General:
- Investigate poor performance appropriately and give the employee warnings and a chance to improve. The employee should be aware of what is expected of them.
- Adhere to the Company’s own disciplinary and/or capability dismissal procedures as well as the minimum procedures set out below when holding meetings. The policy may require a set number of meetings, and this should be followed unless exceptional reasons for not adhering to the policy occur.
- The time frames below are suggestions and the actual timetable may need to be longer depending on circumstances and appropriate length of review periods.
- Keep a record and minutes of all meetings. At each meeting, someone should attend to take notes.
- Carry out any necessary investigations at any stage.
- Appeal stages depend upon the policy you are following. If your policy does not specify an appeal after each warning only the appeal after dismissal is essential.
- We can assist in the drafting of any letters (e.g. invitation letters or confirmation of action letters).
Week 1 - Informal action: informal verbal warning
Discuss the matter informally. Clarify the required standards/areas of concern; identify causes and any training needs, set targets for improvement and a time-scale for review. Consider giving an informal verbal caution. Consider if the issues are related to a (potential) disability. If there is reason to suspect this, consider seeking a medical report.
Week 4 - Formal action: first warning
Write to employee setting out the concerns about performance. Follow your own processes – if these are unclear or none exist the process below is suggested.
Inform of time and place of disciplinary/capability meeting. Give employee right to be accompanied by a trade union representative or work colleague. Hold meeting. Give the employee full opportunity to state their case and explain performance.
During the meeting set out required standards that have not been met, establish likely causes of poor performance. Discuss measures such as additional training or supervision which may improve performance. Set targets for improvement and set time-scale for review.
Confirm decision in writing. The first written warning should set out the performance areas that are below standard, targets for improvement, training or additional supervision that will be offered and a time-scale for review. The review date should be set within a sufficient time for the employee to improve in the review period (this could be, say, 2 months but could be longer depending on the improvement required). Confirm that a failure to improve or further poor performance will result in further disciplinary action and possible dismissal.
Consider any disability issues and seek further advice if needed.
Does your policy allow for an appeal at this stage? If so, notify of the right of appeal
Week 5 - Appeal
If employee appeals decision, hold appeal meeting (see above for convening meeting) and confirm final decision in writing. Where possible, a manager who has not had previous involvement in the matter should hear the appeal and they should be senior to the original decision maker.
Week 12 - Review Meeting / Second written warning meeting
The review date should be set within a sufficient time for the employee to improve in the remainder of the review period (this could be, say, another 4 weeks but could be longer depending on the improvement required – always consider the reasonableness of your timescales). If following a process requiring 2 warnings the review meeting can be used as a formal warning meeting.
If formal warning - Inform of time and place of disciplinary/capability meeting.
Give employee right to be accompanied by a trade union representative or work colleague.
Hold meeting. Give the employee full opportunity to state their case and explain performance.
During the meeting set out required standards that have not been met, establish likely causes of poor performance. Discuss measures such as additional training or supervision which may improve performance. Set targets for improvement and set time-scale for review.
Confirm decision in writing. The written warning should again set out the performance areas that are below standard, targets for improvement, training or additional supervision that will be offered and a time-scale for review. Confirm that a failure to improve or further poor performance will result in further disciplinary action and possible dismissal.
Does your policy allow for an appeal at this stage? If so, notify of the right of appeal
Week 13 - Appeal
If employee appeals decision, hold appeal meeting (see above for convening meeting) and confirm final decision in writing. Where possible, a manager who has not had previous involvement in the matter should hear the appeal and they should be senior to the original decision maker.
Weeks 4-16 i.e. during the review period - Monitor performance
Monitor progress through manager reports, meetings, assessment of targets etc. and keep evidence of progress made alongside areas where improvement is still needed. Action any matters identified during the disciplinary/capability meeting (e.g. training, support).
Week 16 - Formal action: final written warning
If insufficient improvement or further poor performance, invite employee to second/third disciplinary/capability meeting.
Write to employee setting out the concerns about performance. Also inform of time and place of disciplinary/capability meeting.
Give employee right to be accompanied by a trade union representative or work colleague.
Hold meeting. Give the employee full opportunity to state their case and explain performance.
During meeting set out required standards that have not been met, establish likely causes of poor performance. Discuss measures such as additional training or supervision which may improve performance. Set targets for improvement and set time-scale for review.
Confirm decision in writing. The final written warning should set out the performance areas that are below standard, targets for improvement, training or additional supervision that will be offered and a time-scale for review. The review date should be set within a sufficient time for the employee to improve in the review period (this could be, say, 1 month but could be longer depending on the improvement required). Confirm that a failure to improve or further poor performance will result in dismissal.
Consider disability issues and seek further advice if needed.
Give right to appeal
Week 17 - Appeal
If employee appeals decision, hold appeal meeting (see above for convening meeting) and confirm final decision in writing. Where possible, a manager who has not had previous involvement in the matter should hear the appeal and they should be senior to the original decision maker
Weeks 16-20 i.e. during the review period - Monitor employee
Monitor progress through assessment of targets, manager reports, meetings etc. and keep evidence of progress made alongside areas where improvement is still needed. Action any matters identified during the disciplinary/capability meeting (e.g. training, support etc).
Week 20 - Dismissal
If insufficient improvement or further poor performance, invite employee to final disciplinary/capability meeting.
Write to employee setting out the concerns about performance. Also inform of time and place of disciplinary/capability meeting and that action could include dismissal. Warn of potential dismissal in invitation letter.
Give employee right to be accompanied by a trade union representative or work colleague.
Hold meeting. Give the employee full opportunity to state their case and explain performance.
During meeting set out required standards that have not been met, request any mitigation - causes of poor performance.
Confirm decision to dismiss and brief reasons in writing. Consider lengthening final written warning instead.
Give right to appeal.
Week 21 - Appeal
If employee appeals decision, hold appeal meeting (see above for convening meeting) and confirm final decision in writing.
Where possible, a manager who has not had previous involvement in the matter should hear the appeal and they should be senior to the original decision maker.