1

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

Jessie Monck, PPD, jcm56@cam.ac.uk

Human Resources DivisionPersonal and Professional Development

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

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

• …

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!

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

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

6

(from Disciplinary Policy)

7

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

Take informal action wherever possible

Issue resolved = action complete

Conduct fails to improve sufficiently= take further action

Conduct improves = action complete

Employee dismissed

Provide employee with anopportunity to appeal

Inform employee of result in writing e.g.:•No penalty•First written warning•Final written warning•Dismissal or other sanction

*Inform or consult your HR Business Manager or Adviser*

• 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).

A fair DISCIPLINARY procedure overview

8

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

Take informal action wherever possible

Issue resolved = action complete

Performance fails to improve sufficiently = take further action

Performance improves= action complete

Employee dismissed

Provide employee with anopportunity to appeal

Inform employee of result in writing e.g.:•No penalty•First improvement note•Final improvement note•Dismissal or other sanction

*Inform or consult your HR Business Manager or Adviser*

• 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).

A fair CAPABILITY procedure overview

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

1. Clarify: “This is what I expect to see…” (the expected standard of

performance or behaviour)

2. Explain: “This is what I actually see…” (observed performance or

behaviour)

3. Discuss together

4. Agree plans for improvement

5. Review progress

CEDAR

A fair GRIEVANCE resolution procedure

11

• 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).

Issue resolved = action complete

*Inform or consult your HR Business Manager or Adviser*

Follow the relevant procedure if it’s not possible or appropriate to resolve the matter informally

Resolve informally wherever possible

• 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

Allow the employee to appeal if not satisfied. Deal with appeal impartially and where possible by a manager not previously involved.

What staff can do

• Seek advice

• Keep records

• Speak to individual if able to

• Complain formally to HOD if not

• HOD will initiate investigation

12

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

13