Capability vs Disciplinary – Case Study 2 – Suggestions to Combat Underperformance

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Last week we introduced you to Karen, she has been underperforming for the last eight years with your company.  She is unsociable, intimidating, rude and fails to take responsibility for her actions.  This has led to numerous complaints from her peers, supervisors and managers, with one colleague threatening to resign as a result of Karen’s behaviour.

What action should you take to deal with Karen? What procedures should you invoke? Here are a few suggestions:

  • Conduct an informal interview with Karen in the first instance with the aim of getting to the root of the problem.  Ask her to explain why she is behaving the way she is – what are the underlying problems from her point of view
  • Gather evidence from other people – her colleagues, supervisors and managers.  In particular talk to the person that has threatened to leave, find out what has been going on and persuade them to stay by reassuring them that you are dealing with the problem
  • Get input from your HR department and consultants.  It can be very valuable to get input from someone who can look at the overall situation and be impartial.  The line manager cannot do the investigation and  decision making
  • Don’t let it go on too long – Karen’s manager may need help with performance reviews / dealing with staff issues
  • If all else fails invoke a formal disciplinary procedure including informal and written warning and dismissal if appropriate.

Capability vs Disciplinary – Case Study 2

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This week we are bringing you another capability vs. disciplinary case study.  Meet Karen!

Karen has been working for your company for eight years and during this time has failed to be a team player which has had a marked effect on both her performance and those working with her.  The underlying problem with Karen’s performance is the way in which she interacts with her peers:

  • Karen will often refuse to speak to her colleagues
  • Karen fails to take responsibility for her actions and blames her colleagues for problems that she has caused herself
  • Karen has been known to have threatened and intimidated a number of her colleagues
  • Karen has singled out one member of staff in particular for not particular reason

Over the eight years you have built up quite a thick file on Karen including complaints from peers, supervisors and managers.  Recently you have received two complaints from managers in relation to Karen’s attitude to other members of staff and the upset she has been causing.  In addition you have received an email from one of Karen’s colleagues which concludes by saying -…I can’t work with Karen any longer, her petty behaviour is making my work life unbearable, I am going to have to leave?.

What action should you take in this case? What procedures should you invoke? Tune in next week for the answers…

Capability vs. Disciplinary – Case Study

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Following on from Annabelle’s story last week… Both sides are now aggrieved – what is the solution?

  • Investigate Annabelle’s grievance thoroughly – is her grievance genuine and based on fact or is she manipulating the situation in order to hide or detract from the issues with her own performance?  Her employer must try and give her the benefit of the doubt but at the same time bring the issues with her performance to her attention in a constructive way and develop a suitable action plan that can help dispel the grievance situation for both parties.
  •  Give Brian some support to help with his management skills and ensure that an issue like this cannot recur in the future.
  •  Set up performance reviews for Annabelle.   Establish the causes of poor performance e.g. insufficient training, poor working relationships, lack of understanding, lack of motivation, poor attitude.  Pinpoint examples of where her performance is lacking, set clear performance expectations going forward and take positive steps to rectify the situation such as training and coaching.
  • If after all that is done and Annabelle problem is identified as one of attitude rather than aptitude then  speak to her about about disciplinary rather than capability management.  Hold an informal meeting in the first instance to ensure that she understands why her behaviour has been deemed unsatisfactory and agree steps to ensure that the behaviour does not recur.
  •  If informal warnings have not produced the desired result and Annabelle’s unsatisfactory behaviour continues, the next step is to conduct a thorough investigation invoke a formal disciplinary procedure, including written warnings, before heading down the route of dismissal.

Capability vs. Disciplinary – Case Study

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In a recent blog we looked at performance management and how to distinguish between issues of capability and misconduct when dealing with the underperformance of employees.  To bring this issue to life we would like to introduce you to Annabelle.

Annabelle has worked as a marketing assistant in the marketing department of retail company for 3 years, during this time she has consistently underperformed, indeed underperformance was an issue from day one for Annabelle when she failed her probationary period.

Taking a proactive approach rather than instantly dismissing Annabelle, her employer provided some coaching.  This initially had a positive effect on her performance but unfortunately in recent months things have begun to slip again, she repeatedly, and frustrating for her manager, makes the same mistakes over and over, does not take guidance well, often has to have tasks explained to her several times and makes consistent inaccuracies in proposals  .

Now a major problem for her employer, Annabelle’s mistakes are costing them money and having a detrimental effect on the marketing team and business as a whole.  Annabelle’s manager is results driven, he feels she has been given an easy ride by the business and undertakes a formal review of her work.

On the flip side, Annabelle feels that she has not been supported by her employer, that she is not being properly managed and that she lacks coherent and consistent guidance.

Annabelle’s manager invites her to a meeting to discuss the on-going issues with her performance and although this meeting is handled in a professional manner, with legitimate concerns raised and examples of underperformance given, Annabelle feels bullied and raises a formal grievance against her manager.

Both sides are now aggrieved – what is the solution?

 

Check out next week’s blog for the solution to this problem.

 

 

Absence Management

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It is estimated that unauthorised absence costs the UK economy around £10bn-£12bn every year with employees failing to come to work for no good reason an average of 8 days each.   With the Olympics just a few short weeks away, and an expected rise is unauthorised absence predicted it important that you plan ahead to avoid unauthorised absence.

To stay on top of unauthorised absence you must put in place thorough absence policy that includes how absence will be managed; states clearly what absence is and is not permitted; details of how absence will be recorded and monitored; reporting lines and disciplinary procedures.

When you suspect an employee is taking an unauthorised day off you should:

  • Make contact on day 1 to establish the reason for the absence
  • If you are not satisfied that the reason for absence is genuine follow up with a letter on day 2
  • If the employee does not make contact and remains absent from work without notice you may have cause to assume resignation and formalise the appropriate procedures
  • If the employee returns to work you should always conduct further investigation in order to prevent a similar absence from occurring in the future and where necessary invoke a formal disciplinary process
  • If an employee takes annual leave despite being previously refused you must contact them immediately in writing and again invoke a formal disciplinary process.

Having in place a robust absence management policy will reap long term rewards by: –

  • Identifying the causes of poor attendance.
  • Providing support.
  • Increasing loyalty and motivation.
  • Deterring casual absence.
  • Identifying problems at work.
  • Improving morale and motivation.
  • Leading to reduction in absence.
  • Improving productivity.

Managing Stress in the Workplace

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Whilst we all experience varying amounts of pressure throughout our working lives, when this pressure develops into stress it is time for both the employee and employer to take positive action.

According to the Health & Safety Executive stress is “the adverse reaction people have to excessive pressures or other types of demand on them at work”.   It is estimated that the cost of sickness absence resulting from work-related mental-health problems is approximately £1.3 billion per annum with stress taking centre stage as the major cause of long term sickness absence in the UK.

As an employer you have a legal duty to ensure the health, safety and welfare of your employees and whilst you are not required to eliminate all pressures in the workplace you do have a common law duty to take reasonable care and minimise the risks wherever possible.

If you suspect an employee may be suffering from stress there are steps you can take.  Hold a meeting and encourage open and honest dialogue about how they are feeling and what stress they feel they are under.  In closely working teams other employees may have already raised concerns about a colleague, speak to them to find out what the causes/pressures might be.

If the cause of the stress is work related then it is important you act promptly and appropriately.  There are legal consequences for handling issues of stress badly including personal injury/psychiatric injury litigation, unfair or constructive dismissal or discrimination claims.

Managing Capability and Conduct Issues Effectively to Avoid Dismissal

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When capability and conduct issues come into play it is important to take proactive action to quickly remedy the situation whilst balancing your responsibilities in terms of employee statutory rights.  Here are some tips that can help:

  • When a performance issue arises deal with it there and then, not dealing with a problem in its infancy can lead to a major crisis if left to fester.
  • Give your employee the benefit of the doubt and work  in partnership with them to develop a suitable action plan.
  • Establish the causes of poor performance and pinpoint examples of where performance is lacking.
  • Put a road map in place that includes how you will support your employee, clear performance expectations going forward and any training, coaching programmes necessary  to rectify the situation.
  • Consider alternative employment options.  Whilst you do not have a duty to do this it is a good preventative step to avoid employment tribunal  and unfair dismissal claims.
  • Hold an informal meeting in the first instance to ensure that the employee understands why their behaviour has been deemed unsatisfactory and agree steps to ensure that the behaviour does not recur.
  • If informal warnings have not produced the desired invoke a formal disciplinary procedure including investigation of the facts and written warnings, before heading down the route of dismissal.In the event of an act of gross misconduct you have the right to dismiss the employee, following an investigation and meeting, without notice or pay in lieu of notice.

Understanding Capability and Conduct

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Having clear expectations of employee performance and managing these on a daily basis are critical success factors for every business.  A high performing business knows which employees are delivering and which are failing but addressing issues of underperformance is no easy task.

It can be difficult to establish if poor performance is due to inherent incapability or misconduct.

Capability refers to an employee’s skills, ability, aptitude and knowledge in relation to the job that he or she is employed to do.  The key feature of lack of capability is that it is not the employee’s fault. Very few employees choose to perform their work badly, make mistakes, fail to complete tasks or have poor relationships with colleagues or customers.

Misconduct refers to any behaviour that falls below that of the standard required by your business or behaviour which fundamentally breaches a contract of employment such as fraud, theft, damage of company property, harassment or bullying.  There is no legal definition of misconduct, it is very much dependant on the type of business you operate, the nature of work undertaken by your employees and the risks to your business.

A lack of capability exists where no matter how hard an employee tries, he or she is simply unable to perform the job to the standard required by the employer. If an employee fails to come up to the required standard as a result of his or her own carelessness, negligence or idleness, this will not constitute incapability, but could be regarded as misconduct.

One of the key distinctions between capability and conduct is that lack of capability will usually be outside the employee’s direct control, while the same employee obviously will have control over his or her conduct at work.

To find out more about managing capability and conduct issues and the ways in which these can be dealt with to ensure that employees are treated fairly and reasonably whilst preserving the interests of your business read the latest copy of our Working Together newsletter.

Preventative HR Seminar 14 June

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In today’s challenging business environment, your people are your biggest asset therefore it essential that you recruit and retain the right team.

In terms of recruitment diligence is vital in ensuring that you identify and appoint the best candidates from the high number of applicants you have for each role.  Recruiting the wrong person costs time and money whereas recruiting the right person will deliver an instant return on investment.

Once an employee is in place you must nurture their development, monitor their performance and output effectively and help them achieve their true potential in order to retain them for the long term.

When performance issues come into play it is important to take proactive action to quickly remedy the situation whilst balancing your responsibilities in terms of employee statutory rights.

Building a winning team is not as onerous as it sounds once you have the right procedures and policies in place.  Join us for our forthcoming free preventative HR seminar to find out the best ways to manage recruitment and induction, appraisals and performance feedback, managing poor performance, managing sickness, statutory rights and communication.

Taking place on 14th June at The Arab British Chamber of Commerce from 9.30-11.30 am this event is a must for all employers and managers who want to invest in their people and reap the business rewards that follow.

To reserve your place for this event please contact Sue Ferguson on 0118 940 3032 or email sueferguson@optionshr.co.uk.

 

 

Dealing with Disciplinary and Capability Issues

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It is a mistake to think that performance problems, whether they be capability or disciplinary in nature, will simply go away or sort themselves out.  

Issues such as sickness absence, poor attitudes/behavior, failure to meet objectives and poor general standards of work must be dealt with appropriately and effectively as soon as they occur. 

In most instances and informal chat may be enough to solve the problem but if not then you have laid the groundwork for the formal disciplinary process to begin. 

 What to consider when planning your approach:

  • Do you want to conduct an initial informal chat or start with a more formal meeting? Is the employee entitled to be accompanied by a representative at the meeting?
  • What is an appropriate review/warning period?
  • If dismissal is a possible end result, are there any alternative work options available to the employee?
  • What acts of poor performance are serious enough to instigate a dismissal procedure?
  • If the issue involves bad attitude/behaviour ? is this a capability or conduct issue? What are the differences in approach to handling these issues?
  • What are the legal requirements of a disciplinary procedure?  Informal and formal meetings, formal and informal warnings, right to respond, opportunities to improve etc. 

On Thursday 21st June we will be holding a workshop covering the practical aspects of carrying out a capability or disciplinary procedure.  We’ll look at what the differences are between capability and disciplinary and how you can handle them with confidence and success. 

The workshop will be held at the Hennerton Golf Club from 9.30am to 12.30pm.  Please contact Sue for further details or to book your place.