Discipline, Capability and Grievance resolution: for those with responsibility for others

1. Human Resources Division Personal and Professional Development Discipline, Capability and Grievance resolution:for those with responsibility for others Jessie Monck, PPD, jcm56@cam.ac.uk

2. Roles and responsibilities Managers… • ensure individuals and the team can and do get the job done All employees… • take responsibility to meet standards and expectations of the job

3. Reasons why employees may not meet the expectations/standards of their role… • Insufficient training • Unclear instructions • Ill health • Not aware of standard expected • Cannot reach standard despite support • Carelessness or lack of effort • Under influence of drink/drugs • …

4. Approach to managing these situations • Problem-solving – structured way of achieving improvement • Supportive • Seamless progression and gradual increase in formality • Part of working relationship, actions by managers have to be: • consistent and justifiable • in line with employment legislation • Use the correct policy and procedure!

5. Using the right policy: is it capability or conduct? • Lack of capability: employee can’t (outside their control, assessed by reference to skill, aptitude, health, or any other physical or mental quality) • Misconduct: employee won’t (within their control) • Covered by same ACAS code • Covered by different University procedures • Consider other University policies, guidance and procedures e.g. Sickness absence, Dignity at Work, Probationary

6. Examples of misconduct • wilful failure to perform the duties of the post • refusing to comply with reasonable requests from the work supervisor • incapacity to perform the duties of the post effectively due to alcohol or drug abuse • bullying, sexual or racial or disability harassment of any member of the University staff and students • misconduct in research • breach of duty regarding non-disclosure of confidential information • breach of the University or Department safety regulations or rules • unsatisfactory timekeeping • unauthorised absence from work • breach of any other conditions of employment (from Disciplinary Policy)

7. *Inform or consult your HR Business Manager or Adviser* Take informal action wherever possible Take formal action: • Carry out an investigation to establish the facts • Inform employee in writing • Hold meeting – chance to discuss • Allow employee to be accompanied • Decide action Inform employee of result in writing e.g.: • No penalty • First written warning • Final written warning • Dismissal or other sanction Conduct fails to improve sufficiently = take further action Provide employee with an opportunity to appeal Issue resolved = action complete Conduct improves = action complete Employee dismissed A fair DISCIPLINARY procedure overview • Always follow the relevant University procedures – be prompt, fair and consistent. • Consider using the University Mediation Service at any stage. • Records should be kept at all stages of the procedure and be confidential (in line with the DPA).

8. *Inform or consult your HR Business Manager or Adviser* Take informal action wherever possible Take formal action: • Carry out an investigation to establish the facts • Inform employee in writing • Hold meeting – chance to discuss • Allow employee to be accompanied • Decide action Inform employee of result in writing e.g.: • No penalty • First improvement note • Final improvement note • Dismissal or other sanction Performance fails to improve sufficiently = take further action Provide employee with an opportunity to appeal Issue resolved = action complete Performance improves = action complete Employee dismissed A fair CAPABILITY procedure overview • Always follow the relevant University procedures – be prompt, fair and consistent. • Consider using the University Mediation Service at any stage. • Records should be kept at all stages of the procedure and be confidential (in line with the DPA).

9. Key skill: asking questions Open: Tell me about… Probing: Can you expand… Closed: This is what I understand. Am I right?

10. Key skill: giving feedback • Clarify: “This is what I expect to see…” (the expected standard of performance or behaviour) • Explain: “This is what I actually see…” (observed performance or behaviour) • Discuss together • Agree plans for improvement • Review progress CEDAR

11. Follow the relevant procedure if it’s not possible or appropriate to resolve the matter informally *Inform or consult your HR Business Manager or Adviser* Issue resolved = action complete A fair GRIEVANCE resolution procedure • Always follow the relevant University procedures – be prompt, fair and consistent. • It may be helpful to consider mediation at any stage. • Records should be kept at all stages of the procedure and be confidential (DPA). • Employee to let the employer know the grievance in writing • Meeting to discuss the grievance • Allow the employee to be accompanied at the meeting • Decide on appropriate action Resolve informally wherever possible Allow the employee to appeal if not satisfied. Deal with appeal impartially and where possible by a manager not previously involved.

12. What staff can do • Seek advice • Keep records • Speak to individual if able to • Complain formally to HOD if not • HOD will initiate investigation

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