Gareth Edwards
Assistant Group Training Manager
Managing Conduct and
Performance
Course Objectives:
By the end of this course you will be able
to:
Understand the importance of counselling,
and know how to identify potential problems
Understand the disciplinary procedure
Carry out formal disciplinary action within the
scope of your authority
Understand the appeals procedure
How do you deal with the ‘Challenging’
members of your team.......?
Managing Conduct and Performance
Managing Conduct and Performance
At QHotels ALL managers must take
responsibility for dealing with performance
and conduct issues within their teams
The ‘Managing Conduct and Performance’
Course deals with this in detail
This session gives a summary overview
The most important piece of advice is to ALWAYS
‘nip in the bud’ any potential problems!
To begin with this may mean simply informal
counselling....
Managing Conduct and Performance
What is Counselling?
Counselling means talking to people about potential
problems immediately and informally
Problems can often be resolved before whilst they are
minor
Be aware of your team and their work performance
Never avoid a potential problem – it will not go away
Encourage open and honest communication with your
team
Managing Conduct and Performance
How should counselling work?
Always carry out discussions discreetly and
away from other members of the team
Listen to any explanations put forward - there
may be a genuine personal reason for a
problem - try and help find a solution
Make it quite clear what is not acceptable
(conduct or performance) and that
improvement is required and that there is a
timescale - explain that next stage is likely to
be formal action
Keep a note on employee’s file for reference
purposes
Is there a legal requirement to comply with
set procedures when managing conduct or
performance?
In October 2004, the Employment Act made it a
legal requirement for all organisations to follow
minimum statutory procedures
Managing Conduct and Performance
Failure to comply with these statutory procedures
will render a dismissal as automatically unfair, and
are likely to increase any damages awarded by 10-
50% if procedure has been breached
This legislation will be amended in April 2009
shortly, however procedures will still apply and
should always be followed
It is essential that you always lead by example
when dealing with formal conduct and performance
issues
Managing Conduct and Performance
Why have formal Procedures?
To deal with employees who fail to meet expected
standard of conduct or performance
The procedure ensures that employees are treated
fairly
To warn clearly of the consequences if no
improvement is made
To protect the company against claims for unfair
dismissal
All employees who have one or more years service
can bring a claim for unfair dismissal
Managing Conduct and Performance
Who can bring a claim of unfair
dismissal?
All employees with over 12 months continuous
service
Those with less than one year’s service can
bring a claim if they believe they were dismissed
on grounds of discrimination eg sex, race,
disability etc
Employees with any length of service can bring
a claim of wrongful dismissal
Managing Conduct and Performance
What is the role of Human Resources in
managing conduct and performance?
Human Resources must always be involved at
every stage of the process to ensure that the
correct procedure is followed – they represent
the interests of both parties – the Company and
the Employee
Managing Conduct and Performance
Carrying out formal Procedures
There are two separate procedures:
MISCONDUCT
POOR PERFORMANCE
However the basic steps and procedures are
the same
Handling Misconduct
Some Examples of Misconduct:
Persistent Absenteeism or lateness
Unauthorised Absence
Misuse of company facilities
Failure to follow company rules
Harassment
Disorderly Conduct
Managing Conduct and Performance
The Disciplinary Stages
Verbal or Oral Warning (Stage 1)
Written Warning (Stage 2)
Final Written Warning (Stage 3)
Dismissal (Stage 4)
Remember that the sanction imposed will depend on the seriousness of
misconduct/poor performance or whether it is a repeat of previous or
similar offence
Remember it is the ‘procedure’ not the decision that should be
consistent, fair and reasonable eg employees may be treated differently
for the same type of offence
Prior to the Hearing
A full and thorough investigation completed
to establish if there is a case to answer
Written notification to employee inviting them
to attend a hearing, detailing the allegation,
informing them of their right to be
accompanied, and including details of any
evidence that will be included . copies of
training records, statements etc
Prior to the hearing
Employee should be informed a minimum 24
hours prior to hearing (maybe longer
depending on seriousness/complexity of
case (always inform verbally prior to sending
formal written invite)
Prior to hearing, check the facts . length
of service, previous warnings, any known
mitigating circumstances to be taken into
account
At the hearing
Use the hearing checklist
Manager must always be accompanied by a
note taker (normally Human Resources)
Introduce those present and keep
proceedings professional – treat the
individual as you yourself would wish to be
treated
Explain the rights of the accompanying
person
Clarify the allegations of the case, using
evidence as appropriate
Allow the employee to state their case
At the hearing
Ask follow up questions as required
If further investigation is required adjourn the
hearing
Keep notes, including timings (always keep
handwritten notes, even if the minutes are typed up)
Above all, keep an open mind until hearing all of the
evidence
Check that there are no mitigating circumstances to
be taken into account . personal problems
outside work
Adjourn the meeting to consider the facts and make
a decision (this will normally depend on seriousness
of the allegation and complexity of the case)
Making a decision
Consider the employees record to date
Similar offences and sanctions
imposed
Any mitigating circumstances to be
taken into account
For example – when issuing a Final Written Warning,
consider carefully if you would dismiss the employee
if they committed this same offence again – if
unsure, then correct sanction would be written
warning
Making a decision
Inform employee of the decision, fully
explaining how you have reached your
decision
Inform employee of their right of appeal
Confirm the decision in writing, explaining
fully why you reached this decision
Managing Conduct and Performance
Handling Poor Performance
Is in the main, far more challenging that
handling misconduct.
It is essential to handle poor performance
issues promptly
In many cases an informal discussion, followed
up in writing which warns that formal action will
be taken if there is no improvement, will be
sufficient.
Managing Conduct and Performance
Clarifying Performance Expectations
Once a decision has been made, it is essential to set out
clearly realistic and achievable targets, and to provide
support and training to help the employee to improve
their performance.
A review date should be set to see if these standards
have been achieved
Remember that unrealistic targets may result in
employee absence/constructive dismissal claims
Managing Conduct and Performance
The formal procedure
Always follow the correct procedure for all
formal conduct and poor performance action –
see handout for full details
Always take prompt action!
Remember that if you use informal
counselling immediately when you spot
a potential problem with your team, it is
likely that you will avoid the need for
formal action to be taken in the majority
of cases
Appeals
Employees must appeal in writing stating specifically why they
believe a decision to be unfair or inappropriate
An appeal is not to repeat the previous disciplinary meeting
The format is as for formal disciplinary hearing . right to be
accompanied, opportunity to state their case etc.
An appeal must be heard by another normally more senior
manager, who has not been involved in the decision making
throughout the disciplinary process
It is permissible to give a decision in writing within 7 days,
rather than an immediate oral decision. This would be
appropriate particularly for any case involving dismissal.
In all cases, the decision should be confirmed in writing
Appeals
A reminder that employees must exhaust the Company
internal procedure prior to making a tribunal claim.
By spending time on dealing thoroughly and fairly with
disciplinary action, clearly explaining and justifying
the decisions taken, many appeals will have been
avoided as employees will have been treated fairly
Remember when dealing with your
team you should be:
Open
Honest
Consistent
Fair
Reasonable
Use your common sense – lead by example and
treat your team how you yourself would want
to be treated
Managing Conduct and Performance
Any questions?
