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RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 1 ARGYLL AND BUTE COUNCIL MANAGER’S GUIDE TO IMPROVING EMPLOYEE PERFORMANCE POLICY

ARGYLL AND BUTE COUNCIL MANAGER’S GUIDE TO IMPROVING EMPLOYEE PERFORMANCE POLICY€¦ ·  · 2012-10-19RS001 Manager’s Guide to Improving Employee ... MANAGER’S GUIDE TO IMPROVING

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RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 1

ARGYLL AND BUTE COUNCIL

MANAGER’S GUIDE TO IMPROVING EMPLOYEE PERFORMANCE POLICY

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 2

Improving Employee Performance Policy (link)

Aim

The main purpose of this Policy is to encourage an employee whose standard of and/or performance at work is unsatisfactory to improve and reach the standards of the Council. This procedure sets out the way in which Argyll & Bute Council will deal with any performance issues that may arise during the course of the employee’s employment.

The Council places great importance on maintaining levels of performance at an acceptable standard and this procedure provides a fair and objective process to enable managers to ensure that those standards are met in every aspect of the Council’s operations.

This procedure aims to support under-performing employees in reaching the required standard of performance within a reasonable timescale.

Where an acceptable standard of performance cannot be maintained consideration will be given to taking disciplinary action under the Council’s Disciplinary Procedures.

These procedures were drafted in consultation with the joint trades unions.

Scope

The managing performance procedure will deal with concerns relating to under-performance for competency and/or skills.

Allegations of deliberate under-performance and other misconduct matters will be dealt with under the Council’s Disciplinary Procedure.

Consideration will be given to training that has been completed to date relevant to the post and the period of experience after training prior to implementing this policy.

During the period that any managing performance procedure is in operation, the manager will monitor the performance of the employee and give informal advice and guidance. The manager responsible for the managing performance procedure may take into account informal reports made by other staff members (who would be made aware that this information will be shared with the employee concerned) about the employee’s performance, where those staff have relevant regular exposure to the employees work performance. These informal reports, or a summary of them, will be discussed with the employee prior to any reliance being placed upon them in relation to this policy.

The manager will consider if training would assist the employee and, if recommended, the employee will be expected to undertake such training. Failure to agree to do so will be considered to be an aggravating factor and may accelerate this process.

If at any stage in the process the employee requires clarification or assistance, they will be encouraged to ask for it and any reasonable request will be

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 3

granted.

It is noted that warnings issued from within this policy are separate from disciplinary warnings. Warnings from this policy cannot be taken into consideration when considering actions for unrelated disciplinary hearings.

Implementation

Responsibility for developing, implementing, advising on and monitoring this Policy lies with the Head of Improvement and HR. Executive Directors of departments will be responsible for ensuring that Improving Employee Performance procedures are in place to ensure compliance and that advice and support on service-specific matters is available within their department.

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 4

The following are the operational documents and DO NOT need members approval – attached for information only. This Manager’s Guide to Improving Employee Performance aims to: 1. Set out Argyll & Bute Council’s Improving Employee Performance Policy and Procedure in a clear, logical format that explains the various elements to

employees and provides helpful, “user friendly” guidance to Council managers. 2. Ensure fit for purpose Improving Employee Performance procedures are in place to allow managers to manage employee performance effectively

and efficiently. In the following Sections, this Guide sets out the steps to be taken when an employee performance issue is identified:

• Argyll & Bute Improving Employee Performance Policy (link)

• Section 1: Identifying Employee Underperformance

• Section 2: Informal Stage 1 - Addressing employee under-performance through normal day to day management (link)

• Section 3: Formal Stage 2 – First formal performance improvement hearing (link)

• Section 4: Formal Stage 3 – Second formal performance improvement hearing (link)

• Section 5: Transfer to an alternate Post (link)

• Section 6: Disciplinary Procedure (link)

• Section 7: Appeals (link)

• Appendix 1 Flowchart of Improving Employee Performance Process (link)

• Appendix 2 Table of Stages (link)

• Appendix 3 Performance Improvement Plan (link)

• Appendix 4 Informal Stage Letter (link)

• Appendix 5 Invite to Performance Hearing Letter (link)

• Appendix 6 No action letter (link)

• Appendix 7 Stage one/two performance warning letter (link)

• Appendix 8 Appeal Hearing invite letter (link)

• Appendix 9 Appeal Hearing outcome letter (link)

This is a “live” document / procedure and will be regularly reviewed by Improvement and HR. We will therefore be pleased to receive any comments and/or suggestions in relation to the Guide as part of this review cycle. These should be sent to the Head of Improvement & HR, Whitegates Offices, Whitegates Road, Lochgilphead, PA31 8SY or via email to [email protected].

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 5

Section 1

Identifying Employee Under-performance

Action required By whom / when

1.1 Examples of employee under-performance include:

a) Not undertaking the duties and responsibilities of their post to the required standard (as shown in their job description)

and/or b) Not achieving objectives agreed with their manager. Consideration will be given to mitigating circumstances.

When determining whether an employee is under-performing, the manager will take into account any reasonable adjustments and/or any agreed programme of training/support. The manager will also take into account any other factors that may be impacting on an employee’s performance (for example issues in the workplace, personal circumstances for example relationship breakdown, caring responsibilities, and recent bereavement, seeking advice from their HR Officer as necessary. It is important for managers to try and identify the root cause of the problem and deal with it accordingly. The manager should refrain from assuming automatically that such performance problems are due to the individual’s lack of effort or carelessness as there are other possible causes of poor performance. These include:

• Inadequate or insufficient training

• Poor systems of work, out of date policies or inadequate procedures that do not permit efficient or effective work

• Tools and equipment that do not work properly or frequently breakdown

• Poor quality or inadequate supervision or support

• Lack of understanding on the individuals part about his or her job duties, priorities or goals, which may arise because no one has properly explained these issues or given the employee feedback

• Unclear instructions

• Work overload, causing stress and fatigue

• Unrealistic targets or deadlines that are virtually impossible for the individual to achieve

• Poor working relationships causing the individual worry, upset or stress

• Bullying or harassment

• Physical or mental ill health, for example where the individuals state of health, or medication taken to deal with it is causing tiredness

• Personal problems that would inevitably affect the individual’s concentration.

• New to role, changes in role/responsibilities (this list is not exhaustive) Please refer to relevant policies or contact HR for advice

All actions taken throughout this procedure should be clearly documented, giving the reasons for taking or not taking action, at

Line Manager Line Manager

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 6

the informal stage no documentation will be placed in the employees’ HR file.

1.2 Having considered 1.1 above, please contact your HR Officer to discuss and agree the appropriate next steps. If your HR Officer disagrees with your decision or has any doubts, you should jointly refer the matter to Head of Service for input.

Line Manager & HR Officer

1.3 If you (Line Manager) and your HR Officer agree that there is an employee performance issue that would be appropriately managed through the Improving Employee Performance Procedure employee, please proceed to Section 2: Informal Stage 1 (link).

Line Manager & HR Officer

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 7

Section 2 Informal Stage 1 - Addressing employee under-performance through normal day to day management

Action required By whom / when

2.1 Where a manager has evidence of an employee’s under-performance, the manager will discuss the issues with the employee as soon as possible as part of their normal day-to-day management role. This will happen as part of normal supervision or ‘one-to-one’ meetings. All discussions about an employee’s under-performance will take place in a confidential environment and will be conducted in an appropriately supportive manner. That is with an emphasis on what can be done to help the employee meet their objectives. Because this is part of the normal day-to-day management process, discussions will normally involve the employee and their line manager only.

Line Manager & Employee

2.1.1

The Informal Process The manager should clearly explain the aspects of the employee's performance that they feel the employee needs to improve upon. This will be done in a constructive and objective manner. The employee will be given the opportunity to comment and respond. The employee's views on their own performance should be taken into account. The manager and employee should discuss what support or training is necessary in helping the employee to improve. The Learning & Development or HR sections may provide advice on sources of support. It is essential that post specific training is completed prior to consideration of invoking this policy regarding capability of those same skills and competencies.

The manager must allow a fair and realistic time period to enable the employee to improve to a satisfactory standard. The length of time will depend on the nature of the underperformance and any support in place.

The main points of discussions should be documented (just as they would as part of any supervision and one-to-one meetings) and a copy provided to the employee after the meeting. Recording and sharing notes of discussions in this way is important to ensure that a manager acts fairly and reasonably to help the employee improve their performance.

It is equally important that the manager informs the employee when their performance improves to the required standard. The manager must ensure that the improvement is documented and shared with the employee.

Line Manager & Employee

2.1.2 Health or Disability Reasons If it becomes apparent that the reasons for under-performance relate to the employee’s health or a disability, then the manager will seek advice from their HR Officer, which they will then discuss with the employee. Where appropriate, the HR Officer will recommend that the employee be referred to the Occupational Health Provider (OHP). The OHP can advise on what reasonable adjustments the council

Line Manager & HR Officer & OHP if required

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 8

should consider making in order to accommodate the particular needs of the employee. Advice is also available from external organisations (such as the Department for Work and Pensions' Access to Work Scheme). The manager will fully consult the employee on the options available to them and will ensure that the employee is fully involved in the process of making reasonable adjustments. Where reasonable adjustments can be agreed between the manager and the employee, there is no automatic requirement for these to be validated by the OHP. The manager will also ensure that review periods allow sufficient time for adjustments to be made and take effect.

2.1.3 Escalation If the employee’s performance does not improve to the required standard given reasonable time and support, then the manager must seek advice and support from their HR Officer and agreement to following the formal policy on improving performance, consideration will be given to issues identified in 1.1.. Please proceed to Section 3 (link) Formal Stage 2.

Line Manager & HR Officer

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 9

Section 3 Formal Stage 2 – First formal performance improvement hearing Action required By whom / when

3.1 Start Stage 2: If the employee’s performance has not improved to the required standard through the informal process described in section 2 above the manager will write to the employee (giving at least five working days’ notice) to ask them to attend a Formal Stage 2 performance improvement hearing. Effective day to day management should mean Formal Stage 2 hearings will arise outside the PRD process, as soon as unsatisfactory or poor performance is identified and informal measures (outlined in Managers Guidance) have failed to bring about sufficient improvement, rather than as a direct consequence of the annual PRD appraisal process itself. The employee may be accompanied/represented by a trade union representative or work colleague at this stage and the HR Officer will also attend. If the employee concerned is a trade union steward or officer, the manager should tell the full-time officer prior to any hearing under the formal procedure. If an employee or their representative cannot attend a hearing, it will be re-arranged for a mutually agreeable date, normally within a further 5 working days.

Line Manager

3.2 The Hearing: The hearing will follow the same format as outlined at paragraph 2.1.1 (link) above, with the addition that: The employee and/or the manager may call relevant witnesses and both parties may question them. Management would normally only call witnesses where the employee denies the underperformance or challenges the instances of poor performance. A management note of the meeting will be made.

Line Manager & Employee

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 10

3.3 Outcomes: The outcome of the hearing will be a formal performance improvement plan. Please use Performance Improvement Plan Form (link), to remain on file for 12 months, which will include “SMART” [Specific; Measurable; Achievable; Realistic; Time-related] objectives; details of any training/support that will be provided, by whom and by when; how performance will be monitored/measured and any targets. Note that the training identified will be additional training, not the essential training for the post, which should be completed prior to the formal stage of this policy. This will normally cover a 12 week period, though individual circumstances may dictate a shorter or longer period. Manager will consider any mitigation and if appropriate a first level warning will be issued which lasts for 12 months. It means that the employee's performance must improve sufficiently not only during the specified review period but must then be maintained for the duration of the warning. Failure to improve and maintain improvement during this period could lead to Formal Stage 3 of this procedure being invoked. Employee will be advised of right to appeal this warning. If the employee is paid at less than the maximum spinal column point of their grade, and their performance has not reached the required standard by the 1st of April following commencement of a formal improving performance stage (i.e. Formal stage 2 or 3), the manager with the Head of Service approval will (subject to having first sought advice from their HR Officer to assess the circumstances of each case) withhold further increments until the employee’s performance has improved satisfactorily. The manager will provide the employee with a copy of the plan, the management note of the meeting, normally within five working days of the hearing, together with a covering letter which will make clear not only the manager’s commitment to helping the employee to improve their performance but also details of the first level warning and the possible consequence of not improving to the required standard (ie. the possibility of disciplinary action being taken) The letter must also give notice of the employee's right to appeal the decision (see section 7).

Line Manager & Employee

3.4 Review: At the end of the review period the manager will review the employee’s performance against the contents of the formal performance improvement plan. If the employee’s performance has improved to the required standard, the manager will meet and confirm this with the employee. The manager will then confirm this in writing to the employee within five working days of the hearing, and remind the employee that the formal performance improvement plan and warning will remain on their personal file for 12 months from the date of the initial Formal Stage 2 hearing (as per 5.1 above). Where issues raised in the plan could put children or vulnerable groups at risk, it may be retained on the employee's personal file for 3 years. This procedure aims to support under-performing employees in reaching the required standard of performance within a reasonable period. If the employee’s performance has not improved to the required standard, then the manager will either: (a) Follow the procedure set out in Formal Stage 3 (see section 4) (link)

Line Manager & Employee

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 11

or (b) If the employee's under-performance is so serious that the manager considers that there is no reasonable chance of the individual reaching the required standard within a reasonable period, follow the procedure set out in section 6 below. Examples of the level to accelerate this process would be Serious Health and Safety concerns, putting children or clients at risk or putting the council at risk of financial loss.

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 12

Section 4 Formal Stage 3 – Second formal performance improvement hearing Action required By whom / when

4.1 Start Stage 3: A stage 3 hearing will arise as a consequence of an employee failing to improve their performance sufficiently and to the required standard under Formal Stage 2. The manager will write to the employee (giving at least five working days’ notice) to ask them to attend a Formal Stage 3 performance improvement hearing. The employee may be accompanied/represented by a trade union representative or work colleague at this stage and the HR Officer may also attend at the request of management. If the employee concerned is a trade union steward or officer, the manager should tell the full-time officer prior to any hearing under the formal procedure. If an employee or their representative cannot attend a hearing, it will be re-arranged for a mutually agreeable date, normally within a further 5 working days

Line Manager

4.2 The Hearing: The hearing will follow the same format as 3.2 above. At the hearing, the manager will:

• Explain where the employee’s performance still needs to improve • State what (if any) further training/support will be provided to the employee • Inform the employee that the review period will be extended once only (normally by no less than four weeks and no more than

three months), taking into account the extent and impact of the under-performance, the duration and pattern of the employee’s working week and the need to allow sufficient time for any training/support measures to be put in place and take effect.

• Considering any mitigation, if appropriate issue the employee with a second level Stage 3 performance warning, which will remain live on the employee’s personal file for 12 months from the date of the hearing

• Update the formal performance improvement plan accordingly. The manager will provide the employee with a copy of the plan, the management note of the meeting, normally within five working days of the hearing, together with a covering letter which will confirm the second performance warning, give notice of the right to appeal the

Line Manager & Employee

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 13

decision (see section 7) and remind the employee that the review period can be extended once only and that the possible consequence of not improving to the required standard remains (that is action up to and including disciplinary action being taken)

4.3 Review: At the end of the extended review period the manager will review the employee’s performance against the contents of the updated formal performance improvement plan. If the employee’s performance has improved to the required standard, then the manager will meet and confirm this with the employee. The manager will then confirm this in writing to the employee, normally within five working days of the hearing, informing the employee that the formal performance improvement plan will remain on their personal file for 12 months from the date of this hearing. Where issues raised in the plan could put children or vulnerable groups at risk, it may be retained on the employee's personal file for 3 years. Only where the employee’s performance has still not improved to the required standard will the manager follow the procedure set out at section 6 below (link)

Line Manager & Employee

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 14

Section 5 Transfer to an alternate Post

Action required By whom / when

5.1 Subject to the existence of a specific suitable vacant post the manager may explore the option of the transfer of the employee to the post as an alternative to them progressing through the Improving Performance Procedure. This option will be dependent on the employee possessing skills and experience that are relevant to the post. The employee may be accompanied/represented by a trade union representative or work colleague during any formal discussions about a transfer. There is no right to a transfer under this procedure. A transfer can be considered at any stage of the procedure, with the exception that it may not be initiated after the end of the formal stage 3 review period outlined in paragraph 4.3 above. If the employee declines an option of a transfer the application of the Improving Performance Procedure will continue as normal. Employees who are considered for a transfer under this procedure must not have priority over employees at risk of redundancy or who are being redeployed on medical grounds. Any warnings issued prior to a successful transfer will remain 'live' for the appropriate length of time. Employees who are transferred under this procedure should be appointed subject to satisfactory completion of a trial period of at least four weeks. Where the employee needs training, the manager and the employee may agree an extension to the trial period before its start. The manager will set clear objectives that are appropriate to the job and the post holder with the aim of enabling the post holder to meet all of the essential criteria for the post by the end of the trial period. The manager will regularly review the post holder's progress during the trial period to assess whether the post is suitable. The post from which the employee is being transferred will not be filled permanently until the vacating employee has been confirmed in their new post. If the employee is not confirmed in the new post they will return their substantive post and the Improving Performance Procedure will be resumed at the stage it was prior to the transfer.

Line Manager

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 15

Section 6 Disciplinary Procedure

Action required By whom / when

6.1 Disciplinary Investigation: Action at this stage will be undertaken through the Council’s disciplinary procedures. The records of the improving performance process will be utilised as evidence in the disciplinary investigation and will be provided to the investigating Officer. See Disciplinary Procedures (link)

Line Manager

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 16

Section 7 Appeals

Action required By whom / when

7.1 If the employee is unhappy with the outcome of this process appeals must be lodged by the employee within five working days of receipt of written notification of a decision.

Employee

7.2 A more senior level of manager (with no direct involvement in the management of the staff involved in the process) will hear appeals against formal stage 2 and formal stage 3 warnings. Appeals should be submitted to the Head of Improvement & HR. There is no right of appeal under the informal stage. Disciplinary action appeals will be conducted through the Council’s Disciplinary Policy Appeal outcomes will be confirmed to the employee concerned within five working days of the decision.

Senior Manager

Appendix 1 Flowchart of Improving Employee Performance Process

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 17

Appendix 2 Table of Stages

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 18

STAGE WHEN STATUS OF MEETING

PARTICIPANTS ACTION TAKEN OTHER COMMENTS

1 When specific work issues arise

Informal Manager and employee

Manager identifies unsatisfactory performance of tasks/activities, confirms standards required, identifies and support available, agrees action plan (copies to employee), set timescale for improvement and review date.

This is part of normal good management practice. Confirm date, time, venue etc. For review meeting.

1 At end of review period (normally 4 – 10 weeks)

Stage 1 review hearing – informal

Manager and employee

Manager reviews progress against standards. May result in termination of procedures, extension of the informal monitoring under stage 1, or progression to stage 2.

Confirm outcome of stage 1 in writing. If this is to move to stage 2 – inform HR.

2 When performance remains unsatisfactory

Formal Manager, HR, employee and representative

Manager notifies employee of commencement of formal stage of improving performance procedure – identifying outcome of informal process, areas which still need improvement and support which may be required to achieve that improvement. Action plan and review date agreed.

Confirm outcome of stage 2 hearing in writing, giving warning of implications of failure to improve.

2 At end of review period (normally 4 – 10 weeks)

Stage 2 review hearing - formal

Manager, HR, employee and representative

Manager reviews progress during the period and actions taken to support improved performance. If improved – praise, end procedure, but continue to monitor/review. If not improved – progress to stage 3.

Either confirm that procedure is ended, but performance will be subject to monitoring/review, or confirm progression to stage 3. Inform next level of manager for stage 3.

3 Where performance remains unsatisfactory

Formal Stage 3 Manager, manager, HR, employee and representative

Stage 3 manager considers evidence of continued failure to achieve performance standards presented by manager, support provided and employee’s response and submits records for a Disciplinary investigation.

Disciplinary procedure.

Appendix 3 Performance Improvement Plan

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 19

Employee’s Name: Job Title:

Department: Start Date:

Date appointed to current role: Line Manager:

Date of review hearing:

Objective Agreed:

What is it the individual needs to achieve?

Action Required to

Implement:

What does the individual needs to do to complete the agreed action?

What additional support is

required:

For example, what training would they benefit from, would some coaching help or shadowing someone for a period of time

Target Date:

What are the timelines for completion?

1.

2.

3.

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 20

Appendix 4 – Informal Stage Letter

Letter confirming what has been agreed following 1st informal discussion of unsatisfactory performance.

Dear [insert name]

I refer to our informal meeting on [insert date] at which we discussed [insert summary of the unsatisfactory performance].

During the meeting, we agreed that you would strive to improve your overall performance in the workplace, in order to reach the standards expected of you.

In particular, [insert details].

It was also agreed, that you would receive further [insert - external/internal] [insert - coaching/training] from [insert name] on [insert date] until [insert date].

If you think that there are additional ways in which we can help you to improve your performance, please let me know.

I will continue to monitor your performance on an ongoing basis and I will review your progress in [insert weeks/months] time and, if required, at similar intervals thereafter.

Please note that our meeting was intended informally to assist you in improving your performance and does not form part of the Council’s formal procedure.

However, I must advise you that a failure to significantly improve your performance is likely to lead to a more formal action being taken.

I do hope that our informal discussions and the additional support that we have put in place assists you and will lead to an overall improvement in your performance, so that such action will not be necessary.

If you wish to discuss any aspect of this letter, please do not hesitate to contact me on [insert] telephone number.

Yours sincerely

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 21

Appendix 5 Invite to Performance Hearing Letter

Letter inviting an employee to attend a Performance Improvement Hearing Private and Confidential Dear [insert name] This letter confirms that we would like you to attend a Performance Improvement hearing at [insert time] on [insert date] at [insert place]. Following the recent meetings we have had about performance improvement on [insert dates], there is sufficient evidence to consider action against you in accordance with the Council’s Improving Performance procedures. The allegations against you are as follows:

[insert details/enclose documents that highlights the employee’s job performance/conduct, that you believe to be unsatisfactory].

You are therefore required to attend a Performance Improvement hearing on [insert date/time/venue], which will be conducted in accordance with the Council’s Performance Improvement procedures, a copy of which I have enclosed for your reference.

The hearing will be held by [insert name/job title] and [insert name/job title] will be in attendance as note taker. You will of course receive a copy of the notes taken at the hearing in due course.

You are entitled to be accompanied by a Trade Union Representative or colleague. If you wish to have a representative present at the hearing, you should give them a copy of this letter. You also have the right to call witnesses to the hearing. I would be grateful if you could let me know in advance of the hearing if you are planning to bring anyone with you.

I should like to make it clear that the Council regards the above allegations as being very serious and therefore you should come to the hearing fully prepared to discuss them.

The outcome however may result in a Stage one or Stage two written warning.

Finally, please find copies of the documentation and statements gathered to date that maybe used and discussed at the capability hearing.

Yours sincerely

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 22

Appendix 6 No action letter

Letter following a hearing informing the employee that no penalty will be given.

Private and Confidential Dear [insert name]

I refer to the Performance Improvement hearing held on [insert date], relating to your performance in the workplace.

I am pleased to confirm on this occasion that the Council has decided that no formal action will be taken against you.

However, during the hearing we agreed that you should nevertheless strive to improve your performance in the workplace.

In particular, you need to improve your performance in the following ways: [insert details].

We will continue to monitor your performance on an ongoing basis and must also advise you that a repeat of similar performance, is likely to lead to re-instatement of the Improving Performance Policy.

We hope that our discussion, will lead to a sufficient improvement in your overall conduct, so that such further formal action will not be necessary.

Yours sincerely

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 23

Appendix 7 Stage one/two performance warning letter

letter giving an employee a stage one/two performance warning Private and Confidential Dear [insert name]

PERFORMANCE WARNING

Following the Performance Improvement hearing held on [insert date] at [insert time], this letter is to confirm that the outcome of the hearing is that you have been given a [stage one/two] written performance warning.

The circumstances giving rise to the issue of this warning were [insert summary of the unsatisfactory performance].

During the hearing, we discussed the matter fully, and having taken your explanations into account, have concluded that performance justifies a first written warning. This is in accordance with the Council’s Performance Improvement procedure

It was agreed at the hearing that you would improve your performance.

You were also informed that a failure to improve within [insert timescale] is likely to lead to the next stage in the Performance Improvement procedure, for example a final written warning.

This first written warning will remain active on your file for a period of 12 months from the date of this letter, after which it will lapse.

You have the right to appeal against the decision to give you a formal written warning. If you wish to appeal, you should do so in writing within 5 working days of the date of this letter to [insert name/job title], stating the grounds for your appeal.

Yours sincerely

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 24

Appendix 8 Appeal Hearing invite letter

Letter inviting an employee to attend appeal hearing Private and Confidential Dear [insert name]

I refer to your appeal letter dated [insert] against [insert details of grounds of appeal – performance warning].

Please note that your appeal will be heard on [insert date/time] by [insert name/job title], and will take place in [insert location].

You have the right to be accompanied at the appeal hearing by either a trade union representative or colleague.

Yours sincerely

RS001 Manager’s Guide to Improving Employee Performance (updated 6 June 2012) Page 25

Appendix 9 Appeal Hearing outcome letter

Letter informing employee of the outcome of a performance warning final appeal Private and Confidential Dear [insert name]

I refer to the appeal hearing held on [insert date] in connection with your appeal against the decision of [name of manager taking decision] dated [insert date] to [issue you with a stage one/two performance warning].

Having considered your appeal very carefully and taken into account your representations, it has been decided to allow your appeal and remove all records of the hearing and capability warning from your record.

[OR]

Having considered your appeal very carefully and taken into account your representations, it has been decided to uphold the decision of [name of manager] as regards your performance warning.

[I would add that there is no further appeal against this decision.]

Yours sincerely