Diary All discussions/Key Performance 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.

61 Performance Management – the Counselling Interview Definition: One-to-one, two way discussion designed to facilitate improvement Explain concerns – cite specific examples, share records, if appropriate. Explain concerns – cite specific examples, share records, if appropriate. Invite employee to comment on concerns / examples. Invite employee to comment on concerns / examples. Ask if employee is encountering any problems which may have contributed to the concerns raised as a basis for finding informal and formal solutions Ask if employee is encountering any problems which may have contributed to the concerns raised as a basis for finding informal and formal solutions Discuss and agree the requirement for further direction and / or training. Discuss and agree the requirement for further direction and / or training. Outline the effects of your concerns, thereby reinforcing standards. Outline the effects of your concerns, thereby reinforcing standards. Type up a note of interview including expected standards, review and monitoring procedures, copy - employee to sign. Type up a note of interview including expected standards, review and monitoring procedures, copy - employee to sign.

62 Performance Management Monitoring and Reviewing Performance: Vary – normally 6 weeks minimum, if satisfactory then extend reviews over longer timeframe. Vary – normally 6 weeks minimum, if satisfactory then extend reviews over longer timeframe. Not constraining - can be extended - can be reduced Not constraining - can be extended - can be reduced At the end of the review period, there are 3 possible situations: 1. Employee has not met action plan 2. Employee has met part of the action plan – some improvement 3. Employee has performed well

63 Performance Management Formal Process: Stage 2: First Formal Written Warning Stage 2: First Formal Written Warning Stage 3: Final Formal Written Warning Stage 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 bringing an Employment Tribunal claim, for any of the following reasons: Again, any dismissal could result in the employee bringing an Employment Tribunal claim, for any of the following reasons: - Unfair Dismissal - Constructive Dismissal - Discrimination - Harassment & Bullying - Wrongful Dismissal, etc Only needs to be based on their perception of how they have been treated – need to ensure procedure has been followed Only needs to be based on their perception of how they have been treated – need to ensure procedure has been followed

64 Performance Management - Dismissal Normally with notice Normally with notice Communicated within a reasonable timeframe Communicated within a reasonable timeframe Give right of appeal Give right of appeal Hold appeal hearing if appeal letter received Hold appeal hearing if appeal letter received Same principles as Disciplinary Appeals Management Same principles as Disciplinary Appeals Management

65 Disciplinary Management & Performance Incapability – failure to follow the correct procedures What happens when organisations fail to follow the correct procedures? Unfair dismissal claim Unfair dismissal claim Possible discrimination claims Possible discrimination claims ET will look at whether we have followed ACAS code and our own procedures ET will look at whether we have followed ACAS code and our own procedures

66 Performance Incapability Any Questions?

67 Sickness Absence Management Shout out: What are the reasons for managing sickness absence?

68 Sickness Absence Management – why manage it? Cost Cost Impact on service Impact on service Impact on others – morale, pressure of work Impact on others – morale, pressure of work Contagion! Contagion! Responsibility to individual member of staff Responsibility to individual member of staff Managers have a moral and service obligation to deal with it Managers have a moral and service obligation to deal with it

69 Sickness Absence Management – why do people go off sick? Personal/Domestic Factors: Childcare and Dependent responsibilities Childcare and Dependent responsibilities Personal or family problems Personal or family problems Transport Transport Leisure Activities/lifestyle Leisure Activities/lifestyle Location of home relative to work Location of home relative to work

70 Sickness Absence Management – why do people go off sick? Work Related Factors: Working patterns making it difficult to manage work/family commitments Working patterns making it difficult to manage work/family commitments Terms and conditions eg pay, holiday etc Terms and conditions eg pay, holiday etc Career or job frustration – leads to boredom and inertia Career or job frustration – leads to boredom and inertia Management style – need for direction, support, recognition, development Management style – need for direction, support, recognition, development Perceived stress Perceived stress Specific problems at work, e.g. bullying, workload Specific problems at work, e.g. bullying, workload Environmental factors affecting employees levels of comfort at work Environmental factors affecting employees levels of comfort at work

71 Sickness Absence Management – types of sickness absence Long-term or sporadic Long-term or sporadic Short-term intermittent Short-term intermittent Non-compliance with sickness absence reporting procedures Non-compliance with sickness absence reporting procedures

72 Managing Sickness Absence – the framework: Long term or sporadic – underlying health problem. CAPABILITY Long term or sporadic – underlying health problem. CAPABILITY Short-term intermittent – no underlying health problem. ATTENDANCE (Some Other Substantial Reason) Short-term intermittent – no underlying health problem. ATTENDANCE (Some Other Substantial Reason) Non compliance with sickness absence reporting procedures. Unauthorised Absence. DISCIPLINE - CONDUCT Non compliance with sickness absence reporting procedures. Unauthorised Absence. DISCIPLINE - CONDUCT

73 Sickness Absence Management – determining acceptability Take a specific period of absence as a basis for the review – e.g. six months Take a specific period of absence as a basis for the review – e.g. six months Look at recent attendances Look at recent attendances Consider pattern of absence – e.g. regularity of single days off; or absences taken either side of weekend Consider pattern of absence – e.g. regularity of single days off; or absences taken either side of weekend Consider level and frequency of absences – frequency is key Consider level and frequency of absences – frequency is key Be consistent – use relevant benchmarks – e.g. five days or more absence over three occasions in three months Be consistent – use relevant benchmarks – e.g. five days or more absence over three occasions in three months Review worst offenders first and work down Review worst offenders first and work down

74 Sickness Absence Dismissal There comes a time when the reasonable employer is entitled to say enough is enough and, so long as warnings have been given, he will be justified in treating the frequent absences as a sufficient reason for dismissing… (Employment Appeals Tribunal (EAT), 1980) Follows same broad principles as disciplinary dismissal and performance dismissal Follows same broad principles as disciplinary dismissal and performance dismissal

75 Sickness Absence Management – Medical Investigation Refer to Occupational Health and request information on: The nature of the illness The nature of the illness Expected period of absence Expected period of absence Possible return in foreseeable future Possible return in foreseeable future Limitations/constraints in work upon return Limitations/constraints in work upon return Reasonable adjustments to support/facilitate a return Reasonable adjustments to support/facilitate a return

76 Sickness Absence Management – Disability Discrimination A disability is defined in the Disability Discrimination Act (DDA)1995 (and Amendments 1998 and 2005) as: A disability is defined in the Disability Discrimination Act (DDA)1995 (and Amendments 1998 and 2005) 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. The effect of an impairment is long term if it has lasted at least 12 months, is likely to last at least that long, or is likely to recur if in remission. The effect of an impairment is long term if it has lasted at least 12 months, is likely to last at least that long, or is likely to recur if in remission.

77 Sickness Absence Management – Reasonable Adjustments The key steps in planning adjustments are: Consider your employees needs and what they can do Consider your employees needs and what they can do Assess the possible barriers to your employees return Assess the possible barriers to your employees return Consider the adjustments needed to overcome these barriers Consider the adjustments needed to overcome these barriers Review health and safety risk assessments in the light of the proposed adjustments Review health and safety risk assessments in the light of the proposed adjustments Review how well the adjustments work Review how well the adjustments work Seek professional advice, where necessary, to help you make informed decisions Seek professional advice, where necessary, to help you make informed decisions

78 Sickness Absence Management – Unauthorised Absence guidance Make sure people are aware of the reporting procedures Make sure people are aware of the reporting procedures Do not assume Unauthorised Absence immediately Do not assume Unauthorised Absence immediately Contact them at home and enquire why they are not at work Contact them at home and enquire why they are not at work If no response and they fail to attend next day – write to them – ask them to contact you as a matter of urgency; If no response and they fail to attend next day – write to them – ask them to contact you as a matter of urgency; Give a deadline date or no alternative but to regard as being on Unauthorised Absence Give a deadline date or no alternative but to regard as being on Unauthorised Absence May be formally investigated – pay may be withheld May be formally investigated – pay may be withheld If you do not hear – suspend + set up disciplinary hearing If you do not hear – suspend + set up disciplinary hearing

79 Sickness Absence Management Any Questions?

80 Confidentiality and the Data Protection Act (DPA)(1998) Confidentiality and the protection of peoples personal information by organisations, governed by the DPA 1998 Confidentiality and the protection of peoples personal information by organisations, governed by the DPA 1998 Conflict with Freedom of Information Act (2005) which permits people to make requests to organisations for access to sensitive or personal information Conflict with Freedom of Information Act (2005) which permits people to make requests to organisations for access to sensitive or personal information What problems / issues do you think there are for organisations with this?

81 Confidentiality & Data Protection Confidentiality underpins all HR practices, and is the most important principle of case management and line management Confidentiality underpins all HR practices, and is the most important principle of case management and line management Must never be breached Must never be breached Breach can leave the University / KUSU open to all kinds of claims – would be hard to defend Breach can leave the University / KUSU open to all kinds of claims – would be hard to defend

82 Confidentiality & Data Protection - guidance Keep all confidential documents/information filed, and locked away in drawers/cupboards Keep all confidential documents/information filed, and locked away in drawers/cupboards Password protect your PC and files Password protect your PC and files Ensure employee information is stored on individual personal files, and stored in a locked cupboard Ensure employee information is stored on individual personal files, and stored in a locked cupboard Ensure that case work and information is never discussed with anyone Ensure that case work and information is never discussed with anyone If an FOI request and payment is received, ensure it is dealt with under the appropriate procedure and timescales If an FOI request and payment is received, ensure it is dealt with under the appropriate procedure and timescales

83 Confidentiality & Data Protection Any Questions?

84 Introduction to Employment Law and HR practices Any Questions? Thank you ! If in doubt, please contact HR – before acting!


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