Underperformance (checklist)

In cases of underperformance, the procedure is slightly different to conduct under the disciplinary procedure.

Informal procedure

  1. As a first step, investigate the facts and check records and/or witnesses.
  2. Meet with the employee to explain the standards required of them and the standard of performance they are meeting and explore the reasons for the shortfall.
  3. Explore if this is due to Is it due to a lack of knowledge or skills and if training or more supervision is needed or suggested by the employee.
  4. Agree an improvement plan with clear targets for improvement. This should include a realistic timescale for improvement, details of support to be given to the employee and a date for a performance review.
  5. Make notes of what you agree and use it as an agenda for the next review.

If the employee’s performance has not improved after the review, carry out a further informal review, set a review date and continue to monitor.

If their performance still hasn’t improved, not improved sufficiently or any improvement has not been sustained, consideration should be given to commencing formal action under the Capability procedure. Depending on the seriousness of the shortfall and the impact on the business, you may wish to start the formal procedure earlier or later but it should not continue for too long at the informal stage without significant improvement being shown.

If after training/coaching it is decided that the matter is one of conduct ie they choose not to perform to the required standard move to the disciplinary procedure.

Formal Capability Procedure

  1. Invite the employee to a formal capability meeting ensuring they are given the right to be accompanied.
  2. Repeat steps 2-5 above.
  3. The employee should be issued with a formal improvement warning and a review date set.
  4. If no or insufficient improvement is shown or it any improvement is not sustained, the repeat steps 2-5 above.
  5. The employee should be issued with a formal final improvement warning and a review date set.
  6. If no improvement or insufficient improvement is shown or it any improvement is not sustained after 2 /3 reviews then dismissal on grounds of capability should be considered.
  7. The employee should be invited to a meeting to discuss the lack of improvement and to check if they have any reasons to put forward as to why they should not be dismissed on grounds of capability.
  8. If the employee can put forward no satisfactory mitigating circumstances then they should be dismissed on grounds of capability.