People & Organisational Development

Managing & Supporting Performance - Formal Process

When informal methods have been exhausted

Where informal efforts to support improved performance have not led to the required change, managers may need to move to the formal stage of the University's Managing and Supporting Performance Policy. This process provides a structured and fair framework for addressing ongoing underperformance.  

Why the Formal Process Matters

The formal process is designed to ensure that performance concerns are handled consistently, transparently, and with appropriate support. It is not a disciplinary process, it is a performance management process focussed on improvement, clarity and accountability.  

 

Key Actions for Line Managers

1. Seek Advice Early

• Before initiating the formal process, managers must seek advice from People & Organisational Development.
• A P&OD adviser will guide you through the process, help assess whether formal action is appropriate, and support you in preparing the necessary documentation.

2. Prepare for the Formal Stage

• Review the outcomes of the informal stage, including the Performance Improvement Plan and any review meeting notes.
• Gather relevant documentation, such as:
  • Job descriptions and agreed objectives. 
  • Evidence of underperformance and its impact.
  • Records of support provided and any adjustments made.
• Ensure you have follwed all reasonable steps to support improvement informally. 

3. During the Formal Process

• The formal process begins with a Formal Stage 1 Meeting, which must be arranged in consultation with P&OD. 
• The colleague will be invited to the meeting in writing with reasonable notice and informed of the purpose of the meeting.
• A P&OD representative will normally attend the meeting to support the process and a notetaker may also be present.
• The meeting should:
  • Review the concerns and evidence of underperformance.
  • Discuss the support provided and any progress made.
  • Consider whether health or any other factors are affecting performance and whether an Occupational Health referral may be required.
  • Allow the colleague to respond and raise any relevant points.
  • Confirm expectations and outline the next steps, including any further support or monitoring period. 
• Outcomes may include:
  • A Written Warning with a formal improvement plan with clear objectives and timescales and continued monitoring and review.
  • Where no improvement is made, progression to further formal stages which could lead to further written warnings and ultimately dismissal.

4. Follow Up and Monitoring Progress

• Managers must continue to monitor performance and hold review meetings as agreed.
• All discussions and outcomes should be documented and shared with the colleague.
• If performance improves to a satisfactory level, the colleague should be informed and returned to routine management.
• If performance does not improve, further formal action may be required, which could ultimately lead to dismissal.