Managing Underperformance Policy and Procedure

BUCKINGHAMSHIRE & MILTON KEYNES FIRE AUTHORITY 

OC/26 

MANAGING UNDER PERFORMANCE POLICY & 

PROCEDURE 

1. Policy Statement 

2. Application 

3. Responsibilities 

4. Confidentiality 

5. Examples of Under Performance 

6. Framework for Managing Under Performance 

6.1 Informal 

6.2 Formal 

6.3 First Formal Review Meeting 

6.4 Second Formal Review Meeting 

6.5 Third Formal Review Meeting 

7. Timescales 

8. Role of Representatives 

9. Paid Time Off 

10. Appeals 

11. Other considerations 

Department: Human Resources 

Author: Catherine Moroney - HR 

Approval: Policy Development Forum/Standards Committee 

Issue number: 02 

Issue date: 14.09.08 

Review Date: In line with new legislation/codes of practice

RECORD HISTORY: 

1.0 Second Issue: in final draft format – not agreed 

2.0 Redefine informal and formal stages 

3.0 Numerous minor changes and major changes to procedure. Previous policy disciplined 

employees incapable of carrying out the role. New policy has review meetings and 

recognises that capability may not be wilful. 

CONSULTATION: 

The following groups were consulted with in line with the process agreed at the Policy Development 

Forum 

- Policy Development Forum 

- Recognised Trade Unions: FBU, Unison, FOA 

- COFs/Human Resources 

- Employees via the Intranet and drop in surgeries 

- Standards Committee 

COMMUNICATION: 

On approval of the policies and procedures will be accessible to all managers and employees via the 

intranet. Also available will be the following: 

- Relevant forms 

- Guidance for Managers 

- Relevant tables (i.e. redundancy, holiday, family friendly) 

It is expected that managers (from station manager up) will be required to attend a workshop on the 

re-launch of the policies in particular the disciplinary, health & sickness absence, managing 

underperformance, grievance and bullying and harassment. 

New Managers will attend the workshops as part of their induction. 

ORGANISATION 

Responsibilities: 

- Human Resources is responsible for reviewing the policies and procedures in line with 

changes to employment legislation, codes of practice. 

- Human Resources is responsible for carrying out People Impact Assessments on each 

policy. 

- Managers are responsible for ensuring that the policies and procedures are applied in a 

fair and consistent manner 

- Managers are responsible for communicating to employees the re-launch of the policies 

and procedures and supporting them to access them via the intranet 

- Employees are responsible for referring to policies and procedures on the intranet in the 

first instance 







PLANNING 

All policies and procedures will be accessible via the intranet. 

Workshops will be available to all Managers and New Managers as part of the re-launch of the 

policies and procedures. 

This template, once approved, will replace the existing template which will be archived. 

MEASURING 

AUDITTING 

- The policy and procedures will be reviewed in line with changes to employment 

legislation/codes of practice. 

- Policies may be reviewed in line with case implementation and approx 6/12 months after 

their introduction to ensure they remain fit for purpose 

All approved policies will be stored as read only on the Intranet which only be updated by the Human 

Resources Department. 

REVIEWING 

All policies and procedures will be reviewed in line with any changes to employment legislation/codes 

of practice. 







1. POLICY STATEMENT 

• The Authority recognises the need for a clear, fair and consistent policy and procedure 

for managing performance. 

• The organisation recognises the importance of individual performance and will endeavour to 

ensure that employees achieve and maintain a high standard of performance in their work by 

providing appropriate training and support to meet these standards. To this end the 

organisation will establish fair and achievable standards that are communicated clearly by line 

managers and performance is monitored. 

• It is further recognised that there are occasions when an individual’s performance may not 

meet the expected standards. In these circumstances the aim of the Authority is to support 

the employee to improve their performance within a timeframe to meet the needs of the 

Service and reasonable expectations on the employee. This will be achieved through the 

provision of appropriate resources; training, coaching and counselling to assist employees to 

develop in their role. 

• The Managing Underperformance procedure has been designed to ensure that concerns over 

performance are dealt with fairly and transparently and that steps are taken to establish the 

facts. 

• Where is it found that poor performance is within the employees control or wilful ie 

negligence, carelessness or unwillingness by the individual to co-operate in any training or 

development then the Disciplinary Procedure will be applied. 

• Where an employee is incapable of performing their duties due to long term ill health, then the 

‘Health & Sickness Absence’ policy applies. 

2. APPLICATION 

Scope 

• This policy applies to all employees directly employed by the Authority on permanent and 

fixed term contracts of employment with the exception of the Chief Fire Officer for whom a 

separate procedure applies. 

• This policy and procedure will not apply to employees on probation period. 

• This policy does not apply to agency workers contracted to work through a temporary agency. 

3. RESPONSIBILITIES 

Employees are responsible for their performance. 

Line Managers are responsible for clearly communicating the standard required by the organisation to 

the employee. They are also responsible for providing, support and guidance to meet the required 

standard expected. 

Line Managers will provide the necessary training, development and coaching and provide a 

reasonable period of time for the employee to acquire relevant skills. Line Managers will regularly 

review performance matters with all employees against their TAPS/Performance Objectives. 







4. CONFIDENTIALITY 

The Authority recognises the need so far as reasonably practicable to keep matters confidential 

through the Managing Underperformance procedure. Only those individuals directly involved in the 

matter which includes Managers, representatives and Human Resources will be advised of the details 

on a ‘need to know’ basis. 

5. EXAMPLES OF UNDER PERFORMANCE 

For a variety of reasons, employees who are conscientious, hard working, willing to improve and who 

have undertaken appropriate training may nevertheless be unable to fulfil the requirements of their 

role. This situation can arise, for example, where an individual has been recruited into a job for which 

they were unsuitable or it can arise when the nature of the role, technology or the complexity of the 

job, evolve over a period time. This can result in a mis-match between the job and the individual’s 

capability to perform it. The employee will be advised of what is expected and, how their performance 

will be measured. 

If performance levels deteriorate the watch manager or equivalent, or more senior depending on the 

employee’s status in the organisation, may refer to role descriptions/job descriptions, standard 

operating procedures, and national occupational standards. This is not an exhaustive list but any 

measures that are used will be set objectively and based on role maps and job descriptions. 

The manager will also have a discussion with the employee to understand the reason for the poor 

performance, and offer help and support. If the employee’s performance continues to deteriorate the 

Managing under Performance policy will be invoked. 

In normal circumstances sanctions would be applied in sequence, however in serious cases the 

organisation reserves the right to start the procedure at any stage with the proviso that the sanction of 

dismissal/redeployment would not be applied unless there has been a second formal stage. 

6. FRAMEWORK FOR MANAGING UNDER PERFORMANCE 

6.1 INFORMAL 

Prior to invoking the formal procedure, managers should have discussed any performance issues with 

the employee and attempted to resolve them informally through the use of counselling, coaching 

and/or training as appropriate. Such informal discussions may be held with a view to (for example): 

o Clarify the required standards 

o Indentifying areas of concern 

o Establishing the likely causes of poor performance and identifying any training needs 

o Setting targets for improvement and/or 

o Agreeing a timescale for review 

Where poor performance is highlighted it is important that the employee is given specific examples to 

demonstrate where performance has fallen below agreed standards and what needs to be done by 

the individual to improve the position is clearly explained. 

The discussion should highlight what training/coaching/counselling/other measures will be provided in 

order to achieve the required level of performance. The agreed actions, support, and timescales 

should be clearly documented in an action plan and provided to the employee. 

Managers should recognise that there may be some external factors affecting the employee’s 

performance although these may not always be apparent. It is important that the employee brings 

these to the manager’s attention. Employees should be assured that support and consideration will 

be given to those who inform their manager about personal domestic, and/or health difficulties that 

are affecting their performance at work. 

Details of the discussion should be held as a file note and a copy provide to the employee. 







6.2 FORMAL 

General Principles 

• The Managing Underperformance framework consists of 3 formal stages. 

• In the vast majority of cases, an informal meeting is all that is needed, but when the levels of 

underperformance continue and where an action plan is not being met, a more formal 

meeting should be held to discuss the employees performance. 

• At this stage a decision will be made as to whether the Managing Underperformance 

Procedure should be followed, or whether it is more appropriate to invoke the disciplinary 

procedure if the underperformance issue is deemed ‘wilful’. However, the aim of both 

procedures is to improve individual performance. 

• At each stage there should be a review of the action plan and any coaching or training 

provided and a discussion about why this has not resulted in a sufficient improvement. Prior 

to being asked to attend a meeting under the formal procedure, an employee will be provided 

with a letter setting out the nature of performance shortfall and providing relevant examples 

which demonstrate why the line manager is contemplating action under the formal procedure. 

Employees should be advised at each stage that should their performance not improve that it 

may lead to their dismissal from the organisation. The meeting may be adjourned if either 

party needs to gather any further information or give consider to matters discussed during the 

meeting. 

• The employee should be provided with 7 working days notice in writing of the meeting and 

they will have the right to have a union representative or work colleague present at the 

meeting. 

• The outcomes from the formal stages should be confirmed in writing to the employee within 7 

working days of the meeting. Importantly this should set out the expected timescales for 

improvement, together with an indication of what the next step will be if not achieved along 

with the employee’s right of appeal. 

• If the managing under performance procedure is used any payments for additional 

performance such as CPD (for operational employees) will be suspended until the 

performance has improved. When the underperformance has been resolved the CPD may be 

re-instated following a new application but not backdated. Increments may be withheld for 

support employees until the performance has been resolved. When the underperformance is 

resolved the increment will be awarded but only from the date the underperformance was 

resolved. It will not be back-dated. 

• If conduct and performance problems begin to occur simultaneously, each issue will be dealt 

with under the respective policy by the line manager. The employee will have the right to 

representation. 

6.3 FIRST FORMAL REVIEW MEETING 

If the employee’s performance improves they should be advised and any further action suspended. 

However, should the informal stage not lead to the required improvement, the line Manager (the 

lowest level should be a Station manager or equivalent or more senior depending on the employee’s 

status in the organisation will advise the employee that they are required to a formal meeting under 

the procedure. 

The employee will be provided with 7 working days notice in writing. Employees have the right to 

have a union representative or work colleague accompany them at the meeting. If an employee’s 







epresentative or work colleague cannot attend a proposed date the employee can suggest another date, 

so long as it is reasonable and is not more than 7 working days after the original date. 

The line manager will conduct the meeting in an open, helpful and supportive way. If the employee 

cannot satisfactorily explain why they are not performing, they will receive a letter confirming the 

meeting under the first formal stage and an action plan will be updated/created. A timescale for 

improvement along with review periods agreed. 

The employee should be advised that if they do not complete the action plan satisfactorily or their 

performance becomes worse within a 6 month period, a formal stage two under performance meeting 

will be arranged. 

The line manager is responsible for informing HR if entitlement to CPD or increments are to be 

withdrawn. 

The outcome of the meeting will be confirmed within 7 working days of the meeting and should 

include confirmation of the issue, any required remedial action and the timescale for improvement, It 

should also include confirmation that the employee has the right to appeal within 7 working days of 

receipt of the letter. 

A copy of the letter with the action plan will be provided to HR by the manager and this will be kept on 

the employees HR file for 6 months. 

6.4 SECOND FORMAL REVIEW MEETING 


However, if the employee’s performance does not improve or continues to get worse the employee 

will be asked to attend a second formal stage meeting. 

The meeting will be conducted by the Group Manager or equivalent or more senior depending on the 

employee’s status in the organisation. The employee will receive 10 days notice of the meeting. 

The same process should be followed as in the first formal stage process. 

The employee should be advised that if they do not complete the action plan satisfactorily or their 

performance becomes worse within a 6 month period, a formal stage three under performance 

meeting will be arranged. 

The line manager is responsible for informing Human Resources if entitlement to CPD or increments 

are to be withdrawn. 


include confirmation of the issue, any required remedial action and the timescale for improvement, 

along with agreed review periods. It should also include confirmation that the employee has the right 

to appeal within 7 working days of receipt of the letter. 

A copy of the letter with the action plan will be provided to Human Resources by the manager and this 

will be kept on the employee’s Human Resource file for 12 months. 

6.5 THIRD/FINAL FORMAL REVIEW MEETING 


However, if the employee does not successfully complete the action plan or their performance fails to 

improve or gets worse, the employee will be asked to attend a third and final under performance 

meeting. 







The meeting will be conducted by an area manager or equivalent or more senior depending on the 

employee’s status in the organisation. The employee will receive 21 working days notice of the 

meeting. 

Employees have the right to have a union representative or work colleague accompany them at the 

meeting. If an employee’s representative or work colleague cannot attend a proposed date the 

employee can suggest another date, so long as it is reasonable and is not more than 7 working days 

after the original date. 

The manager will conduct the meeting in an open, helpful and supportive way. The employee should 

be advised of the serious nature of the meeting and that it may result in one of the following 

a) them being demoted with limited pay protection 

b) dismissed from the organisation, or 

c) have an extension to the under-performance action plan provided the Manager feels that you 

are in a position to improve to an acceptable level. 

If the employee is a senior member of staff, the elected members of the Fire Authority may be 

required to take part in initial underperformance hearings (in the case of the CFO) or in later stages 

(in the case of other senior officers) if all levels of Principal Officer have been used in the 

management of the individual’s underperformance. In such circumstances, the Head Of Human 

Resources, or more senior officer if necessary, will refer the matter to the Clerk to the Fire Authority. 

The Clerk, in consultation with the Chairman of the Executive Committee, will arrange for three 

members of the Committee to form a panel, to hear the case in accordance with the sections above 

as appropriate. 

Where dismissal is contemplated, every effort will be made to try and find a suitable role for the 

employee although this may include a reduction in grade with limited pay protection. This is not a 

guarantee of alternative employment, but a commitment by the organisation to avoid dismissal of staff 

where this is at all possible. 

The manager who either dismisses or re-deploys the employee will be responsible for informing HR of 

any changes. 


include confirmation that the employee has the right to appeal within 7 working days of receipt of the 

letter. 

7. TIMESCALES 

It is important any under-performance issue is resolved as quickly as possible. Whenever possible, 

this should be done at the Informal Stage and it is the expectation that the overwhelming majority of 

cases will be dealt with at this level. 

Under-performance stages will last for the following periods of time: 

Informal 

First Formal - 6 months 

Second Formal - 12 months 

Third Formal Stage redeployed staff may apply for promotion once they demonstrate 6 months 

competence in their new role 

In cases where a pattern of underperformance emerges such as performance levels being met and 

then deteriorating again within 12 months of achieving performance this may be regarded as 

misconduct and the disciplinary procedure may be applied. 

Should an employee’s performance deteriorate within 12 months of the completion of an action plan 







they will re-enter the managing underperformance procedure at the level of the last stage. This will 

apply at any stage of the procedure. 

Any period of absence from work for more than four consecutive weeks will not be included in the 

underperformance stages. In these situations, under performance stages will stop during the 

absence and start again when the employee returns to work with the end date of the stage increased 

to reflect the time that the employee has spent away. Managers should advise HR of this in writing. 

They must also inform the employee in writing. 

At the end of the under performance period, performance notes will be disregarded but copies of the 

relevant documentation will be retained on file in the HR Department. 

Whilst employees may apply for CPD during the formal stage of the procedure managers should take 

the stage into account when considering whether the evidence in the application has merit?. 

Managers/employees should retain notes of each action plan review. This procedure does not 

prevent both the employee and the manager sharing notes. It must be remembered by all parties 

that the underlying principle of this procedure is to improve performance. 

8. ROLE OF REPRESENTATIVES 

Employees may be accompanied by a union representative or a work colleague at an informal or 

formal stage of the underperformance meeting. 

The role of the representative is to confer with the employee during the meeting/hearing and 

participate as fully as possible in the meeting/hearing, The employee can nominate that person to 

speak on their behalf although the employee will be required to answer questions put to them directly 

by the Manager chairing the meeting. Employees should arrange for their representative to attend. 

Managers have the right to proceed in the employee’s absence if the employee is unable to attend the 

re-arranged meeting at any stage. If the employee cannot attend the employee may request their 

representative to attend on their behalf. 

The Authority recommends that the employee belongs to a recognised Trade Union or an 

independent Trade union, as Trade Union Officials are trained in employment matters. 

9. PAID TIME OFF 

Employees who may be subject to this procedure they are entitled to time off with pay to prepare for 

the meeting. 

Trade Union Representatives employed by the organisation are entitled to paid time off to prepare for 

a meeting and to attend any meeting held under this procedure. The amount of time off required will 

vary upon the complexity of the case but it is assumed that it will be reasonable and not excessive. 

Managers should not unreasonably deny requests for additional time off, but the employee and their 

Trade Union Representative are asked to be reasonable with their requests 

The employee must advise the person who is chairing the meeting who will be attending as their 

representative at least one day beforehand 

The employee’s representative is there to support them. The employee may have reasonable time to 

talk with them in private and they can ask questions on their behalf at the Formal Stages of the 

procedure. Within reason they may also ask questions at the Informal Stage although the 

organisation must point out the difference between accompaniment and representation at the Informal 

Stage. 







10. APPEALS 

Appeals should be dealt with speedily and should not be unduly protracted although this should not 

prejudice the thoroughness of any investigation. 

If an employee disagrees with a decision made at a formal stage of the Managing Under-Performance 

Policy, then they must write and ask for this review within 7 days of the outcome of the meeting. This 

must be made to the Area Manager, HR, setting out the grounds for their appeal The following 

Managers will hear the appeal case: 

Informal Stage 

First formal stage 

Second formal stage 

Third Formal stage 

No right of appeal 

Manager above that that carried out the 1 st formal meeting 

Manager above that that carried out the 2 nd formal meeting 

Director of the employee 

The above appeal managers may be more senior depending on the status of the employee. 

If an ‘appeal’ manager has had some previous involvement in the case then the Head of Human 

Resources in consultation with the relevant Director, allocate a different Manager to hear any appeal. 

This procedure would apply at any stage if it was felt that due to the complexity of the case or the 

involvement of the manager that this would be necessary to ensure a fair and equitable hearing. 

Should the original under performance sanction be applied by the CFO, then the appeal would be to a 

panel of elected Members of the Fire Authority. In such circumstances, the Head of Human 

Resources, or more senior officer if necessary, will refer the matter to the Clerk to the Fire Authority. 

The Clerk, in consultation with the Chairman of the Executive Committee, will arrange for three 

members of the Committee to form a panel, to hear the case in accordance with the sections above. 

Should the original under performance sanction be applied by elected members of the Executive 

Committee, the appeal would be to the full Fire Authority. In such circumstances the Clerk, in 

consultation with the Chairman of the Fire Authority, will arrange for three members of the Authority to 

form an appeal panel. The three members must not have had previous formal involvement in the 

case. 

Appeal at Formal Stage 1 &2 

The appeal hearing will be conducted by the next manager above that that conducted the formal 

under performance meeting. 

The employee should be provided with 7 working day’s notice of the appeal hearing from HR on 

behalf of the respective appeal manager. Details of the hearing, reason for appeal and representation 

rights will also be confirmed in writing. 

Employees have the right to a union representative or work colleague accompany them at an 

appeal hearing. If an employee’s representative or colleague cannot attend a proposed date the 



Both parties will provide any evidence that they wish to refer to, to HR for circulation at least three 

days prior to the hearing. 

Both parties will outline their case and questions may be asked by both parties, and the appeal 

manager. At the end of the meeting, the manager will adjourn to consider his/her decision. The 

following options will be considered. 

o 

o 

o 

Reject the appeal 

Amend the original decision by imposing a lower sanction 

Uphold the appeal and withdraw the original decision 







The employee will receive the outcome of the appeal meeting within 7 working days of the appeal 

meeting... 

The decision of the appeal is final. 

Appeal against dismissal 

The appeal hearing will be conducted by the director of the employee. 

The employee should be provided with 7 working day’s notice of the hearing from HR on behalf of the 

director. Details of the hearing, reason for appeal and representation rights will also be confirmed in 

writing. 

Employees have the right to a union representative or work colleague accompany them at an 

appeal hearing. If an employee’s representative or colleague cannot attend a proposed date the 



Both parties will provide any evidence that they wish to refer to, to HR for circulation at least three 

days prior to the hearing. 

Both parties will outline their case and questions may be asked by both parties, and the appeal 

manager. At the end of the meeting, the director will adjourn to consider his/her decision. The 

following options will be considered. 

• Dismiss the appeal 

• Amend the original decision by imposing a lower sanction, in which case the employee will be 

reinstated as though they had not left the service i.e. without a break in service 

• Uphold the appeal and withdraw the original decision, in which case the employee will be 

reinstated as though they had not left the service i.e. without a break in service. 

The employee will receive the outcome of the appeal meeting within 7 working days of the appeal 

meeting. 

The decision of the appeal is final. 

11. OTHER CONSIDERATIONS 

Should the original sanction that is the subject of the appeal have been applied by the CFO, then the 

appeal would be to a panel of elected Members of the Fire Authority. In such circumstances, the Head 

of Human Resources or more senior officer if necessary, will refer the matter to the Clerk to the Fire 

Authority. The Clerk, in consultation with the Chairman of the Executive Committee, will arrange for 

three members of the Committee to form a panel, to hear the case in accordance with the sections 

above. 

In the event that the original underperformance sanction had been applied by elected members of the 

Executive Committee, the appeal would be to the full Fire Authority. In such circumstances the Clerk, 

in consultation with the Chairman of the Fire Authority, will arrange for three members of the Authority 

to form an appeal panel. The three members must not have had previous formal involvement in the 

case. 

In the course of a ‘managing under-performance’ process, an employee might raise a grievance that 

is related to the case. If this happens, the manager should consider suspending the managing underperformance 

procedure for a short period while the grievance is dealt with. Depending on the nature 

of the grievance, the manager may need to consider bringing in another manager to deal with the 

managing under-performance process. 

Managers are responsible for completing all administration and paperwork at Formal Stages 1, 2 and 

3 of the Procedure. Copies of the relevant paperwork should be sent to HR. It is also important if the 







legal requirements of the Data Protection Act are to be met, and that references given are accurate 

and the principle of ‘not kept longer than necessary’ is adhered to.

Managing Underperformance Policy and Procedure

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