3. Remedying Poor Performance

Transcription

1 3.. Aim of the Code of Practice 2. Key points 3. Outline of Procedure 4. Time-scales 5. Authority to make decisions 6. Informal action 7. Formal action 8. Panel hearing 9. Lodging an appeal 0. hearing. Warnings and other sanctions September 2005

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3 Aim of the Code of Practice: The aim is to: enable managers to remedy problems of poor work performance effectively and in good time; 2 warn staff if they fail to meet standards; set targets for improvement; offer reasonable support; and if their job is at risk, keep them informed; 3 deal with these matters fairly and using the principles of natural justice; 4 set out in practical terms, the processes required for the College to implement its Statutes and Ordinances covering the management of poor performance 2. Key Points Managers will: apply reasonable work standards consistently and fairly; 2 monitor and manage the work performance of their staff 3 ; 3 recognise that in capability cases, the failure to perform is not deliberate or willful.. The meaning of the word Manager is discussed in the glossary in the Introduction, page Poor performance is a disciplinary matter and is therefore dealt with in Statute 2, paragraphs 9 to 4, which cover dismissal arising from disciplinary matters. Ordinance C2 section C sets out the College s arrangements for dealing with discipline. In any dispute about interpretation, the Statutes and Ordinances take priority over this Code of Practice. 3. A number of formal schemes are used to appraise College staff and manage their performance. These include the NHS Clinical Performance Scheme, Performance Standards in the scheme for the evaluation of teaching performance, etc. This Code of Practice on Poor Performance is to be used separately from such schemes. However, records kept in such schemes may be used to provide background and evidence for issues raised under this Code of Practice - with the exception of the Queen Mary Performance Appraisal Scheme, which is explicit that it will not be used for such purposes. September :

4 Managers will: deal with staff informally on matters which do not warrant action under the formal stages of this Code of Practice; 2 if formal action is required: - consult the head of department to arrange for a less serious matter to be dealt with in a hearing by a manager with authority to decide the case; - consult the Director of HR to arrange for a serious matter to be dealt with in a hearing by a panel with authority to decide the case; 3 ensure that the employee is given reasonable notice of any formal hearing (normally at least 5 working days) and is told: - what the issues are; - that they have the opportunity to be represented; 4 give any formal warning (or final warning) in writing; 5 give a right of appeal against decisions taken under the Code of Practice: - for decisions by a manager any appeal will be heard by another manager; - for decisions by a panel any appeal will be heard by another panel; 6 dismiss an employee on capability grounds only if: - the employee has already been warned that their job is at risk (except for cases of gross negligence or gross incompetence); - there is no reasonable alternative to dismissal.; 7 in cases where they are considering formal action against a union representative: - consult the Director of Human Resources; and - at the earliest practical time, discuss the case with a senior or full-time official from the union.. Statute 2 (and therefore Ordinance C2 and this Code of Practice) divides poor performance into two categories: "serious", and "less serious". In practice, poor performance must be of serious concern before a manager will consider formal action. In Statute 2, "serious matters are those which may require a sanction of greater severity than a final warning and which are therefore reserved for a panel (rather than a manager sitting alone) to consider. On the other hand, less serious matters in Statute 2means misconduct which can be dealt with by the manager who after a formal hearing may decide that a warning, or even a final warning, is an appropriate sanction. The designation less serious is not meant to imply that managers should impose warnings for trivial matters. 3:2 September 2005

5 Outline of procedure The procedure: has four formal stages including a right of appeal, but is usually preceded by informal action; 2 provides for formal action in which: - line managers may give formal warnings and final warnings; and - another more senior manager will hear any appeal against a warning issued by a line manager. 3 provides for: - a panel to hear cases where further action, including dismissal, is being considered; - appeal panels to hear appeals against a decision made by a panel. Informal Action To discuss the standards required, set targets and review periods. Formal Action To set standards, offer support and warn the employee about further action if the standard is not met. Panel Hearing To consider if standards are being met, and if not, consider what action to take. This may include dismissal. Lodging an The employee sets out any grounds of appeal. Hearing To consider any grounds of appeal raised by the employee September :3

6 Timescales Informal action Notification of Formal Hearings Written decision with reasons Lodging an appeal Hearing Managers will: raise matters which impact on performance in good time and with no unreasonable delay; 2 allow reasonable time for the employee to meet standards (taking into account the nature of the job and the effect on students and other customers). The employee is entitled to reasonable notice of the hearing, normally at least 5 working days. There should be no undue delay between a decision that action is required and the notification of the hearing. Within 5 working days of the completion of the hearing. Within 0 working days of the written outcome of the meeting. Without unreasonable delay, normally within 20 working days of the appeal being lodged. Final decision reasons with Within 5 working days of the written outcome of the meeting.. If any of the above timescales cannot be met, the appropriate manager or the Secretary to the appeal panel will keep the employee informed of the: timetable for dealing with the matter, 2 the progress so far; and 3 the reason for any delay. 3:4 September 2005

7 Authority to make decisions Line Manager Setting standards, managing and monitoring performance. In consultation with the head of department, initiating a formal hearing by a manager which may result in a warning or final warning. In consultation with the Director of HR, initiating a formal hearing by a panel which may result in a sanction more severe than any warning. Issuing formal warnings (including final warnings) following a formal hearing. The head of department or institute (or another person they nominate) Principal (normally delegated to the Director of HR) Panel Panel Initiating a formal disciplinary hearing by a manager which may result in a warning or final warning. Hearing appeals against warnings issued by managers. Initiating a formal hearing by a panel which may result in a sanction more severe than a warning. Decisions to dismiss and other sanctions specified in the Code of Practice. Determining appeals against dismissal or other sanctions imposed by a panel. September :5

8 Informal Action The manager will: through normal management processes ; - discuss and explain the standards required; - review the employee s performance; - give reasonable evidence of the way that they are falling below the standards required; - discuss any problems the employee is having; - offer reasonable training, support and guidance; - set reasonable time limits for the employee to achieve and maintain the standard of work; 2 if necessary, tell the employee that the next stage would be to move to a formal meeting if their work remains unsatisfactory; 3 keep records and notes of the ways in which they set standards and support the employee. The employee: is entitled to: have the opportunity to give any explanation and to put their side of the matter; 2 be offered reasonable training, support and guidance; 3 get timely and regular and feedback on progress; 4 be told if and when their work reaches a satisfactory level. is responsible for: informing their manager of any facts which might be relevant to the matter; 2 attending training, support and other meetings; 3 taking advice, as need be from a trade union representative or another person. Informal Action Formal Action Panel Hearing Lodging s. These will include informal discussions and regular meetings to set objectives and review progress, as well as more formal processes such as induction, probation, supervision, team meetings, appraisal, training needs assessment, development planning, etc. 3: 6 September 2005

9 The manager will: Informal Action Formal Action Panel Hearing Lodging s Formal Action consult the head of department, and if need be, arrange a formal meeting with the employee to: - discuss and explain the standards required; - review the employee s performance; - give reasonable evidence of the way that they are falling below the standards required; - discuss any problems the employee is having; - offer reasonable training, support and guidance; - set reasonable time limits for the employee to achieve and maintain the standard of work; 2 consider the issues and, if appropriate, issue a warning or a final warning (see page 3:); 3 explore any other reasonable options such as transfer or redeployment; 4 make and keep written records of the issues discussed, decisions made, any warning given, time scales for improvement, etc 5 notify the employee, in writing, of the decision and the reasons for it, within 5 working days, and set out any right of appeal. The employee is entitled to: reasonable written notice (normally at least 5 working days, but less by mutual agreement) of the date of the hearing; 2 the opportunity to be represented by another person; 3 postpone the meeting to another reasonable time within 5 working days of the original date - if their representative will not be available at the time proposed; 4 give any explanation and to put their side of the matter; 5 a letter confirming the decision, the reason for the decision and any rights of appeal; 6 lodge an appeal, within 0 working days, against warnings or other management action, as set out on page 3:9; 7 regular and timely feedback on progress; 8 be told if and when their work reaches a satisfactory level. September Managers may, following a formal hearing, give formal warnings and final warnings. However if more serious action is required (including dismissal) they will consult the Director of HR who may appoint a Secretary to make arrangements for a panel hearing. 3: 7

10 Panel Hearing The panel will: conduct the meeting as a fact finding process ensuring good order and natural justice; 2 decide any disputes about procedure; 3 allow all the parties to put their side of the matter; hear the case put by the other side; ask questions, bring evidence and call witnesses; 4 consider any explanation given by employee 5 decide on the balance of probabilities; - if reasonable standards have been set; - if the employee is falling below these standards; - whether reasonable training, support and guidance has been given; - whether the employee has had reasonable time to achieve and maintain the standard of work; 6 make an appropriate decision from the options set out on page 3:; 7 notify the employee in writing, within 5 working days, of the decision 2 and the reasons for it, and set out any right of appeal. The employee is entitled to: reasonable written notice (normally at least 5 working days, but less by mutual agreement) of the date of the hearing; 2 the opportunity to be represented by another person; 3 postpone the meeting to another reasonable time within 5 working days of the original date - if their representative will not be available at the time proposed; 4 give any explanation and to put their side of the matter; 5 a letter confirming the decision, the reason for the decision and any rights of appeal; 6 lodge an appeal, within 0 working days, against warnings or other management action, as set out on page 3:9. Informal Action Formal Action Panel Hearing Lodging s. At the formal stage, line managers can give warnings and final warnings. If further action is required, they will consult the Director of HR who may appoint a Secretary to make arrangements for a panel hearing. 2. For academic and academic-related staff, the secretary to the panel will arrange for the decision to be reported to Council. 3: 8 September 2005

11 The employee: Informal Action Formal Action Panel Hearing Lodging an is entitled to: lodge an appeal against decisions under this Code of Practice. For example, the employee may appeal on one or more of the following grounds : the procedure was applied incorrectly; 2 the findings at the hearing were unfair; 3 the sanction or action taken was too severe for the case; The appropriate manager will: reject any appeal that is out of time; 2 appoint an appropriate panel (and a Secretary to it) to hear the case within 20 working days; Lodging an is responsible for: setting out the grounds of appeal in full and in writing; 2 lodging the appeal with the appropriate manager 2 within 0 working days of the date they receive the written decision and the reasons for it.. The employee may support their grounds of appeal with any new evidence that comes to light after the original hearing. 2. An appeal against a formal warning given by a manager will be lodged with the manager s manager and heard by a manager with appropriate authority. An appeal against a decision made by a panel will be lodged with the Director of HR and heard by an appeal panel. September : 9

12 Hearing The person or panel hearing the appeal will: conduct the meeting to establish the relevant facts, ensuring good order and natural justice; 2 decide any disputes about procedure; 3 allow all the parties to: - put their side of the matter; - hear the case put by the other side; - ask questions, bring evidence and call witnesses; 4 consider any valid grounds of appeal 2 ; 5 reject any ground of appeal that is not valid and explain the reason for the rejection; 6 reconsider the original decision and, if need be, change the findings or reduce the severity of any sanction (or both); 7 confirm the appeal panel s decision and the reasons for it, in writing to the employee and the relevant managers 3, within 5 working days. The employee is entitled to: reasonable written notice (normally at least 5 working days, but less by mutual agreement) of the date of the meeting; 2 the opportunity to be represented by another person; 3 postpone the meeting to another reasonable time within 5 working days of the original date - if their representative will not be available at the time proposed; 4 put their side of the matter, ask questions and hear the manager s response; 5 written notification of the decision and the reasons for it. Informal Action Formal Action Panel Hearing Lodging s. An appeal against a warning given by a manager will be heard by another manager with appropriate authority; an appeal against a decision made by a panel will be heard by an appeal panel. 2. Examples of valid grounds of appeal are set out on page 3:9. 3. For academic and academic-related staff, for any matter decided by an appeal panel, the secretary to the panel will also arrange for the decision to be reported to Council. 3: 0 September 2005

13 Warnings and other sanctions Following a hearing, a manager may give an appropriate warning from the following table. This will depend on: the seriousness of the case; 2 any previous warning that is still current. Warnings are normally progressive. Thus, an employee with a current oral warning may be given a written or final written warning. Warning: Oral warning Written warning Final Warning Kept on file and effective for: year 8 months 2 years Following a hearing, a panel may give: an appropriate warning from the table above; 2 other sanctions; or 3 a warning combined with other sanctions. A panel may, as appropriate, decide to: give a warning or combine a warning with another action; 2 make reasonable adaptations to the work, work place or working arrangements; 3 decide on compulsory transfer or demotion to another job - where the judgement is that the new job is within the capability of the employee; 4 initiate a redeployment search for a reasonable period; 5 terminate the employment contract (other than by dismissal) subject to the provisions of a relevant College scheme. A panel will normally only dismiss an employee if: the employee has been given a final warning, and this is still current when the matter is heard; 2 there is no reasonable alternative to dismissal. September :

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