Incapacity/Non-performance counselling procedure
1. Introduction
1.1 The counselling procedure is designed to assist management in handling cases where employees are not performing to the standards of work required of them in terms of their contracts of employment.
1.2 The purpose of the procedure is to identify the reasons for the non-performance and to provide a structured system of assisting the employer to improve his or her performance to the required standards within a reasonable period of time.
2. Reasons for incapacity /non-performance
2.1 There, are two main reasons why an employee may be incapable of doing Ms or her job or of performing to the required standards. They are:
2.1.1 Physical incapacity due to ill health or injury and;
2.1.2 Incompetence due to lack of skills, training, natural ability or the ability to work with fellow employees.
2.2 In both, cases the counselling procedure should be used to address the reasons for the employee's inability to perform.
3. The Counselling Procedure
When it is considered that an employee's performance is not measuring up to the standard required, the manager concerned should engage in a process of counselling the employee concerning his or her physical inability or perceived incompetence.
3.1 Review of standards - The employee's job content and standards should be reviewed. The reasonableness of those standards should be confirmed and, if possible agreed, with the employee. If the employee does not agree that they are reasonable, the manager may require performance to those standards if he or she believes they are reasonable.
3.2 Identify sub-standard performance - The manager should identify shortfalls in the performance using the most objective measurement criteria available. These should be discussed with the employee.
3.3 Identify reasons for sub-standard performance - Reasons why the employee has fallen below the standards should be discussed and identified. 3.4 Action plan - If the reason for the non-performance lies with the employee, the manager should counsel the employee: on how to achieve the standards and agree on an action plan. Agreement should also be sought from the employee that the action plan is acceptable and that he or she is capable of achieving the required standards if the action plan is complied with. If the action plan is reasonable but the employee does not agree with it or for no good reason, it may nonetheless be implemented.
3.5 Assistance - Thereafter, the manger should provide all reasonable assistance which may include suitable training of the employee to enable the employee to achieve the required standards. In the case of physical incapability, the assistance may include reasonable time off for medical treatment or temporary or permanent transfer to a less onerous job.
3.6 Review dates - The employee should be given sufficient time to improve and review dates should be established to monitor progress.
3.7 Record of counselling - The contents of the counselling and the agreed action plan should be recorded in a written memorandum to the employee in the form of the Counselling Record. It should be signed by the supervisor or manager concerned as a record to which the parties may refer at a later stage if necessary. The memorandum could also provide proof of counselling.
3.8 Further counselling and warnings - If the employee does not reach the required standards within the time periods set, the manager should engage in further counselling if it is believed that the employee may still be capable of improving given further assistance and time. The manager should also warn the employee that his or her services may be terminated if he or she fails to perform to the required standards by the end of the time period set.
3.9 Enquiry and termination - If after further counselling or a warning and a reasonable time period the employee still does not perform to the required standards or proves to the satisfaction of the manager that he or she is incapable of achieving the standards, the manager should convene an enquiry to consider the case. The chairperson of the enquiry should be neutral and objective.
A colleague of his or her choice may represent the employee. After hearing the case, the chairperson may decide to take whatever steps he or she considers appropriate which may include termination of the services of the employee on the grounds of incapacity/non- performance.
3.10 Review - The employee has a right to have the findings of the enquiry reviewed by a member of the next level of management. The right to review must be exercised within 7 days of the outcome of the enquiry and must clearly state the grounds of review. The chairperson of the review must confirm, set aside or vary the decision of the first enquiry. 3 . 1l Payment of termination - If an employee's contract of employment is terminated on the grounds of incapacity/non-performance, it is appropriate to pay the required contractual notice, in certain cases when circumstances are such that it seems equitable, the payment of compensation to an employee may be appropriate but is entirely in management’s discretion.
There cannot be a set formula for the payment of compensation because of the differing circumstances of each case.
4. Considerations for Dismissals for Incapacity/ Non-Performance
In considering a case, the chairperson should take the following factors into account before deciding to terminate:
Is the extent and degree of the employee’s incapacity material? In the case of physical incapability, when is the employee likely to recover from the ill health or injury? Is there likelihood of future improvement? Is it possible to alter the employee’s job content to match his/her capabilities? What are the possible effect on the safety and morale of other employees and the public? What is the status of the employee? What are the consequences to the employee? What opportunity was given to the employee to improve? Has the employer treated like incapacity in a like manner?
5. Gross negligence
In certain extreme cases of non-performance or incompetence which may amount to gross negligence, the counselling process may not be appropriate and treatment as a misconduct case may be justified, which could result in disciplinary action including dismissal.
6. Performance appraisal
This is not to be used as an excuse to attack any employee. Employees must be given advance notice of the date on which an appraisal will take place. They must be assured that the forthcoming appraisal is intended to assist in the future progress of the employee concerned. The interview should take place in private. Performance appraisal
Name: ………………………………………. Date: …………………………………….
Designation: ………………………………... Date of appointment: ……………………
Poor Average Good Very Good 3 5 7 10
Personal
Attendance
Punctuality
Personal presentation
Enthusiasm
Relationship with colleagues
Job Related
Attitude at work
Quality of work
Speed of work
Understanding methods/operations
Performance level
Attention & cleanliness to work area
Progress
Overall assessment: Final Mark ______Signature: ……………………………………………….
Name: …………………………. Designation: …………………… Signature: …………………. ……… Counselling procedure Counselling record
Employee name: ………………………………… I.D. no.: ……………………………
Date of counselling: ……………………………... Reference: ………………………….
Counsellor: ……………………………………… Meeting no.: ……………………….
Employee representative: ………………………………………. Date: ……………………...
Other: …………………………………………………………...
1. Perceived incapacity/non-performance ______
2. Reasons for incapacity/non-performance ______
3. Action plan ______
4. Review date
______
5. Warning ______
6. Decision for enquiry ______
Signature of counsellor: ………………………………….. Date: ……………….. …………… Signature of employee: …………………………………... Date: ………….. …………………
Counselling procedure
Counselling procedure flow chart
Perceived incapacity/non-performance
Review of standards
Identify sub-standard performance vs. measurement criteria
Identify reasons
Action plan
Assistance/training
Review dates
Further counselling/warning
Enquiry
Termination Warning of unsatisfactory performance
Date: ………………………….
Addressee (employee)
…………………………………………
…………………………………………
…………………………………………
Dear ……………………………………………..,
During our recent meeting where aspects of your performance, unacceptable to this company were discussed, it was decided that a marked improvement must be shown in the following areas:
a) ______by: (date) ______b) ______by: (date) ______c) ______by: (date) ______
We are confident in your ability to achieve this target.
Signed: ……………………………………………………
Designation: ………………………………………………. Company name: ______Address: ______Contact no.: ( ) ______Fax no.: ( ) ______
Date: ______
Employee’s name: ………………………………………….
Dear ………………………………………………………,
Written warning: poor work performance
The following aspects concerning your performance and/or conduct have come to our attention:
______
______
______
______
______
The following training/assistance was rendered:
______
______
______
______
______
Should you need assistance or encounter problems of any kind, management should be approached urgently. Should your performance fail to improve within the next ______weeks/months, a disciplinary Hearing will follow to lead to your dismissal.
______Management Employee
Witnesses: 1. ………………………………….. 2. ………………………………..…………. Final warning before termination
Date: ……………………………
Addressee (employee)
______
______
______
Dear …………………………………………..,
The problems of your poor performance in certain areas which you were previously warned of appear to continue.
In accordance with the high standards demanded of employees by this company it leaves me no alternative but to inform you that if there is not a substantial improvement in the immediate future you will be dismissed without further warning.
______
Signed
______
Designation