Performance Management

1. Informal Performance Management

1.1 In the first instance, concerns regarding performance will normally be addressed by the line manager by engaging positively with the employee as part of day to day management.

1.2 Regular supervision (one to ones) together with annual appraisals between line managers and employees should also facilitate early discussions over performance concerns. Hence the importance attached to holding regular and structured supervisions - one to ones.

1.3 Managers should act as soon as they have concerns that an employee is not achieving or sustaining expected levels of performance. Early intervention may help resolve problems, without the need for formal action.

1.4 Through day to day management and supervision, managers should clarify the standards required, identify areas of concern and establish possible causes of poor performance including any mitigating circumstances. Managers should identify any training needs and /or provide additional support and guidance as required.

1.5 The manager should agree with the employee any actions or interventions to support and or sustain improvement including setting realistic and achievable timescales by which the required standards should be achieved.

1.6 Where previous attempts to support employees to meet the required performance level do not produce improvement managers should follow good practice and provide Guidance meetings. Records of Guidance should be kept on the employees file for 12 months and managers should continue to monitor progress and performance during the Guidance period.

1.7 Managers will also ensure that the employee is aware of the consequences of continued poor performance and /or the failure to meet any specific targets or objectives set, and this together with any action plan agreed will be confirmed in writing.

2. Formal Procedure

2.1 The holding of Formal Performance meetings will be used:

• either where there has been no satisfactory improvement in performance and or a failure to meet objectives or targets during the informal procedure or
• where following a formal Monitoring period and review of an Action plan there has been little or no improvement in work performance and or a failure to achieve objectives or targets set

3. Formal Performance Meetings

3.1 The employee concerned will be requested to attend a formal Performance meeting, in writing, with a minimum of 5 working days’ notice.

3.2 The letter advising them of this will contain:

• A copy of this procedure
• A summary of any information gathered as part of this procedure and any written evidence which be used or relied upon
• Confirmation of the right to be accompanied

3.3 Any extensions to timescales will be discussed and reasonably agreed by both parties

3.4 At all meetings the Manager will explain their concern regarding the employee’s performance and the employee will be given an opportunity to respond and offer any mitigating circumstances.

3.5 The Manager will consider all the circumstances to determine whether it is appropriate to issue a Warning (or Dismiss, if in receipt of previous warnings).

3.6 In determining the outcome managers should be aware that their decisions should be based on evidence, be transparent and, if challenged, they should be able to provide a sound rationale / explanation for their decision. Managers are responsible for ensuring that the policy and procedure are applied fairly and reasonably.

4. Right to be accompanied

4.1 Employees may be accompanied, at all formal meetings, by their trade union representative or a work colleague, who can present their case but cannot answer questions on their behalf.

4.2 It is the employee’s responsibility to inform their trade union representative / work colleague of the details of the Performance Management Meeting / Appeal Hearing.

5. Warnings – First and Final Warnings

5.1 Where it is concluded that there has been no satisfactory improvement in performance or there has been a failure to achieve objectives or targets set during the informal procedure, a written First or Final Performance warning will be issued.

5.2 Sanctions should be applied progressively ie First Warning, Final Warning, Dismissal.

5.3 The level of warning issued will depend on a number of factors including:

• The extent of the under performance and the effects it has had on service delivery
• Any other mitigating circumstances including any health related issues

5.4 The outcome letter, sent within 5 working days of the meeting, will confirm the level of any warning and its duration along with any other measures including the withholding of an increment. Additionally, it will also set out the details of any Action plan and / or objectives / targets to be achieved during a defined formal monitoring period, the date of review and any training, guidance and support to help improve performance.

5.5 The letter will also state the consequences of continued poor performance and / or the failure to meet any objectives or targets set in the Action Plan i.e. the issuing of a further warning and /or dismissal. The letter will also confirm the right of appeal against the action taken.

5.6 The issuing of a formal warning under this procedure will also mean incremental progression will be withheld for the duration of that warning. Where formal performance proceedings are in progress, payment of an increment will be deferred until the proceedings are concluded.

6. Dismissal

6.1 If, following the issue of a final warning, there has been insufficient improvement in work performance during the monitoring period, despite all reasonable support having been provided, the employee will be dismissed for reasons of continued unsatisfactory performance.

6.2 Where it is concluded that the level of under-performance is so serious it could be considered as negligence, the employee will be dismissed for reasons of gross misconduct under the Disciplinary Procedure.

7. Appeals

7.1 Employees have the right to appeal against any formal action taken.

7.2 Appeals must be made in writing within 10 working days of the date of receipt of the outcome letter and must provide the grounds for their appeal.

7.3 Appeal hearings will be held within 20 working days of the date of the appeal letter and the Panel will be chaired by an officer, graded MG3, advised by HR. Employees should be given a minimum of 5 working days’ notice of the appeal hearing.

7.4 The appeal panel must allow both sides to put forward their case.

7.5 Managers will keep employees and their trade union or other representatives informed if timescales need to be extended. Any extensions to timescales will be discussed and reasonably agreed by both parties.

8. Appeal outcomes

8.1 The appeal panel may decide to:

• Uphold the sanction
• Overturn the sanction
• Impose a lesser sanction

8.2 Any appeal outcome will be communicated to the employee, in writing, within 5 working days. There is no further internal right of appeal.