Management of Performance - Non-Academic Staff
Guidance for Managers
1.0
Policy aims
1.1
The policy should be used if an employee is underperforming, or not meeting
objectives or deadlines. Its primary use is to offer support in ensuring staff reach the
required standards of their roles.
2.0
Distinction between capability and conduct
2.1
When considering performance, there is a distinction to be drawn between capability
(ability to do the job to the required standard) and conduct (wilful carelessness or
negligence). In general, capability issues are covered by the Management of
Performance policy and conduct issues are covered by the Disciplinary Procedure.
Where managers are not sure whether they are dealing with a case of capability or
one of conduct they should take advice from their link HR Adviser.
3.0
Stage 1 - Informal procedure
3.1
If managers have concerns about an employee’s performance, the first step is to hold
a meeting with the employee to discuss these concerns. There may be reasons for
the underperformance (work and non-work related). These may include:
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a lack of training
policies or procedures which are barriers to performance
equipment issues
problems with supervision
lack of understanding of the requirements of the job
personal issues outside work
workload issues
conflicting deadlines
poor working relationships or bullying and harassment
ill-health
personal issues outside work
3.2
The informal stage encourages early discussion of issues and identification of
potential solutions. The aim at this stage is to offer support and assistance in helping
the member of staff reach the required standard of performance. Appropriate support
services such as Learning and Development and Occupational Health may also be
utilised at this stage.
3.3
Guidance on how to conduct the informal meeting(s) in Stage 1 is given in Appendix
A, together with advice on setting objectives.
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3.4
In many cases, the discussions during Stage 1 are all that is needed in order to bring
about an improvement in work performance. However, where this does not effect an
improvement or where the problem with work performance warrants a more formal
approach, the Stage 2 formal procedure should be used.
4.0
Stage 2 – Formal procedure
4.1
Managers should carefully review all the evidence, and take advice from their link HR
Adviser, before deciding to progress to Stage 2. A formal investigation is carried out
to establish the full facts of the case. This normally takes the form of a meeting
between the manager and the employee; depending on the complexity or nature of
the issues this may involve an Investigating Officer from outside the Department.
Employees are entitled to bring with them a trade union representative or a colleague
and managers should have an HR Adviser present.
4.2
The investigation meeting should identify:
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the required level of performance, actual performance and the gap between them
what measures have been undertaken already
what progress/improvement has been achieved (if any)
any mitigating factors1 the employee has in relation to the allegation
4.3
Following the meeting the manager may issue a first written warning, which outlines
the required improvement and what support will be offered to help the employee meet
the requirements. This will remain on file for 12 months, but further review meetings
may be held within this timeframe and further action taken if no (or insufficient)
improvement happens.
4.4
As noted in 4.3 above, if no (or insufficient) improvement happens, a further
investigation and meeting may result in the issuing of a final written warning, which
will remain on file for 24 months.
4.5
It is important to monitor, and document, any progress throughout the review period.
5.0
Dismissal
5.1
Ultimately, if no or insufficient progress is made dismissal may be considered,
following a panel hearing. The reason for dismissal will be the employee’s lack of
capability to fulfil the contract of employment.
6.0
Appeals
6.1
Employees have the right of appeal against any formal sanction – written warning,
final written warning, withholding an increment (see 7.0 below) or dismissal. Appeals2
should be lodged within two weeks of receipt of the written notification and a meeting
will be held to consider the appeal. The Chair of the appeal hearing will be a
manager more senior than one making the original decision and he/she may:
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confirm the original decision
1
Examples of mitigating factors are shown in Appendix B
Grounds of appeal are usually further evidence not previously considered, process or procedural
aspects, or that the final decision was not appropriate.
2
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reduce the original penalty
re-instate following dismissal
or refer the matter back for a re-hearing
7.0
Withholding salary increments
7.1
The policy allows for withholding salary increments following the recommendation of
a Head of Department, and normally in line with a written warning.
Recommendations will be considered by a panel and employees will have the right of
appeal against any decision to withhold an increment.
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Appendix A
Guidance – Stage 1 meetings and setting objectives
1
If managers have a concern about performance they should discuss this at the
earliest opportunity with the employee at a meeting. The employee should be given
advance notice of the meeting and its purpose.
2
As this meeting is considered “informal” in the policy, employees do not have the right
to bring with them a trade union representative or colleague. However, if such a
request is made managers should consider this. If managers do allow employees to
bring someone with them to the meeting they may also wish to be accompanied by
another member of staff in the Department.
3
Conducting such a meeting to discuss unsatisfactory performance is never an easy
task. As a manager you should be open, honest and unambiguous in your
communication and should:
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stick to facts to avoid expressing personal opinions
give specific examples to avoid generalisations
ask open questions
listen actively to what the employee is saying
ensure your tone is friendly and not accusatory
use positive words such as ‘improvement’ and ‘achievement’ rather than negative
words such as ‘failure’ or ‘weakness’
focus on future improvement rather that past inadequacies
always check for understanding, for example asking employee to state or
summarise their understanding of what has been discussed
4
At the meeting managers may wish to begin with asking the employee what they
enjoy about the job - this may make the discussion easier and reduce any
defensiveness on the employee’s part.
5
Managers should then move on to an open discussion which covers:
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clarifying the requirements of the job
explaining clearly the shortfall between the employee’s performance and the
required standards by giving the employee specific examples of instances where
their performance has fallen below the required standard
if possible, identifying the cause of the shortfall
asking the employee’s opinion of what they can do to improve their performance
identifying any support which might be required
agreeing a reasonable time-scale for the individual’s performance to improve
setting a date for a review meeting to ensure that progress is being made
It may be helpful to use the SMART framework to set objectives:
Specific - objectives should specify what the outcome will be
Measurable - managers, and staff, should be able to measure an outcome
Achievable - objectives should be achievable and attainable
Realistic - objectives should be realistic within the resources available
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Timely - there should be clear deadlines for achieving the objectives
7
The type and range of help which can be provided to the employee will vary
depending on the nature of the issues identified and the role they occupy but could
include3:
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review of the availability of suitable resources or materials
training or coaching
the identification of a mentor
review of the amount of supervision needed
referral to the Occupational Health Adviser or Counselling service
After the meeting the manager and employee should agree a written statement
containing:
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a detailed summary of the improvements required and the standards to be met
details of areas where support is needed, and the means of achieving that
support
any agreed adjustments to the working environment
clear targets and timescales for demonstrable improvement (SMART objectives)
9
If agreement cannot be reached on the written statement, the employee may make a
written record of his/her areas of disagreement and these will be
considered during and at the end of the monitoring period, before any further action is
taken.
10
Managers should monitor and assess the employee’s performance for an appropriate
time and keep a written record of this process. At the end of the monitoring period,
the manager will meet with the member of staff to review progress. Managers should
outline outcomes, identifying any progress and where further improvements may be
needed. Employees should be asked for their input, including raising any relevant
factors that should be taken into account when deciding future action. The manager
should decide, in the light of the issues discussed, what action is appropriate.
Available options include:
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no further action under the procedure as the member of staff’s performance has
improved sufficiently
an extension of the Stage 1 monitoring stage
progression to Stage 2 of the procedure if no significant improvement is evident.
Further examples are contained within 3.4 of the policy
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Appendix B
Examples of mitigating factors and potential solutions
Mitigating factors
Inadequate or insufficient training
Out-of-date policies or inadequate
procedures that do not permit efficient or
effective work
Tools and/or equipment that do not work
properly or frequently break down
Potential solution
Source or deliver training to rectify
Update systems or procedures,
reappraise policies for efficiency
Investigate replacement/replacement.
Seek advice from appropriate
department
Consider alternative management or
development for manager and interim
arrangements until performance
achieves required level
Spend time explaining the job
description, outline standards required,
talk through the role, explaining why
standards are required and the impact of
not achieving them on the rest of the
team/department/University
Ensure all instructions are clear and
unambiguous; write down if necessary.
Check understanding with employee and
agree when reviews will be held.
Review workloads of others in the
department. Is there room for some
movement of tasks/responsibilities
elsewhere, without demoting the
position? Would another post be
possible? Could temporary help be found
to assist?
Review the targets - can the dates or
levels of achievement be changed? Is
there a way of redistributing workloads
across the team/ department?
Investigate the reasons why. Could
internal/external mediation help?
Use the appropriate policy and procedure
Consider using occupational health to
assess health and wellbeing, and advice
on prognosis, timescales and action to
take. Consider whether or not this
constitutes disability and whether
reasonable adjustment should be made.
Treat the issues sympathetically but set
timescales for the resolution of the
impact on work issues. Refer the
employee to the occupational health
service or the counselling services
available within the University.
Poor quality or inadequate supervision
and/or support
Lack of understanding on the employee's
part about his/her job duties, priorities or
goals, which may arise because no one
has properly explained these issues or
given the employee feedback
Unclear instructions
Work overload
Unrealistic targets or deadlines
Poor working relationships
Alleged bullying or harassment
Ill-health which is affecting performance
Personal problems outside work which is
affecting performance in work
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