Conduct & Capability Policy

(UK & India)

Document Control
Document Revisions Version (V) Revision Date Revisions By
Conduct & Capability Policy (6 Month Trial – Derby V1 01.01.2015 Rosin Johnson
Only)
Conduct & Capability Policy V1.1 15.07.2015 Lynn Smith
Review and Refresh V1.2 27.12.2017 Janine Lee

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 Policy alongside the Conduct &
Capability Procedure.

Who does this Policy apply to?

All Webhelp employees who are based in the UK and India. Employees based in South Africa
are required to comply with the Code of Conduct (South Africa).

Why do we have a Conduct & Capability Policy?

We have established standards of behaviour in place within our published Policies and
Procedures to enable and promote the efficient and safe running of the organisation. As a
result of this, we expect you to conduct yourself to a high standard in all employment related
activities and we are committed to encourage and support you to do so. Throughout the
Conduct & Capability process you will be treated with fairness and integrity.

What is the difference between Conduct & Capability?

At the most basic level, conduct can be described as something you won’t do and capability
as something you can’t do.

For the purpose of this policy, conduct is defined as the manner in which you behave; and
capability is defined as your ability to attend work or to perform your contracted role, to the
required standards.

What is the difference between Misconduct & Gross Misconduct?

Misconduct is conduct which initially requires disciplinary action other than dismissal (although
if further misconduct takes place, it may lead to dismissal). This can include unauthorised
absence, committing an act outside of work that could have an adverse effect on Webhelp
UK; it’s clients or employees reputation; and failure to carry out reasonable instructions or
duties to fulfil your role.

The majority of breaches of Webhelp UK’s Policies and Procedures will normally not be severe
enough to warrant dismissal on the first occasion, or without previous warning and therefore
are likely to be deemed as misconduct.

Gross Misconduct is deemed to be misconduct which is so serious that it may justify dismissal
or in certain circumstances, dismissal without notice (summary dismissal). This can include
working dangerously, stealing or fighting.

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Determining whether behaviour is considered to be misconduct or gross misconduct will
depend on the circumstances and in the case of summary dismissal, whether it is reasonable
in the circumstances.

Appendices 1 and 2 set out examples of misconduct and gross misconduct.

What does the Conduct & Capability process consist of?

SMART Chat (Informal Stage)

As soon as a minor conduct or capability issue is identified, your Line Manager will act as soon
as possible to discuss the issue with you, with a view to establishing the root cause and to
agree actions with you to resolve it. In cases where there are mitigating circumstances
causing the issue, your Line Manager will take all relevant mitigating circumstances into
consideration and will discuss what support can be provided, if any, in order to assist you in
resolving the issue.

If informal action is not deemed to be appropriate due to the nature of the conduct or
capability issue, or is unsuccessful in resolving the issue, then the formal Conduct & Capability
process will apply.

Formal Stage
For more serious incidents involving conduct or capability, an investigative process may take
place, followed, if appropriate, by a SMART Chat or a Conduct or Capability Hearing.

Investigation
Your Line Manager or another suitable person will be appointed as the Investigating Manager,
to investigate any allegations of misconduct, gross misconduct or capability in a prompt and
thorough manner. The nature of the investigation will depend on the complexity of the
allegation(s). In complex cases a full and detailed investigation will be required. In cases of
minor misconduct or straight forward capability cases, the investigation may be brief and
simply involve gathering all relevant documentation. Where appropriate, relevant witnesses
will be interviewed and a written statement will be made of their evidence.

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 through a
SMART Chat.

In what circumstances could I be suspended from work?

It may be deemed necessary, depending on the circumstances, to suspend you from work
whilst investigations into an allegation of misconduct or gross misconduct are being carried
out. Suspension is precautionary and does not imply guilt, or that formal action will be taken.
Suspension is not a form of disciplinary warning 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 that you will commit the act again during the investigation

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 Where you breach the confidentiality of the investigation
 When the case may have an adverse impact on the continued health and safety or
wellbeing of any employee or any other persons involved

If you are suspended from work, the decision will be confirmed to you in writing by your Line
Manager and will outline the conditions of suspension and inform you who your point of
contact will be for the duration of your suspension.

Appendix 3 sets out guidelines that have been developed to ensure fairness and consistency
whenever an employee is subject to suspension from work.

SMART Chat and SMART Agreement

A SMART Chat will be held with you if after a full and thorough investigation, it is decided that
no formal action is required and that the misconduct/ capability should be dealt with through
an informal discussion.

A SMART Chat will usually be conducted by your Line Manager and there is no right for you
to be accompanied at this meeting. During the SMART Chat you and your Line Manager will
discuss the misconduct/ capability, agree expectations and identify actions to enable you to
achieve the required standard. Within this discussion your Line Manager will also explain why
the conduct/ capability is not acceptable and what future actions could be taken if a further
instances are repeated, or other misconduct/capability occurs.

The outcome of the SMART Chat is for a SMART Agreement to be jointly developed between
you and your Line Manager to ensure you fully understand the improvement required the
timescale for improvement and that any required support is understood. The timescale for
improvement will depend upon the complexity of the goal or objective set.

Conduct or Capability Hearing

If after a full and proper investigation, the conduct or capability is deemed to be more serious
(i.e. if you have already had support in place, a SMART Chat. SMART Agreement or informal
warning on file, or if the allegation is deemed to be so serious that the incident required to be
treated formally), you will be required to attend a Conduct or Capability Hearing.

For further information on Conduct or Capability Hearings and possible warnings please see
the Conduct & Capability Procedure.

What if I am in the first two years of my employment?

If during the first two years of employment, it is felt that you are not performing to an
acceptable standard or that your conduct is unsatisfactory, Webhelp UK reserves the right to
terminate your employment, with due notice, without having to exhaust the procedure
outlined above.

What if I am subject to or receive a criminal charge or conviction?

In the first instance please inform your Line Manager, a Senior Manager or a member of the
People Team if you have receive, or have a pending criminal charge or conviction.

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Criminal charges or convictions for offences of dishonesty or violence committed outside
working hours may result in Formal Conduct proceedings being taken against you up to and
including summary dismissal, whether or not the conduct, charges or convictions directly
impact on your role or the your ability to perform your role.

What about other offences (including civil offences)?

In the first instance please inform your Line Manager if you receive or have a pending civil
charge or conviction.

A charge or conviction for any other type of offence may result in Formal Conduct proceedings
being taken against you in circumstances where, in the opinion of the company, the charge
or conviction is such as to affect, or be likely to affect your suitability for the position in which
you are employed; the business or reputation of Webhelp UK; relationships with our staff,
customers or the public; or where the existence of the charge or conviction could, in the
opinion of the company, seriously undermine the trust and confidence that the company has
in you. Other matters pertaining to the offence will be considered if relevant.

Appendix 1

Examples of misconduct are listed below and relate to all employees of the Company. This
list is not exhaustive:

In some cases, behaviour listed as misconduct may be regarded as gross misconduct

depending on the severity of the case, the seniority of the post held by the employee, the
frequency of occurrence or the nature of the allegation.

1. Failure or refusal to carry out reasonable and proper instructions or duties to fulfil your
role when instructed to do so by a Manager or Team Leader

2. Disregard of company rules concerning Safety or Security, including failure to wear or

use your security pass or use safety clothing or equipment

3. Failure to demonstrate acceptable standards of conduct

4. Smoking anywhere other than the designated smoking area (including use of electronic
cigarettes)

5. Negligent performance that is not as a result of a malicious error

6. Committing an act outside of work that could have an adverse effect on Webhelp UK’s
reputation; it’s clients or employees

7. Behaviour which contravenes any of our Policies and Procedures as detailed on the
Company intranet

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8. Knowingly entering incorrect/ incomplete information on Company records or failing
to comply with our procedures in relation to account management, administration,
handling of cash, cheques, vouchers etc.

9. Taking visitors into secure areas within the building without appropriate authorisation

10. Allowing non-members of staff unauthorised use of Company equipment

11. Use of minor inappropriate language or behaviour to colleagues, internal or external

customers or clients

12. Failure to conform to attendance requirements such as unauthorised absence (AWOL),

lateness, leaving work without permission, failure to work required shifts, overstaying
lunch or other breaks.

Appendix 2

Examples of gross misconduct are listed below and relate to all employees of the Company.
This list is not exhaustive:

1. Serious breach of terms and conditions of employment

2. Serious breach of conduct which contravenes any of our Policies and Procedures as
detailed on the Company intranet

3. Theft or attempted theft from the Company or from fellow employees, clients or
customers

4. Fraud, attempted fraud or dishonesty in relation to any aspects of the Company’s

business

5. Use of profanities or inappropriate behaviour in or around Webhelp UK property,

including, on or around the call floor which could be overheard by colleagues, internal
or external customers, visitors or clients

6. Deliberately and wilfully cutting the customer off calls or other forms of call avoidance,
including misuse of Company intranet or inappropriate use of Webhelp UK’s time

7. Failure to comply with the Company’s Health & Safety Policy

8. Wilful disregard of procedures which place the Company in breach of any of our
statutory obligations (e.g. Data Protection Act, Working Time Regulations)

9. Actions which either bring or could potentially bring the Company or any of its clients
into disrepute

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10. Disclosure of confidential information, including Company, client, customer or
employee information to unauthorised parties

11. Unauthorised possession, access or misuse of property belonging to the Company or

to any other person, including Company computer systems, Company monies, or
assets

12. Accessing personal, family, friends or employee information via the Company
computer systems

13. Falsification of information or references on appointment, including but not limited to:
qualifications, statement of false particulars, failure to disclose unspent convictions
14. Wilful falsification of documents or claims for payment by the Company including but
not limited to: invoices, expenses, timesheets, Company travel, or any other work
records

15. Discrimination on the grounds of sex, race, disability, religion or belief, belief, sexual
orientation, age, gender reassignment, marriage or civil partnership, pregnancy or
maternity or any other grounds of discrimination not currently prohibited by legislation

16. Consuming, possessing or being under the influence of alcohol, illegal drugs or other
intoxicating substances at work

17. Misuse of Company data for personal or non-work related purposes

18. Fraudulent acts that result in your personal gain or gain for your family or friends

19. Being convicted of a criminal or civil offence that could adversely affect the Company’s
reputation or destroy the duty of mutual trust and confidence between you and the
Company and is deemed unacceptable to the Company

20. Driving in a dangerous manner and/or speeding on Company premises

21. Engaging in other employment or business which the Company believes may affect
the performance of your duties, or conflict with the interests of the Company, unless
Senior Management has given specific written agreement to such activities

22. Failure to conform to attendance requirements such as unauthorised absence (AWOL),

lateness, leaving work without permission, failure to work required shifts, overstaying
lunch or other breaks during the probationary period and any subsequent extension

*This list is not exhaustive. There may be other circumstances which are considered to
be sufficiently serious to justify gross misconduct and which could therefore result in dismissal
or summary dismissal.

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Appendix 3 – Suspension Checklist

The decision to suspend an employee from work is a serious one. Given its potential impact
on you and the legal liability that accompanies this, you should only be suspended from work
where we have sufficient evidence that suspension is justified and have concluded that there
is no other reasonable alternative. The following guidelines have been developed for Managers
to ensure fairness and consistency in the event that you are subject to suspension from work.

Guidelines

1. Has an investigation into the allegation(s) been carried out?

Yes [ ] No [ ]

When carrying out an investigation meeting and deciding how to proceed, please take
note of the following:

 Has the employee admitted to the action? OR How does their testimony weigh up
against the evidence we already have?

 What are the possible consequences of the misconduct? How much could this impact
on the Company?

 Have there been any recent changes to the job or campaign that might reasonably
cause the employee to make mistakes?

 How reliable is the witness evidence?

 Have there been any similar previous incidents? Is there any documented evidence of
these?

 Has the employee received coaching or training? Is there documented evidence of this?

 Are there any mitigating circumstances to be taken into account?

2. Is there significant evidence of an act of gross misconduct having taken

place?

Yes [ ] No [ ]

3. Is there a risk to the Company or to the employee if they are kept within the
business pending further investigation, or in the lead up to any subsequent
disciplinary hearing?
OR
Is there a risk to any on-going investigation if the employee stays in the
business while such investigation is being carried out?
OR

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Is there a sufficient Health and Safety Risk to justify suspension?

4. Is there any other way to mitigate these risks? (E.g. working with an
alternative team or in another location?)
____________________________________________________________________
____________________________________________________________________
_____________________________________________________________
_______________________________________________________________

5. Have you consulted with a member of the People Team about whether to
suspend?
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
_______________________________________________________________

6. IF A MEMBER OF THE PEOPLE TEAM IS NOT AVAILABLE: Have you consulted

with a Senior Manager with appropriate knowledge of the campaign
requirements and business risk?
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
_______________________________________________________________

7. Have you advised the employee of the following?

 They will be advised in writing of the suspension [ ]

 Suspension will be paid [ ]
 They must be available for work in accordance with their regular [ ]
shifts
 No disciplinary decisions have been made as yet [ ]
 If we convene a Disciplinary Hearing they will receive 48 hours’ [ ]
notice
 Confirm the employee’s contact details [ ]
 The case is not to be discussed with other employees [ ]
 We will aim to resolve this situation as soon as [ ]
possible

8. Have you sent a suspension letter out?

Yes [ ] No [ ]

9. How long will any further investigation take?

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___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
_______________________________________________________________

10. What is the soonest we can conduct a disciplinary hearing?

___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
_______________________________________________________________

11. Have you arranged for a disciplinary hearing to be set up?

Yes [ ] No [ ]

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