MONITOR STAFF PERFORMANCE
D1.HML.CL10.13
D1.HRM.CL9.04
D2.TRM.CL9.16
Slide 1
Monitor staff performance
This Unit comprises five Elements :
1. Develop staff performance management
systems
2. Undertake staff performance appraisals
3. Implement rewards and incentive schemes
4. Counsel staff
5. Implement disciplinary and termination procedures
Slide 2
Assessment
Assessment for this unit may include:

Oral questions

Written questions

Work projects

Workplace observation of practical skills

Practical exercises

Formal report from employer or supervisor
Slide 3
Element 1 –Develop staff
performance management systems
Performance Criteria for this Element are:

Analyse strategic and operational plans to identify relevant staff
policies and organisational objectives that underpin performance
management

Develop relevant performance indices
to document, monitor and evaluate
staff performance

Develop systems to ensure staff performance
is monitored and feedback is given
Slide 4
Analyse strategic and operational
plans
A performance management system is a set of processes put in
place by an organisation to:

Identify and describe the type and standards of performance
staff are required to deliver

Monitor staff performance

Capture evidence-based data on actual
staff performance
(Continued)
Slide 5
Analyse strategic and operational
plans

Communicate results of staff appraisals

Generate action to maintain or improve staff workplace activities

Reward, recognise, discipline, counsel and or terminate staff
Slide 6
Analyse strategic and operational
plans
Important considerations:

The processes inherent in the system must result in the
attainment of organisational goals

Resources must be provided and aligned with
the work needed to achieve the identified goals
of the business

Judgements and decisions made within the
process must be evidence-based
Slide 7
Analyse strategic and operational
plans
Additional points to note:



A wide variety of performance management systems exist
Some performance management models are very structured
and some are very loose
Performance management is sometimes referred to as PM
Slide 8
Analyse strategic and operational
plans
Differences between performance management and staff
appraisals:
Performance management
Performance appraisal
Strategic
Operational
Long-run goals
Short to mid-run goals
Forward-looking
Retrospective
Constant
Episodic
Process
System
Integrated
Isolated from business’
needs
(Continued)
Slide 9
Analyse strategic and operational
plans
Performance management
Performance appraisal
Management by agreement
Management by command
Holistic
Individualistic
Managers owned
HR owned
Supple and adaptable
Rigid and inflexible
Focussed on individual’s growth Focussed on individual’s past
behaviour and mistakes
Practical and effective
Bureaucratic and superficial
Mainly focussed on qualitative
aspects of performance
Mainly focussed on quantitative
aspects of performance
Can be linked to total reward
Linked to financial reward
Slide 10
Analyse strategic and operational
plans
Role of organisational strategic plan:

Provides direction to the business

Prioritises the goals

Gives insight to managers when they need to make businessrelated decisions

Lists the risks facing the business
Slide 11
Analyse strategic and operational
plans
Operational plans:

Shows how an element of the strategic plan will be
achieved

When combined and fully achieved, the operational
plans will have allowed the organisation to attain the
goals it set for itself in the strategic plan

Are prepared for much shorter time
periods than strategic plans and guide
day-to-day work
Slide 12
Analyse strategic and operational
plans
Analysing plans must involve:

Obtaining copies of all relevant documentation

Verifying copies of documents obtained are current

Noting when the plans were prepared

Identifying names of those who developed
the plans
(Continued)
Slide 13
Analyse strategic and operational
plans

Allocating sufficient time for the process

Reading the plans

Taking notes

Integrating details in the plans with other information known about
the business

Following up as required after reading
Slide 14
Analyse strategic and operational
plans
Reasons to analyse plans:

Identify relevant goals

Identify relevant policies

Identify relevant SOPs for the business

Identify performance criteria for work performed
by the business

Determine if the plans, policies and procedures
are still relevant to the current operational business
environment
(Continued)
Slide 15
Analyse strategic and operational
plans

Determine the extent to which the plans are being
achieved

Determine levels of satisfaction with current business
performance

Conduct additional research required to prepare
more relevant and or current documentation
Slide 16
Develop relevant performance
indices
Performance indices = metrics which describe and measure or
quantify actions and activities implicit in workplace activities –
they can include:

Key performance indicators used to measure
actual performance

Performance standards defining the level
of performance sought from an individual
or group
Slide 17
Develop relevant performance
indices
Areas to which performance indices may apply:

Productivity:
• Food waiters may be expected to serve ‘X’ number of people
per service session
• Room attendants may be expected to
service ‘X’ check-out or stay rooms per hour

Punctuality:
• Employees may be expected to attend ready
for work 100% of the time according to
their rostered hours
(Continued)
Slide 18
Develop relevant performance
indices

Personal presentation:
•

Staff may be required to meet the stated dress standards for
their gender 100% of the time
Levels of accuracy in work:
•
Employees engaged in processing transactions
may be required to do so with total accuracy
•
Some staff may be given a set percentage or
dollar value of deviation in their calculations
which is deemed acceptable
(Continued)
Slide 19
Develop relevant performance
indices

Adherence to procedures:
•

Team interaction:
•

The business may expect staff to adhere to written policies and
procedures 100% of the time
Team members may be required to ‘actively participate’ in team
meetings
Waste minimisation:
•
Kitchen staff may be required to return
X% of useable product from every kilogram
of raw material
(Continued)
Slide 20
Develop relevant performance
indices


Response times:
•
Receptionists may be required to greet customers and make
an offer of assistance within 30 seconds of them entering the
business
•
Waiting staff may be required to greet and seat
guests within one minute of their arrival
Customer service standards:
•
Service staff may be required to use standard
phrases, greetings and farewells at all times
(Continued)
Slide 21
Develop relevant performance
indices

Cost minimisation:
•

Bar staff may be required to always use a nominated
‘pour’ brand for all spirits where a specific brand name is
not called for
Codes of Conduct:
•
Comply with internally-generated Codes
•
Meet requirements of nominated
externally-imposed Codes
Slide 22
Develop relevant performance
indices
Activities to generate performance indices:

Start with a thorough understanding of the goals for the
organisation as stated in their key planning documents

Gain a complete picture of the public statements the
business has made about itself to the general public

Review the current performance of the business

Gain a context for the operational
environment in which the organisation is
operating
(Continued)
Slide 23
Develop relevant performance
indices

Obtain (if possible) sample industry
performance/service delivery or product-related
standards

Meet with senior management/owners

Generate an overview of the individual organisation
(or different departments/areas within the business)
(Continued)
Slide 24
Develop relevant performance
indices

Develop draft performance indices incorporating information
and input from all sources previously listed

Circulate the draft performance indices for comment and
feedback

Review and refine the draft performance indices as required
on the basis of legitimate feedback received
Slide 25
Develop relevant performance
indices
Performance indices:

notify workers how their workplace
performance will be measured/judged

optimise likelihood objectives, goals and
targets can be achieved

ensure organisational performance
meets or exceeds customer expectations

give definite, objective and measurable
indicators of actual staff performance

form a consistent reference point or basis for monitoring and
recording actual workplace performance
Slide 26
Develop systems to ensure staff
performance is monitored
In relation to staff performance:

Many of the activities and processes involved in performance
monitoring are also known as performance appraisal

Performance must be monitored in the areas of work
staff were told they would be evaluated on

Monitoring needs to be ongoing

Staff should be advised of how their performance
will be monitored and evaluated
(Continued)
Slide 27
Develop systems to ensure staff
performance is monitored

Monitoring activities should not be covert or hidden

All staff should have their performance monitored

The standards identified for each work activity must provide
the metrics applied as the basis of the monitoring process

Hard evidence must be obtained as part of the monitoring
process

The data captured during the monitoring
process must enable determination of the
level of individual performance of each
staff member
Slide 28
Develop systems to ensure staff
performance is monitored
Note:

Some performance management schemes will measure job
behaviour

Other PM schemes will measure actual quantifiable
performance
Slide 29
Develop systems to ensure staff
performance is monitored
Steps to develop a PM system:

Step 1: Identify dimensions for the job in question

Step 2: Determine methods of measuring actual
performance
(Continued)
Slide 30
Develop systems to ensure staff
performance is monitored

Step 3: Measure and compare actual performance with
the required standard

Step 4: Create and maintain performance records
(Continued)
Slide 31
Develop systems to ensure staff
performance is monitored

Step 5: Conduct staff appraisal/performance
management interviews

Step 6: Take action
Slide 32
Develop systems to ensure staff
performance is monitored
Jobs may be classified as
follows:

Jobs where what is done is
important – need to measure
behaviour

Jobs where what is achieved
is important – need to
measure results

Jobs where what the person
is, is important – need to
judge talents and personal
attributes
The scheme used must
matched against the
type/nature of the job and the
work being performed.
Slide 33
Develop systems to ensure staff
performance is monitored
Commonly used systems or schemes include:

Ranking method

Essay method
(Continued)
Slide 34
Develop systems to ensure staff
performance is monitored

Graphic rating scales

Critical incident
(Continued)
Slide 35
Develop systems to ensure staff
performance is monitored

Forced choice

360⁰ feedback
(Continued)
Slide 36
Develop systems to ensure staff
performance is monitored

Management By Objectives

Behaviourally Anchored Rating Scales

Self appraisal
Slide 37
Develop systems to ensure staff
performance is monitored
Points to note about provision of feedback:

Feedback must be based on factual evidence

Feedback must relate to identified workplace performance

A formal staff appraisal interview is used as the forum for
the feedback

Feedback needs to be planned in advance before it is
given
(Continued)
Slide 38
Develop systems to ensure staff
performance is monitored

There is a need to guard against stereo-typing staff

Be honest in what is said

Give support for individuals to encourage, enable or
optimise required experience in each context

Counsel employees where needed

Indicate the potential for disciplinary action
Slide 39
Summary – Element 1
When developing staff performance management systems:

Determine the context for and objectives required for the
system to be used

Analyse internal plans as part of the process to determine
system requirements

Research options and alternatives
(Continued)
Slide 40
Summary – Element 1

Define, develop and document relevant performance
indices

Design and produce monitoring protocols aligned to
selected systems

Ensure job behaviour and or quantifiable performance is
monitored as appropriate
(Continued)
Slide 41
Summary – Element 1

Select or design one or more systems to address
identified need

Consider using a mix of systems and approaches to
capture more comprehensive information

Give prompt, evidence-based feedback to staff
Slide 42
Element 2 – Undertake staff
performance appraisals
Performance Criteria for this Element are:

Appraise staff in the workplace

Advise staff of the result of staff appraisals

Determine action to take on the basis of individual staff
appraisals
Slide 43
Appraise staff in the workplace
Context for staff appraisals:

Staff appraisals are a vital element of all performance
management systems

Staff appraisals provide the hard data which forms
the basis of action to be taken by management
in response to the outcomes of the appraisals

Every staff appraisal must include a feedback
session in a timely manner with the
individual employee
(Continued)
Slide 44
Appraise staff in the workplace

Staff appraisals need to be conducted on a regular and
ongoing basis across all employees

Outcomes of every staff appraisal must be kept confidential

Failure by staff to achieve satisfactory outcomes on a regular
basis despite appropriate action on the part of the
organisation to assist them will lead to possible other
outcomes
Slide 45
Appraise staff in the workplace
Planning and preparation activities for staff appraisals:

Determining the techniques to be used and the type
of evidence which will need to be gathered

Scheduling the appraisal activities

Diarising the appraisal times
(Continued)
Slide 46
Appraise staff in the workplace

Reviewing any previous discussions or decisions
made in respect of the individual being appraised

Reviewing the personnel file or staff appraisal file
for the worker

Obtaining necessary secondary data
(Continued)
Slide 47
Appraise staff in the workplace

Generating or acquiring necessary documentation to
record data

Ensuring appraisals occur across all staff
Slide 48
Appraise staff in the workplace
Basics of staff appraisals – they must:

Reflect the particular performance management systems
used by the organisation

Use the designated evidence recording tools

Capture the evidence deemed necessary
for each employee
(Continued)
Slide 49
Appraise staff in the workplace

Obtain sufficient and appropriate data to ensure its
suitability

Demonstrate support, sensitivity and empathy

Never interfere with service delivery
Slide 50
Advise staff of the result of staff
appraisals
Prior to feedback sessions managers must:

Verify the appraisal has been conducted honestly

Ensure they have captured sufficient, objective relevant
data

Make sure they understand the methods of interpreting
performance data

Consider and analyse the primary and secondary data they
have gathered, captured and or researched
(Continued)
Slide 51
Advise staff of the result of staff
appraisals

Conduct follow-up appraisals or activities where required

Convene a meeting to discuss performance with individual
staff

Invite any other persons who may need to
attend the session
Slide 52
Advise staff of the result of staff
appraisals
When providing feedback on staff appraisals:

Provide as close to the
performance as possible

Provide feedback frequently

Be specific and use facts

Discuss behaviours

Use simple, straight-forward language

Consider use of ‘positive-negative-positive’ sandwich
(Continued)
Slide 53
Advise staff of the result of staff
appraisals

Keep the mood positive

Make reference to actual evidence

Focus on the performance of the person as
was indicated to them when the staff performance
appraisal scheme was explained to them
(Continued)
Slide 54
Advise staff of the result of staff
appraisals

Make specific reference to three groupings of performance
for each staff member

Involve the staff member in the discussion

Make sure the staff member knows where they stand as a
result of the feedback session
Slide 55
Determine action to take on the
basis of individual staff appraisals
Taking action must always take the following into account:

Must align predominantly with the feedback provided

Needs to be considered managers before the appraisal
feedback session

Must specifically address the identified needs of the
individual employee based on the
objective evidence captured as part
of the appraisal process
(Continued)
Slide 56
Determine action to take on the
basis of individual staff appraisals

Should involve input from the staff member

Should be documented

Must always make staff aware of consequences which are a
possible outcome from the appraisal
(Continued)
Slide 57
Determine action to take on the
basis of individual staff appraisals

Must be undertaken with great sensitivity and empathy

Must reflect what has previously been stated regarding the
overall staff performance system or performance appraisal
scheme

Must be undertaken in a timely manner

Must include advice to employees about what they can do if
they believe appraisal is unfair

Must include realisation that while
management is obliged to keep staff
appraisals confidential, staff often do not
Slide 58
Determine action to take on the
basis of individual staff appraisals
Action to address revised targets can include:

Proving necessary support to the individual targeted to
identified and agreed need

Providing support for out-of-work problems encountered by
staff

Re-allocating work-related matters
(Continued)
Slide 59
Determine action to take on the
basis of individual staff appraisals

Providing formal counselling

Making a conscious decision to take no action

Promoting the person
(Continued)
Slide 60
Determine action to take on the
basis of individual staff appraisals

Agreement on short-term goals for improvement

Raising the standards or targets

Moving a staff member to another role
(Continued)
Slide 61
Determine action to take on the
basis of individual staff appraisals

Setting a different focus for subsequent staff appraisals

Using a staff member who has achieved outstanding results
within the organisation
Slide 62
Summary – Element 2
When undertaking staff performance appraisals:

Locate the activities within the appropriate
organisational context

Undertake necessary pre-appraisal activities in
readiness for actual staff appraisals

Allocate sufficient time for all appraisal activities
(Continued)
Slide 63
Summary – Element 2

Treat staff appraisals with the seriousness and priority they
deserve

Make sure all staff including managers are appraised

Create a positive staff appraisal environment and culture
(Continued)
Slide 64
Summary – Element 2

Plan the feedback session and any proposed action
to be taken as a consequence

Notify staff in a timely and supportive manner about
the outcomes of their appraisals

Ensure staff are made clearly aware of the findings
and consequences those findings
(Continued)
Slide 65
Summary – Element 2

Base all feedback to staff on objective, hard evidence

Gain agreement on findings and proposed courses of
action to remedy, confirm or extend individual employees

Develop remedial and or support action for the identified
needs of each individual staff member
Slide 66
Element 3 – Implement rewards and
incentive schemes
Performance Criteria for this Element are:

Design reward and incentive schemes to motivate staff to
attain nominated performance targets

Communicate reward and incentive schemes to staff

Administer reward and incentive schemes
Slide 67
Design rewards and incentive
schemes to motivate staff
Schemes need to be developed taking into account:

The need to identify exactly who is entitled to which
rewards

The type of reward

Approvals which have to be obtained before
the reward can be given

Limitation to rewards
(Continued)
Slide 68
Design rewards and incentive
schemes to motivate staff

Time-frames may apply to the application of rewards

Records which needs to be completed when
issuing a reward

Ways in which rewards and incentives
are communicated

Protocols for celebrating awards
Slide 69
Design rewards and incentive
schemes to motivate staff
All rewards or incentives must:

Comply with relevant organisational policies
and public statements

Align with individual preferences of staff
Slide 70
Design rewards and incentive
schemes to motivate staff
To make sure rewards have value to staff:

Talk to staff and to identify what they prefer

Realise preferences will change over time

Never rely solely on management-generated options
Slide 71
Design rewards and incentive
schemes to motivate staff
Possible rewards and incentives can include:

Money – financial compensation and benefits

Verbal praise – “Thank you, well done!”
(Continued)
Slide 72
Design rewards and incentive
schemes to motivate staff

Written recognition – certificates and letters

Free products or services
(Continued)
Slide 73
Design rewards and incentive
schemes to motivate staff

Promotions

Time off or away from work
(Continued)
Slide 74
Design rewards and incentive
schemes to motivate staff

Encouraging and allowing staff to attend or participate in
industry events (seminars, conferences, conventions)

Nominating a staff member for an industry award or
recognition
Slide 75
Communicate reward and incentive
schemes to staff
Effective ways to communicate reward and incentive schemes
to staff include:

As part of standard Induction and Orientation programmes
for all new employees

As a stand-alone internal staff training topic

Including protocols in the Staff Handbook for
the organisation
(Continued)
Slide 76
Communicate reward and incentive
schemes to staff

Lodging procedures on workplace intranet

Using workplace posters to promote the initiatives

Holding special staff meetings to explain schemes
(Continued)
Slide 77
Communicate reward and incentive
schemes to staff

Mentioning the schemes on a regular basis at normal
staff meetings and briefings

Sending emails to staff – to advise and remind

Handing out copies of supporting policies and
procedures

Including an article on ‘rewards and
incentives’ in staff newsletter
Slide 78
Administer reward and incentive
schemes
Background to implementation:

All criteria and procedures must be adhered to

Allocation of awards must be ‘fair’

Rewards and incentives which have genuinely
been earned must never be withheld

Legitimate efforts not specifically covered by
an existing award but deserving attention
should be acknowledged in some way
Slide 79
Administer reward and incentive
schemes
Implementation keys:

Know the policies and the schemes thoroughly

Ensure all staff who are eligible for rewards and incentive
have been properly advised in relation the schemes

Take action to make sure performance/results
of staff in relation to the subject of schemes is
actively tracked and monitored
(Continued)
Slide 80
Administer reward and incentive
schemes

Make sure the schemes and the rewards and incentives are
kept ‘front of mind’ in the minds of staff

Ensure rewards and incentives are issued in
accordance with promises made about them

Celebrate all rewards and incentives which
are provided
(Continued)
Slide 81
Administer reward and incentive
schemes

Discuss the scheme with employees after it has been
operational for some time

Discuss the scheme with senior management, owners
and/or administration
Slide 82
Summary – Element 3
When implementing rewards and incentives schemes:
Design and develop schemes which have value and
relevancy to individual workplaces and employees
 Be prepared to offer a range of rewards and
incentives
 Ensure senior management authorise or approve
proposed schemes

(Continued)
Slide 83
Summary – Element 3

Communicate the details of approved schemes to all
eligible employees

Promote the schemes and sell their benefits to workers

Award rewards and incentives strictly in accordance
with established criteria
(Continued)
Slide 84
Summary – Element 3

Never refuse to award a reward or incentive which has
been genuinely earned

Do not issue rewards or incentives which have not been
earned

Celebrate awards

Review the reward and incentive scheme and revise as
necessary to maintain its relevance
Slide 85
Element 4 – Counsel staff
Performance Criteria for this Element are:

Apply counselling techniques and strategies to employees
where staff performance appraisals are below requirements

Document staff counselling sessions

Generate agreement on action and direction
to be taken as a result of the counselling
Slide 86
Apply counselling techniques and
strategies to employees
Context for workplace counselling:

Is concerned with discussions and analysis of personal and
work-related problems which affect an employee's work
performance in an attempt to find a solution

Is about problem solving

Should precede disciplinary action

Staff must be advised as to what is
counselling and what is disciplinary action
Slide 87
Apply counselling techniques and
strategies to employees
Counselling is an opportunity for all parties to air concerns
and explore issues in a fair and trusting environment, and
provides a
chance to:

Correct actions requiring
attention

Rebuild skills, knowledge, attitudes
and confidence

Improve unsuitable, unsatisfactory or
unsafe conditions
(Continued)
Slide 88
Apply counselling techniques and
strategies to employees

Change the working environment, policies, procedures and/or
protocols

Solve existing problems

Prevent future problems

Build trust and consolidate relationships

Communicate the goals and objectives of
the organisation and individual departments
Slide 89
Apply counselling techniques and
strategies to employees
It is also worthwhile noting:

Counselling can be proactive – it does not always have to
be reactive

Generally speaking counselling ‘today’ reduces need for
other action ‘tomorrow’

There are no guarantees – it does not
always work
Slide 90
Apply counselling techniques and
strategies to employees
Legal considerations regarding counselling:

Will vary between countries

Must comply with ‘procedural fairness’

Appropriate counselling techniques must be used

Counselling is often required prior to
‘Warnings’ or ‘Disciplinary action’

Non-compliance by management may
result in reinstatement of employees who
have been dismissed and or legal action
Slide 91
Apply counselling techniques and
strategies to employees
Organisational considerations regarding counselling:

Must comply with relevant policies and procedures

Should be seen as potentially beneficial to all

Can help align action with business goals

Can help remove ‘Them versus Us’ attitude

Will address rather than ignore issues and problems
Slide 92
Apply counselling techniques and
strategies to employees
Individual considerations regarding counselling:

It can be a positive experience for the worker

May make them aware of options/things they did
not previously know

May prevent them making rash decisions or taking
rushed action they later regret

Managers need good counselling skills to
support employees on whom they rely for
their reputation. And who they need to get the job done
Slide 93
Apply counselling techniques and
strategies to employees
Many managers have difficulty counselling staff:

They are often task-oriented people and do not have
experience and are not comfortable dealing with
process-oriented actions

They need to understand their job requires them to
achieve goals through the efforts of others so
counselling is a necessary and important part
of their job
Slide 94
Apply counselling techniques and
strategies to employees
Significant differences between role of ‘supervisor/manager’ and
‘counsellor’ requiring acquisition of new skill sets:
Supervisor/Manager Work
What counselling requires
Variety of activities; thinking on
your feet; ad hoc meetings; instant
face-to-face interactions
Applying procedures to problems;
a store of known solutions
Forward planning; structured
formal meetings
There may be no obvious
solutions that can be imposed
(Continued)
Slide 95
Apply counselling techniques and
strategies to employees
Supervisor/Manager Work
What counselling requires
Use of position or legitimate
authority to get things done
Supervisors give up legitimate
authority to become a ‘coach’
Traditionally involves directing
others
Skills needed in listening and joint
work
Slide 96
Apply counselling techniques and
strategies to employees
Supervisor/Manager Work
What counselling requires
Work culture has traditionally
separated work life from personal
life
Work culture requires clear,
specific outcomes
Requires a positive regard for
employee’s problems often
involving private and work life
Some outcomes may not be clearly
measured or visible
Slide 97
Apply counselling techniques and
strategies to employees
More points to note about counselling:

It is not (just) a ‘friendly chat’

Requires special skills and knowledge

Must be planned and structured

Need to be aware of stereo-typing, bias,
victimisation and personalities which might intrude

Definite need to separate person and their
personality from their behaviour
Slide 98
Apply counselling techniques and
strategies to employees
Managers usually initiate counselling for one of three reasons:

Unacceptable staff work performance – which is below
required expectations

Breach of organisational policy by employee

To share information
Slide 99
Apply counselling techniques and
strategies to employees
Effective counselling techniques and strategies include:

Applying informal but structured discussions between
management and staff

Implementing application of suitable counselling
strategies to meet individual and company needs

Documenting the counselling sessions
(Continued)
Slide 100
Apply counselling techniques and
strategies to employees

Requiring the employee to sign-off on the decisions reached
during the counselling session

Providing the appropriate level of support during the
counselling commensurate with the issues
being dealt with

Referring the staff member to external
professional services

Scheduling the delivery of counselling in
a timely manner
Slide 101
Document staff counselling
sessions
Reasons to document staff counselling:

Industrial relations legislation or relevant employment
instruments may require it

It demonstrates sound
management practice

Documenting the conversation serves
to highlight to staff who are part of the
process the session is being taken seriously
(Continued)
Slide 102
Document staff counselling
sessions

It provides solid details of the discussion

It generates a permanent record of the discussion

When shared with the staff member who was participating
in the discussion it helps remind them of what was
discussed
Slide 103
Document staff counselling
sessions
Documented information may be:

Shared with the staff member who was part of the
counselling session

Provided to a designated staff member

Forwarded to designated senior managers
(Continued)
Slide 104
Document staff counselling
sessions

Sent to central administration or HR department

Given to any worker within the organisation who has been
allocated responsibility under the plan designed to address
identified individual staff need
Slide 105
Document staff counselling
sessions
Formats for documenting counselling:

Never rely solely on memory

Basis is a combination of hard copy, hand-written
material:
• Standard internal reports
• Notes taken during sessions
• Formal counselling agreements
Slide 106
Generate agreement on action and
direction to be taken
The following must be achieved before each counselling session
concludes:

Identify the action to take to address the requirements which
are the basis of the counselling

Gain agreement from the worker about
the action to be taken

Set a date, time and venue for the next
counselling session
Slide 107
Generate agreement on action and
direction to be taken
Every counselling is unique because it will:

Address an individual problem

Involve a certain staff member

Occur at a different point in time

Be surrounded by a range of
dynamic factors
Slide 108
Generate agreement on action and
direction to be taken
All responses or actions developed by managers for counselling
sessions must be:

Unique

Developed to suit individual need, preferences, background,
ability, capacity

Integrated with and accommodated
|into all other internal protocols
and constraints
Slide 109
Generate agreement on action and
direction to be taken
Options for ‘actions and directions’:

Providing formal training

Introducing job rotation

Allowing internal transfer
(Continued)
Slide 110
Generate agreement on action and
direction to be taken

Bringing in job sharing

Resourcing

Reformulating documentation
(Continued)
Slide 111
Generate agreement on action and
direction to be taken

Refining the work role

Altering the motivational factors applicable to the individual

Changing the work hours of the staff member

Requiring attendance at nominated sessions
Slide 112
Summary – Element 4
When counselling staff:

Understand how counselling fits with all other staff
performance management techniques and strategies

Create counselling as a positive activity for employees

Be proactive in offering counselling
(Continued)
Slide 113
Summary – Element 4

Realise the importance of counselling in retrieving
unacceptable staff performance situations

Identify and comply with all legal and organisational
requirements in relation to the application of counselling

Plan the provision of counselling
(Continued)
Slide 114
Summary – Element 4

Base all counselling on identified, objective need

Match counselling action to identified and verifiable need

Gain employee agreement proposed counselling action will
address identified need
(Continued)
Slide 115
Summary – Element 4

Document all counselling provided

Cultivate competency with counselling rather than practice
avoiding providing it

Maintain confidentialities and respect the privacy of the
individual being counselled

Realise every counselling session is a unique situation with
individual circumstances, contexts and issues
Slide 116
Element 5 – Implement disciplinary
and termination procedures
Performance Criteria for this Element are:

Develop disciplinary and termination procedures for
performance-related non-compliance

Prescribe conditions under which elements of the disciplinary
and termination procedures will be introduced

Communicate the established disciplinary
and termination procedures to staff

Implement the identified disciplinary
and termination procedures
Slide 117
Develop disciplinary and
termination procedures
To develop disciplinary and termination procedures:

Obtain copies of similar policies and procedures from similar
business

Contact employment-related authorities to obtain their input in
relation to relevant legislated obligations
which must be complied with

Convene a workplace team to develop the
workplace policies and procedures
(Continued)
Slide 118
Develop disciplinary and
termination procedures

Develop draft policies

Develop draft procedures

Circulate the draft policies and procedures for feedback
(Continued)
Slide 119
Develop disciplinary and
termination procedures

Refine or revise the draft policies and procedures into final
form

Obtain formal management approval for all policies and
procedures

Circulate the final approved policies and procedures
Slide 120
Develop disciplinary and
termination procedures
The following must underpin all disciplinary and termination procedures:

Staff must be advised of all relevant policies and procedures

Staff must have ready access to all policies
and procedures

Action taken must always reflect stated
policies and procedures

Conclusions about staff performance,
decision-making and action taken must
always be strictly evidence-based
(Conclusion)
Slide 121
Develop disciplinary and
termination procedures

Action taken and decisions made must always be recorded

All action taken in relation to disciplinary and termination procedures
must align with fair and equitable application of established
procedures and sanctions

All organisational disciplinary and termination procedures must
integrate with other mandatory obligations

Standard practice in relation to dealing
with staff is a three stage sequential
process (counselling, disciplinary
procedures, termination)
Slide 122
Develop disciplinary and
termination procedures
Disciplinary action procedures may include:

Verbal warnings

Demotions

Reductions in job-related privileges
(Continued)
Slide 123
Develop disciplinary and
termination procedures

Reduction of work hours

Imposition of non-negotiable requirements (training,
counselling)

Provision of written description of workplace
requirements
Slide 124
Develop disciplinary and
termination procedures
Termination procedures may include :

Evidence suitable other action has been undertaken prior to
the decision to terminate the staff member

Advice to the employee their employment is to
be terminated

Identification of termination payments to be
paid to the person

Notification of relevant termination information

Advice in relation to a range of allied issues as appropriate
Slide 125
Prescribe conditions under which
procedures will be introduced
It is vital to understand:

The decision as to whether to discipline or terminate can be
difficult

Decisions are usually open to interpretation
and often a matter of degree

Two similar situations can justify quite different
responses
Slide 126
Prescribe conditions under which
procedures will be introduced
When applying disciplinary procedures:

Enterprise policies and procedures must be observed

Host country legislation must be complied with
Slide 127
Prescribe conditions under which
procedures will be introduced
Reasons/triggers to implement disciplinary procedures:

Failure of employee to meet performance standards required

Failure by staff to act in ways required

Failure by employee to meet identified personal
presentation standards
(Continued)
Slide 128
Prescribe conditions under which
procedures will be introduced

Failure of worker to meet performance or productivity
targets

Failure by an employee to follow required safety
protocols in the execution of their job

Inappropriate actions or conduct in the workplace
towards other people
Slide 129
Prescribe conditions under which
procedures will be introduced

Wilful misconduct in the workplace including deliberate
insolence or verbal abuse

Disobedience of a lawful instruction

Breach of certain terms and conditions as
spelled out in individual contracts of employment
Slide 130
Prescribe conditions under which
procedures will be introduced
When applying termination procedures:

Enterprise policies and procedures must be observed

Host country legislation must be complied with
Slide 131
Prescribe conditions under which
procedures will be introduced
Reasons/triggers to implement termination procedures:

Deliberate and intentional damage to workplace equipment

Fighting or violence in the workplace

Harassment or unacceptable treatment of
others in the workplace
(Continued)
Slide 132
Prescribe conditions under which
procedures will be introduced

Intoxication in the workplace

Theft of any kind in the workplace

Making threats
Slide 133
Communicate disciplinary and
termination procedures to staff
Effective ways to communicate procedures:

As part of the standard induction and orientation

As a stand-alone topic for internal staff training

By including the procedures in the
Staff handbook

By including the procedures on the internal
organisational intranet facility
(Continued)
Slide 134
Communicate disciplinary and
termination procedures to staff

By using workplace posters

By holding special meetings

Making regular mention of the procedures
at standard staff meetings

Sending emails to staff

Distributing hard copies of procedures
Slide 135
Communicate disciplinary and
termination procedures to staff
Ancillary considerations when communicating procedures:

Using version control protocols on all documents

Having staff sign for receipt of the procedures

Providing printed information and verbal
explanations in suitable languages
Slide 136
Implement disciplinary and
termination procedures
The following apply when implementing disciplinary and
termination procedures:

Staff must be made aware of the procedures

A logical and sequential process must
be followed

Procedures must be applied equitably
(Continued)
Slide 137
Implement disciplinary and
termination procedures

All procedures must be implemented in a timely manner

The process of counselling, disciplinary action and
termination must be documented

Counselling and disciplinary action must be delivered in a
supportive and constructive manner

All discussions relating must provide fact-based
evidence of what is alleged
(Continued)
Slide 138
Implement disciplinary and
termination procedures

Appropriate written warnings and notifications must be
provided

Written warnings provided to employees should be signed by
them

Copies of signed, written warnings must be kept
on a relevant file

The concepts of natural justice and procedural
fairness must be applied
(Continued)
Slide 139
Implement disciplinary and
termination procedures

A designated representative and/or witness must be present at
discussions

All terms and conditions of relevant employment
instruments, legislation or codes must be adhered to

Conducting all meetings and discussions in private

All matters discussed as part of these procedures
must be kept confidential
(Continued)
Slide 140
Implement disciplinary and
termination procedures

Staff who are terminated by the organisation should be offered
an exit interview

Regular reviews and evaluations of the established
procedures must be undertaken
Slide 141
Summary – Element 5
When implementing disciplinary and termination procedures:

Realise disciplinary and termination protocols may be part of
a larger process

Maintain a positive environment for these procedures
to the best extent possible

Identify definitively situations where instant dismissal of staff
is acceptable
(Continued)
Slide 142
Summary – Element 5

Ensure supporting written policies and procedures are
developed

Share relevant policies and procedures with all staff

Detail the circumstances in which disciplinary procedures may
be implemented
(Continued)
Slide 143
Summary – Element 5

Plan all proposed disciplinary and termination action

Document all disciplinary and termination action taken

Provide employees with copies of relevant findings, obligations
and warnings
(Continued)
Slide 144
Summary – Element 5

Implement disciplinary and termination procedures exactly as
developed without fear or favour across all employee types
and levels

Make sure staff are aware of consequences of future inability
to comply with requirements

Ensure staff sign to acknowledge receipt and understanding
of proceedings
(Continued)
Slide 145
Summary – Element 5

Generate suitable activities for required disciplinary action

Ensure all procedures comply with legislated obligations

Use witnesses to observe and verify that correct protocols
have been followed
Slide 146