Conduct Capability Procedure

Conduct & Capability Procedure
Document Control
Document Revisions Version (V) Revision Date Revisions By
Conduct & Capability Procedure (6 Month Trial – Derby Only) V1 01.01.2015 Rosin Johnson
Conduct & Capability Procedure V1.1 15.07.2015 Lynn Smith
Conduct & Capability Procedure V1.1 29.09.2016 Mhairi Rafferty
Introduction
In line with our values of integrity and unity, this policy has been developed to
demonstrate our commitment to treat you fairly with regards to conduct and capability and
in a way in which we would expect to be treated. Please read this Procedure alongside the
Conduct & Capability Policy.
Who does this procedure apply to?
This Procedure applies to all employees of Webhelp UK.
Why do we need a Conduct & Capability Procedure?
Our Conduct & Capability Procedure sets out a fair and effective framework for handling
any issues that arise due to your conduct or capability. We are committed to supporting you
to attend work and perform your role to the best of your abilities in a professional manner.
However, on occasion there may be times where we may need to address conduct or
capability that has fallen below an acceptable standard. Throughout the Conduct &
Capability Procedure you will be treated with integrity.
This Procedure should be followed in cases where your conduct or capability is

unsatisfactory or has reached an unacceptable level.
For cases relating to poor performance or attendance, please use this in conjunction with
the Performance Management or Attendance Policies and Procedures, whichever is
applicable.
It is our intention to now group any warnings issued in a formal hearing under the headings
of Capability or Conduct. This will also include any live warnings outstanding on your file.
For example, if you were to attend a further hearing for a different conduct issue, any new
warning issued under Conduct would be grouped together with any previous live warnings
and the next sequential appropriate level of sanction would be issued. In cases of gross
misconduct, this does not prevent us from bypassing any stage of this Procedure.
What does the Conduct & Capability Procedure consist of?
Informal Procedure (SMART Chat and SMART Agreement)
As soon as a minor conduct or capability issue is identified, your Line Manager will act as
soon as possible and agree actions with you to resolve it. Where appropriate your Line
Conduct & Capability Procedure HRPR58 V1.1 Official Use Only 01/01/2015 29/09/2016
THIS DOCUMENT IS UNCONTROLLED IF PRINTED OUT OR IF NOT VIEWED AS PART OF THE WEBHELP UK DATA
Manager should discuss the issue with you as soon as possible after the conduct issue
arises so that appropriate advice and support can be given.
In cases where there are mitigating circumstances causing the issue, your Line Manager
will take all relevant mitigating circumstances into consideration. If informal action is
unsuccessful, not appropriate or there is a further act of misconduct, then the formal
Conduct & Capability Procedure applies.
Formal Procedure
For more serious incidents involving conduct or capability, an investigative process must
take place, followed, if appropriate, by a Conduct or Capability Hearing.
Investigation
Your Line Manager will investigate any allegations of misconduct or gross misconduct in a
prompt manner. Where appropriate relevant witnesses will be interviewed and a written
statement will be made of their evidence. The statement should be signed and dated by the
witness. Written statements will be made of any discussions that form part of the evidence.
Statements should be signed and dated by you and the Investigating Manager. In some
cases it may be necessary, in the light of new evidence, to re-interview some or all involved
in the investigation. Relevant documents will be identified and collated to be used as
evidence for the SMART Chat or Conduct/Capability Hearing as required.
Once the investigation is complete, if the Investigating Manager finds that there is no case
to answer you will be informed and no further action will be taken in these instances. The
Investigating Manager may also find that the incident may be resolved, informally via a
SMART Chat and SMART Agreement.
Under what circumstances would I be suspended?
It may sometimes be necessary, depending on the circumstances, to suspend you from

work whilst investigations are being carried out. Suspension is precautionary and does not
imply guilt or that disciplinary action will be taken. Suspension is not a form of disciplinary
action and will not last for longer than is necessary to complete relevant investigations.
Such circumstances could include, but are not limited to:
● When the case appears to involve gross misconduct

● Where you have indicated you will commit the act again during the investigation
● When you breach the confidentiality of the investigation
● When the case may have an effect on your continued health and safety or wellbeing
or that of any other person(s) involved
The decision to suspend you will be taken in conjunction with the People Team and/ or an
Ops Manager. Your Line Manager will advise you of the nature of the allegation and that
you are suspended with immediate effect. Your Line Manager will also confirm your
suspension in writing to you, outlining the conditions of your suspension and informing you
who your point of contact will be during your suspension. Where appropriate, the date and
time of the Conduct or Capability Hearing may also be confirmed in the letter. The
suspension confirmation letter may be issued to you at the time of suspension or
posted/issued as soon as possible after you have left the premises.
During any such period of suspension you will continue to receive full basic pay, must be
contactable and available to attend work during your normal working hours to attend any
investigation meetings which may be arranged. Whilst suspended from work, you must not
visit or contact your colleagues or workplace. If you need to make contact with someone
from work, you must contact the Investigating Manager for approval.
Where you report that you are absent due to sickness during a period of suspension,
discretional company sick pay will not apply and statutory sick pay only will be paid. Once
you report that you are fit to return to work, paid suspension will continue. Where you have
pre-booked annual leave during a period of suspension, this can be taken at the Company’s
discretion and paid suspension will continue after the holiday has ended.
Whilst on paid suspension, if you fail to attend a Capability or Conduct Hearing without good
reason or without making contact to explain your non-attendance, your absence will be
treated as unauthorised and unpaid until you make contact or provide a satisfactory
explanation. Once the investigation is complete you will be informed of the outcome.
SMART Chat and SMART Agreement
A SMART Chat is to be held if after a full and proper investigation, it is decided that no
formal action is required and that the matter should be dealt with through an informal
discussion. This meeting would usually be conducted by your Line Manager, and there is no
right to be accompanied. In the meeting you and your Line Manager will discuss the minor
misconduct, agree expectations and create a SMART Agreement to ensure understanding
of improvement(s) required. Within this discussion your Line Manager should also explain
why the minor misconduct is not acceptable and what future actions could be taken if this,
or other misconduct, arises or is repeated.
You will identify actions to ensure you meet the standard required. The time scale for
improvement will depend upon the complexity of the goal or objective set. The outcome of
the SMART Chat is for a SMART Agreement to be created and agreed upon to ensure the
conduct is corrected and any required support is understood.
Conduct/ Capability Hearing
If after a full and proper investigation, the Conduct or Capability issue is deemed to be more
serious (i.e. if you have already had support in place, a Smart Chat/Agreement or informal
discussion on file, or if the incident is so serious that the incident must be treated more
formal), you will be required to attend a Conduct or Capability Hearing.
A Line Manager who has not been involved in the investigation process will chair the
Hearing and a note taker may be present. Prior to the Hearing you will be informed in
writing, giving the appropriate 48 hours’ notice, of the performance and or attendance issue
that is causing concern, to allow you reasonable time to prepare for the meeting. Copies of
any evidence, which will be used at the Hearing, will also be enclosed with the letter. This
information may be provided to you via post or email correspondence. At the Hearing you
will be treated with integrity and will have an opportunity to put forward your side of the
case. You will have the right to be accompanied by a work colleague or a Trade Union
representative.
You and your companion should make every effort to attend the Conduct or Capability
Hearing. If you cannot attend the arranged Hearing, you must notify the Manager who will
conduct the Hearing prior to the meeting to reschedule. If you do not advise you cannot
attend, a business decision will be made as to if the Hearing will continue in your absence.
Where you are persistently unable or unwilling to attend a Conduct or Capability Hearing,
the Manager due to hold the Hearing may make a decision on the evidence available to
them in your absence.
At the Hearing, the Manager will:
• Highlight and explain each allegation to you

• Discuss and consider all relevant supporting evidence that has been provided by the
Investigating Manager or the employee
• Call witnesses where appropriate
You will have an opportunity to set out your case, answer any allegations that have been
made and provide any mitigation that might be applicable. You will be given reasonable
opportunity to ask questions, present evidence, call witnesses (where appropriate) or raise
any points relevant to the conduct or behavioural issue.
Where you intend to supply mitigating or additional information to be considered or call a

witness to the Conduct/Capability Hearing, you must supply this to the Hearing Manager not
less than 24 hours prior to the scheduled Hearing. In the event that a witness is unavailable
or it is deemed inappropriate for a witness to attend the Hearing, the reasons for this will be
confirmed to you and the witness will be given the opportunity to submit a written statement
that can be referred to in the hearing.
The Hearing Manager will adjourn the hearing in order to consider all the facts, whether you
have acted in breach of the Company rules as outlined in the Conduct & Capability Policy
and what level of warning is appropriate. The Hearing Manager must contact the People
Team during the adjournment for advice on the Procedure to ensure consistency before the
meeting is reconvened. If at the conclusion of the Hearing, a warning is deemed
appropriate, you may be issued with a warning as set out below. The Hearing Manager will
then inform you of any sanction applied and your right to appeal against the decision.
What is the role of a companion at a Conduct or Capability Hearing?
You have a statutory right to be accompanied at any formal Conduct or Capability Hearings
or appeals under the Conduct & Capability Policy and Procedure. You can be accompanied
by;
● A fellow Webhelp UK employee

● A certified Trade Union official representative; or
● An official employed by a Trade Union
Full time Trade Union officials should be asked to provide proof of their position with the
Union.
As a matter of good practice, in making your choice of companion you should bear in mind
the practicalities of the arrangements i.e. you may choose to be accompanied by someone
who is suitable, willing and available on site rather than someone from a geographically
remote location.
It is your responsibility to secure the attendance of your chosen companion. Your

companion does have the right to decline to attend the Conduct/Capability Hearing if they
do not wish to accompany you in the Hearing.
Your companion is permitted to address the Hearing in order to;
● Put forward your case

● Sum up your case
● Respond on your behalf, with your consent, to any view expressed at the hearing
Your companion must not answer questions that are asked directly to you, but they may
confer with you during the Conduct/ Capability Hearing or ask to adjourn to confer with you.
You can ask your companion to take notes on your behalf if they wish to do so; however
this does not eliminate the requirement for a note taker to be present in the Hearing.
Whilst you have the right to alter your choice of companion prior to the hearing, the name of
your chosen companion must be provided to the Hearing Manager at least 24 hours prior to
the Conduct/Capability Hearing.
If your chosen companion is unable to attend the scheduled Conduct/Capability Hearing on
the initial date it is arranged, the Hearing will be rearranged for a later date. The later date
should be as close as possible to the original date set. If your companion cannot attend the
rescheduled Hearing, you should find an alternative person to accompany you.
What warnings can be given to me as part of the Conduct & Capability procedure?
There are four stages of this Procedure where a warning can be issued.
Depending upon the seriousness of the issue or concern, any stage of the procedure may
be invoked; however, where there are no previous warnings, Stage 4 will only be
considered for cases of gross misconduct.
I was under investigation/scheduled to attend a Conduct or Capability Hearing, but I

am now absent from work - what now?
Wherever possible, we will seek to close off outstanding matters whilst you are away from
work - ideally with your support. It can be beneficial for both parties to resolve on-going
matters so we can welcome you back to work, once ready, without an investigation/hearing
hanging over you. If this approach is unsuitable, any outstanding hearing or investigation
will remain open throughout your absence and will be picked up at the earliest opportunity
following your return to work.
SMART Chat
A SMART Chat is to be held if, after a full and proper investigation, it is decided that no
formal action is required and that the matter should be dealt with through an informal
discussion. This meeting would usually be conducted by your Line Manager, and there is no
right to be accompanied. In the meeting you and your Line Manager will discuss the minor
misconduct, agree expectations and create a SMART Agreement to ensure you understand
the improvement required. Within this discussion your Line Manager should also explain
why the minor misconduct is not acceptable and what future actions could be taken if this,
or other misconduct, arises or is repeated.
You will identify actions to ensure you meet the standard required. The time scale for
improvement will depend upon the complexity of the goal or objective set. The outcome of
the SMART Chat is for a SMART Agreement to be created to ensure the conduct is
corrected and any required support is understood.
It is expected that in most cases, an informal discussion will quickly resolve most areas of
concern. As this is an informal warning that relates to a conduct or capability issue, which is
used to support you, a SMART Chat/Agreement under this procedure will remain live on
your file for an agreed duration (3,6,9 or 12 months depending on the nature of the issues
discussed). In line with prevailing law and legislation, we may refer to expired SMART
Agreements, should the need arise.
Written Warning (Stage 2)
Where your conduct and/or capability fails to improve to the required standard, having
previously been issued a SMART Agreement and you have been given reasonable time to
improve, the Hearing Manager may issue a Written Warning.
The Hearing Manager must review your progress against the agreed actions with you, any
new evidence and any mitigating circumstances before reaching an outcome.
The Written Warning will be confirmed in writing by the Hearing Manager and you will also
be informed of your right to appeal. The outcome will also detail the precise nature of the
issue and will also contain a statement that any further occurrences of misconduct of any
kind may lead to further disciplinary action.
The warning will be placed on your personnel file and will be disregarded for Formal Action
purposes after 9 months.
Final Written Warning (Stage 3)
Where your conduct and/or Capability fails to improve having previously been issued a
Written Warning, or if your actions (whilst falling short of a serious breach justifying
dismissal) are serious enough to warrant only one Written Warning, the Hearing Manager
may issue a Final Written Warning.
The Hearing Manager must review your progress against the agreed actions with you, any
new evidence and any mitigating circumstances before reaching an outcome.
The Final Written Warning will be confirmed in writing by the Hearing Manager and you will
also be informed of your right to appeal. The outcome will also detail the precise nature of
the issue and will also contain a statement that any further occurrences of misconduct of
any kind may lead to further disciplinary action i.e. dismissal or a reissue of a Final Written
Warning.
The Final Written Warning will be placed on your file and will be disregarded for Formal
Action purposes after 12 months.
Other Warnings
In certain circumstances, it may be considered appropriate to apply other warnings as part

of the conduct or capability hearing outcome. These may include:
● Transfer to another role at the same salary level within the organisation.
● Removal from current role and demotion to a lower graded post within Webhelp UK
on the term and conditions of that lower role.
Both of the above will be considered in exceptional circumstances only and may be
considered as an alternative to dismissal, in conjunction with a formal warning. Other
warnings may be applied on a temporary or permanent basis. Full details will be confirmed
when the warning is confirmed in writing.
The People Team must always be consulted prior to all discussions regarding redeployment
or demotion. These options will only be implemented when they have been agreed with you
and your Line Manager. If there are no suitable alternative vacant roles or you do not agree
to these options, Webhelp UK will consider if dismissal is appropriate.
Dismissal (Stage 4)
Where your conduct or capability fails to improve having been given a Final Written
Warning, or the circumstances of the offence are considered an act of gross misconduct,
you may be dismissed, either with notice or summarily (without notice).
The Hearing Manager must review with your progress against the agreed actions with you,
any new evidence and any mitigating circumstances before reaching an outcome.
The Hearing Manager will confirm any decision in writing and you will also be informed of
your right of appeal.
If the decision taken is to dismiss you with notice, dismissal will be with the appropriate
contractual period of notice, or with payment in lieu of that notice.
If your actions are considered to have been an act of gross misconduct, you will be
summarily dismissed without notice or payment in lieu of notice.
Summary dismissal may also apply in circumstances where you are imprisoned for any
offence and thus is unable to attend your normal place of work.
If you are summarily dismissed, your employment will terminate immediately and you will
not be entitled to receive any notice or payment in lieu of notice.
What do I do if I don’t agree with the content of the hearing notes?
The hearing notes are not a verbatim account of the meeting but rather a summary of the
main points discussed. If you have any dispute with the content of the notes, please mark
any proposed changes clearly and return them to the Hearing Manager, signing and dating
the minutes also. If the minutes are not signed at the hearing then they will be posted to
you to sign and mark any proposed changes. If the notes are not received within 5 working
days of the date of the outcome letter by the Hearing Manager, we will assume that you
agree with the content of the minutes.
What can I do if I don’t agree with the outcome from the formal hearing?
You have the right to appeal against the outcome of a hearing.. This needs to be submitted
within 7 calendar days of receiving the written outcome. You will need to state on what
grounds you are appealing and provide clear reasons e.g. correct process not followed.
What does the appeal procedure consist of?
You can appeal against any formal action taken under the Conduct & Capability Procedure.
You can appeal by writing to the Senior People Advisor named on your Conduct or
Capability Hearing outcome letter. Your appeal must be submitted within 7 calendar days of
receiving the written decision following the outcome of the Conduct or Capability Hearing.
Appeals will be heard by a senior member of the Management Team.
The appeal is not a re-hearing but an opportunity for you to state why you feel the sanction
was unjust, or to provide any new evidence that has come to light since the previous
hearing was held. The notice of appeal must set out you grounds for appeal, with sufficient
detail to allow the Appeal Hearing Manager to understand the nature of the case.
At the appeal, you will have a full opportunity to state your case and to provide any new
evidence.
Appeals will be heard as quickly as possible. You will be given 48 hours’ notice of the
Appeal Hearing. You will be advised of your right to be accompanied by a work colleague or
a Trade Union representative.
You will be notified in writing of the outcome of the appeal as soon as possible after the
Appeal Hearing. All appeal decisions are final.
An appeal can result in the decision to uphold, increase, decrease or overturn the original
warning imposed.
Should the appeal be successful, the decision and any action must be implemented
immediately and recorded on Cascade.
If the dismissal is overturned and replaced with a lower sanction, you will be advised in
writing and the substituted sanction recorded on your personnel file.
If the appeal confirms a decision to dismiss, the effective date of termination will be the date
that the verbal dismissal was issued as confirmed in the written notification of dismissal
letter.
If the appeal overturns a decision to dismiss then you will be reinstated with immediate
effect and will retain their continuous employment.
What support can be offered to me during the process?
Webhelp UK contracts an independent Employee Assistance Programme which provides a

range of services, including counselling, who can provide an additional source of
support to you.
More information and contact details can be found on the My Benefits site
at https://webhelp.hapibenefits.com or via the company intranet WISE.
THIS PROCEDURE SHOULD NEVER BE VIEWED INDEPENDENTLY AND MUST

ALWAYS BE VIEWED ALONGSIDE THE CONDUCT & CAPABILITY POLICY.

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Conduct & Capability Procedure

Who does this procedure apply to?

This Procedure applies to all employees of Webhelp UK.

Why do we need a Conduct & Capability Procedure?

This Procedure should be followed in cases where your conduct or capability is

What does the Conduct & Capability Procedure consist of?

Informal Procedure (SMART Chat and SMART Agreement)

Under what circumstances would I be suspended?

It may sometimes be necessary, depending on the circumstances, to suspend you from

Such circumstances could include, but are not limited to:

● When the case appears to involve gross misconduct

SMART Chat and SMART Agreement

At the Hearing, the Manager will:

• Highlight and explain each allegation to you

Where you intend to supply mitigating or additional information to be considered or call a

What is the role of a companion at a Conduct or Capability Hearing?

● A fellow Webhelp UK employee

It is your responsibility to secure the attendance of your chosen companion. Your

Your companion is permitted to address the Hearing in order to;

● Put forward your case

I was under investigation/scheduled to attend a Conduct or Capability Hearing, but I

Final Written Warning (Stage 3)

In certain circumstances, it may be considered appropriate to apply other warnings as part

What do I do if I don’t agree with the content of the hearing notes?

What does the appeal procedure consist of?

Appeals will be heard by a senior member of the Management Team.

What support can be offered to me during the process?

Webhelp UK contracts an independent Employee Assistance Programme which provides a

THIS PROCEDURE SHOULD NEVER BE VIEWED INDEPENDENTLY AND MUST

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