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Department of

Human Resources
Performance
Improvement Policy













































This document is available electronically and in other
formats on request.


Department of Human Resources
October 2003
(Approved at Court 16.12.03)









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CONTENTS






Page No.
1.

Purpose & Scope 3
2.

Principles 3-4
3.

Informal Procedure 4
4.

Formal Procedure 4-5
5

Stage 5-7
6.

Appeals 7
7. Additional Aspects 7

Authority to Take Action 8









Performance Improvement Policy & Procedure



1. Purpose and Scope

1.1 The purpose of this policy is to ensure that staff are given the opportunity to achieve
and maintain appropriate standards of performance at work.
1.2 This policy will apply to all employees except for

i. probationers for whom separate arrangements apply
ii. academic staff holding tenured contracts where sub standard performance
will be dealt with under the Disciplinary Policy

1.3 This policy has been developed in line with the recommendations of the ACAS Code
of Practice (Discipline and Grievance Procedures) on dealing with sub standard
performance.


2. Principles

2.1 The University has a responsibility and commitment to setting acceptable,
achievable, realistic and measurable standards of performance. These will be
expressed in clear, unambiguous and measurable terms and readily accessible to all
staff.

2.2 The University will, in accordance with its Staff Development Policy, ensure that
appropriate training and support is given to enable staff to meet such agreed
objectives, standards and targets identified as part of an approved performance
management or other review scheme.

2.3 Where a manager perceives sub-standard performance by a member of staff the
matter will be dealt with in accordance with the procedure outlined in this document.

2.4 All reasonable efforts will be made to assist staff to meet the agreed standard of
performance. Staff will not normally be dismissed because of a failure to perform to
required standards unless warnings and an opportunity to improve, with reasonable
targets and timescales, have been given.

2.5 Sub standard performance due to negligence or lack of application on the part of staff
will be dealt with under the Disciplinary Policy.

2.6 Managers must involve an HR Adviser at the very earliest stage of any formal
performance procedure. Formal meetings will only be conducted by trained
managers, supported by the HR Adviser, to ensure that, in adhering to the
procedures of this policy, there is fair application of equitable employment practice
and consistency of approach.

2.7 Where a formal hearing has been arranged, managers will ensure that the
employees are fully aware of their right to be accompanied by a fellow employee, a
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trade union official, or a friend. Solicitors or Advocates acting in a professional
capacity will not be allowed to appear on behalf of the member of staff or the
University during the hearing.

2.8 A written letter of explanation of any action taken will be provided to the employee
concerned.

2.9 Staff have a right to appeal against warnings or dismissal through the appeals
process as set out in Paragraph 6 of the policy.

2.10 All documentation will be removed from all files following the expiry of the warning.

2.11 Managers will be trained in the use of the Performance Improvement Policy &
Procedure and good practice to enable them to perform their management duties
efficiently, effectively and with due regard to reasonableness in all cases.

2.12 All correspondence will be sent to staff by Recorded Delivery.

2.13 Notwithstanding the fact that the procedure has been invoked this will not necessarily
result in the issue of a warning.

3. Informal Procedure

3.1 When a Manager is concerned that a member of staffs performance does not meet
the required standards, an informal discussion will be held with the employee to try
and establish the reason.

3.2 (i) If the discussion results in the decision that the normal expectations or
some targets are not reasonably attainable, then the standards should be
reviewed

(ii) Should the discussion establish that the performance problems are related to
the employees personal/domestic circumstances, then the Manager should
offer any counselling or support which is provided by the University.

(iii) If the discussion establishes that substance or alcohol misuse is a problem,
then the University Policy in this respect should be followed.

(iv) If the outcome constitutes misconduct i.e. negligence or lack of application
then the Disciplinary Policy should be invoked.

(v) Should the discussion establish that the performance problems emanate from
a change in University standards, then these standards will be explained to
the employee and help, and /or support, and/or guidance, and/or training will
be provided.

3.3 The Manager will keep a note of any informal discussions held with the member of
staff including agreed actions and details of timescales for improvement. The
employee will be provided with a copy of this note.

4 Formal Procedure

4.1 Should the member of staff show insufficient improvement over the required
timescale, a formal hearing will be arranged. The Manager will write to the employee
advising of the arrangements and giving the reasons why the hearing is being held.
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The member of staff should be advised of the right to be accompanied should he/she
wish.
Solicitors or Advocates, acting in a professional capacity will not be allowed to
appear on behalf of either the member of staff or the University during the hearing.

4.2 The hearing has a number of objectives:

(i) To clearly explain the shortfall between the employees performance and the
required standard.

(ii) To identify the cause(s) of the performance problem and to determine what, if
any, remedial action can be taken e.g. training, retraining, monitoring, general
support etc.

(iii) To obtain the employees agreement and commitment to reaching an
achievable standard within a reasonable period of time.

(iv) To explain to the employee what will happen if the standard is not met within
the review period.

(v) To arrange to meet regularly with the employee during the review period to
monitor progress and assist as required.

4.3 These details should be recorded in writing and the Manager will confirm the
outcome of the hearing in writing to the employee.

4.4 Authority to take Action:

(i) All warnings will be undertaken by the Line Manager with an HR Adviser in
attendance.

(ii) Any hearing undertaken for an employee holding a final warning under this
procedure, must be taken by the Dean or the Head of Department. (Please
refer to Appendix 1 Authority to Take Action)

5. Stages

5.1 Stage 1 Recorded Verbal Warning

The first warning stage of the procedure should be a Recorded Verbal
Warning. Following a formal hearing the employee will be advised verbally of
the reason for the warning, that it constitutes the first stage of the
Performance Improvement Procedure and the right of appeal. The employee
will be advised that improvement will be required within a reasonable
timescale (as defined in warning letter).

Following a warning, at any stage of the procedure, a letter confirming the
outcome of the meeting will be sent to the employee giving details of:

Improvement Required
Timescale for improvement
Action which would be taken under the next stage if no satisfactory
improvement
Right of Appeal


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5.2 The Review Period

At the end of the review period, a further formal hearing will be held, during
which the following will be addressed:

(i) If the employee has attained the required improvement, they will be advised
of this and encouraged to maintain this improvement.

(ii) If some improvement has been made, and it is likely that there will be further
improvement, then the Manager should give consideration to extending the
review and warning period and implementing further training, support or other
remedial action. This, however, should not be unduly prolonged.

(iii) If some improvement has been made but it is judged to be unlikely that there
will be further improvement to meet the requirements of the job, then
consideration will be given as to whether there are alternative vacancies,
which the employee would be competent to fill with further training. Full
discussion with all Managers involved will take place before any offer of a
suitable alternative vacancy is made.

(iv) The Verbal Warning will be removed from file after 6 months subject to
satisfactory improvement

(v) If there has been no discernable or little improvement or if (ii) is not
appropriate, then the Manager must explain to the employee that there has
been a failure to improve and that the warning system will be progressed.

5.3 Stage 2 First Written Warning

If following the issue of a verbal warning and review there has been no
discernible improvement within a reasonable period of time (the stated
timescale) then a First Written Warning will be issued.

This warning should be recorded in the same way as the first warning above
with a copy placed in the employees file.

The first written warning will be removed from the file after 12 months subject
to satisfactory performance improvement.

5.4 Stage 3 Final Written Warning

If, following the issue of the First Written Warning and review, there is still no
discernable improvement within a reasonable period of time, (the stated
timescale) then, following the formal hearing, a Final Written Warning will be
given.

This warning should be recorded in the same way as the first warning above,
with a copy placed on the employees personal file. This should give details of
the reason for the warning, warn the employee that failure to improve may
lead to dismissal or some other action short of dismissal, and refer to the right
of appeal.

A Final Warning will normally be removed after a period of 18 months subject
to satisfactory performance improvement.


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5.5 Stage 4 Dismissal (With Notice)

If, following the issue of the Final Written Warning and review, there is no
appropriate, timely and sustained improvement then a hearing will be held
and unless there are any exceptional or mitigating circumstances then the
employee will be dismissed with notice or payment in lieu of notice.
The employee will be provided, within 5 working days with written reasons for
the dismissal, the date on which the employment will terminate, the
appropriate period of notice or payment in lieu of notice. The letter will also
notify the employee of his/her right of appeal.

5.6 In specific and exceptional circumstances where improvement is unable to be
effected within stated timescales, for example, due to strictures of the
academic timetable, then consideration will be given to extending the warning
period.

6. Appeals

6.1 Any employee who is aggrieved by action under the Performance Improvement
Policy and Procedure which results in the issue of a Verbal Warning, a First Written
Warning or a Final Written Warning shall have a right of appeal to the Manager
senior to the Manager who issued the warning. This decision will be final. Appeals
must be lodged with the Director of Human Resources within 10 working days of
receipt of the letter confirming the warning. If the employee does not exercise the
right to appeal within the 10 days specified then the right to appeal will expire. The
University undertakes to hear all appeals normally within 1 month of the appeal being
submitted. All exceptions to this will be reviewed by the Director of Human
Resources.

Please refer to Appendix 1, Authority to Take Action
6.2 All employees who have been dismissed under the Performance Improvement Policy
and Procedure will have the right to appeal to the Employee Appeals Committee
provided that the appeal is lodged with the Director of Human Resources within 10
working days of receipt of the letter confirming the dismissal. The University
undertakes to arrange the Appeals Committee hearing as soon as possible. The
decision of the Employee Appeals Committee is final. If the appeal is upheld the
employee will have the right to be re-instated with all back pay reimbursed and
contractual rights reinstated.

6.3 The Employee Appeals Committee will consist of 2 lay members of Court and 1
member from the Principals Strategy Group, none of whom should have been
previously involved with the case. The HR Director or Depute HR Director will be in
attendance to clerk the Committee and give advice as required.

5.3 The Court Appeals Committee will comprise of 3 lay members of Court.

7. Additional Aspects

This Policy including the Authority to Take Action will be periodically reviewed in light
of any developments in employment legislation and practice and, if necessary,
revised in order to ensure continuing relevance and effectiveness.

Any amendments will be implemented only after full consultation with Trade Unions.

Department of Human Resources
October 2003

APPENDIX 1

PERFORMANCE IMPROVEMENT PROCEDURE

AUTHORITY TO TAKE ACTION





Academic Staff Admin/Support Staff Senior Manager Group Principals Strategy Group
Level of
Action
Performance
Improvement
Hearing
Appeal Performance
Improvement
Hearing
Appeal Performance
Improvement
Hearing
Appeal Performance
Improvement
Hearing
Appeal
Recorded
Verbal
Warning
Line Manager Manager senior
to Line
Manager.
Line Manager Manager senior
to Line
Manager.
Line Manager
(Member of
PSG)
Another Member
of PSG
Principal Court Appeals
Committee
(3 lay members
of Court)
First
Written
Warning

Line Manager Manager senior
to Line
Manager
Line Manager Manager senior
to Line
Manager
Line Manager
(Member of
PSG)
Another Member
of PSG
Principal Court Appeals
Committee
(3 lay members
of Court)
Final
Written
Warning

Line Manager Manager senior
to Line
Manager
Line Manager Manager senior
to Line
Manager
Line Manager
(Member of
PSG)
Another Member
of PSG
Principal Court Appeals
Committee
(3 lay members
of Court)
Dismissal Dean Performance
Improvement
Appeals
Committee
Director or
Senior Manager
Performance
Improvement
Appeals
Committee
Line Manager
(Member of
PSG)
Performance
Improvement
Appeals
Committee
Principal Court Appeals
Committee
(3 lay members
of Court)


i. Performance Improvement Appeals Committee will consist of 1 member of PSG (not previously involved), 2 members of Court and with HR Director or
Depute HR Director
in attendance.

ii. Court Appeals Committee will consist of 3 lay members of Court and with HR Director or Depute HR Director in attendance


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