Guidance for dealing with Staff Performance

Transcription

1 Guidance for dealing with Staff Performance Introduction The Quality through People project, which reported to Directorate in 2010, identified a number of recommendations in terms of staff processes. The introduction of Performance Management guidance was seen as one of the key priorities. The guidance that follows will focus on dealing with poor performance; this will form the first part of the implementation of the recommendation. Further guidance based on identifying and rewarding exceptional performance and also working to encourage those whose performance is considered adequate will follow. 1

2 1. What is Performance Management? Managing employees' performance is an ongoing process. It involves making sure that the performance of employees contributes to the goals of their teams, their Faculties or Departments and the University as a whole and provides a stimulating environment for the indivudual. The aim is to continuously support staff to improve the performance of them as individuals and therefore that of the University. Good performance management helps everyone in the University to know: what the University is trying to achieve their role in helping the University achieve its goals the skills and competencies they need to fulfil their role the standards of performance required how they can develop their performance and contribute to the development of the University how they are doing when there are performance problems and what to do about them Purpose of Managing Poor Performance The University believes that it has a highly skilled, professional and competent work force and that its employees work to the highest standards. It also recognises that there may be occasions when employees do not always meet the standards of performance required, for a variety of reasons and managing other people s performance is an integral part of a manager s role. There is an ongoing need to ensure that staff perform their roles to the best of their ability. This guidance has been developed to deal with the minority of cases where performance does not meet acceptable standards and should be used to encourage and assist employees to meet the standards of performance of the job for which they are employed. All staff will be treated consistently and fairly and the guidance is designed with the primary objective of improving an individual s performance to the required level wherever reasonably practicable. It is acknowledged that each case will need to be considered on its own merit and that any action plan for dealing with performance issues will need to be based on the needs and circumstances of the individual and the requirements of the role. However, it is vital that when an action plan is developed, clear timescales are set out. Managers should work closely with their HR officer link to determine these timescales and these should be clearly communicated to the staff member involved. 3. What is Poor Performance? Poor performance can occur where a member of staff is failing to achieve a satisfactory level of performance, either in terms of not achieving objectives that have been set during appraisal or where an individual s behaviour falls outside that which has been set as a standard by the University. 1 Based on ACAS guidance April

3 3.1 Identifying Poor Performance In order to determine whether an individual is performing to an acceptable level it is essential that performance measures/standards have been put in place. An individual needs to be clear about what is expected of them and how their contributions fit in to meeting team, faculty /department and University objectives. There are 3 existing structures available to support this: - 1. Objectives and measures will be set for new staff early in the Probation period. 2. The Appraisal will be the process used to set objectives for existing staff on a rolling annual basis. These will need to be reviewed regularly and will change over time to reflect the changing needs of the University taking into account the aspirations of the individual. 3. The University has defined a set of Values and Principles (link to V and P page) which outline the behaviours expected of staff and against which performance can be measured. The way in which objectives are achieved should have regard to these Values and Principles. 3.2 Probation All New staff at the University will be subject to Probation, full details of the Policy and Procedures to be followed can be found on Glamlife. One of the key elements of the probation period is for managers to outline for new staff the standards of performance required and what they will be expected to achieve (their objectives) in their role. Objectives will need to be clearly outlined, documented (using the Appraisal forms), with measurements of performance defined. It is the responsibility of both the individual and manager to identify any support, training or other forms of development that need to be put in place. It is recommended that managers should meet at least on a monthly basis for regular supervision to allow the employee s performance and progress to be monitored to effectively resolve any problems that may arise in a speedy manner. 3.3 Conducting Appraisals and setting objectives Assessing current performance is central to appraisal, and it is from this that development needs and future objectives are set. During the annual appraisal objectives will be set which will outline what is expected of the individuals. It is important that for all objectives there is a clear understanding what needs to be done in order for them to be achieved, and to satisfy the expectations of both parties. The SMART acronym is a useful way of getting objectives right. Objectives should be Specific, Measurable, Achievable, Relevant and Time bound i.e. Specific objectives should state a desired outcome. What does the individual need to achieve? Measurable how will the individual and line manager know when an objective has been achieved? Achievable are the objectives something the employee is capable of achieving, yet sufficiently challenging? Relevant do objectives relate to those of the Team/Faculty/Department/University? Time bound by when should the objective be achieved? 3

4 Whether at the time of appraisal or during subsequent reviews, if objectives have not been met it is for the manager to determine whether it would be appropriate to move beyond the appraisal review process and into the disciplinary process (the disciplinary process is the process through which unacceptable performance is managed). If this is deemed to be the appropriate action this should be clearly communicated to the individual in a formal discussion and appropriately documented. It is important to note that the appraisal meeting is confidential between line manager and the individual however where it has been identified that an individual is not meeting their agreed objectives the appraisal will be the conduit to subsequent performance management discussions. In this circumstance the objectives set at appraisal may be shared with others who may be involved in the process. 3.4 Statement of Expectation The University has in place a set of Values & Principles that have been introduced as part of the Leadership and Management attributes but are equally as applicable to all staff. These Value/Principles form the basis of the behaviours that are expected of all staff within the University and can be used as a measure of performance by line managers. All staff will: Demonstrate respect by behaving in a courteous and respectful manner when dealing with others, regardless of their status or background Adhere at all times to the Glamorgan Groups commitment and policy on Equality and Diversity matters Treat people fairly Acknowledge mistakes and apologise/seek advice when appropriate Keep promises and therefore only commit to what can be delivered Respect confidentiality Act with honesty and integrity Proactively develop open, honest and trusting relationships for mutual benefit Recognise, respect and value the different contributions of individuals and functions Demonstrate a personal commitment and loyalty to team/faculty/department and the University 4. Responsibilities Performance Management at Glamorgan is the responsibility of both the line manager and the individual and they need to work together and have responsibilities in the process. There are three aspects to planning an individual s performance: Setting objectives (see Appraisal and Probation) Outlining competencies or behaviours Identifying Personal development 4

5 Staff Individuals are responsible for: Ensuring that they are aware of their responsibilities; Performing their duties to a satisfactory level; Understanding that if their work performance falls below that which is deemed to be acceptable, managers will be obliged to address the issue; Ensuring they understand the consequences of not improving Working with their line manager to identify measures that could be used to improve performance and engaging in the review of the action plan. Engaging in any reasonable training and development that will enable them to reach the required level of performance for the job; Informing their manager of any issues which could be affecting their work performance. Managers Line Managers are responsible for: Ensuring that any staff experiencing performance difficulties are managed appropriately and working with the employee to identify measures that could be used to improve performance Ensuring the staff member has a full understanding of the consequences of not improving Setting realistic and measurable standards of performance to include an action plan, incorporating targets, standards, deadlines and further support Setting a reasonable time frame within which improvement is expected. Setting up a regular progress review meeting during the review period. Providing reasonable support, adequate supervision and encouragement so all employees can achieve their objectives Making clear the areas in which the individual s performance is below expectation (explaining the grounds/evidence for this view). Trying to identify any problems or reasons for the underperformance. HR Officer role The role of the HR officer is to advise Line Managers to ensure that informal options are explored and/ or where necessary formal procedures are followed, ensuring that a rigorous and fair process is used and the individual is treated fairly. The HR Officer will also advise on possible overlaps with other HR processes e.g. sickness or grievance. Staff development adviser role The staff development adviser can provide guidance on developing action plans where appropriate. 5. Managing Poor Performance The procedures for dealing with poor performance concentrate on the identification of the problem and the support process to correct and deal with the under-performance. In all cases an agreed programme of action and support will be drawn up to address the specific issues of concern within a reasonable timeframe having regard to the circumstances. 5

6 Poor performance or falling standards of performance may occur for many reasons. It is important to identify the reasons wherever possible so that support provided to the employee can be tailored to address specific problems. Examples of possible causes and responses are: Knowledge Gap - Individual employees may not have the necessary knowledge, understanding or skills to do the job. This may have arisen through poor recruitment processes or because the skills required to do a particular job have changed over time, for example the introduction of information technology. These problems could be addressed through targeted training in specific skills/knowledge. Changes to Academia - The significant changes that have taken place within the education sector within recent years means that the demands made of academic and support staff have altered and continues to change over time. Whilst the vast majority adapt with ease to new work requirements some may feel deskilled and lose confidence in their abilities. Again targeted training or observation programmes may assist in meeting any knowledge or skills gaps. Alternatively a change in defined responsibilities may be negotiated. External factors - Factors outside the workplace may affect work performance. This may well be a temporary situation whilst the employee deals with other problems. The situation should be explored sensitively with the employee to identify and provide support at work relevant to being able to resume undertaking the duties at an acceptable level. Work will often suffer when an employee is ill. For example, if an employee is not well they may experience problems with concentration or managing workloads. Where ill health persists matters should be dealt with utilising the Managing Sickness Absence procedures and through the services offered by occupational health and staff counselling & support. If the person could be considered disabled, then the issue of reasonable adjustments may need to be addressed by managers and the employee. A reasonable adjustment could mean, for example, adjusting equipment, ensuring regular breaks or adapting working patterns. 6. Managing Poor Performance: Actions The aim of the Poor Performance guidance is to: ensure that staff who are failing to meet an acceptable level of performance are offered the support and guidance they need to improve; provide a framework and timescale for the effective and consistent handling of poor performance throughout the University that is reflective of the values held in the University's Strategic Equality Plan, minimise the impact of poor performance on the efficiency and quality of University services and the morale and well being of other staff. The main objective of this guidance is to address performance issues or concerns at an early stage, allowing the member of staff to reach and sustain satisfactory standards of performance. Implementation of the informal stage of this procedure should not be seen as necessarily a forerunner to formal action, although there may be instances where it may become necessary to invoke the formal procedure. However, regardless of whether the formal or informal stages are invoked, the emphasis is about support, guidance and advice, and Managers should feel confident about using the procedure in a positive and supportive way. Each case must be considered on its own merit and the nature of the support or development intervention should be individualised. Managers will need to ensure that they have documented each interaction with a member of staff and that this is brought to the attention of the staff member. 6

7 6.1 Support and Development Informal Stage Initial Discussion Once the line manager feels there is an issue with the performance of a member of staff they should seek a discussion about that issue with the individual on an informal basis to gauge an understanding of the issues and to explore any external factors that could be prevalent. An action plan and future reporting arrangements will be communicated with the employee concerned. Put into place an action plan for dealing with the performance the action plan will include some clear and measurable objectives and timescales set. Managers should use their HR officer link for support and advice on the appropriateness of the objectives and appropriate timescales. Identification and set up of development interventions once the reason for the under performance has been identified it may be necessary for the individual to undertake personal development for example if the individual is underperforming due to a lack of expertise in a given system or area. This is a joint responsibility but the line manager should ensure such training is undertaken. The action plan will contain individual tasks with discrete timescales for each objective where possible. The line manager could look to arrange for another member of staff to act as a mentor for the individual concerned utilising the University s Mentoring scheme. The mentor could provide guidance and advise the employee accordingly. Arranging Regular planning meetings The line manager should be looking to hold regular meetings with the individual to allow them to discuss problems, identify potential solutions and for progress to be discussed and monitored. The actions from these meetings will be noted as actions in the plan, which will be amended as progress continues. In dealing with issues of underperformance managers must ensure that the employee: Knows what standard of performance is necessary Is set clear targets to help them attain a satisfactory level of performance Is given support Is allowed time to improve Knows the consequences of not improving (instigation of formal procedure) If after this period of review the employee s performance has not improved to the required standards, the formal procedure will commence. This should be clearly communicated to the individual and formally documented noting the appropriate course of action Formal Procedures Following meetings with the employee where the manager has explained the standard of performance required either by way of regular supervision and / or by setting objectives, if the employee s performance level fails to meet an acceptable standard within a reasonable timescale, then formal proceedings under the University s disciplinary procedure will commence. HR advice should be sought regarding the point in time that the process moves from informal to the formal performance management process. The manager will discuss with the employee the matters raised and take full account of the circumstances surrounding the capability issues prior to consideration of any formal action. 7

8 Where the employee has failed to reach an acceptable level of performance, following support, guidance and time provided to improve the formal stage will be invoked. The line manager should alert the employee that following the period of support the matter will be referred to the next in line manager who will then consider whether the case should be referred to the University s disciplinary procedure for investigation. For further actions refer to the disciplinary procedure. 8