The purpose of this document is to provide managers and staff with further guidance and information on how to apply this procedure. This guidance should be read in conjunction with the Capability and Performance procedure.
Under this Guidance, the term manager or line manager refers to a Head of Department or other individual who has been given delegated responsibility for the day-to-day management of a member of staff by the Head of Department.
In line with the Ordinance, the Head of Department may delegate their formal role under the procedure, where appropriate (see Section 2 Procedural Issues).
This procedure is designed to deal with issues of performance, rather than issues related to either conduct or health, for which separate procedures exist. In reality it may not always be easy to determine at the early stages which of the procedures is most appropriate, but generally where an individual is consistently not achieving a satisfactory level of performance it will be appropriate to consider action under this procedure.
Consideration should be given to whether a member of staff’s health may be a contributory cause to the performance issue and if so a medical opinion may be sought. The Personnel Manager will be able to advise on how to obtain this information. Subsequent action can then be taken under either this procedure or it may be appropriate to take the matter forward under the ill health procedure.
Before taking any action under this procedure, advice should always be sought from your Personnel Manager.
Responsible for identifying and taking action where the performance of an individual is falling short of reasonable expectations; responsible for exploring fully with the individual at all stages what the likely reasons for their under-performance against reasonable expectations might be; responsible for ensuring that an individual is provided with appropriate information/training/equipment etc., to enable them to perform; responsible for initiating proceedings under the procedure, following appropriate consultation with their Personnel Manager, and where normal processes have failed to achieve the required improvements; responsible for ensuring that the informal stages of the procedure have been exhausted before moving into the formal stages of the procedure; responsible for setting “SMART”* (see later) targets to enable the individual to achieve the performance standards/improvement required; responsible for ensuring that all relevant information is gathered/presented at informal discussions or at formal hearings; responsible for determining whether it is appropriate to request another member of staff to attend the hearing, responsible for convening hearings, writing letters, providing notes etc., in accordance with the procedures; responsible for adjourning hearings where appropriate and necessary to gather further relevant information; responsible for considering all the information provided objectively and fairly; responsible for taking decisions on appropriate actions under the procedure.
Responsible for advising managers and staff on appropriate implementation of policy, principles and procedures; responsible for advising Heads of Department/Line Managers when it is NOT appropriate to use this procedure; responsible for advising Heads of Department/Line Managers on “reasonable” expectations; responsible for assisting Heads of Department/Line Managers in setting “SMART” targets to identify the performance standards/improvements required; responsible for advising/assisting in gathering all relevant information; responsible for advising on who should, appropriately, attend the hearing, responsible for ensuring that Heads of Department/Line Managers convene hearings, write letters, provide notes etc., in accordance with the procedure; responsible for advising Heads of Departments/Line Managers when an adjournment should be granted; responsible for ensuring that decisions taken by Heads of Department/Line Managers are consistent and fair across the organisation.
Responsible for providing relevant and appropriate advice to their members as required; responsible for providing appropriate representation of staff at Hearings as required; responsible for endeavouring to be available to attend Hearings as required.
Responsible for making every effort to ensure that their performance is in line with reasonable standards and expectations; responsible for ensuring they are clear on the required standards and expectations; responsible for taking up offers of additional training/support to assist them in achieving the performance standards/improvements required; responsible for attending hearings as required under the procedure; responsible for providing all relevant information in order that fair and objective decisions can be taken.
Responsible for convening and servicing appeals panels in accordance with the procedure.
The Manager must have consulted with their Personnel Manager before taking action under this procedure.
Processes such as Staff Review, and/or normal management practice, should always be used to identify and attempt to deal with performance or capability issues in the first instance. The procedure will only be used where the failure to reach a satisfactory level of performance is significant or persistent.
Informal discussion and review under the procedure must be instigated and exhausted before proceeding to formal action under the procedure.
When setting up informal discussions under the procedure the manager should ensure that the individual is notified of the date, time, purpose and location of the meeting in writing (or by e-mail) in good time so that the individual can prepare for the meeting (usually, 2 working days’ notice as a minimum should be given).
An individual will often ask if they can bring along a representative to informal meetings, and whilst this is not part of the procedure, managers need to be aware that there is a legal requirement to allow representation where disciplinary action may be taken. Where a Manager is unhappy, advice should be sought from the Personnel Manager.
The manager should ensure that adequate time is set aside for the meeting, and that the discussions will be held in uninterrupted privacy.
The manager should ensure that s/he explains clearly the purpose and structure of the discussion, and that the individual has an opportunity to raise any issues that are of concern to them.
The manager should communicate the situation/problem to the member of staff clearly. Using observations and examples, the manager should explain precisely what the “gap” is perceived to be between existing levels of performance and the required standards. It may be helpful to use the job description to help explain where performance is falling short.
The manager should explore with the member of staff why there has been any change in their performance. It may be relevant at this point to seek the individual’s permission to obtain medical information.
The manager should set clear performance targets and timescales for improvement. At all stages throughout this procedure, the targets set must be “SMART” – specific, measurable, achievable, reasonable and time-bound.
An example of a SMART target would be:
By the end of the current academic year (time-bound), you will have produced and submitted for publication a minimum of one paper (reasonable and achievable) that is of a standard that would have reasonable expectation of being accepted in a journal of a specified quality (if possible specify the journal(s)). (specific and measurable)
The manager must explore what further information/training/support might be appropriate and discuss how this will be delivered. They should also consider whether additional equipment/facilities might reasonably be provided, and whether changes to workload or re-allocation of tasks might be appropriate.
The manager should agree with the individual a timescale for review.
Whilst the meeting is an informal one, the manager should nonetheless ensure that a note is kept of the meeting, and of agreed outcomes, targets, review date etc., and that this is sent to the individual after the meeting.
For Formal Hearings at Stages 1 and 2, the manager will need to determine whether they should involve another member of staff in the hearing. This might be the supervisor or immediate line manager who may be much closer to the detail of the case. It is good practice to follow the following format:
Introductions – all present to introduce themselves, their role in the University and their role in the proceedings.
Representation – where an individual has brought a representative, the Personnel Manager present at the hearing should clarify how that role is to be fulfilled. The role may involve:-
Where an individual has elected not to bring a representative to any meeting, the manager should always confirm that the individual has so chosen and is happy to proceed, before the meeting commences.
Manager to outline case from his/her perspective.
Individual to ask questions of/to respond to the manager.
The other member of staff present, where applicable, will make their statement and will respond to questions from the individual and the manager or panel.
Individual will make their statement.
Manager to ask any final questions of the individual.
Manager to adjourn – this will normally be for a short time to enable the manager to consider carefully all the information and evidence and, with advice from the Personnel Manager, to reach a decision. During this short time the individual and their representative can normally be asked to retire to a room nearby, from which they can be recalled when the decision has been taken.
During the adjournment – the manager will consider all information and evidence that has been presented and any mitigating circumstances put forward by the individual. The Personnel Manager will advise as to all the alternatives to the manager, which may include:
The manager should consider what “SMART” targets (see above) should be defined for the individual, and the implications if they do not meet the targets. The manager/Personnel Manager should also consider what support/training etc should be offered to the individual to assist them in meeting the targets.
Hearing to reconvene and the manager to convey their decision to the individual. The manager and individual should discuss the targets and timescales for their achievement. The arrangements for the three-monthly (or more frequent if appropriate) reviews of performance, and the training/support to be offered should also be discussed. The manager will advise the individual of the duration of the Notification of Concern/Warning, and the implications of failure to achieve the improvements specified.
During the course of the Notification of Concern/Warning, where reviews show that the targets have been met and sustained for a reasonable period, the manager will need to show good reason for maintaining that Notification of Concern/Warning.
In order to ensure that Panels for staff not covered by Statute 32 are appropriately convened, efforts will be made to ensure that Panel members, whilst having no prior involvement in any given case, will have between them a relevant understanding of the work environment of the case in question. In certain circumstances it may be relevant to consult with the relevant Trade Union on Panel composition for a particular case.
The Hearing will follow a format defined by the Panel, but will comprise the following:
Introductions – all present to introduce themselves, their role in the University and their role in the proceedings.
Representation – where an individual has brought a representative, the Personnel Director should clarify how that role is to be fulfilled. The role may involve:-
Case Presenter to outline case from his/her perspective.
Individual to ask questions of the Case Presenter.
Panel to ask questions of the Case Presenter.
Case Presenter or Panel to present any individuals who will make their statements and respond to questions from the Case Presenter and the Panel and the individual, and then withdraw from the hearing.
Individual to outline their case.
Individual to respond to any questions from the Case Presenter and the Panel.
Individual to present any individuals who will make their statements and who will respond to questions from the individual and the Case Presenter and the Panel, and then withdraw from the hearing.
Case Presenter or Panel to ask any final questions of the individual.
Hearing to Close and the Panel will consider their decision and convey their decision in writing in accordance with the procedure.
Preparation and investigations before any Hearing are the key to ensuring that appropriate outcomes are established. Ensuring that the Manager or Panel have as full and factual account of the situation as possible is crucial. It may transpire that formal action is not appropriate under the circumstances – it is always better for everyone that this is decided before a hearing is convened rather than in the course of the hearing!
Responsible for ensuring that the individual receives a written notification of their decision, with reasons; responsible for ensuring that the relevant Head of Department is advised of their decision, with reasons; responsible for ensuring that the individual receives a note of the hearing.
Responsible for ensuring that the individual is properly notified of the outcome of any hearing, in writing giving:
The Head of Department/Line Manager is also responsible for ensuring that the individual receives a note of the hearing; for ensuring that on-going performance is monitored appropriately; for establishing the agreed review meetings and conducting them appropriately; for ensuring that requirements remain consistent with those outlined in the letter above; for ensuring that any agreed support, training or other assistance is provided within agreed timescales; for initiating further action under this procedure where performance does not meet the required standards.
Responsible for ensuring that the individual is properly notified of the decision, in accordance with the procedure; responsible for ensuring that the individual receives a note of the hearing; responsible for assisting and advising the Head of Department/Line Manager in their follow-up responsibilities; responsible for ensuring ongoing fairness and consistency in relation to the case.
Responsible for trying to achieve the targets and improvements outlined; responsible for taking up any follow up action agreed between themselves and the Head of Department/Line Manager (e.g. training, support etc); responsible for ensuring that the Head of Department/Line Manager is provided with any information relevant to their ongoing performance.
Personnel Services have a responsibility to advise the Head of Department, Line Manager or individual on all aspects of this procedure
Trade Unions can advise individuals on all aspects of this procedure, and may represent/accompany the individual at meetings/hearings.
21 November 2005
