Performance management procedures

As a CSP rep, you can be called upon to support a member who has had concerns raised about poor performance. You can play a critical role in addressing an employee’s poor performance and helping to improve it while potentially avoiding formal capability procedures. 

Poor performance may be identified in a variety of ways including via feedback from colleagues, supervision or complaints from patients. 

Where poor performance may be the case, it’s important to identify this as soon as possible — and to find out why this is. Appropriate action can only be taken if the problem is “diagnosed” correctly. 

For all types of performance issue, the following are key: 

• Early recognition of the issue and its cause
• Clarity about the specific performance issue(s)
• Decisive intervention
• Taking a supportive approach. 

Informal and formal procedures 

Informal procedures should be used as the first line measure to address a person’s occasional incidents of poor performance or repeated ones that might indicate a lack of competence or capability. At the informal stage, management should be following these steps: 

• Gather information such as input from managers and the individual themselves, appraisal paperwork, or patient complaints. 
• Discuss issues with the individual concerned, providing sufficient detail ahead of time to enable them to contribute fully. The individual must be given the opportunity to respond to concerns and to identify, where appropriate, any issues that have contributed to the situation. 
• Identify the nature of the concerns and possible causes, giving the individual every opportunity to present their view. (For example, is the cause to do with personal circumstances, unrealistic expectations, a health problem?) 
• Discuss options and allow time for consideration. 
• Agree an action plan with the individual and relevant others. This could include training, arranging a mentor, an occupational health referral or a reduction in responsibilities. There should be clear and measurable objectives, with timescales. 
• Review progress, hear feedback and address any further concerns.  
• Although it is not legally required, management should allow the individual to bring you as their rep to any meetings, or a colleague. 

As a rep supporting a member through an informal procedure, consider the following questions: 

• What is the precise nature of the concerns? 
• What are the factors that may have impacted on performance? 
• What information and examples are being provided as evidence of the concerns? 
• What is the individual’s perspective on the concerns, and how do they think their performance could be improved? 

Formal procedures must follow employer policies and protocols properly. Formal steps should only be used when informal ones have been fully tried without leading to an improvement. 

The role of the manager 

A manager plays a crucial role in addressing an employee's poor performance, with a primary focus on being supportive to foster improvement and maintain a positive work environment.  

Key steps include identifying the root causes of the poor performance, which could range from lack of skills, inadequate resources, personal issues, changes in the working environment or unclear expectations.  

The manager should collaboratively develop a performance improvement plan with the employee, setting clear, achievable goals and providing necessary resources and training. 

In a supportive and collaborative manner, the manager should address the following key questions: 

• What specific areas need improvement? 
• What obstacles are hindering your performance? 
• Do you feel you have the necessary tools and resources to succeed? 
• How can I, as your manager, support you in overcoming these challenges? 
• What additional training or development would benefit you? 
• How can we track your progress and ensure ongoing communication? 

There should be early recognition of areas of performance that require improvement, and this should be done through supervision and appraisal schemes. 

This section does not deal specifically with harassment and bullying issues, which can be the cause of poor performance.

• Information on bullying in the workplace 

Performance as a collective issue 

Use these questions to think through whether performance management procedures are fair and supportive in your workplace: 

1. Do investigations follow best practice, as set out in the ACAS code of practice? 
2. Is there sufficient assignment of resources that provide enough appointed case managers, investigators and others charged with specific responsibilities to ensure disciplinary, grievance, capability or mediation/restorative procedures is thoroughly undertaken within the agreed timeframes with staffside? 
3. Is there a rigorous decision-making methodology in your disciplinary policy that avoids formal action against individuals? For example, no manager alone determines a suspension or formal action be taken without prior senior managerial review. Important decisions with potentially serious consequences are first carefully considered from multiple perspectives. 
4. Are staff treated compassionately, when involved in formal processes? 
5. Are fact-finding investigations undertaken in a timely manner? 
6. Do managers and staff receive appropriate training and are competent to carry out their roles? In the case of line managers, do they fully understand and follow the principles of natural justice and best practice when handling any staffing matters? 
7. Is safeguarding of staff’s health and wellbeing identified by senior management as a top priority for all? Such intentions are evidenced by timely communication throughout processes that is comprehensive, unambiguous and sensitive in tone. The NHS People Plan Actions set out employer obligations. 
8. Is disciplinary and grievance data collected and regularly shared with staff-side to assist local discussions on the trust’s performance to reduce the number of cases?