Purpose

This policy should be used when an employee's performance has been identified as falling below an acceptable level. Its purpose is to provide a framework for resolving the issue, ideally through the improvement of the employee's performance. As a last resort, the policy specifies the circumstances in which the employee may be redeployed to more suitable work or dismissed on the ground of capability.

 Policy Statement

The Organisation is committed to providing support to all employees to ensure maximum performance. 

Before this procedure is engaged, the employee should receive feedback from his/her manager setting out the concerns about the employee's performance and how his/her performance can be improved. This procedure is designed to be used when such informal discussions do not lead to the employee improving his/her performance to an acceptable level.

Where an employee's poor performance is believed to be the result of deliberate negligence, or where serious errors have been made by him/her to the detriment of the organisation, the organisation may decide to use its disciplinary procedure instead.

The Procedure

A written record of all meetings conducted under this procedure will be made, either by the person holding the meeting or by an additional person arranged by the organisation to take notes. The organisation processes any personal data collected during the performance improvement procedure in accordance with its data protection policy. Any data collected is held securely and accessed by, and disclosed to, individuals only for the purposes of completing the performance improvement procedure. Inappropriate access or disclosure of employee data constitutes a data breach and should be reported in accordance with the organisation's data protection policy immediately. It may also constitute a disciplinary offence, which will be dealt with under the organisation's disciplinary procedure.

The organisation reserves the right to bypass this procedure for any employee who is still within the probationary period.

For the avoidance of doubt, the performance improvement procedure applies on a non-contractual basis. 

Stage 1

The employee's manager will inform him/her of the nature of the problem and confirm this in writing. The employee will be invited to an informal meeting to discuss concerns regarding his/her performance. The meeting will be conducted by the employee's manager.

Following discussion of the problem, the manager may choose to:

• refer the matter for investigation under the disciplinary or capability procedures; and/or
• issue guidance to the employee on what he/she needs to do to improve his/her performance within a letter of concern. 

Stage 2

Where stage 1 does not lead to a satisfactory improvement in the employee's performance, the employee will be invited to a performance review meeting.

The purpose of a performance review meeting is to discuss the employee's performance and decide what measures should be taken, with a view to securing the required improvement in the employee's performance. The meeting will be conducted by the employee's manager. A note-taker may also be present. 

The employee will be given an opportunity to respond to any criticisms of his/her performance and to put forward any explanation he/she may have for the matters identified by the manager as amounting to poor performance.

The outcome of the meeting may be:

• a decision to refer the matter for investigation under the disciplinary or capability procedures; and/or
• the implementation of a performance improvement plan, designed to bring the employee's performance up to an acceptable level.

Performance Improvement Plan

A performance improvement programme is a series of measures designed to help improve the employee's performance. Each measure will ideally be agreed with the employee, although the organisation reserves the right to insist on any aspect of the performance improvement plan in the absence of such agreement.

Each plan will be tailored to the particular situation, but will contain the following elements:

Timescale

The overall timescale in which the necessary improvement must be achieved will be set out, together with the timescale for reaching individual milestones where appropriate.

Targets

The performance improvement programme will specify the particular areas in which improved performance is needed and set out how, and on what criteria, the employee's performance will be assessed. Where appropriate, specific targets will be set that will need to be achieved either by the end of the programme or at identifiable stages within it.

Measures

The performance improvement plan may also specify what measures will be taken by the organisation to support the employee in improving his/her performance. Such measures may include: training; additional supervision; the reallocation of other duties; or the provision of additional support from colleagues.

Feedback

As part of the performance improvement plan, the employee will be given regular feedback from his/her line manager indicating the extent to which the employee is on track to deliver the improvements set out in the plan.

If, at any stage, the organisation feels that the performance improvement plan is not progressing in a satisfactory way, a further meeting may be held with the employee to discuss the issue. As a result of such a meeting, the employer may amend or extend any part of the plan.

Review

At the end of the performance improvement plan, the employee's performance will be reviewed. If satisfactory progress has been made, the employee will be notified of this fact in writing. However, if the manager feels that progress has been insufficient, he/she may decide to extend and/or amend the performance improvement plan to such extent as the manager considers appropriate. Alternatively, he/she may decide to refer the matter to a meeting under stage 3 of this procedure.

Ongoing review

Following the successful completion of a performance improvement programme, the employee's performance will continue to be monitored. If, at any stage during the following 3 months the employee's performance again starts to fall short of an acceptable standard, his/her line manager may decide to initiate stage 3 of this procedure.

Stage 3

If the performance improvement plan has not led to sufficient improvement in the employee's performance, the employee will be invited to attend a formal disciplinary or capability hearing. The invitation will set out the respects in which the employee's manager believes that the employee's performance still falls short of an acceptable standard.

The hearing will be conducted in line with the disciplinary or capability procedures. 

At the hearing, the employee will be given an opportunity to respond to any criticism of his/her performance and to make representations about any aspect of the way in which the process has been managed.

The outcome of the meeting may be a decision to:

• take no further action;or
• issue a formal warning to the employee.

A formal warning will be issued if the hearing concludes that reasonable steps have been taken by the organisation that should have allowed the employee to perform to an acceptable standard, but that these measures have not worked. The warning will explain the nature of the improvement that is required in the employee's performance and state that the improvement must be immediate and sustained. It will also explain that, if the necessary improvement does not take place, the employee may be dismissed.

Stage 4

If an employee has been issued with a warning under stage 3 that remains live and the employee's manager believes that his/her performance is still not acceptable, the matter may be referred to a further disciplinary or capability hearing.

The employee will be informed in writing of the grounds on which the hearing is being convened. In particular, he/she will be told of the respects in which his/her performance remains below an acceptable level.

The hearing will be conducted in line with the disciplinary or capability procedures. 

At the meeting, the employee will have the opportunity to respond to any criticisms made of his/her performance and make representations about how the situation should be treated.

The outcome of the meeting may be:

• a decision to take no further action;
• a decision to offer a more serious sanction than what is already live and on file; or
• depending on the warnings on file, a decision to dismiss the employee (in line with the disciplinary procedure).

Any offer to redeploy the employee will be entirely at the organisation's discretion. Such an offer will be made only where the organisation is confident that the employee will be able to perform well in the redeployed role. It will normally be offered only as an alternative to dismissal in circumstances in which the organisation is satisfied that the employee should no longer be allowed to continue to work in his/her current role and where there is a role available. While the employee is free to refuse any offer of redeployment, the only alternative available will usually be dismissal.

If the organisation believes that there is no alternative role available and suitable for the employee, but that he/she has not met an acceptable standard of performance, the organisation may decide to dismiss. Any dismissal will be with full notice or payment in lieu of notice. The decision to dismiss together with the reasons for dismissal will be set out in writing and sent to the employee.

Appeal

An employee has a right of appeal against any performance related sanction under the disciplinary and capability procedures.