Managing Underperformance

0:00
Hello and welcome to this recording on Managing Underperformance.In this session, we're going to walk through the university's approach to managing underperformance. This session is aimed at anyone who holds line management responsibilities and is designed to give you confidence, clarity and some practical tools for dealing with performance concerns in a fair and supportive way. Whether you're new to performance management or looking to refresh your skills, this session will help you understand both the policy framework and day-to-day expectations. This recording may also be useful if you are wishing to progress into a role with line management in the future. If you haven't yet read the Managing under Performance policy then it is recommended that you do so. This policy and all the links mentioned in this recording are listed at the end of the slides and also in a resource document which is saved alongside this recording.

0:58
As we work through this session, we will aim to define what we mean by underperformance, after which we will look at roles and responsibilities. We'll explore the difference between capability and conduct, something that can often be difficult to identify. We'll then work through the policy and associated processes step by step, including informal action, setting expectations, support options and using performance improvement plans, otherwise known as Pips effectively. We'll look at the formal hearings and redeployment activities. We'll also look at how to navigate some common issues that arise. The session will finish with key take home messages.

1:41
The Management of Underperformance policy provides A consistent, fair and supportive framework for addressing underperformance concerns. The intention is not a punitive action. It is to work collaboratively with employees to meet the standards required of their role and to support improvements where needed. It is hoped that with early intervention and good management practise, any performance concerns can be resolved collaboratively at an informal stage. However, we know this is not always possible. Line managers hold responsibility for managing performance and providing support and guidance to their team. Where performance concerns become apparent, it is important that managers address them either during one to one meetings or through the PDR process. Early intervention is key. Managers should clearly evidence why they have concerns and how to identify and provide support to the employee to enable them to fulfil all areas of their role description and to meet the required performance standards. Managing underperformance can be challenging and it can be hard to know how to begin, but it can also be a positive experience and how to refocus the individual and reset the standards expected. Managing performance can also strengthen relationships by removing any ambiguity, refocusing on the standards expected of the role and defining what good performance looks like. Whilst this training module seeks to explore the management of underperformance, it is important to note that managers have an obligation to manage performance consistently. Proactive discussion and engagement around performance more generally can help to avoid minor concerns becoming a more significant performance concern in the longer term. The underperformance policy does not apply to individuals engaged via uni temps on variable monthly payroll or other third party arrangements. Where performance issues arise during an employee's probationary period, the matter should be managed under the University's probationary guidelines and associated processes. The principles discussed in this session will still apply in terms of giving clear feedback and setting clear objectives.

3:59
Everyone has a role in upholding performance standards. Managers and employees are expected to model and uphold the University's values and expected behaviours. Managers need to ensure that all employees know their responsibilities and employees have an accountability to act on these and seek clarity where they are uncertain. Managers need to provide regular feedback and recognition to support performance and employees have the responsibility to respond to feedback and work towards individual and performance targets. Managers have a responsibility to address performance issues under the informal procedure where possible, and employees have a responsibility to engage with the performance management process. Both managers and employees have a responsibility to identify additional development needs that may help improvement performance and explore any barriers that may be limiting performance.

4:58
A key differentiation that managers need to determine is whether a perceived performance issue is due to conduct or capability. Conduct relates to choice, for example an employee choosing not to do something they reasonably could or refusing to comply with expectations. An example could be not complying with the university clearly defined dignity principles. Capability relates to ability, for example, someone can't do what is required of them in their role for reasons such as training gaps, lack of knowledge or experience, clarity of expectations, lack of confidence or health factors. Being clear on the distinction between conduct and capability matters because it determines which policy and route forward applies. It is important that managers seek advice from their people partner to determine the most appropriate course of action.

5:55
The management of underperformance process starts at an informal stage. Most issues can and should be resolved at this stage with early intervention and clearly explained expectations, support and monitoring. If the required improvement isn't achieved, line managers are able to move to the formal stages. At each stage of the formal procedure, the level of potential outcome increases from a first written warning at stage 1 to potentially dismissal at stage 3. After each stage there should be an agreed time frame within which the employee is given the opportunity to improve before moving to the next stage. At every formal stage there is a right of appeal. During the formal stages, the individual has the right to be accompanied by a trade union representative or a work colleague. The aim is to always help the employee succeed with a fair and clear structure.

6:54
Successful managers act early. Any deterioration in an employee's performance should be identified and addressed at the earliest opportunity as part of regular, informal management conversations. The aim is to pick up on any issues as soon as they arise, allowing you and your team member to have open, transparent conversations. This can help to reduce any defensiveness and helps maintain a good working relationship. Managing underperformance is only one component of performance management. Whilst this session focuses on the management of underperformance, overall effective performance management is a continuous process involving ongoing conversations, feedback and goal setting. Normalising discussions about performance will help with our concerns about underperformance and may lead to an employee suggesting solutions or identifying support that would help them. It is also important to explore any underlying reasons for any perceived underperformance, such as health, workload levels, confidence or unclear expectations, and to consider any reasonable adjustments that could be implemented. A proactive approach at this stage leads to much better outcomes for everyone. Line managers can signpost to support services such as our Employee Assistance Programme or make referrals to Occupational Health if medical guidance is required. Addressing concerns early on can prevent a negative impact on the individual's team. Informal performance management might happen as part of regular 1 to 1 discussions, PDRS or line managers may prefer to arrange separate dedicated review meetings. Throughout the informal process, it is important that clearly documented records are kept of discussions and objectives. Line managers may wish to use a structured PIP, a performance improvement plan template or simply following up agreed objectives, support and adjustments via e-mail. Following up on any action points with the individual in writing via e-mail is helpful to reiterate the standards expected of the individual. It is recommended that good record keeping practises are followed at the informal stage as they may be required as documentary evidence if the discussion progresses to the formal stage.

9:21
If performance concerns are not resolved through normal day-to-day conversations then the line manager should arrange to meet with the individual as part of the informal procedure. A good approach to managing performance informally involves meeting with the employee, giving advance notice where possible, discussing the perceived problem and exploring reasons for the performance standards not being met. Ensuring there is an opportunity for the employee to offer their perspective. Having a collaborative review of required support and reasonable adjustments where required. Occupational health can also provide support if needed. Development of a simple, structured performance improvement plan with smart, specific, measurable, achievable, realistic and timely objectives. This will be discussed in more detail later. It is not essential to complete a performance improvement plan at this stage, but at the very least objectives and actions should be clearly agreed and captured in writing. Lastly, schedule regular reviews to consider progress. A usual monitoring period Is around 3 months, although this can vary depending on the role, the agreed objectives and the extent of underperformance. It is possible to extend the informal monitoring period If the individual is on the right trajectory. An extension to a monitoring period may also occur if the individual has been absent due to sickness during the monitoring period. An extension to the informal process would generally only occur once. If you are unsure, please seek advice from your people partner. It should be made clear to the employee that failure to meet the required standards by the end of the review period may result in a matter being progressed through to the formal management of underperformance procedure.

11:12
Before attributing blame or concluding that someone is underperforming, we need to ask ourselves whether expectations have genuinely been made clear. What evidence is there of this? For example, job descriptions, induction plans, probational period goals, mentoring and supervision, one to ones and feedback all play an important role. Roles evolve, workloads shift and priorities change, so part of managing performance is making sure people remain informed and aligned with what is expected of them. If training is a requirement to ensure that individuals are given an opportunity to perform all areas of their role effectively, for example to support change in computer systems, it is important that this is considered when monitoring performance, it is important to have regular, transparent conversations around expectations.

12:07
Support can take many forms. Sometimes it's a matter of adjusting workloads or giving clearer structure. In other cases, additional resources like training or coaching are helpful. Or closer supervision to support an employee while they are performing a task can also be beneficial. Observing good practise is another powerful tool. Seeing someone else demonstrate an approach can be far more effective than written instruction. Occupational Health or the Employee Assistance Programme can support their health or well-being of factors. The University's Talent and Development Team's website provides a variety of development resources, including access to LinkedIn learning modules. Coaching may also be appropriate and the Talent and Development Team also operates an internal coaching scheme that may be of benefit. Links are available in the Useful Links resource document to supporting this video.

13:04
At each stage of the process, the manager should set a performance improvement plan, known as a PIP. A performance improvement plan formalises the support and expectations agreed. It should be specific, practical and measurable where stages follow the plan does not need to be brand new, but rather revisited and redefined. It should be treated as a dynamic live document. It's important that targets are realistic and that review dates are clear. Employees should understand not just what needs to change, but also what support they will receive and what the consequences are if standards are not met. People partners can help benchmark what reasonable expectations could look like. When considering what is a reasonable objective, managers should consider whether there are external factors that may influence an employee's ability to successfully achieve the objective. For example, does the objective rely on action from a third party? Does the objective have a reasonable time frame? If the objective is to publish an article in a particular journal, has the time frame taken into account the length of time this may take to achieve, or does it need to be rewritten to demonstrate what is achievable in that time frame? A Performance improvement plan or PIP template can be downloaded from the Useful Links resource document supporting this recording or see section 4.5 of the policy for more details.

14:36
If satisfactory improvement has not been achieved by the end of the informal review period, line managers may escalate the underperformance concerns to the formal procedure. This should only happen after consulting with a relevant people partner to ensure the process is fair and compliant. A formal hearing requires 7 calendar days advance notice and the employee has the right to representation by a trade union representative or a work colleague. These meetings are structured with a clear agenda and should be evidence based. The goal remains focused on performance improvement and how this can be achieved. Section 5, 2.1 in the Management of Underperformance policy provides detail of what to include in the notice of a formal hearing letter. Your people partner will be able to help with this.

15:28
Each stage of the formal process increases the level of potential formal outcome. For example, a 12 month written warning is normally the maximum sanction issued as a Stage 1 hearing, a 24 month written warning would normally be the maximum sanction issued at a Stage 2 hearing and a Stage 3 hearing may end in possible dismissal. At each stage the panel will look at evidence with a view to assessing the extent of the underperformance, the progress to date and any mitigating factors to performance improvement.
It is also the employee's chance to put forward their view. Any action plan resorting from a hearing must be clear and specific. The outcome of the hearing will be confirmed in writing to the employee within 7 calendar days. The employee has the right to appeal at all formal stages and the policy clearly details on what grounds appeals must be based on.

16:26
At stage 3, academic staff have additional protections. They can request a review to ensure that academic freedom has not been infringed where there is potential risk of dismissal. For this reason, Academic Freedom Review Committee (or AFRC) submissions are not an entitlement at any other stage in the process as dismissal is only a potential outcome at stage 3. This review is carried out by the AFRC, which looks independently at whether the process has impinged on an academic judgement or freedom of expression. The management of underperformance proceedings may be paused pending the outcome of the AFRC decision and will recommence if the AFRC committee determines there has not been an infringement.

17:16
If performance fails to improve then alternatives to dismissal should be considered. This could include redeployment to a more suitable role. Redeployment can sometimes be an alternative to progressing further in the formal process. It needs to be considered carefully and realistically. It should not be used simply to move a problem elsewhere. It is also important to remember that the University is not required to create a role. At the final stage redeployment must be a consideration to ensure any dismissal is fair. Redeployment may also need to be considered as a reasonable adjustment if the individual has a disability and the performance concerns are because of the disability.

18:03
There are a number of common complications during the process. These include absence, refusal to attend occupational health and grievances raised mid process. If an employee refuses to attend occupational health, it should be explained to them that the process may continue and that their refusal may deny the panel the benefit of expert medical input. It may also be helpful to refer the individual to their terms and conditions of employment, which highlights the requirement to attend an occupational health appointment if required. The key principle is to maintain fairness while keeping the process moving. For example, a meeting may be rescheduled once for good reason, but proceedings can continue in someone's absence with alternative arrangements for input, including a written submission instead of attending a hearing, or the meeting could be held remotely. If an employee raises a grievance during the process and the grievance relates to the performance management process, this would normally be dealt with at the end of performance hearing or as part of the appeals process. Your people partner can provide guidance on such cases if required.

19:15
Key points to note Ensure you retain a copy of all correspondence and notes of meetings. Good documentation protects both the employee and the University and ensures fairness at every stage. Ensure your Pips are smart and tailored, maintain momentum with regular reviews and communication so issues aren't left drifting, and adapt plans where necessary.

19:43
We have included links to the information, forms and guidance mentioned during this training, as well as a list of the people partners for each university department. This recording has covered the process of managing underperformance. Hopefully, as we have talked to you through it, it has become apparent that other skills are important too. Such as listening, asking great questions, demonstrating empathy and navigating more difficult conversations. Please visit the Talent and Development web pages where you can find more details of development options including LinkedIn Learning and the Star Manager programme which is recommended for all managers. Finally, we have included a link to the Staff Well-being Hub to help support you and your own well-being and that of your team. We hope that this recording has given you the knowledge and tools to manage and performance in your team and has helped you feel more confident in having conversations to address issues early on. Hopefully this recording has answered these questions, but if not, please contact your people partner where they can support with specific questions and with advice on managing a particular case.

20:55
Thank you for listening.