Unit 1 - Principles of people management
On completion of this unit:
You will:
1. Understand the principles of workforce management
Be able to:
1.1 Explain the relationship between Human Resources (HR) functions and other
business functions
1.2 Explain the purpose and process of workforce planning
1.3 Explain how employment law affects an organisation’s HR and business
policies and practices
1.4 Evaluate the implications for an organisation of utilising different types of
employment contracts
1.5 Evaluate the implications for an individual of different types of employment
contracts.
You will:
2. Understand equality or opportunity, diversity and inclusion
Be able to:
2.1 Explain an organisation’s responsibilities and liabilities under equality
legislation
2.2 Explain the benefits that equality of opportunity, diversity and inclusion
policies bring individuals and organisations
2.3 Explain the language and behaviour that support commitments to equality of
opportunity, diversity and inclusion
2.4 Explain how to measure diversity within an organisation.
You will:
3. Understand team building and dynamics
Be able to:
3.1 Explain the difference between a group and a team
3.2 Outline the characteristics of an effective team
3.3 Explain the techniques of building a team
3.4 Explain techniques to motivate team members
3.5 Explain the importance of communicating targets and objectives to a team
3.6 Examine theories of team development
3.7 Explain common causes of conflict within a team
3.8 Explain techniques to manage conflict within a team.
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You will:
4. Understand performance management
Be able to:
4.1 Identify the characteristics of an effective performance management system
4.2 Explain the uses of specific, measurable, achievable, realistic and time-bound
(SMART) objectives and priorities
4.3 Describe best practice in conducting appraisals
4.4 Explain the factors to be taken into account when managing people’s well-
being and performance
4.5 Explain the importance of following disciplinary and grievance processes.
You will:
5. Understand training and development
Be able to:
5.1 Explain the benefits of employee development
5.2 Explain the advantages and limitations of different types of training and
development methods
5.3 Explain the role of targets, objectives and feedback in employee development
5.4 Explain how personal development plans support the training and
development of individuals
5.5 Explain how to make use of planned and unplanned learning opportunities to
meet individuals’ preferred learning styles
5.6 Explain how to support individuals’ learning and development.
You will:
6. Understand reward and recognition
Be able to:
6.1 Describe the components of ‘total reward’
6.2 Analyse the relationship between motivation and reward
6.3 Explain different types of pay structures
6.4 Explain the risks involved in the management of reward schemes.
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You will:
7. Understand the principles of conflict management
Be able to:
7.1 Evaluate the suitability of different methods of conflict management in
different situations
7.2 Describe the personal skills needed to deal with conflict between other people
7.3 Analyse the potential consequences of unresolved conflict within a team
7.4 Explain the role of external arbitration and conciliation in conflict resolution.
1. Understand the principles of workforce management
1.1 Explain the relationship between Human Resources (HR) functions and
other business functions
Business functions within your organisation
Most organisations will have more than one department working on different
elements of work for an organisation. Usually, each department is made up of
employees with a specific skill set that will enable them to contribute effectively to
their role within that department. Some examples of departments within an
organisation could be:
• Human Resources
• Accounts
• Marketing
• Management
• Administration
• Customer Services
• Purchasing
• Public Relations
• Information Technology.
Each department within an organisation is a business function. Each business
function works to support and contribute to the overall organisation’s main goals. It
would be extremely hard for an organisation to continue to produce the service or
product that they offer if one of their existing business functions was no longer
available.
This doesn’t mean that other departments within an organisation do not
communicate with each other. In fact, this is far from the truth. In order to be a
successful organisation it is very important for other departments to communicate
with each other often. For example, if an accounts department decided to issue
everyone’s pay later than usual because of the festive period but didn’t communicate
this to the staff, it would cause havoc amongst the staff because they wouldn’t know
what was going on.
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Communication is key when working alongside others. If a decision you need to
make may impact others, or a task that you are working on requires input from
others, then you must consider those that it may affect. You can do this by ensuring
that you communicate relevant information to the appropriate sources at all times.
In some cases, you will be unable to move forward with certain tasks without the
help of other departments, such as when recruiting a new member of staff. If you
were to recruit a new member of staff, you would inevitably need advice and support
from your manager, HR department and possibly other departments to help set up
the new member of staff on the organisation’s systems.
Human Resources departments play a crucial part in any organisation as they are
often responsible for liaising with managers from all departments of an organisation
to either advise on certain matters or record information such as:
• Employee absence
• Employee annual leave
• Grievance and disciplinary action
• Policies
• Contractual agreements
• Measuring diversity
Remember, each department is a business function in their own right and you will
ultimately need to call upon them at some stage throughout your role as a manager.
You must remember to communicate effectively with the relevant departments.
It is also important that you consider each department’s situation when you are
dealing with resources and deadlines. They may not always be able to supply you
with what you need, when you need it, so it’s good idea to plan ahead.
Always follow company procedure and policies when dealing with information, as
some information may be confidential and although you may be able to talk about it
to HR, you may not to other departments. Ultimately, treat other business functions
within your organisation as you would any customer, as you are providing them a
service and they in turn will provide you with one.
Activity 1.1 relates to the above
1.2 Explain the purpose and process of workforce planning
What is ‘workforce planning’?
So what exactly is ‘workforce planning’? Well, workforce planning is a process that
most organisations have now adopted. Generally speaking, Human Resources are
largely responsible for ensuring this process is carried out. However, workforce
planning can sometimes require input from managers within other departments too.
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The outcome of a workforce plan can often make an impact on the day-to-day
operations of the manager’s team itself.
An efficient and effective workforce plan may involve looking at the following areas
within the organisation:
• Organisation procedures and policies
• Organisation objectives
• Operational resources
• Employee and training resources
• Constraints
• Organisation needs and requirements.
Looking at the above areas could involve quite an in-depth analysation of how the
organisation operates as a whole. However, once complete, it could prove very
beneficial for the organisation as it will give the organisation a clear idea of what is
needed for the future in order to better the way things are currently done.
Once an understanding has been gauged as to how the organisation operates
alongside how the organisation might need to operate in the future, it will allow for
those working on a workforce plan to inevitably plan ahead.
Ultimately, this process of planning is to ensure that the organisation and its
employees have the resources and knowledge available to them to continue to
maintain and grow the organisation in the future.
Types of workforce planning
There are various ways of workforce planning. However, the most common are:
• Operational workforce planning
• Strategic workforce planning.
Operational workforce planning usually involves planning for the day-to-day
operations within an organisation or team. This could involve looking at:
• Improving work schedules
• Enhancing current skill sets
• Identifying the need to recruit new members of staff
• Identifying tasks or roles that may now be no longer required
• Ensuring employee needs are met
• Ensuring resources are available.
As a manager, you may find that you will be required to provide a workforce plan
regarding your team and their day-to-day operations, or you may be required to input
into a current workforce plan that others may be working on regarding your team’s
operations. It’s always important to be aware of all of the ins and outs of how your
team operates so that you can contribute to workforce planning effectively.
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Strategic workforce planning is a way of planning for all aspects of the
organisation and is used to forecast for future events and processes that can be
adapted by the organisation as a whole. Examples of strategic workforce planning
may include:
• Preparing for undertrained staff as employees leave the organisation
• Forecasting future training needs
• Determining and evaluating likely future sourcing options
• Implementing effective systems and processes.
It is far more likely that this type of workforce planning is carried out by the Human
Resources department and hierarchy as this type of planning gives an indication as
to the future of the organisation and what must be done in order to ensure the
organisation remains successful and operates smoothly in its current market.
Activity 1.2 relates to the above
1.3 Explain how employment law affects an organisation’s HR and business
policies and practices
Employment Law
Organisations are required by law to uphold and understand legislation and
regulations relevant to the industry in which they operate. However, it is not just
industry specific legislation and regulations that must be followed. An organisation
must also uphold and understand the current employment law also.
Employment law has been created so that both employees and employers are
protected by the law in a fair manner. Having employment law allows for
organisations to have a clear set of policies and procedures that abide by the current
legislation and regulations. This, in turn, provides employees with the chance to work
in good working conditions with a clear set of rules by which they must abide whilst
working in their place of employment.
An organisation’s policies and practices must always be devised with the current
laws in mind. The main laws are:
• National minimum wage
• Working Time Regulations
• Equality
• Equal pay
• Discrimination
• Health and Safety
• Statutory maternity and paternity pay
• Redundancy pay
• Annual leave and sick pay.
However, if legislation or regulations are changed, amended or updated, this could
mean that current organisational policies and practices may need to change, be
amended or updated too. It is important to keep on top of current legislation and
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regulations because if an organisation does not, they could be breaking the law. As
you can imagine, if legislation or regulations are changed in any way, this can
obviously affect the way current policies and practice is carried out within an
organisation.
If changes do occur within the law, it could be that a simple change to an existing
process is required. However, if it is more than a simple change, a brand new
process may need to be created and communicated to all staff which could mean a
big change to the current way things are done within the workplace, and also a lot of
work for those who may be creating the brand new process.
In addition, different employment law has been designed to protect different types of
workers who have different types of contractual agreements, such as:
• Full-time and part-time employees
• Self-employed/sub-contractors
• Agency workers.
Each worker may be on a different contract and, therefore, different laws apply to
them. When creating policies and practices within the workplace, an organisation
must ensure that they take into consideration the employment rights each worker
may have. If a worker’s contractual agreement changes, for example, an agency
worker becomes a full-time employee, the policies that employee would have once
had will differ on their new contract. Therefore, it is always important to ensure that
changes to contractual agreements are noted because as a manager you will be
expected to be aware of your team’s contractual agreements and rights.
It is also important to note that as a manager, you have a responsibility to ensure
that you abide by the law and follow procedures and policies concerning employment
law at all times.
Activity 1.3 relates to the above
1.4 Evaluate the implications for an organisation of utilising different types of
employment contracts
1.5 Evaluate the implications for an individual of different types of
employment contracts
(This section comprises of both elements 1.4 and 1.5)
Employment contracts
As stated in the previous element 1.3, it is possible to have several members of staff
within an organisation all working on different types of contractual agreements. Let’s
look at some of the different types of employment contracts available and the
purpose for each one:
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Full-time permanent contract
These types of contracts are likely to be the most common types of contracts within
an organisation. Employers can reap the reward of the stability their employee
enjoys, as an employee on a full-time contract is less likely to up and leave within a
matter of months. A full-time employee is also far more likely to have had undergone
relevant company training and, therefore, will have in-depth knowledge of the
position that they hold. Full-time employees are considered a valuable member of
staff to an organisation.
A full-time contract itself must provide the employee with rights. The contract should
state an employee’s job title, place of work, who the employee should report to,
position terms, pay, working hours, annual leave, sick pay entitlements and notice
period.
Depending on the position of the employee, notice periods can vary. In some cases,
employees may have a one week or one month’s notice period. This can seem a
short amount of time for an organisation to find a suitable candidate to replace the
position. Other employees may have a longer notice period and a clause within their
contract preventing them from working with the organisation’s competitor for a
certain amount of time.
Longer notice periods provide a certain level of stability to the employee but also
provide some protection to the organisation as well. With a longer notice period, the
organisation has more time to find a suitable candidate for the replacement of the
position and the current employee wishing to leave is unable to benefit a competitive
organisation or leak company inside information for some time after they have left.
This tends to work more in the organisation’s favour, as the employee’s skills cannot
be utilised in a company setting that they are familiar with for a certain amount of
time even after they have left.
Part-time contract
Part-time employment contracts are treated in much the same way as full-time
employment contracts. This is because part-time workers are still permanent
members of staff within an organisation. Employees that hold these types of
contracts will also have a good level of understanding and knowledge of the position
they hold. The main differences between full-time and part-time employment
contracts will be the hours that the employee actually works and the annual leave
entitlement.
Fixed-term contract
Fixed-term employment contracts are usually provided to temporary employees who
are required at an organisation for a specific project or role that has an end date. The
minimum term that an employee can be on a fixed-term contract is six months. The
contract is between the employer and employee and no other party should be
involved where a fixed-term contract is concerned. These types of contracts still
contain employee rights; however, the contract will state a clear date as to when the
position will come to an end.
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A fixed-term contract is useful to employers when they require expertise for a
specific project or cover for a particular role for a certain period of time only. The
employee may also want to move onto different things once the contract comes to an
end so, all in all, it benefits both parties involved.
Zero hours contract
Zero hours contracts can also be known as casual contracts. Whilst these types of
contracts still offer employees entitlement to annual leave and the national minimum
wage, employers are the ones that largely benefit from zero hours contracts.
Zero hours contracts do not have a clear amount of set working hours stated within
them. Instead, an employer can ask a zero hours contract worker to work when they
are need. In addition, an employer is not obliged to provide work to a zero hours
contract worker.
An employee with a zero hours contract can work elsewhere whilst having a zero
hours contract in place with another employer. They can also refuse to do the work
that may have been offered to them. This does, however, mean that both the
employer and employee are reliant on each other to ensure that the work actually
gets completed.
Agency staff contract
Agency staff can also be known as temporary staff. Employers will usually source
agency workers through agency providers. The agency are responsible for ensuring
national insurance contributions and sick pay payments are made as well as
ensuring the temporary member of staff’s working hours are within the guidelines set
out under the working time regulations.
The employer must cooperate with the agency directly to ensure that these things
are happening. For example, the employer will pay the agency directly for the
temporary worker’s salary; however, included within this payment will be the worker’s
national insurance contributions, any necessary sick pay and any fees that the
agency charges on top of this.
Temporary members of staff can prove useful when a short-term task needs
completing but the position is not required on a long-term basis. The temporary
member of staff may be happy to work for only a short amount of time so that they
can move on to other things.
If a temporary member of staff still remains within the same position after twelve
weeks, the temporary member of staff must receive the same employment rights as
that of a full-time employee.
Organisational drawbacks to having a temporary member of staff tend to be the lack
of knowledge that a temporary worker may have for organisational procedures. This
means they may require additional training time. In addition, the organisation will
have to pay high agency fees in addition to the worker’s salary.
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Annualised hours contract
Whilst not the most common contract you may find in an organisation, it is still
possible for workers to have an annualised hours contract. The contract itself will
state a guaranteed number of hours that the employee is contracted to work for over
a twelve month period.
Having an annualised hours contract provides employers with the freedom to
increase or decrease the hours required at any given time. Usually this is done to
meet the needs of the business.
If business demand of the organisation is seasonal or the organisation requires long-
term planning of resource, an annualised hours contract can be a suitable
arrangement between both employer and employee.
Employees on an annualised hours contract do have a sense of flexibility and less
dependency on them to have to undertake overtime, allowing them to plan the year
ahead with a general understanding of when their working hours will be for that year.
Apprenticeship/training contract
Having an apprenticeship or training contract will entitle the employee to the same
employee rights as those on a full-time contract. Employees on this type of contract
will receive the same amount of rights as full-time employees. However, they will
also be expected to undergo some form of training, usually relevant to their role.
These types of contracts may state that the employee may receive certain rewards,
such as a salary increase, bonus or promotion, when a certain level of training has
been successfully achieved.
Apprenticeship/training contracts are beneficial for both the employer and the
employee. This is because the employee learns and gains knowledge while
improving their skill set and the employer gains a knowledgeable, capable and
valuable employer.
The employer must allow for a certain amount of time to be provided to the employee
as study/training time. This does have its drawbacks for the employer as this can
sometimes mean that the organisation is under-resourced whilst
apprenticeship/training employees are learning.
Activities 1.4 & 1.5 relate to the above
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2. Understand equality of opportunity, diversity and inclusion
2.1 Explain an organisation’s responsibilities and liabilities under
equality legislation
Importance of equality legislation
All organisations have policies and procedures aimed at ensuring equality in the
workplace. Examples of such policies and procedures could be an Equal
Opportunities Policy, recruitment and selection procedure, and a procedure for
dealing with allegations of harassment.
In addition to such policies, all organisations must comply with the Equality Act 2010
and create a positive, diverse and equal environment for its employees and
customers.
The Equality Act 2010 covers discrimination by reason of:
• Age
• Disability
• Gender reassignment
• Marriage and civil partnership
• Pregnancy and maternity
• Race, religion or belief
• Sex
• Sexual orientation.
If an organisation doesn’t comply with Equality Act 2010, and makes no effort to
create a diverse and equal environment, then it could face serious legal action.
The organisation would be deemed an unfair organisation to work for and most of its
employees would not be given fair opportunities, preventing them from excelling in
the future. Employees would not respect the company they are working for and this
attitude would trickle down to the customers.
Ultimately, the reputation of an organisation that is not equal or diverse will not be
respected by its own staff or the market in general. This will affect the way the
organisation operates and prevent customers from using its services.
Activity 1.6 relates to the above
2.2. Explain the benefits that equality of opportunity, diversity and inclusion
policies bring individuals and organisations
Benefits of equality, diversity and inclusion policies
There are several reasons why equality and diversity procedures must be followed
within the workplace. By law, all employers and employees must follow these
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procedures. Breaching a procedure or ignoring a procedure could have legal
implications.
As well as breaking the law, not following procedures could also create a breakdown
in relations at work. Ultimately, respect could be lost and if employees feel
discriminated against or feel they have received unfair treatment, this could have a
knock-on effect on the organisation, which could lead to a loss of business.
Ultimately, equality, diversity and inclusion procedures are in place to ensure that the
workforce is treated fairly.
Being part of a diverse society made up of different languages, races, cultures and
even skills, enhances the way we live. It allows us to advance in business,
technology, science and even the way we eat.
Smart phones evolve with new technology every year and this is an example of a
range of diverse people working together, and sharing their knowledge. Creating the
next big smart phone has enhanced our lives and the world of technology. Without a
range of diverse people, our lives would not only be boring, but we would not grow
as a society, as we do now.
To any organisation, the benefits of valuing diversity can be seen as:
• Making the organisation more efficient. Equal opportunities helps make an
organisation more efficient because it makes sure the best person for the job
is employed. This involves the organisation having good recruitment and
selection procedures
• Improving the quality of the work of the organisation. Equal opportunities
ensures that a range of people with different backgrounds and experience all
contribute to problem solving and decision-making to improve services
• Reflecting the population as a whole. It is important that an organisation's
workforce mirrors the range of different people in the population. This makes it
more likely to meet the population’s different needs
• Meeting legal requirements. There are British and European Laws that
require employers to ensure that equal opportunities are available to
everyone.
• Recognising individual's rights. This means that the organisation is
committed to fairness and valuing the contribution individuals can make,
irrespective of their sex, race, disability, age, beliefs or sexuality.
Activity 1.7 relates to the above
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2.3 Explain the language and behaviour that support commitments to equality
of opportunity, diversity and inclusion
Language
Often, the language we use can categorise and reinforce stereotypes. But this can
be avoided by using positive terminology. The examples below are all taken from
language commonly used to describe people with a disability, but similar language
can exist for all stereotyped social groups.
• The word ‘handicapped’ comes from the phrase cap in hand, which relates to
a time when disabled people had to beg to survive; this can be very offensive
to disabled people
• Using the phrase ‘the disabled’ implies a homogenous group separate from
society. The phrase ‘disabled people’ should be used instead
• It is also important to refrain from using the word ‘normal’ when describing
people without a disability. People with a disability are ‘normal’ too.
• Using language that refers to an individual or group based on their ethnicity,
gender, age, sexual orientation, religion or belief is considered offensive and
prejudice. You should only refer to others by their names.
Behaviour
How we treat and respect people will affect how they treat and respect us. So it’s
important to ensure that we put our organisation’s policies and procedures
surrounding equality and diversity into practice when in the workplace.
Acting in a way that could be deemed as harassment should not be tolerated
especially within the workplace. Let’s look at how harassment should be dealt with
by the employer and the employee.
Employer
All employers need to take action to prevent harassment and to discharge their duty
of care for the health and safety of their employees. They should encourage
incidents to be reported and ensure that satisfactory solutions are applied when
problems arise. It is important not to assume that just because there are no
complaints that there are no problems. Making a complaint can be an intimidating,
and sometimes humiliating, experience. Employers must make sure that there is an
accessible procedure to deal with complaints and that all employees are aware of it.
It is also important to protect the complainant from further harassment or
victimisation as the result of a complaint.
Employee
Employees must also take responsibility for their own and their co-workers health
and safety. If an incident of harassment is witnessed, it should always be reported,
however trivial it might seem.
Of course, the individuals who commit harassment must take responsibility for their
own actions. Harassment is a criminal offence as well as being prohibited by
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employment law. Even if an employer is found to be vicariously liable for the
harassment, by not being vigilant in the workplace and allowing the harassment to
occur, the individual would also be held accountable and may have to pay a
separate award of damages to the injured party.
Disability etiquette
Many people are unsure of the best way to treat disabled people when they meet
them at work or in the street. They can be afraid of upsetting or causing them
offence, or they can simply be unsure as to whether the disabled person has heard
or understood them. The first thing it is important to remember is that there is no
special way of treating disabled people. Treat them as you would expect to be
treated yourself. Below are some suggestions on how to provide the best service
and assistance to disabled people. (These are drawn from the advice offered by a
public sector service organisation to its employees.)
When communicating with a physically disabled person:
• Never push a wheelchair or take someone’s arm to assist him or her unless
they have asked you to
• A wheelchair should never become a barrier. Shake hands and talk to a
wheelchair user at eye level wherever possible. But remember it is bad
manners to lean on or over a wheelchair.
When communicating with a person with a hearing impairment:
Deaf people often feel very isolated because hearing people do not feel confident in
communicating with them and often get annoyed if they are asked to repeat things
several times. Please be patient.
• Make sure the person has your attention (by a light tap on the arm or a wave
of the hand) and knows that you are speaking to them
• If possible, make sure that light is on your face and not behind you, and try to
keep your hands away from your mouth
• Speak clearly and not too quickly. Speaking too loudly can distort your speech
• Try to eliminate background noise as much as possible
• Do not speak with anything in your mouth or in front of it
• Try to remember not to turn your head away when speaking about something
behind or at the side of you
• Try to rephrase your sentence if asked to repeat it. Sometimes certain sounds
or words cannot be picked up
• Do not be afraid to write things down if you cannot make yourself understood.
Keep a pen and paper handy
• Do not presume that if a person is wearing a hearing aid they can hear
perfectly
• Never say, ‘it doesn't matter’, when asked to repeat anything. Even if an
interpreter is present, always address the deaf person directly
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• When communicating via an interpreter, do not speak too quickly and allow
time for translation. Interpreters are very skilled, but would appreciate this
• Remember that even skilled lip-readers often only get one in three words, so
make sure they have understood.
When communicating with a visually-impaired person:
• Make sure that the person you are speaking to knows your name, who you
are and that you are actually speaking to them
• Talk to a blind person as you would anyone else. Don't be afraid to say ‘see
you later’
• Ask the visually-impaired person how he or she wishes to be guided. The
usual way is for them to grasp your elbow, but do not be offended if help is
declined
• Always try to give clear instructions or directions when acting as a guide, and
describe what is happening and what is around them, e.g. ‘we are going to
turn left in a moment and there are a lot of people around’
• A bowl of water should be available for guide dogs. Never try to lead a guide
dog by the harness. Always consult the owner on how best to help
• When a guide dog is wearing a harness, it is 'on duty' and should not be made
a fuss of. Distracting the dog could cause an accident. The dog has been
trained to sit or lie very quietly, when it is not guiding
• Remember to say ‘goodbye’ or let them know you are walking away when you
leave a blind person, so that they are not left talking to themselves!
• Remember that visually-impaired people have to rely on public transport, taxis
or friends and relatives with vehicles. Please do not be irritated by lateness
that may be beyond their control
• Red bands on a cane or dog harness indicate a hearing impairment as well
• If offering a seat, place the person's hand on the back of the chair so that they
can sit down themselves
• If appropriate, place any items in front of the blind person and explain where
they are in relation to their hands.
When communicating with a person with a learning disability or mental illness:
A common reaction to people with mental disabilities is embarrassment, and to hide
this, communication and contact is avoided. People who are recovering from mental
illness are often very sensitive to criticism, overt or implied. A disapproving look may
be enough to drive someone away. Some physiological damage which interferes
with speech (such as a stroke or cerebral palsy) does not impair understanding.
One popular misconception is that a person who has difficulty in speaking does not
understand what is being said.
• Speak to them directly, not the person with them
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• Be patient and give them time to reply
• Be prepared to repeat or re-phrase what you have said
• Avoid using unusual words or giving complex instructions
• Allow extra time if decisions are to be made
• In a sales situation, always count out any change
• Point out signs and be prepared to read them out along with any other
information
• Never interrupt a customer while they are speaking.
Equality, diversity and inclusion
It is important to understand that the things we say and how we behave should be
considered in everything that we do. Equality is about ensuring everyone receives
the same level of respect and fairness. Diversity involves variety and difference
amongst individuals and groups. Inclusion essentially means breaking down barriers
and providing the necessities required in order for everyone to feel respected and
have the opportunity to achieve their full potential. It is therefore important as a
manager to ensure that all individuals are spoken to and treated with the same level
of respect regardless of their disability, age, gender, sexual orientation, religion or
belief.
Consequences
It is important to remember that when it comes to equality, diversity and inclusion
within the workplace, it is not solely the employer’s responsibility to ensure that
policies and codes of conduct are met. The employee must also take responsibility to
ensure they follow the guidelines within the organisation.
If an employee does not comply and breaches a policy or code of conduct, there will
be potential consequences that the employee will have to face.
It is likely that the employee will face disciplinary action within the organisation which
could result in suspension from work and, in some more serious cases, legal action
could be taken.
Activity 1.8 relates to the above
2.4 Explain how to measure diversity within an organisation
Measuring diversity
Measuring diversity involves gathering information on the diversity of the existing
workforce or potential recruits. The varying levels of diversity can differ from
organisation to organisation. This is because each organisation will have different
needs. Therefore, how diversity is measured in each organisation will differ too.
Measuring diversity will depend on certain aspects of the organisation such as the
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size of the organisation and the skills required for particular roles. In some
organisations diversity can also be measured against official business sector and
government reports. It is important to note that diversity information on potential
recruits should be kept separate from application forms. These should not be taken
into consideration when deciding who to recruit.
Organisations should monitor equality and diversity to examine if their equality policy
is working effectively.
If they find that their policy isn't working, for example, if they find that their workforce
is not as diverse as it should be, they will need to find out why and take action to
improve the effectiveness of the policy. For example, if they find that non-white
people are under-represented in their workforce, they may need to review where
jobs are advertised.
To get the best out of the process, organisations need to explain to staff the benefits
of monitoring diversity. For example, some employees may feel uncomfortable about
filling in monitoring forms. If so, the organisation needs to:
• Reassure them that they will treat any information given as confidential
• Explain that they are carrying out the monitoring process to make their equality
policy a reality
• Point out that a successful policy is good for business.
It is good practice for employers to monitor employees at every stage of their
employment - from recruitment right through to when they leave.
This means finding out:
• Who applies to work for them
• Who they interview and who they finally recruit
• Who they promote
• Who they train and in what work areas
• Who raises grievances at work
• Who they discipline and what for
• Who is absent or sick and for what reasons
• Who they dismiss
• Who leaves the organisation and why.
By measuring diversity, an organisation can ensure that they have a good level of
diversity allowing the organisation to benefit from a vast range of skill sets,
backgrounds and knowledge.
Activity 1.9 relates to the above
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3. Understand team building and dynamics
3.1 Explain the difference between a group and a team
Groups and teams
You could be forgiven for thinking the words ‘group’ and ‘team’ mean much of the
same thing. However, there are differences between to the two. Let’s take a look at
these in more detail.
A group tends to be a large number of people coming together to achieve a focused
action. A good way of looking at this is to think of a focus group. Focus groups are
usually put together to discuss areas, issues and points based around a particular
subject. Focus groups will usually have varied members so that opinions and points
can also be varied. However, each member of the focus group is contributing to the
same thing.
In the workplace, work groups can be formed when larger or more difficult
organisational objectives have been set. These types of objectives usually involve
input from more than one department or person within an organization, as lots of
skills are required to successfully achieve them. This means that in order to achieve
the objective, a group of people will be brought together from each department within
the organisation so that tasks can be delegated to match skill sets and resources.
Each member of staff within the group will work together to complete the actions
required in order to achieve the main objective.
A team usually has a common purpose and each individual that makes up the team
in its entirety work together to achieve this common purpose. In a workplace, a team
of people could be described as a department or, on a smaller scale, a manager and
their staff. For example, a marketing department will largely consist of a marketing
team all working together to achieve successful marketing objectives set by the
organisation. In some cases, some team members are unable to move forward with
their tasks without the input of other team mates, whereas this is not always the case
for those working as members of a group.
Let’s take a look at other differences between groups and teams within the
workplace:
Groups Teams
A group leader is usually assigned as A team manager is assigned through
the person in charge and they will position and they will act as a facilitator.
control the group’s meetings, dynamics
and actions. In meetings, team members are able to
The group leader will conduct discuss and provide input as to how tasks
meetings. are completed in order to achieve goals.
Members of the team can contribute by
The group leader will delegate tasks to participating in discussion and deciding
members of the group and each group amongst themselves who will take on
member must ensure the tasks are which tasks based on their workloads, etc.
completed.
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It’s important to have a good understand of how groups and teams operate and how
both groups and teams may require your input in different ways.
Activity 1.10 relates to the above
3.2 Outline the characteristics of an effective team
Effective teams
Now that we understand the differences between groups and teams, let’s look at the
key elements of what makes an effective team.
Effective teams consist of people who:
• Can work together
• Are loyal to each other
• Feel committed and are motivated to achieve a high level of output
• Care about how other members of the team feel
• Are open with each other and listen to each other
• Have common goals
• Are prepared to work conflict through.
Collaboration means working together. Effective teams have clear objectives and
agreed goals. They are open and do not avoid confrontation; the members support
and trust one another. The members all work together in an atmosphere of co-
operation; conflicts are open and resolved by the team; there are sound procedures
in place and good leadership. The team regularly reviews its own performance and
individuals are encouraged to develop within the team.
Activity 1.11 relates to the above
3.3 Explain the techniques of building a team
Team building
Team building is about selecting and assembling a group of diverse individuals, each
with their own personalities, aspirations, career goals, skills and abilities. It is about
moulding them into a cohesive and motivated unit, focused on achieving the overall
team goals and objectives, whilst acknowledging them as individuals and
recognising their individual contributions.
However, as a manager, there are certain team building techniques that you can
adopt to ensure the effectiveness of your team. These are:
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Communication
Communication is probably one of the most important factors in being a good
manager and to ensuring that your team works effectively. Always be clear when
communicating to your team and encourage team members to communicate with
each other also.
Blocked communication lines or holding back information that could have otherwise
been communicated could prevent your team from working effectively and,
ultimately, lead to errors being made. Remember to always be forthcoming with
information and ensure when you are communicating that you are accurate, clear
and authorised to do so.
Clear goals
No successful team ever produced work without having clear goals to aim for.
Ensure that your team have clear goals by communicating the goals, ensuring that
your team members understand them and that they accept what needs to be done in
order to achieve them.
Involvement
Teams should work together and if the whole team works together in the decision-
making process and provides consensus to team work then not only could this
provide the team with a better way of doing things and a good way for the team to
understand what everyone is doing, but it also allows each member of the team to
feel a sense of contribution and empowerment towards the tasks needing to be
completed. This can, therefore, act in the team’s favour as tasks will be tackled with
commitment by team mates.
Position clarity
Ensure that the team understands who is responsible for what, at all times. Doing
this can prevent duplication of work and issues of overlapping authority. Individuals
are far happier when they know who is responsible for certain things and who they
should go to as their first point of contact.
Awareness
As a manager, it’s important to always be aware of what is going on around you. If a
team member doesn’t appear to be in good spirits or there seems to be conflict
between colleagues, you should recognise them at the early signs and deal with
them accordingly. It may be as simple as having a chat with them or you may need
to visit organisational procedures to follow a more formal approach. Whatever the
route needing to be taken, you must ensure you do not ignore the signs as this could
cause more harm than good.
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Trust
Creating an honest and open atmosphere in the workplace encourages
communication and respect amongst the team as a whole. It also helps to provide
good working relationships which will ultimately lead to an effective team.
Evaluation and feedback
Looking at team tasks that have been completed, or that are not working as they
should, is beneficial to do with your team. Sitting down as a team and evaluating
team tasks together can help the team to understand areas that went really well and
areas that didn’t go as well as expected.
As a manager, it is not a bad thing to provide feedback, just ensure that feedback is
constructive if areas require improvement. Needing to improve on certain areas and
providing the team with the tools to do so will only benefit the team as a whole.
Always try to provide good feedback so that the team know the areas they are doing
well in.
Encouragement
Providing encouragement to your team is a great way to motivate them and provide
confidence to team members. Being positive, supportive and grateful to your team
members is a great way of being encouraging.
Remember, the most effective teams stem from trust and loyalty, not fear.
Activity 1.12 relates to the above
3.4 Explain techniques to motivate team members
Motivation Techniques
Motivation means being committed and enthusiastic, sharing a common goal.
Most people will prefer to be well motivated. People like to like their job and usually
only become de-motivated because they are not valued.
To gain and maintain motivation, there are three things which managers should do:
1. Let team members know that what they do is worthwhile. This gives
confidence in the value of their job
2. Let team members know that they are making a worthwhile contribution. This
gives confidence in their value as individuals
3. Let team members know that they are not alone or isolated. This gives
confidence in their value as a team.
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To achieve these things, it is important to:
• Communicate decisions, plans and expectations
• Define what each team member should contribute and how it fits in with
achieving the team objective
• Set an example that team members can respect and emulate
• Provide a positive attitude
• Provide feedback on how they are doing
• Provide encouragement by rewarding success
• Show concern for their welfare and well-being.
By following these simple rules, team members will respect and value the team of
which they are a part and their own personal contribution will be enhanced. The
payoff will be that you as a manager will enjoy having well-motivated and committed
staff, leaving you free of the need to spend a great deal of your time ensuring that
the job gets done and worrying about it when it doesn’t.
Individual needs are especially important in relation to motivation, which is closely
connected with leadership and management. One of the things a manager should
do is to motivate.
This may be in the form of rewards and threats – the carrot and stick approach or a
more subtle approach. However, if you are going to motivate your team, you must
first understand the needs of the team members as individuals and how they
operate, so that you can work within their nature.
Douglas McGregor pointed out that managers often operate under one of two sets
of contrasting explicit or implicit assumptions about people.
He labelled this theory X and theory Y as shown below:
Assumptions about people
THEORY X THEORY Y
People dislike work and will avoid it if
they can. Work is necessary to human psychological
growth.
People must be forced or bribed to People want to be interested in their work
put out the right effort. and, under the right conditions, they can
People would rather be directed than enjoy it.
accept responsibility, which they People will direct themselves towards an
avoid. accepted target.
People will seek and accept responsibility
under the right conditions.
The discipline people impose on
themselves is more effective, and can be
more severe, than any imposed on them.
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People are motivated mainly by Under the right conditions, people are
money. motivated by the desire to realise their own
People are motivated by anxiety potential.
about their security.
Most people have little creativity – Creativity and ingenuity are widely
except when it comes to getting distributed and grossly underused.
around management rules!
McGregor made the point that what we believe about a person can help that person
to behave in a particular way – the self-fulfilling prophecy.
For example, if you tell them that they are lazy, then they will behave that way. If
you tell them that they can achieve something, they may well succeed even if it was
stretching their abilities.
Frederick Hertzberg back in the mid-1950s did some research with 203 engineers
and accountants in Pittsburgh to find out why they found some events in their
working lives highly satisfying and others highly dissatisfying. He had two factors,
which he called ’motivators’ and ‘hygiene factors’. The motivators provide longer-
lasting satisfaction but the hygiene factors cause dissatisfaction if they are wrong.
However, if the level of a hygiene factor is raised, this will only either reduce
dissatisfaction or give a temporary sense of satisfaction.
Hertzberg’s theory has caused much controversy but has had a powerful influence
on the movement to increase job satisfaction in industry.
His theory is shown below.
Hertzberg’s Two-Factor Theory
HYGIENE FACTORS DEFINITION/EXAMPLE
Company policy and
administration Availability of clearly-defined policies, degree of ‘red tape’,
Supervision adequacy of communication, efficiency of organisation.
Interpersonal Accessibility, competence and personality of the boss.
relations The relations with supervisors, subordinates and
Salary colleagues, the quality of social life at work.
The total rewards package, such as salary, pension,
Status company care and other ‘perks’.
A person’s position or rank in relation to others,
Job security symbolised by title, parking space, car, size of office,
furnishings, etc.
Personal life Freedom from insecurity, such as loss of position or
redundancy.
Working conditions The effect of a person’s work on family life, e.g. stress,
unsocial hours or moving house.
The physical environment in which work is done, the
degree of discomfort it causes.
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MOTIVATORS DEFINITION/EXAMPLE
Achievement
Sense of bringing something to a successful conclusion,
Recognition completing a job, solving a problem, making a sale.
Job interest The sense of achievement is in proportion to the size of the
Responsibility challenge.
Acknowledgement of a person’s contribution, appreciation
Advancement of work by company or colleagues, rewards for merit.
Intrinsic appeal of job, variety rather than repetition, its
ability to hold interest and not be monotonous or boring.
Being allowed to use discretion at work, being shown trust
by company, having authority to make decisions, being
accountable for the work of others.
Promotion in status or job, or the prospect of it.
Achievement
Evaluation means that the leader or manager will give both the group and individuals
feedback when the task is achieved. There are occasions when there is direct
feedback to the group or individual, for example, when a football team scores a
winning goal.
Recognition
Some managers are tempted to claim credit for themselves for the success of their
team as they are thinking of their own advancement. However, managers should
take every opportunity to motivate their people by recognising their worth, services or
contribution, and sharing that achievement as widely as possible. Credit should be
shared, whereas blame should be taken by managers themselves.
Individuals or groups with high prestige or vital functions to the organisation tend to
get all the recognition, but a good manager will ensure all his people get recognition
for their achievements whatever the distance travelled. This equalising builds up the
team spirit and values the different contributions that are made.
Job interest
If work is to be restructured, someone has to have the vision to undertake it, and this
requires consultative skills in order to bring about successful change. This means
leadership and organising abilities.
Responsibility
The manager or leader is accountable for the results of their group but the
responsibility should be shared as widely as possible. The key to developing
responsibility is to extend the boundaries of trust. There is an element of risk in this
but delegation is essential; this means entrusting your authority to other people.
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Advancement
Managers play an important part in promoting people. This gives a certain power to
motivate ambitious and able employees.
Empowerment
Empowerment is the process whereby employees are given greater discretion and
where control is redistributed to better serve the interests of organisations. This
requires the creation of a climate, atmosphere and culture where responsibility and
accountability rest with the individual doing the job. Empowerment is more than
delegation.
It should be a sincere attempt to redistribute power and decision-making
responsibilities and to strip away unnecessary bureaucracy and control, whilst still
placing limits on staff by agreeing boundaries.
It is a process or style of management that requires careful preparation and
guidelines.
If managed effectively, empowerment can improve commitment and motivation of
staff as they take ownership of situations, generate their own solutions and produce
ideas for improving products, services and organisational procedures.
Empowered workplaces are usually characterised by managers who focus on
energising, supporting and coaching their staff in a blame-free environment of trust.
‘If a worker sees high productivity as a path to the attainment of one or more of his
goals, he will be a high producer.’
Victor Vroom
Victor Vroom published a theory back in the 1960s that clearly linked effort,
performance, rewards, personal satisfaction and motivation. The approach has been
further developed and now takes many forms, but is generally known as ‘expectancy
theory’. This can be applied to resources.
You would agree, I am sure, that at work people put in effort and that effort leads to a
standard of performance:
Effort Performance
The result of this performance is a ‘reward’ which can take the form of:
• An internal reward – hitting a target, feeling good because you know you’ve done
a good job, meeting a quality standard, finishing to the deadline.
or
• An external reward – a financial bonus, receiving thanks from your manager or a
client.
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The nature of the reward, and its appropriateness to the effort put in, will result in the
person making a judgement about the extent to which it is ‘fair’:
Effort Performance
Perceived Reward:
‘fairness’? • internal
• external
The perceived ‘fairness’ of the reward will affect the person’s motivation, which will
influence how much effort is put in next time:
Effort Performance
Motivation Perceived Reward:
‘fairness’? • internal
• external
This is the basis of expectancy theory which suggests a direct link between effort
and performance. However, there will be situations when, in spite of putting in 100%
effort, performance may be low.
Below are some of the factors which can interfere with the link between effort and
performance:
• Time constraints
• Skills or knowledge gaps
• Lack of information or data
• Need for more clarity
• Relationship issues
• Inappropriate or insufficient resources.
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These can also be seen under four main headings:
Aims and objectives – these must be clear as otherwise no-one can perform
effectively.
Skills and knowledge – performance is bound to suffer if the team lacks or does not
have access to the necessary attributes.
Resources– these are required for every task or plan and it cannot be carried out
without them. Remember, time is also a resource!
Personal issues – these can be relationships issues inside or outside work and
within the individual or the whole team. It could also be that someone is worried
about a financial issue outside work and it is affecting how they perform.
The link between providing resources and staff with the ability to deliver the services
required is shown below:
Expectancy Theory – Vroom
Effort Performance
Aims and Resources Personal
objectives issues
Skills and
knowledge
Reward
In most organisations, reward (especially financial) is linked to performance. People
may receive bonuses for reaching targets, and pay rises or increments for meeting
their annual objectives. Equally, they may not gain these if they fail to deliver or the
whole organisation fails to meet its targets.
In some cases, people who do not perform may be downgraded or be asked to leave
the organisation.
Activity 1.13 relates to the above
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3.5 Explain the importance of communicating targets and objectives to a team
Setting objectives
Having objectives is about knowing what you want to achieve. It is as simple as that.
Yet all too often people embark on activities that are ill defined and very vague in
terms of what they contribute to the objective.
For the most part, what we do is driven
by objectives but often these are vague
or in response to a situation. Your
objective may be to clear a pile of
paperwork, to complete an order or to
get home in time for a television
programme.
These are all objectives but they are all
short-term or routine objectives. What is
needed as a manager, is an overall
purpose which guides what we do and how we do it.
The concept of management by objectives was introduced by Peter Drucker in the
1950s.
In his book, The Practice of Management, he sets out a five step process:
• Set organisational objectives.
Managing by objectives starts with clearly-defined strategic organisational objectives;
if the organisation is not clear where it is going, no one working for it will be either.
• Cascading objectives down to employees.
To support its overall objectives, the organisation needs to set clear goals and
objectives, which then need to be cascaded down from one organisational level to
the next until they reach everyone.
The objectives need to be SMART.
• Specific
• Measurable
• Achievable
• Relevant
• Timed or Time bounded.
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We will look into SMART objectives in more detail later on in this unit.
• Encourage participation in goal setting
Everyone needs to understand how their personal goals fit with the objectives of the
organisation. This is best done when goals and objectives at each level are shared
and discussed, so that everyone understands ‘why’ things are being done, and are
set their own goals to assist in achieving the overall objective. This increases
people's ownership of their objectives.
By aligning team members’ objectives to those of the organisation, you empower
them to take responsibility for their performance. By allowing them to see how their
achievements influence the organisation as a whole, you increase people's
motivation, dedication, and loyalty
• Monitor progress
Because the goals and objectives are SMART, they are measurable, and progress in
reaching the objectives can be measured
• Evaluate and reward performance
Where objectives are achieved, this can be coupled with reward, which may be
linked to pay or recognition of a job well done, leading to motivation of employees.
Without an objective or goal, it is very difficult to lay plans for how you will succeed
and how to measure progress. In addition, a team cannot work effectively if they do
not know what they are working towards.
As a manager, you must ensure that you communicate all team objectives and goals
clearly and accurately to your team, to ensure all team members have total clarity
and understanding as to what they need to work towards and achieve together.
Activity 1.14 relates to the above
3.6 Examine theories of team development
Understanding team development and your role
As well as understanding your role, it is also important that you understand the roles
of members of the team. The team members are likely to have a range of different
skills and abilities, and also will take on different roles.
Belbin is a researcher who has looked extensively at different team roles, and he has
identified a range of different roles that team members will take on.
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Belbin's Team Roles theory together with the characteristics of each, are as follows:
• Chairman/Co-ordinator
Calm, confident, controlled. A capacity for treating all contributors on their
merits. This is likely to be the team leader in most teams, although there could
be team members who also like to take charge!
• Company worker/Implementer
Conservative, predictable and dutiful. Has organising ability, common sense,
discipline and is hardworking. This is the person who works hard and gets the
work done – a very valuable member of the team!
• Shaper
Highly strung, outgoing, dynamic, has drive, and a readiness to challenge
inertia, complacency, self-deception. This person can be a little difficult to
manage, but is ready to try new ideas and to challenge the usual way of doing
things
• Plant
Individualistic, serious-minded, unorthodox. Has genius, imagination, intellect,
knowledge. This person is the one that comes up with the new ideas, and can
often think of original ideas
• Resource investigator
Extrovert, enthusiastic, curious and communicative. Has capacity to explore
the new and respond to challenge. This person can be very useful in thinking
about how the ideas can actually be put into operation
• Monitor/Evaluator
Sober, unemotional, prudent. Has judgement, discretion and hard-
headedness. Sometimes this person can be seen as being a bit negative.
However, the person is actually being very realistic and thinking about
whether it is possible to achieve something
• Team worker
Socially oriented, rather mild, sensitive. Has ability to respond to people and
situations, and to promote team spirit. This person can be very important in
ensuring harmony within the team
• Completer/Finisher
Painstaking, orderly, conscientious, anxious. Has capacity to follow through
and is a perfectionist. Whilst some other members of the team might be
moving on to the next thing, the completer/finisher is making sure that the
original task is actually completed!
One team might not have people with all of these roles, but the useful aspect of
Belbin’s work is that it does remind us that different people in a team have different
strengths. They are all very important to ensure the overall success of the team.
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Another theory that gives us an insight into how a team actually develops can be
seen in Tuckman’s forming, storming, norming and performing four-stage team
development theory. The theory was created by Dr Bruce Tuckman in 1965 and his
theory outlines how leadership style in managers can change as the team develops
over time. The model is split into four key stages. Let’s take a look at these stages in
more detail.
Stage 1 – Forming
The forming stage indicates that the team is first formed. Therefore, they have little
understanding of their roles and responsibilities. They are largely dependent on the
manager for guidance and direction.
This is the stage where the manager will be responsible for providing reasoning as to
why objectives must be completed and also supporting team members in their
understanding of their roles. This stage requires the manager to take on a more
directive role within the team.
Stage 2 - Storming
At this stage, team members become more comfortable with their roles and
responsibilities. However, they are still trying to establish themselves within the team
dynamics and in some cases may push boundaries with others in an attempt to
establish position within the team.
The manager is still required to provide clarity to concerns, issues or role and
responsibility understanding.
As the team tries to establish relationships and team order, they may lose sight of
team goals. The manager must ensure that the team is steered back on course to
ensure that the team remembers their overall purpose. This stage requires that
managers take on an element of coaching in their leadership style.
Stage 3 – Norming
The norming stage is the point in the team’s existence where each team member
understands their position and responsibilities. In addition, the team also forms an
understanding of who their leader is and all parties are comfortable with their roles
within the team.
The team functions well together and decisions are made by overall team agreement
facilitated by the manager.
As the team is working more in sync with each other, this enables them to work
together to improve and develop the team’s processes and procedures and possible
working style. All the while, the manager is able to facilitate and enable the team,
allowing the team to work effectively.
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Stage 4 – Performing
At this stage, the team are aware of their responsibilities, roles and team goals. They
fully understand their purpose and how they will go about completing what they need
to do in order to reach their team goals.
The team at this stage has less dependency on their leader. A manager will need to
ensure that they are still present in team dynamics and decisions as the team at this
stage may have a tendency to make most of the decisions, regardless of the leader’s
criteria.
This stage also shows that as the team is a fully functional team and everyone is
comfortable with each other, some disputes and disagreements can occur among
them. However, if the team is a strong, committed team they will be able to resolve
any issues amongst themselves. The team is able to work together to address any
relationship, working style or process issues going forward.
The manager is able to delegate work to the team and the team is able to pick up the
work and complete it without being instructed or assisted. At this stage, the manager
should monitor the team and delegate but, largely, the team is able to work together
effectively without leader intervention.
Belbin’s theory outlines the difference in roles within teams and how different roles
are required in order to make a successful team. However, Tuckman’s theory
illustrates how a team is formed and develops over time. The developing stage of
Tuckman’s theory allows us to see at what stages team members grow and learn
whilst also providing an indication as to what leadership styles are required
throughout different stages.
An effective and efficient team will involve elements from both of these theories.
Activity 1.15 relates to the above
3.7 Explain common causes of conflict within a team
Maintaining Working Relationships
In any context where people are working together, especially in a competitive
business environment, disagreements, differences of opinion, and conflicting
perspectives on different issues are bound to arise. Not all conflict is negative,
however; constructive conflict can be harnessed to find creative solutions and new
ideas.
Most often, though, conflict can be destructive. Where negative emotions are stirred
up, poisoning the atmosphere, undermining morale, creating stress, and destroying
workplace relationships, conflict must be dealt with before it de-motivates staff and
destroys relationships. If it is not resolved, it will have an adverse effect on
performance and be costly to the organisation in terms of time and money. Worse
still, a legal situation could arise, which damages the organisation’s reputation.
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Effective conflict management can improve morale and contribute to the
development of better teamwork and more productive working relationships.
Conflict arises from the clash of competing ideas and personal interests. There are
many sources of conflict in the workplace, such as:
• Dissatisfaction with the working conditions or remuneration
• Excessive or uneven workloads
• Differences of opinion
• Lack of recognition or promotion
• Perceptions of discriminatory or unfair treatment
• Feelings of insecurity
• Fear of redundancy
• Clashes of personality
• Misunderstandings or breakdowns in communication
• Differing expectations of what constitutes appropriate behaviour.
Conflict may occur between individuals, managers and their staff, team members,
departments, sections, and managers. It may be expressed openly through lack of
cooperation or disagreements, or be hidden, taking the form of irritation, loss of
morale, resentment, and lack of commitment. Whichever form it takes, it should be
addressed as soon as possible before it escalates and becomes even more difficult
to tackle.
Activity 1.16 relates to the above
3.8 Explain techniques to manage conflict within a team
Tackling conflict
As a manager, you may come across some form of conflict among your team at
some stage throughout your role in your organisation. Therefore, it’s important you
understand the steps you must take to deal with such issues if they arise.
Listed below is a checklist for the steps to be taken to handle interpersonal conflict:
1 Watch out for it
Be alert to any early signs of developing conflict. Ignoring it may seem to be the
easy option, but most often a situation will arise which will be even more difficult to
diffuse later.
2 Be prepared to take action
Stay calm to ensure that you are able to take a considered, rational, and impartial
approach to the situation. If you are personally involved, you should ask someone
else to handle the issue. You should:
• Avoid passive behaviour: do not take an apologetic stance or refuse to listen
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to everyone’s point of view
• Avoid behaving aggressively: do not be authoritarian and fail to listen to a
reasoned argument
• Take an assertive approach: treat everyone respectfully and listen to their
point of view
• Be aware of your body language and be careful with your use of language in
conflict situations.
3 Investigate the situation
Take time to find out:
• What happened
• Who is involved
• How people are feeling
• What the issues are.
Don’t jump to conclusions or pre-judge the situation. Speak to each individual
confidentially, and ensure you understand his or her point of view. You should
summarise what he or she has said and repeat it back to him or her to check. See if
there is an underlying cause to the conflict. Remember that people will have
different perceptions of the same situation.
4 Decide on your approach
You now need to decide what action to take. You could ask yourself the following
questions to help you decide:
• How serious is the matter?
• Should you be using the organisation’s discipline or grievance procedures?
• Do you have the authority to deal with it, or should the matter be referred on
to your line manager or the HR department?
• Are there legal issues to be considered?
• Should a trade union representative be involved?
• Should you make a ruling on the matter now, or would an informal group
meeting to discuss the problem be helpful?
• Is now the best time for dealing with the matter, or would a ‘cooling down’
period help understanding and resolution?
Usually, a mutually-agreed solution will be the most effective, so it is worthwhile
attempting to get everyone involved together to exchange views, explore the issues,
and reach a consensus. Imposed solutions usually leave everyone feeling
dissatisfied.
5 Get everyone together
Choose an independent venue so that no-one has the advantage of being on ‘home
territory’. Take a positive approach, and be friendly but assertive. Set out the
ground rules. For example, you may specify that only one person should speak at a
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time, or perhaps set a time limit on each speaker with no interruptions. This will give
everyone the opportunity to express their thoughts openly and honestly, understand
one another’s point of view, and hopefully find a consensus on the solution. People
will be more willing to consider compromises if they feel they have had a fair hearing
and their concerns have been taken into account.
6 Identify options and agree a way forward
This is the most important, and usually the most difficult, part of the process. The
following steps may be useful:
• Consider in advance how much you need to control the meeting
• Create an atmosphere where everyone feels they can speak openly and
honestly and make concessions without losing face
• Acknowledge emotional issues but don’t allow them to take over
• Explore the reasons for the disagreement
• Identify any misunderstanding or misconceptions
• Encourage everyone to look at their own positions and seek common ground
with others
• Look for points for negotiation
• Seek win/win situations
• Ask parties to put forward possible solutions
• Allow time for reflection
• Assess each option, one at a time
• Help the parties to agree the best way forward
• Gain the commitment of all parties to any agreement.
Sometimes, it will be necessary to split up the process and perhaps arrange a
second meeting after reflection. If this doesn’t work, you may need to ask another
manager to take over or bring in an external person.
7 Implement what was agreed
Everyone needs to be clear about what has been agreed. It may be useful to put
this in writing in some situations.
8 Evaluate the process
Watch to see what is happening and whether the situation has really been resolved.
You may need to take further action.
9 Decide on strategies for the future
Revisit how you dealt with the situation and see what you have learned from it.
Could you benefit from some training in dealing with people?
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In the bigger picture, what could your organisation do to improve working
relationships and encourage a culture of open communication and consultation?
These are just some of the steps that you can take as a manager to tackle conflict.
Activity 1.17 relates to the above
4. Understand performance management
4.1 Identify the characteristics of an effective performance management
system
Effective performance management
An essential part of maintaining effective individual performance and team
leadership is performance management. Without standards, performance cannot be
measured and, therefore, development needs cannot be objectively set.
Performance management, however, is not something that the individual has to do
alone. It is the essence of every manager’s role. Once a performance agreement has
been established, which sets out what is expected in any particular role or job, it is
up to the manager to observe and evaluate performance through formal and informal
planning, monitoring and reviewing processes.
Many organisations are now using performance
management to achieve genuine staff development,
either to cope with forthcoming change or to equip
themselves and their staff with additional skills and
competencies.
A good performance management process is one by
which managers and employees work together and
look at the overall plan of an employee’s objectives
and contribution to the company. This may sound
like a standard annual appraisal; however, performance management is an ongoing
process that requires much time and effort from a manager and of course the
employee to ensure that the employee’s objectives and career goals are met.
An effective performance management system will include the correct use of:
• Objective and target setting
• Employee development
• Appraising and measuring performance
• Giving feedback
• Motivation and reward
• Managing underperformance.
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In order to achieve an effective performance management system, the following
cycle should be adopted. The cycle is split into three core elements:
1. Plan
The first stage of the cycle is the planning stage. This is the identification stage,
when clear objectives, targets and personal development should be identified and
set. As a manager, you will be expected to communicate objectives with your
employees and explain the expectations for each of them. Simply telling
someone what they have to do is not good enough. This process must be agreed
upon by both you and your employee; therefore, you must work together to
ensure that the objectives and targets being set are S.M.A.R.T.
You should take the time to explain the monitoring process to your employees
and come to an agreement as to how this is carried out throughout the year.
When both you and your employee have agreed upon a plan, it is important to
ensure that you document the plan that has been made. This is usually done via
your organisation’s template documents. Agreeing to the plan in writing helps to
evidence and record the agreement you have both made and will prove useful
when you need to refer to it when moving on to the next stage of the performance
management cycle.
2. Monitor
The next stage of the cycle is the monitoring stage. This may sound like an easy
stage but in actual fact it is one of the most important stages throughout the
cycle.
As a manager, you should ensure that you take the time to really evaluate your
employee’s progress. This will involve monitoring their day-to-day performance.
However, this does not mean that you should be watching their every move and
micro-managing them. You should ensure that you focus on results achieved, the
employee’s behaviour and the team dynamics, as these will all play a part in the
overall work environment. This will allow you to gauge how well an employee is
performing.
This stage is also about providing continuous support and coaching to maximise
strengths and improve weaknesses. You should ensure that, if your employee
requires additional support, coaching or development, it is provided to them in
order for your employee to achieve their objectives and targets.
The monitoring stage is about overseeing the plan as a whole but this stage still
requires your input. You may be required to take corrective action or even make
changes to the original performance plan made due to employee
underperformance or organisational issues.
Feedback is also provided at this stage. Feedback should be frequent and used
correctly. Providing constructive feedback can alert employees of areas they
need to improve upon and giving positive feedback can provide recognition on
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how well the employee is progressing. It can also act as a powerful motivator for
the employee too.
The monitoring stage is a vital stage in the overall performance management
process as the outcome of this stage will inevitably affect the outcome of the final
review and evaluation stage. You should always ensure that you keep your
employees motivated to help them see through their objectives and targets.
3. Review and Evaluate
The final stage of the cycle closes the current performance management cycle for
that year past, before it starts again with the planning stage for the new year
ahead.
Ultimately, as the name would suggest, this stage of the cycle allows for you both
to review and evaluate the employee’s performance as a whole over the duration
of the year. This stage can be used to provide feedback and perhaps even
provide reward for a job well done.
This stage will usually also involve an annual appraisal and will allow the both of
you an opportunity to measure performance and identify areas that went really
well and those that require further improvements. This final stage lends itself, as
strengths and weaknesses can be utilised in the new annual performance
management cycle that will resume for the year ahead.
The overall purpose of performance management is to ensure that the employee is
meeting their objectives and providing an effective contribution to the organisation,
with the help of support and development from the organisation as a whole.
Activity 1.18 relates to the above
4.2 Explain the uses of specific, measurable, achievable, realistic and time-
bound (SMART) objectives and priorities
SMART Objectives
Most organisations have some form of appraisal and performance management system in
place. Each employee is part of a team of some description and, as such, should have
his or her own set of objectives.
An organisation as a whole will have a set of business objectives. These include
corporate objectives set for the general manager, which may include achieving a
given level of sales, market share, profitability, and so on. The general manager will
in turn use these objectives to set individual objectives for his or her own team of
managers. The individual objectives will be related to the business objectives, but
depending on the function of the manager, they may be expressed in different terms.
A manager in charge of production, for example, may have his or her profitability
objectives defined in terms of output targets, scrap and wastage levels, or manpower
costs. A purchasing manager may have his or hers set in terms of cost of parts and
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materials, quality levels, or procurement lead times. Each manager will then set
appropriate goals and targets for his or her team members.
The objectives set at each level must be appropriate to each team member’s role,
skills, duties, responsibility, and level of authority. The objectives must be
S.M.A.R.T. (see below) and effectively communicated, and the team member’s
progress must be monitored and assessed, and feedback given. The process used
for doing this is known as performance management, which in turn uses a process
known as performance appraisal.
The objectives need to be SMART.
• Specific
• Measurable
• Achievable
• Relevant
• Timed or Time bounded.
- Specific
- Detailed enough to give precise direction to the job you do. It is not
sufficient to say that you want the business to make a profit. You
should be clear about the level of profit you are aiming for
- Measurable
- Your objective must be written in terms detailed enough for it to be
measured. This is crucial for enabling you to gauge whether you are on
target or not
- Achievable
- Your objective must be achievable, i.e. capable of being completed.
This may sound obvious but an objective to have zero customer
complaints might be a good business objective but in reality, is it
achievable?
- Relevant
- By this, we mean that the objective must be one for which you have
control. If your objectives depend on the success of other departments
or other businesses, you should state the objective in terms of what
your own contribution should be. That way you will be able to measure
your own progress, independently of any external influences
- Timed or time bounded
- Every objective should relate to a time period or date, a means of
measuring your progress periodically; otherwise, how will you know if
you are on schedule?
SMART objectives give a clear definition to a business and to a job. The fewer
objectives and the SMARTer they are, the better. A corner shop may have as its
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objective to increase sales by 25% in six months. A production manager may have
an objective to manufacture 500 items per week with 2% defects. In both cases, the
objectives are clear and easily measured.
Prioritisation
In addition to setting SMART objectives, you must also take into consideration the
urgency of each task. Some tasks will inevitably need to be prioritised over other
tasks and, therefore, this must be considered, discussed and communicated clearly
to employees when setting objectives.
Activity 1.19 relates to the above
4.3 Describe best practice in conducting appraisals
The value of appraisals
In the minds of less-informed employees and managers, the appraisal process is
seen as a waste of time, involving a meeting between the employees and their
managers. They believe that employees in the meeting say what training courses
they wish to go on, and the manager tells the employee a few ‘home truths’,
explaining why the employees didn’t get the training courses they wanted the
previous year.
In fact, if carried out properly, appraisals are an invaluable way for managers to:
• Ensure that each individual team member understands his or her goals and
objectives for the coming period, and recognises how these fit into the overall
goals and objectives of the team and organisation
• Assess performance of the team member against previously set goals, and
recognise and acknowledge successes
• Identify any failures to achieve previously-defined goals and discuss any
barriers, circumstances or development needs that contributed to the lack of
success
• Agree on any resources, tools, development, and training that is needed by
the individual to improve areas of performance that are lacking and to achieve
success against future goals.
Benefits to the employee of being appraised
• Provides an opportunity to discuss all aspects of the job
• Allows in-depth reflection away from the pressures of work
• Shows how best individual contribution can be made to work
• Enables staff members to plan and prepare for future
• Identifies strengths and weaknesses in a constructive way
• Provides clear direction about what is expected in the job
• Indicates a clear commitment to the staff member
• Provides an objective record of achievement
• Encourages input from others and support from the manager/supervisor.
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Benefits to manager
• Allows you to think clearly about what you expect from staff
• Allows you to plan and organise staff to meet your objectives
• Provides you with a forum for the recognition of new ideas
• Enables you to tackle specific problem areas
• Provides an opportunity to improve relationships with staff
• Strengthens your position as the leader
• Provides an objective record of achievement.
Benefits to the organisation
• Provides recognition by the organisation of the value of its people
• Offers a method of improving morale and motivating all staff
• Enables more effective communication at all levels
• Allows feedback of information vital to strategic planning
• Provides an evaluation of organisational strengths and weaknesses
• Unifies efforts towards achieving organisational objectives.
As stated above, appraisals or performance reviews tend to take place at set intervals.
However, to assist in the development of your team and its members, it is important that
feedback is given at regular intervals or at the time it is actually required.
Successful appraisals do not just happen. For an appraisal to be effective, it must
be planned and prepared for by both the appraiser and the employee. Staff
members must be made aware of the purpose of appraisals and the importance that
the organisation places upon them. Training must be given as necessary to those
who will be conducting appraisals.
Preparing for an Appraisal
It is important that the person to whom an employee directly reports carries out the
employee’s appraisal. In order to do so, the appraiser should make effective
preparations.
Appraiser preparation
The person carrying out the appraisal should:
• Familiarise him- or herself with the employee’s previous appraisal, relevant
training and development records
• Understand and be fully aware of the objectives and goals set for the
employee at the previous appraisal, and the conditions and agreements that
were made when setting these, including:
- Timescales to achieve these
- Success criteria
- Required resources
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• Ensure that all the necessary actions – including those involving the provision
of training and development – were completed, and if not, determine the
reasons why not, together with any new actions now needed
• Talk to any other supervisors or managers for whom the employee has
worked during the period and who have relevant input concerning the
employee's achievement of his or her goals
• Make an initial assessment of the employee’s performance against the
achievement of his or her goals, together with the reasons for the
assessment. Highlight any specific examples (the assessment or rating
should be specific and ideally made against defined aspects of the work
performed; a numerical rating system is useful, since it is easier to draw
comparisons/identify performance changes, but each assessment must
include underpinning reasons for the rating given)
• Identify any questions that might be raised to discover any underlying
problems
• Identify any perceived knowledge gaps or skills weaknesses that the
employee may have, which may have contributed to poor performance.
Research and identify possible remedial actions that might be necessary
(such as training or development opportunities or a job change)
• Consider how success and/or exceptional performance will be acknowledged
and addressed (e.g. a reward or bonus if this is appropriate, or increased
responsibilities)
• Identify goals and objectives for the employee for the next period, both job
related and personal
• Prepare notes and discussion points for the appraisal interview
• Provide initial details of your assessment to the employee beforehand, so that
he or she has an opportunity to consider these and prepare for it
• Provide the employee with a copy of a ‘preparation for assessment’ form,
which he or she should use and complete in preparation for his or her
appraisal (see later).
Arrange a location, date, and time for the appraisal and inform the employee,
ensuring that the employee has sufficient time to prepare.
Conducting appraisal interviews
The Appraisal Interview
The meeting should be held on time in the prepared location, with the appraiser making
sure that that he or she will not be disturbed. The appraiser should:
• Use the appraisal form and/or his or her prepared notes as a guide for the conduct
of the meeting
• Open with positive aspects of the employee’s performance
• Review and compare the performance assessments that both you and they have
made, discussing and considering reasons why these might not be the same, and
the underlying causes of this
• Make his or her final assessment, giving the employee reasons
• Ensure that any criticism is specific, supported by examples, and constructive
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• Propose specific methods to improve performance and skills, which should then be
agreed and recorded as actions (these should be definitive in terms of what will be
done together within a certain timescale)
• Agree and record future objectives for the coming period, together with the agreed
success criteria
• Discuss and fully respond to any relevant questions that the employee raises; if the
appraiser is unable to fully answer them at the time, the employee should be given
a timescale for when he or she will be able to receive an appropriate answer
• Include a final summary comment on the appraisal form. Provide the employee
with an opportunity to record his or her comments on the form (which may include
any reasons for disagreement with the assessment made) and sign it along with
the employee
• Provide the appraiser’s line manager with the appraisal form (as is the case in a
number of organisations), who in turn may add his or her comments to the form
and has already conveyed these to the employee.
Talking and listening
The appraisal meeting is an opportunity for both the appraiser and the employee to
frankly express their views. Conflict and difficult situations usually arise out of poor
communication.
You may have been appraised in the past and found the process unsatisfactory.
You may have found that the appraiser:
• Never listened
• Kept interrupting
• Had a confrontational style of speaking
• Displayed inappropriate eye contact in some way
• Told you what to do
• Was inconsiderate
• Did not respect your views
• Never gave positive feedback
• Enjoyed telling you that you were wrong.
Take care that you are not guilty of any of these. If you are, then take positive action
– quickly!
Sound relationships are built on effective communication. Managers should,
therefore, sharpen their communication skills in order to:
• Encourage positive relationships
• Avoid destructive conflict
• Ιmprove working relationships within their team.
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Questioning techniques
For the appraisal interview to be successful, and for you to collect appropriate
information, you will usually need to use a range of questioning techniques. Which
type of questions you use will depend upon the circumstances and what information
is needed.
There are three types of questions:
• Closed questions
• Open questions
• Probing questions.
Closed questions
These can usually be answered by a straight ‘yes’ or ‘no’, or a simple factual answer.
Examples are:
• ‘Would you like water or fruit juice?’
• ‘Did you travel here by train?’
• ‘How old are you?’
Open questions
Open questions start with either ‘How’, ‘What’, or ‘Why’.
Examples are:
• ‘How is your daughter getting on in primary school?’
• ‘What do you most enjoy about your job?’
• ‘Why do you think you deserve promotion?’
It is important to use open questions in appraisal interview situations, and these can
be prepared in advance.
Probing questions
Probing questions are more likely to occur when you need more information about
something, or if you wish to develop a particular subject under discussion.
They could be:
• ‘What happened after that?’
• ‘How did that situation arise?’
• ‘Why was that?’
Or simple statements like:
• ‘I see.’
• ‘Tell me more.’
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• ‘Go on.’
• ‘That’s interesting.’
Silence
Silence is one of the most powerful ways of probing more deeply. This non-verbal
communication with a quizzical or encouraging look or a nod can often keep the
other person talking.
Follow-up
The employee should be given a copy of his or her appraisal, so that he/she has a record
of his/her objectives and the actions that have been agreed. In the event that the
employee disagrees with the appraisal assessment, it is usual to have an appeals
procedure that he/she can use.
It is important that the appraiser follows up on any agreed actions and, where necessary,
keeps the employee aware of progress regarding these.
Timing of appraisals
Appraisals are usually carried out formally every six or twelve months, or more frequently
initially for new starters or employees who have changed roles.
Of course, employees should not feel that they have to wait until the next appraisal before
any important training and development needs are addressed. Equally, the team leader
should address any performance issues with the employee as and when they occur, and
not wait for the annual or biannual appraisal. If both parties communicate on these issues
throughout the year, the appraisal process can be considered as an on-going process,
with the appraisal interview forming a necessary and formal summary.
Understand how to evaluate work performance
Most products and services have to comply with certain legislative standards,
particularly international, national, or company standards and conventions. It should
never be assumed that personnel know what standards or conventions apply to a
particular task. They must always be stated, so that personnel are clear on what
does and what does not apply.
As manager, you are responsible to your own manager for the quality of your team’s
work. It is important, therefore, that you put in place a series of checks and balances
to ensure that their work is in line with your organisation’s procedures and standards,
as well as complying with relevant external regulations and legal requirements.
In order to carry out such checks, you will need to devise methods for checking that
the work complies with such standards and regulations. The way this is done will
depend on the type of work involved. Some methods that may be used include:
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Quality audits and reviews
These may be performed by you or your representative, and will involve the team
member presenting details of what standards and procedures he has followed and
evidence of how he has achieved his objectives. A useful variation is the peer group
review, in which those involved in the assessment are other team members.
Quality demonstration
These involve submitting work to an agreed test or assessment. Performance
testing of equipment is a common method used in design projects.
Assessment
This involves the team member performing their task whilst being monitored or
assessed by the manager.
You are also responsible for ensuring that individuals, and the team as a whole, are
made aware of any shortfalls, and for ensuring that any corrections are made
promptly and effectively. If situations arise in which the standard of a team
member's work consistently fails to meet the required standards, the manager must
have a meeting or performance review with the individual concerned. This will help
both parties to discover the reason for the problem, and to identify if additional
training and support is needed.
Equally, you must draw the team’s attention to any changes to the agreed objectives
promptly and effectively. You have responsibilities to keep your team and your
manager constantly updated and informed. They have the same responsibilities to
you as team manager.
Feedback
Feedback is essential in the workplace. As manager, you will be required to give
feedback to your team members, but you will also have to receive it from your
manager. Feedback must always be two-way. For both you and your colleagues to
develop, it is important that there are opportunities for all parties to offer feedback on
performance.
Feedback should be delivered in the most appropriate manner.
• Ensure it is balanced: give your team members feedback when things go
well, as well as when things go wrong
• Ensure it is timely: it must be as near to the event as possible
• Ensure it is specific: it should be clear, and should focus on what was said or
done at the time.
It is important to remember that feedback applies both to positive and negative
situations. Try to acknowledge achievements at least as often as you bring shortfalls
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in quality to the attention of your team members. This ensures that everyone remains
motivated. Be tactful when giving feedback.
Feedback should not be about telling people off, as it provides an opportunity to do
much more than this. It allows you to motivate team members to complete the
allocated work through positive feedback and encouragement, and to offer them any
additional support or resources that they may need. Ultimately, meeting with the
team members – either in a group or individually – allows you to keep the team and
its members focused on the goal - the completed task.
Giving feedback to your team members is a requirement of your job, but it can also
be useful to offer feedback to your wider colleagues. The behaviour and
performance of any person involved in the work you do will have a direct impact on
you, and you should therefore make an opportunity to comment upon the way they
work. If the way a person is performing negatively affects the work that you do, you
should be able to approach him or her about it. Similarly, if the work a colleague
does greatly helps you, you should tell the person this and thank him or her.
Common pitfalls with evaluating work performance
The purpose of employee performance appraisals is to help employees develop new
skills and improve existing skills. This helps to increase productivity, improve
customer service, retain employees by giving them new opportunities, and to
ultimately contribute to the success of the business.
Unfortunately, there are a number of common pitfalls that managers need to avoid if
the performance appraisal process is to be a useful management tool and not an
ordeal that everyone dreads.
Halo effect
The halo effect is a form of bias based on perception. If managers perceive
employees as outstanding in one area of performance, they sometimes apply that
perception to other areas of employees' performance. Its opposite, the ‘pitchfork
effect’, works in the same way; a manager's negative perception of one aspect of an
employee's performance is applied to all other aspects of the person's performance.
Central tendency error
Some managers evaluate all their employees as average and avoid high and low
ratings. This is the central tendency error, and it occurs when managers play it safe
because they don't want to have to justify their ratings with human resources and
higher management. It also occurs when the manager lacks knowledge about the
employee being evaluated or the specifics of the person's job.
Leniency/severity effect
The leniency or severity effect occurs when managers rate all their employees high
or low and none in the middle. Leniency is more common, and occurs because
managers are unwilling or unable to give negative feedback or do not want to hurt
employees' feeling.
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Regency bias
If managers have not kept records on employee performance – in terms of both
problems and successes – the regency effect is likely to occur in the performance
appraisal process. The successes and problems an employee had immediately
preceding the performance evaluation take priority in the appraisal. Similarly, the
unforgettable effect can drive a performance appraisal. In this effect, an employee's
most memorable or extraordinary accomplishment/mistake takes priority over the
employee's daily work in the appraisal.
Other appraisal pitfalls
There are several other common pitfalls in the performance appraisal process. In
contrast error, managers compare workers doing the same job with one another,
rather than evaluating each person on objective performance standards. Manager
bias or preference occurs when employees are rated based on how similar or
different they are compared to the manager, often in areas such as personality,
interpersonal skills, and style.
Avoid performance appraisal pitfalls
Managers can avoid these and other pitfalls of the performance appraisal process by
managing employee performance throughout the year and not just at performance
review time.
Activity 1.20 relates to the above
4.4 Explain the factors to be taken into account when managing people’s well-
being and performance
Well-being vs. performance
Organisations have a duty to ensure the health, safety and welfare of its employees.
This means that organisations must have in place measures to mitigate factors that
could harm employee’s physical and mental well-being. This is usually in the form of
organisational policies and procedures that are to be followed.
When completing appraisals for staff, it is important to consider the well-being of
your team as this could have a profound effect on their performance. The poor well-
being of an employee could have negative effects on both the organisation and the
employee. Negative effects could include:
• Staff leaving their positions and leaving the organisation
• High number of sickness leave
• Insufficient company resources to cover absent staff
• Mistakes in work needing to be completed
• Poor customer service which could lead to loss of customers
• A negative working environment.
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In addition to policies and procedures, a good way to promote the well-being of
employees is to:
• Ensure a good level of communication
• Ensure employees have a good work-life balance and do not feel
overwhelmed with work-related stress
• Where possible, ensure employees are aware that their job is secure
• Provide training and development opportunities
• Provide fairness and equality with potential working opportunities
• Offer support when required.
A good manager is able to identify any issues of well-being and handle them
accordingly. Always be sure to talk with your team members to observe if any well-
being issues may arise.
Activity 1.21 relates to the above
4.5 Explain the importance of following disciplinary and grievance processes
Disciplinary and grievance procedures
The Employment Act 2002/2004 (Dispute Resolution) Regulations state that all
organisations must have grievance and disciplinary procedures. These must be
followed before any ongoing disputes are referred to by an Employment Tribunal.
Having an understanding of your organisation’s disciplinary and grievance process is
about protecting you as much as it is about protecting your employees. These types
of procedures help managers and employees resolve issues formally within the law.
If you do not follow your organisation’s disciplinary and grievance procedures not
only could you be unfairly treating an individual but you could also face legal
proceedings against you and your organisation if procedures are not followed
correctly. You should know what to do if a disciplinary or grievance arises. The
following steps can help you understand how to provide disciplinary or grievance
advice.
Step one: Check your disciplinary and grievance procedures
Although most problems and queries are resolved informally,
you really should know the formal procedures that exist in
case you are less fortunate. Your contract of employment will
tell you where to find your organisation’s grievance and
disciplinary procedures. If you have a problem, it is sensible
to read these, as well as your contract, as a first step. The
type of information to check is likely to include the following.
If you have a grievance:
• The terms and conditions of your contract of employment
• The procedure to follow if you have a grievance
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• Who is eligible to accompany you to a grievance interview
• How to appeal against a decision that is made.
If your employer is taking disciplinary action and you need guidance and support:
• Your contractual terms and the organisational rules that you have to abide by
• The procedure your employer must follow to discipline you
• Who is eligible to accompany you to a disciplinary interview
• The stated penalties for different types of offences, including those that could
result in instant dismissal
• How to appeal against a decision that is made
• The length of time any type of warning would stay on your record.
Step two: Ask for advice
It is easier for employees if there is a recognised trade union in the workplace,
because union reps will give advice on individual rights and support employees
involved in grievance or disciplinary hearings. Most encourage their members to ask
for help and advice if they have a problem. They can then:
• Discuss the problems with the employee and employer to try to resolve it
quickly and informally
• Advise the employee about his or her legal rights and whether there is a valid
complaint
• Refer any complex legal queries to the union’s branch or head office for
clarification
• Attend grievance or disciplinary meetings with the employee, as a witness
• Support and advise the employee if a problem goes before an employment
tribunal (this may be the case if the employee has been dismissed and wants
to claim it was unfair).
Step three: Check whether you can solve the problem informally before you
take action
If you have a grievance then it is worth exploring other options before you take
formal action, particularly if the matter is minor. Most businesses pride themselves
on having good relations with their staff and good communications. Asking to see
your supervisor in private and then quietly, rationally and reasonably discussing the
problem may be all that is needed, especially if you are willing to listen to
suggestions and work positively towards finding a solution. If you are being formally
disciplined then you need to obtain help and advice quickly, but unless you have
committed a serious offence, it is likely that you will receive an unofficial verbal
warning first. This is your opportunity to solve the problem informally by taking note
of what you have been told.
Activity 1.22 relates to the above
© 2017 NCC Asset Management & NCC Resources Ltd 50 NCFE Level 3 Certificate in Principles of Management
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