Formal Performance Management Overview

This guidance explains what happens when performance concerns continue after informal support has been offered. It aims to give clarity on what managers and employees can expect what rights employees have, what needs to be documented, the types of support available, and what outcomes might follow. 

The process is designed to be fair, transparent, and proportionate, and it must follow the University’s Capability Policy and Ordinance. 

  • Start formal only when needed: Moving to a formal stage should only happen if informal support hasn’t led to the improvement required. 
  • Be clear and upfront: Employees should always understand the concerns, what’s expected of them, the timescales involved, and the potential outcomes.
  • Fair and evidence-based: Decisions should be grounded in clear evidence and handled consistently.
  • Right to be accompanied: Employees can bring a trade union representative or colleague to any formal meeting.
  • Consider adjustments: Managers should think about any reasonable adjustments that may help the employee during meetings and throughout any improvement plan. 

It may be appropriate to start the formal process when: 

  • Informal support hasn’t resulted in the necessary or sustained improvement. 
  • Concerns are serious, persistent, and supported by evidence.
  • Ongoing issues are impacting students, colleagues, service delivery, or compliance. 

Managers are encouraged to speak with HR before setting up a first formal-stage meeting. 

Receiving feedback about performance can be difficult. Employees may feel anxious, defensive, upset, or worried about what this means for them. 

Managers should prepare for this sensitively and create space for open conversation. It’s important to listen to what’s working for the employee, what isn’t, and what they feel would help them improve.

1. Formal invitation 

The employee should receive a written invitation that follows the timescales in the policy/ordinance.  This letter needs to outline the specific concerns and explain what evidence will be discussed during the meeting. 

2. Formal meeting 

The meeting should take place in a private area free from interruptions. The meeting focus should review evidence and enable the employee to share their perspective. This means exploring barriers, support options, and discussing expectations as well as considering reasonable adjustments. It’s a two-way conversation, not just a review of concerns. 

3. Performance Improvement Plan (PIP) 

If concerns remain despite the discussion during the meeting, an improvement plan will be created. The plan should feel practical, specific, and achievable. It is important that clear workplace and /or behavioural objectives are set along with detailing what support will be provided (e.g. training, coaching, shadowing) along with who is responsible for making this happen. It will also document how progress will be monitored, when the reviews will take place and what the next steps could involve. 

4. Review period 

Regular, documented check-ins are essential to enable the employee to give and receive feedback. This is also where the employee can share any challenges they are facing. Be open to this and to adjust support where needed and to acknowledge and encourage improvements. Positive progress should be recognised just as clearly as ongoing concerns. 

5. Outcomes 

Outcomes will depend on how well the employee has met the objectives in their plan. Possible outcomes include: 

  • Sufficient improvement: The formal process ends. 
  • Partial improvement: The plan may be extended with adjusted objectives or further support.
  • Insufficient improvement: A formal sanction may be issued.
  • Serious or continued underperformance: In some cases, the University may need to consider dismissal on the grounds of capability. This will only happen after exploring redeployment options where appropriate.