The steps involved in addressing issues of under-performance fit within the general framework of managing performance outlined within this guidance but if you are moving to more formal procedures to deal with performance please seek the advice of Human Resources.

As noted previously in this document in many cases of under-performance a relatively informal discussion at an early stage should be enough to address the issue. Human Resources can help you consider the situation and how best to approach the staff member to address underperformance informally in the first instance.

The aim of managing under-performance is to help the individual to improve and to meet the agreed standards. In doing this you will have ensured that:

• Your member of staff is clear about the performance issue;
• An action plan has been in place for sufficient time to allow for improvement;
• Any support identified has been provided, and sufficient time has been allowed improvement;
• You have a clear audit trail of all of the above with discussions noted, confirmed in writing to the individual and, where possible, that the individual has acknowledged receipt of any written communications.

When you become concerned about an individual’s performance, attitude or behaviour, then you should try to address this with the individual as quickly as possible. However, before you do this it is important to consider whether there is anything that could be causing the issue, for example, consider:

As the University has both disciplinary and capability procedures it is important to be able to understand which procedure would apply.

When dealing with issues of conduct the Disciplinary Procedure should be used. This is because there is a presumption that the conduct is mostly in the control of the member of staff, and that with some support they should be able to improve this.

• In relation to capability we have two separate procedures i.e. the Sickness Absence Management and the Capability Procedure. As these latter two procedures deal with capability there is more of a presumption that the issue may be outside the member of staff’s full control, and as such both procedures emphasise the need to consider various options/support.
• Performance may also be negatively impacted if a member of staff has a concern, problem or complaint to do with their work or a person they work with, so it is important that these are addressed fairly and promptly and, where possible, informally via the Grievance Procedure.

It is also important to identify the issue as this determines which procedure should be used, however, as this is not always clear cut, if you are uncertain, advice should be sought from Human Resources.

With thanks to York University for the use of the diagram above.

Performance summary overview flow chart

As a general guidance for you please find a series of scenarios and issues that you need to consider when dealing with performance issues. The scenarios are not a definitive list of considerations /actions, these should be tailored to individual situations and advice from HR is always available when needed. Managers should adopt the principle of discussing any concerns with the individual as soon as possible following becoming aware of an issue or after an event from a non-judgement, supportive and open point of view.

Scenarios and suggested actions to undertake – Performance

By the time you need to take formal action it is likely that you will have HR support however, it is useful to understand the process by which formal action is undertaken.

Formal policies and procedures include the:

• Capability Policy and Procedure
• Disciplinary Policy
• Grievance Policy
• Attendance Management Policy

Important note: Before you are able to move to any formal action HR will need you to provide detailed notes about your actions to date in terms of:

• Facts of the situation.
• Relevant dates of incidents and meetings.
• What action you have taken up to the point at which you involve HR.
• Actions taken to improve the level of performance.
• Any other relevant information.

Following discussion between yourself and HR you may then decide to undertake formal action to address a formal issue, or that further action as part of the informal stage is required. Below is a very brief summary of the processes. You should certainly discuss formal action with HR who will advise you on the relevant procedure.

The Capability Policy and Procedure

It is important that the capability policy procedure, as with all policies, should be applied equally and consistently to all staff, except staff under probation, to which a separate procedure applies.

For academic and academic related staff each stage will constitute the procedure referred to under the relevant Statute and nothing in the Capability and Supporting Performance Procedure shall be intended to alter or amend individuals’ rights under that Statute. Stage one of the process constitutes the verbal warning stage, stage two constitutes the written warning stage and the third stage constitutes the dismissal stage.

The Capability and Supporting Performance Procedure addresses the ability to carry out a job to the required standards (the “can’t”) as opposed to issues of wilful inadequacy or misconduct (the “won’t”), which are handled through the University’s disciplinary procedure.

The Disciplinary Policy and Procedures

There are two disciplinary procedures in the University – one for academic and professional staff and the other for support staff and as with the capability procedure has a series of stages that include informal and formal stages. This policy is to deal with issues of wilful inadequacy or misconduct (“the won’t”) rather than “the can’t”. If you wish to deal with performance in this context please refer to the relevant policy and procedure and you must consult HR before embarking on dealing with disciplinary issues.

The Grievance Proceedure

Most routine complaints and grievances are best resolved informally in discussion with yourself as the manager however sometimes staff feel aggrieved about the way they have been treated, either by management or by their colleagues. In this situation staff are given the opportunity to express their views and to have the issues resolved through the grievance procedure.

In this situation a member of staff has to note their grievance in writing to you as their immediate line manager. Where the grievance is against you as the line manager, then the matter should be raised with a more senior manager.

The complaint is then investigated and you should collect information and investigate the complaint as necessary to resolve the matter. If the matter can be resolved by simply acknowledging and rectifying the grievance, then it may not be necessary to have a meeting with the member of staff. However, if the grievance cannot be resolved in this manner, you should invite the member of staff to attend a hearing to discuss the grievance. After the grievance hearing has been held, you should respond in writing to the member of staff and explain clearly what action(s) will be taken to resolve the grievance or, alternatively, why you consider the grievance complaint to be unfounded.

If it is not resolved at this stage the procedure outlines further stages to address the issue.

If it is established that a member of staff’s unsatisfactory performance is due in part or in totality to sickness, ill health or disability, advice should be sought from HR in this situation the University’s Sickness Absence Policy is followed. In circumstances where you have to deal with performance and absence you need to be very clear about following the University’s processes to ensure that you deal with these circumstances in a fair and sympathetic way.

You should deal sensitively with individual staff but also consider the impact of long term absence on the team.

Just as a quick reminder please note that all staff are required to; notify in person their line manager (or appointed deputy) no later than half an hour after their normal start of work on the first day of absence, or if taken sick at work, before leaving work. In terms of longer absence:

• Absence up to 7 calendar days – A self certificate must be completed on their return to work.
• Absence of 8 calendar days or more – A Statement of Fitness for Work (Fit Note) is required from their doctor.
• Sickness absence that results in 5 episodes or 20 days (short term absence) within a 12 month rolling period or 20 days (long term absence) continuous absence should be reviewed by you as a manger.

As a manager you should ensure that:

• Staff are aware of the sickness absence procedures and that they are applied fairly and consistently to all staff.
• Ensure the original self and medical certificates are sent to Health & Safety Services.
• Make suitable arrangements to cover the period of absence and to ensure that key tasks and responsibilities are dealt with in an appropriate manner.
• You are expected to keep in contact with the long term sick at a minimum of 6 weekly intervals. This contact is a key factor to helping staff to return to work effectively.
• Undertake return to work interviews following each episode of absence, following ‘fit for work’ guidance from GPs where appropriate. This may include: a phased return to work plan, adjusting hours of work and workload; temporary alternative tasks; redeployment and reasonable workplace adjustments. Phased returns (usually for a period of up to four weeks) do not result in a reduction in pay.

Sickness absence summary overview flow chart

Scenarios and possible actions to undertake – Absence