Managing Underperformance Policy and Procedure

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
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