HR for Non HR specialists.

November 2017

One day workshop

Stephenie Linham
 Programme outline

• Outcomes: Build on your knowledge and have greater

confidence with some essential personnel responsibilities.
• Topics include:
– The purpose of H.R. in your organisation
– Key issues in recruitment and employment
– Legal framework and legislation update
– Contracts of employment – who gets one, when and what it contains
– Grievance and Disciplinary Procedures
– Outline of a fair/unfair dismissal and employment tribunals
– How to keep up to date cost-effectively.
 Introductions
• Fire
• Toilets
• Refreshments
• Timekeeping
• Mobile phones
• DSC book shop discount today
• Copy of power point sent via email after today
+ opportunity to give feedback
 Introductions

• Find someone you don’t know

• Introduce yourself – role – organisation
• Why you are here and what you hope to get
from today
• Any specific challenges?
• Your colleague will introduce you and vice
versa
 Ground Rules

• Confidentiality?
• We all have responsibility
• There’s no such thing as a silly question
• Participation encouraged
• Others?
 What’s personnel management all about?

• Ideally?
• In your organisation?
• Three headings
• 1.Organisational effectiveness
• 2. People achieving results, feeling valued and
making an impact
• 3. Sorting it out when things go wrong
• Discuss in groups for 20 mins with 10 mins
feedback
 Organisational effectiveness

• Governing body understand their duty of care and

responsibilities as employers –HR sub committee?
Segregation for Disciplinary and grievance procedures, and
appeals.
• Clear line management and accountability – Organigram?
• Clear appropriate policies and procedures that meet
current legal standards
• A system to keep them up to date- April and October?
• Health and safety – a safe and pleasant working
environment
• Registered with HMRC as employers.
• Systems for PAYE and pensions
People – results, valued and making an impact

• Recruited, inducted, supervised, trained and

supported
• Motivated – valued ( Maslow’s theory)
• Involved in discussions – have a voice
• Good emotional environment - Free from
stress, bullying, harassment etc( Maslow’s
theory)
• Know what to do , how to do it and how it fits
in with organisation’s vision – the main driver
and glue that keeps it together
 Maslow’s Theory

• Appreciating an individuals needs

• In order
• Survival – basics –food and shelter
• Safety – physical, emotional –not living in fear of
making a mistake, sexual or verbal harassment etc.
• Love and belonging – liked and accepted
• Esteem – feel competent, self respect and
respected by others
• Reach potential
People – results, valued and making an impact

• Team and individual work plans to plan work

and prioritise ( 5 priorities) – everyone knows
what they are supposed to be doing –
including you!
• Training
• Regular support and supervision
• Appraisal - Preferably not pay related
 Sort it out when things go wrong

• Ignore at your peril!

• Employers have a duty of care.
• 11.3m days per year lost to stress. Health and safety law -
duty to assess and take measures to control risks from
work-related stress. Do you have a policy?
• Deal with and resolve conflict (Maslow's theory)
• Deal with concerns and grievances
• Deal with poor performance, bad time keeping etc
• Discipline
• Follow procedures and timings to the letter
 Legal Framework

• Organisation and individual – Employer and Employee

• Fixed term employees not treated less favourably.
• Employee rights after 2 years e.g. redundancy
• If subsequent contracts reach 4 years contract becomes
permanent- unless employer has a good business case as
to why it should not.
• Rights and obligations
• 1. When staff join us
• 2. While they are with us
• 3. When they leave us
 1. When staff join us

• Recruitment

• Selection

• Contracts
 Recruitment and selection

• Recruitment and selection

• Group work
Why have a process?
What would good practise include?
 Recruitment and Selection - Get it right or
live with the consequences
• Task Analysis- what needs to be done and therefore the
qualities and qualifications that are needed
• Job description- create or review existing- important for
performance reviews
• Person Specification- vital to get it right
• Advertising
• Application form or CV
• Information Pack – what will you send/give them access
to?
• Asylum and Immigration Act 2006 -Entitlement to work
(legal requirement),
• Rehabilitation of Offenders
• References
 Recruitment and selection

• Equalities Act 2010- ACAS quick start guide for

employers
• No discrimination on grounds of sex, sexual
orientation, marital status, gender reassignment,
pregnancy/maternity, race, religion, belief, disability or
age.
• Associative discrimination – because you associate
with someone with the protected characteristics above
• Check your policy.
• Harassment causes unpleasant working conditions.
 Selection

• Always based on the job description and

person spec
• If you can’t test it is there any point asking?
• Short listing – scoring essential and desirable,
weightings?
• Test, Presentation, Work sample?
• References and Checks –Disclosure and
Barring?
 Selection
• Interview –who?, how many? scoring, set and
supplementary questions, set the scene,
equipment, introductions
• Appointment, induction, probationary period
• Be prepared to tell unsuccessful candidates
why – agree a statement for the chair of the
panel.
• Keep papers 3 months in case challenged
 Legal issues in recruitment

• Legal minefield so managers are sometimes

frightened to do anything with “difficult” employees.
• Have you considered professional advice/insurance?
• Beware data protection, discrimination and Asylum
and Immigration laws
• Remember - No discrimination re protected
characteristics
• Age – avoid mature, senior, junior – even date of
birth.
 Data protection
• Workers have a legal right to access information
that an employer may hold on them
• includes information re grievances or disciplinary
action,
• or information obtained through monitoring
processes.
• Arrangements should be in place to deal with
requests for access as a 40 day time limit is
stipulated.
 Data protection
• The Data Protection Act contains 8 principles that
everyone responsible for using data has to follow.
• Processed fairly and lawfully, secure, obtained
only for one or more specified and lawful
purposes, accurate, adequate, relevant and not
excessive, processed in accordance with
individuals rights, not transferred outside
Europe unless country offers adequate data
protection, not kept longer than is necessary.
 Data Protection
• CCTV, telephone calls, emails
• The Act applies if employers are monitoring
employees; e.g. to detect crime or excessive private
use of e-mails, internet use etc.
• The act requires workers should be aware of the
nature and reason for any monitoring.
• Health Information
• If the employee freely gives consent
• Employers should check they can justify the
information collected.
 General Data Protection Regulation
(GDPR)
• Organisations must be compliant as soon as its
provisions take effect 25.5.18
• Stringent compliance requirements.
• Escalates data protection to corporate board level
topic- on agenda for every meeting?
• Heavy penalties (up to 4 % of worldwide annual
turnover, or €20,000,000, whichever is greater) +
compensation claims for individual misuse
• Replaces the 1998 act and European directive
 General Data Protection Regulation
(GDPR)
• Applies to all orgs if they do business with European
citizens
• Applies to employees, customers or suppliers.
• Requirement to not only comply but able to
demonstrate compliance through policies, processes
and procedures
• Can be fined just for not having those policies in
place
• Data breaches reported within 72 hours and all
those effected told.
 General Data Protection Regulation
(GDPR)
• Significant changes re rules around consent
(which will effectively render most current
employees’ consent invalid)
• Beware forgotten data bases
• HR departments are a real risk, as they hold
large volumes of often sensitive personal data
about employees.
 Legal issues in recruitment

• Have you got the right policies in place?

• E.g. Data protection, stress management
policy, Health and safety, equal opportunities
also covering recruitment, Recruitment policy
includes Asylum and Immigration Act 2006,
Rehabilitation of Offenders, Safeguarding?
 Contracts

• Express (written), oral and implied terms -

custom and practise
• Implied terms include:
– Accept reasonable instructions
Mutual trust and confidence (constructive dismissal)
Duty of care – e.g. Health & safety, free from
harassment, bullying and victimisation
• Vicarious liability
 Contracts

Who gets one?

• Employees who are employed for more than one
month entitled to a contract within 2 months
• Are they an employee or self employed?
• Are you sure they are self employed – risks to the
organisation
• What does a contract cover? Group Exercise
• Legal requirements? Other potential contractual
obligations?
 Contract contents- legal

• Names employer and employee

• Start date
• Job title and brief job description
• Line Management arrangements
• Pay ( note minimum wage) and when paid
• Permanent or fixed term
• Hours of work, holiday entitlement (statutory
minimum) and sick pay*( no requirement
other than SSP)
 Contract contents- legal cont.

• Place of work
• Notice of termination
• Any collective agreements
• Pension* - pensions act 2008 rolled out
• Details re Disciplinary and grievance
procedures* -do not make contractual
• * can be referred e.g. to in a handbook
 Other potential Contractual terms

• Working time directive – 48 hours or more over a 17

week period. Contractual with notice period or
otherwise 24 hours notice.
• Compassionate leave – do you have a policy or
guidelines? Take holiday?
• Time off for dependants- unpaid, does cover
arranging /attending a funeral. Any guidelines or a
policy?
• TOIL or overtime
• Pay review
 Other potential Contractual terms

• Consider “organisation will meet current statutory obligations

re……….” and list current rights. Point of contact for employees
to get more info.
• Constantly moving feast re Shared parental leave/
Maternity/Paternity/Adoption pay and rights
• The statutory adoption has no qualifying period, adoption pay
brought in line with maternity pay, i.e.90% of normal earning
for the first six weeks.
• Fathers, civil partners and partners gain right to unpaid time
off to attend 2 antenatal appointments.
• Parental leave covers children up to 18 years of age –was 5
years of age.
 Maternity pay

 Pregnant employees -right to 52 weeks maternity

leave.
 39 weeks could be paid - statutory maternity pay,
maternity allowance or contractual maternity pay
 During maternity leave employee and employer
can agree to have up to 10 K.I.T. days - keep in
touch.
 Paid reasonable time off for antenatal care.
 Employee has the right to return to original job or
suitable alternative.
 Shared Parental Leave and Pay

• 5 April 2015. Applies to eligible parents where a baby is due,

or a child is placed for adoption
• Eligibility –both parents - employee + same employer for
26+ weeks by the 15th week before baby due + earned £111
per week for 8 of 15 weeks before due date
• Qualifying mothers and adopters continue to be entitled to
Maternity and Adoption rights
• Able to choose to end this early and exchange it for Shared
Parental Leave and Pay in the first year
• Enables eligible parents/ adopters to choose how to share
time off work after their child is born or placed for adoption.
 Shared Parental Leave and Pay

• Can return to work for part of the time and then

resume leave at a later date
• Two weeks paid Paternity Leave still for qualifying
fathers and the partner of a mother/ adopter.
• Shared Parental Leave replaced the Additional
Paternity Leave entitlement
• Statutory Shared Parental Pay is currently paid at
£140.98 or 90% of your average weekly earnings
(whichever is lower).
 Other potential Contractual terms

• Surrogate parents eligible for adoption leave

• + ordinary paternity leave and pay, adoption
leave and pay and shared parental leave and
pay.
• Both parents will also be entitled to take
unpaid time off to attend two antenatal
appointments with the woman carrying the
child.
 Other potential Contractual terms

• Flexible working was just for parents of

children under 17 years
• The right to request flexible working extended
to everyone who has worked for the
organisation for 26 weeks+
• A duty on employers to deal with requests in a
reasonable manner. Right to refuse on
business grounds
 Minimum wage

• Minimum wage April 17

• £7.05 for over 21s to 24 years
• £5. 60 – 20
• £4.05 16 -17
• Apprentices rate £3.50 for 16-18 and those over 19 in
their first year only
• Remember only £5.35 per day offset for supplied
accommodation
• Local living wage for some tenders
• Beware of sleep ins!
 National living wage
• April 2017 applies to workers over 25 years
• £7.50
• London living wage currently estimated at
£10.20 per hour but no regional adjustments
to living wage
• £9.00 by 2020
• National minimum wage applies still to under
25 year olds
 Policies within contracts

• Compliance with
• Code of conduct also covering behavior
• Dress code, timekeeping, absence
• Confidentiality, telephones, e mail and internet
use
• Equalities, Data protection, Heath and Safety
Safeguarding
• No alcohol
• Anything else?
 Contracts

• Feedback from group exercise

• How did you do?
• Have you learnt anything?
 Retirement

• Default retirement age (formerly 65) phased out

- most people can now work for as long as they
want to.
• Check old but current employment contracts!
• However, some employers can set a compulsory
retirement age if they can clearly justify it.
• Phased retirement? Employers may or may not
be able to agree requests -can challenge this at
an employment tribunal.
 Pensions – new ages

• State pension linked to life expectancy.

• Jury service age rising to 75
• From 6.4.10 the pension age for women gradually increased
from 60 to 65
• From April 2016 to November 2018 their pension age
increases more rapidly from 60 to 65 to match men
• From December 2018 the pension age for all will start to
increase from 65 to 66
• October 2020 - pension age rises to 66 years
• Between 2026 and 2028- pension age rises to 67 years
• Between 2044 and 2046 - pension age rises to 68 years
 Pensions Act 2008

• Started in Oct 2012. Now almost rolled out to

all employers. Completed by 2018
• Applies to all employers for all employees from
22 to state retirement age who earn in excess
of £10k p.a.
• Your employer doesn’t have to contribute to
your pension if you earn less than:
• £490 per month, £113 per week, £452 per 4
weeks
 Pensions Act 2008

• All workers over 22 on minimum earnings

threshold automatically enrolled but can opt
out in first month and can later choose to opt
back in
• Employers cannot opt out
• In 2018 pension contributions have to be a
minimum of 8% with a minimum of 3% from
the employer, 4% from the employee and 1%
from the government via tax relief.
 Sick pay regs- and holiday

• Sick notes re not fit for work replaced in 2010

with computer generated fit notes.
• Either
• Not fit work or fit for work subject to
conditions
• Employer must consider G.P’s
recommendations
 Sickness and holiday

• New ruling Court of Appeal July 2012

• It ruled that an employee on long-term sick
leave is entitled to carry holiday leave forward
to the next year, even if no specific request
had been made to do so. This applies even if
statutory holiday would have to be carried
over to the following year.
• Currently against Working Time Directive
(WRT) –20 days only
 Sick pay regs- and holiday

• On termination of employment, an employee

who has been on long-term sick leave must be
automatically paid for all the holiday that has
been accrued over that period.
• Would also apply to those on maternity leave
 Managing sickness absence –
Fit for Work

• Fit for Work is free and helps employees stay in or

return to work.
• It provides an occupational health assessment and
general health and work advice to employees,
employers and GPs. after four weeks of sickness
absence – or more
• GPs and employers can refer a patient or employee
• Return to work plan produced= acceptable evidence
of sickness absence
• Can refer and get guidance on their web site
 Have a redundancy policy

• 2 years before there is an entitlement

• Different rates according to age.
• .5 weeks under 22 years of age
• 1 week 22 -41 years of age
• 1.5 weeks over 41 years of age
• Max number of years taken into account ie 20
• Based on a maximum weekly salary- £489 per week from
April 2017
• Max statutory redundancy £14,670
• Under £30k non taxable - BUT
 HMRC and redundancy payments

• HMRC changed way tax on redundancy

payments is collected from 6.4.11
• HMRC will assume that if a large sum is paid
out this is the normal monthly salary and tax it
as such – incurring up to 50% tax.
• You can only claim back the overpaid tax when
you do your tax return – therefore if you don’t
find another job you may have to wait a whole
year to reclaim the tax
 Statutory notice periods
• At least one week's notice if the employee has
been employed between one month and two
years
• One weeks notice for each year of employment
between two years and 12 years
• 12 weeks notice for someone who has been
employed for 12 or more years.
• Check employment contracts – they are often
wrong.
 Moving on - Discipline and Grievance

• Role of Accompanier
• Employment Relations Act 2004
• Employer must allow companion – usually
colleague or trade union rep – perhaps family
or friend.
• Full part in hearing but not to answer
questions on person’s behalf
• Sum up the case, respond to views expressed
ACAS code of practice for disciplinary and grievance procedures

• 11.3.15 following a judgement by the Employment

Appeal Tribunal which clarified the rules on making
requests to be accompanied at grievance or
disciplinary hearings.
• Previously thought an employer need only accept
“reasonable” requests re the choice of
companion,
• Now - a worker has an absolute right to choose a
companion, provided they are a fellow worker, a
trade union rep or trade union official.
ACAS code of practice for disciplinary and grievance procedures

• Non-statutory ACAS Guidance

• Makes it clear that employers may allow workers to
be accompanied by companions who are not a fellow
worker, trade union rep or trade union official.
• an employer may legitimately refuse a request such
as close relatives or lawyers, that, save in exceptional
circumstances are deemed unreasonable.
• BUT - Recent cases at an employment tribunal
indicate the financial impact of these changes is
nominal.
ACAS Code of Practice on disciplinary and grievance

• Changed from contractual to non contractual 6.4.09

• Check older contracts of employment
• Broad principles to follow – non statutory BUT
• Failure to follow the code and any award could be
increased by 25%
• www.acas.org
• New guide available to download free – as well as
basic principles has sample procedures and model
letters
• HIGHLY RECOMMENDED
 Grievance

• Fair procedure –stick to whatever your

procedure is including time scales- like glue -
or repent at leisure
• Start with informal approach – a chat
• What constitutes a grievance? VERY CAREFUL
– would you or other managers recognise a
grievance?
• Does have to be written to be taken further –
but doesn’t have to use the word grievance
 Grievance 3 step process

• Step 1 - letter
Inform the employer of their grievance in writing- essential if they are to
go to tribunal.
• Step 2- Meeting
Be invited by the employer to a meeting (normally within 5 days) to
discuss the grievance where the right to be accompanied will apply and
be notified in writing of the decision (normally within 24 hours) . The
employee must take all reasonable steps to attend this meeting.
• Step 3 – Appeal
Be given the right to an appeal meeting (normally within 5 days) if they
feel the grievance has not been satisfactorily resolved and be notified of
the final decision( normally within 24 hours).
• “Normally” allows a little wriggle room for unusual circumstances but if
he process is to go outside the stated time everyone must be kept
informed
This decision is final
 Disciplinary Action

• Have written codes of conduct and rules that make your

expectations clear
• Conduct
• Timekeeping
• Absence
• Health and Safety
• Telephones, e mail, internet
• Dress
• Signing up to policies – confidentiality, equal opportunities
• Indicate the kinds of offence (fraud) so serious they are
likely to be gross misconduct. Examples working
dangerously, stealing or fighting
 Disciplinary action

• Take informal action wherever possible

• First try to encourage and improve
• Offer help – counselling/training?
• Clarity re what exact improvements are
necessary and what could happen next if
there are no improvements
• Before you take any steps towards a
disciplinary process – investigate -check the
facts and evidence
 Disciplinary action

• Normally no employee will be dismissed for a

first breach of discipline except in the case of
gross misconduct – penalty, dismissal without
notice or payment in lieu of notice
• First stage formal procedure
• An improvement note for unsatisfactory
performance if not meeting an acceptable
standard. The problem, improvements required,
timescale, help to be given and right of appeal.
• Record kept for ? Months but considered spent
if performance reaches acceptable standard
 Disciplinary action

• Stage 2 formal procedure

• Final written warning
• Serious/further misconduct or failure to
improve performance while warning in force.
• Detail complaint, improvement required and
timescale.
• Warn that failure to improve may lead to
dismissal
 Discipline - 3 step process

• Stage 3 Dismissal or action short of

dismissal
• Appeal – at every stage
• At all costs stick to your procedure and time
scales or dismissal could be seen as
automatically unfair by an Industrial tribunal
• Do you have an untainted process? i.e.
independent and untainted?
 Discipline

• Discuss a case in your organisation which went

well………...or badly!

– What was the issue? Conduct or capability?

– What did you do?
– What was the outcome?
 What is dismissal?

• Includes expiry and non-renewal of limited-

term contract expires.

• Constructive dismissal - when an employee has

reason to resign ( and go immediately) because
of the unacceptable conduct of the employer.
• The relationship and trust has completely
broken down
 Fair dismissal

• The employer has a valid reason for dismissing

• The employer acted reasonably in treating

that reason as a sufficient reason for
dismissing the employee.

• Five possibly fair reasons.

 Fair dismissal

• Conduct - most common and the one which leads to

the largest number of complaints of unfair dismissal.
• Capability – unable, (including illness) or unqualified
to do the job.
• Redundancy - no grounds for claiming unfair dismissal
because of redundancy, i.e. no work or insufficient
work, unless unfairly selected.
• Statutory requirement – e.g. chauffeur lost his driving
license.
• “Some other substantial reason” – anything else e.g.
worker dismissed when original worker returns after
being suspended for medical reasons – provided
explained at beginning work was temporary
 Unfair dismissal

• The qualifying period to claim unfair dismissal

increased from one to two years on 6 April 2012.
• The increase applies only to employees whose
employment began on or after that date.
• The one-year qualifying period will continue to apply
to employees who started prior to that date.
• The two-year qualifying period for unfair dismissal
claims removed where the reason for dismissal is the
employee's political opinions or affiliation.
• Must make claim to employment tribunal within 3
months
 Unfair dismissal

• Much longer list!

• Issues relating to TU membership
• Issues relating to unfair selection for redundancy or
retirement
• Issues relating to TUPE – minimum wage, working time
regulations
• Issues re taking statutory entitlements e.g. parental leave
• Issues relating to pregnancy
• Failure to “act reasonably”
• Failure to use statutory minimum process correctly
 Reasonable procedure

• E.g. Misconduct or incapability - given a chance to

improve?
• Redundancy - suitable alternative work within the
organisation?
• ACAS revised code of practice – follow as far as
practicable given the size and administrative resources
of the organisation.
• Written statement of reasons for dismissal - The
Employment Rights Act 1996 - all employees with 1
year’s continuous service entitled to a written
statement of the reasons for their dismissal, within 14
days. For dismissals during pregnancy, maternity or
adoption leave, no qualifying service needed.
 Agency Workers Regulations 2010

• Came into force 1.10.2011

• Day 1 rights re same access to workplace facilities ( canteens, child
care, car parking, transport) and be informed re any vacancies
• After 12 weeks continual working same rights as permanent staff re
equal pay, working time type conditions, pensions and holidays.
• Accrues even if there are breaks unless breaks longer than 6 weeks
• May get statutory maternity pay but not statutory maternity leave
• Does include paid time off for ante natal appointments and related
travelling time.
 Employment Tribunals and appeals

• Fees and charges introduced in summer 2013

• Fees for appeals, reviews, mediation, counter
claims and applications to dismiss
• Reductions for people on low incomes
• Remissions scheme for those who find it
difficult to pay
• Costs controversial! Numbers of cases
dropped dramatically. SO…………………
Employment Tribunals and appeals
• There is no longer a requirement to pay a fee to make a
claim to the Employment Tribunal or the Employment
Appeals Tribunal.
• This was confirmed on July 26th 2017 by the Supreme
Court which declared unlawful the Employment
Tribunals and Employment Appeal Tribunal Fees Order
2013.
• Anyone who has previously paid fees to the
Employment Tribunals or Employment Appeals Tribunal
is entitled to be reimbursed by the government.
Enterprise and regulatory reform bill 23.5.12

• ACAS must be advised when a person intends to make

an employment tribunal claim –ACAS offer early
conciliation. Far less stressfull!
• The claimant will be issued with a certificate permitting
them to issue proceedings if the conciliation officer
concludes that a settlement is not possible.
• April 2013 Rapid resolution scheme introduced
• Introduces the concept of "legal officers", who may
determine specified types of employment tribunal
claims if all parties to a dispute consent in writing.
Enterprise and regulatory reform bill 23.5.12

 Calculated like redundancy

 Basic award + compensation award
 Maximum compensatory award for unfair
dismissal is one years pay or £80,541 –
whichever is lower
• Tribunals have discretion to fine employers
between £100 and £5k if there was a breach
of an individuals employment rights but with
aggravating features- malice or negligence
 What gets the best out of people?

• Gallup survey
– What gets the best out of staff?

– What does your organisation do well?

– What could it be better at?

– What’s that going to require from you?

 Management – Tasks and People
Gallup Survey

• Task related – how managers can help people get things done
1. Do I know what is expected of me?
2. Do I have the things I need to do a good job?
3. Do I have the opportunity to do my best everyday?
4. Is my work important? Is the work of my organisation important?
5. Are my co-workers committed to doing quality work?

• People related
6. In the last 7 days have I received recognition for good work?
7. Does somebody care about me as a person?
8. Is there someone who cares about my development?
9. Do my opinions count?
10. Do I have a best friend in the organisation?
11. Have I had feedback about my progress in the last 6 months?
12. In the last year have I had opportunities to learn and grow?
 So what is they need from you?

• Clarity
• SMART targets
• Vision
• Support
• Feedback
• Praise
• Voice and choice
• Opportunities for development
 So where do you go for support?

• Gov.UK- www.gov.uk

• ACAS- sign up to their e mail information, updates and advice

– www.acas.org.uk
– 08457 47 47 47

• CIPD - www.cipd.co.uk
• Xperthr, Croners etc. - www.croner.co.uk
• National umbrella body –NCVO, Advising
Communities
 And now…

• Personal Action plans – what do you need to

do?

Thank you…
and all the best on
being the best you can be