Performance development procedure

Published: 16 November 2022
Freedom of information class: How we manage our resources

The performance development procedure provide management guidance on how to effectively support and manage performance of RoS colleagues.


1. Purpose and scope

1.1 The performance development procedure provide management guidance on how to effectively support and manage performance of RoS colleagues.

1.2 This procedure outlines our approach to fostering a culture of continuous performance improvement while supporting colleagues in achieving their full potential. It emphasises early intervention, development opportunities, and recognition of outstanding performance.

1.3 The formal performance improvement process should be used when performance falls below an acceptable level, and after the core performance development steps have been followed.

1.4 This procedure applies to all RoS employees after successful completion of the probationary period. It does not apply to employees within their period of probation.

1.5 This procedure should be read in conjunction with the performance development policy.

2. Principles of performance development

2.1 Performance expectations need to be clear and align to our Corporate Plan. Managing performance starts with clear expectations for all colleagues. It's difficult to perform well without knowing what is expected. Colleagues are entitled to have clarity of what is expected of them and how their contribution helps them to achieve our Corporate Plan.

2.2 Frequent conversations, based on personal contribution, personal development and support needs are the cornerstone of performance. RoS’s underlying belief is that all colleagues work hard to contribute to the strategy with the skills, knowledge, and energy colleagues have at their disposal. How well an individual is performing is not based on a single moment in time. True performance is measured over time and comes from practice and responding to feedback. Managers will carry out frequent one-to-one conversations to help colleagues in achieving their objectives, identify opportunities to discuss development and support individual wellbeing.

2.3 Everyone has a part to play, and everyone is accountable for delivery. Colleague contribution is essential to the Corporate Plan, and everyone is responsible for ensuring they are meeting  expectations. Where a colleagues' contribution is not meeting expectations, this needs to be highlighted and discussed in a timely manner. If this does not improve timeously through feedback and support, the formal performance improvement process should be followed.

3. Responsibilities

3.1 Colleagues’ responsibilities:

  • Understand and accept that RoS will review and monitor performance and that managers have a responsibility to manage under-performance
  • Record and update their objectives using the PAL system
  • Accept responsibility to reach and maintain the expected standards of performance
  • Meet to discuss their performance and development with their manager
  • Ensure that they understand what is required of them and seek and gain clarification where necessary.

3.2 Managers’ responsibilities:

  • Understand and accept that they have a responsibility to manage under-performance, as well as support performance development
  • Ensure that all members of their team have appropriate objectives which are recorded and updated on the PAL system
  • Keep a written record of performance discussions and related actions which should be shared with the colleague and stored in an appropriate place. It is recommended that the PAL check-in tool is used to record performance discussions
  • Meet with the colleague as soon as concerns are identified with performance and ensure that the required objectives are clearly defined and effectively communicated
  • Manage less than effective performance immediately and seek advice and guidance from HR, as necessary
  • Identify any further development requirements and agree appropriate timescales
  • Record all discussions and ensure all actions are captured and provided to the colleague in writing
  • HR is available to provide professional advice, guidance and support to both colleagues and managers
  • Senior managers must consistently manage under-performance across their teams in line with their role requirements

3.3. People and Change responsibilities

  • Support line managers in an advisory capacity in the application of the policy to ensure that it is fairly and consistently applied.
  • Coach and support to ensure managers have the knowledge and skills to effectively manage performance
  • Provide procedural advice, support and guidance to colleagues.
  • Assist in developing and monitoring Performance Improvement Plans (PIPs).
  • Facilitate progress reviews or performance check ins and address systemic challenges.

4. RoS approach to performance development

We have a structured process for performance development that applies to all colleagues.

4.1 Core performance development steps

The following practices are part of our standard approach to performance development:

4.1.1 Objective setting: Set objectives to create clarity and alignment to organisation goals.

4.1.2 Conduct Monthly One-to-Ones: Hold regular one-to-one meetings to review performance, discuss development objectives, and adjust plans as necessary.

4.1.3 Continuous Check-ins: Include informal check-ins between monthly meetings to monitor progress, address concerns, and maintain alignment.

4.1.4 Provide Regular Feedback: Offer ongoing feedback to ensure colleagues understand how they are performing, celebrating successes and identifying areas for improvement.

4.2 Enhanced support for performance

Performance development requires a combination of motivation, training, and operational efficiency. These enhanced actions could include:

4.2.1 Regular Feedback & Recognition: Provide early constructive feedback and recognise achievements and talent to keep motivation high.

4.2.2 Training & Development: Offer continuous learning opportunities to improve skills.

4.2.3 Colleague Well-being: Encourage work-life balance, mental health support, and flexible schedules.

4.2.4 Encourage Collaboration: Foster teamwork through communication platforms and team-building activities.

4.2.5 Leadership Support: Managers to be effective coaches who help colleagues grow.

4.2.6 Performance Development Plan (PDP): Encourage the creation of a PDP, which provides a structured approach to growth, skill enhancement, and career progression.

4.3 Enhanced support for underperformance

When there is persistent underperformance (for example across a 4-week period), the standard process remains in place but must be further enhanced by progressing onto the formal performance improvement process (see section 6). The timeframe for improvement to be demonstrated during the enhanced support should be clearly set out usually over a period of 4-6 weeks. These enhanced actions include:

4.3.1 Intervene Early: Continue monitoring performance closely and address any concerns promptly to prevent further decline.

4.3.2 Conduct Informal Meetings: Arrange more frequent informal meetings to discuss specific performance issues. Document each discussion, set clear expectations, and agree on next steps.

4.3.3 Increase Check-ins: Move from occasional check-ins to regular, informal conversations about progress. This helps maintain focus and ensures real-time adjustments to support improvement.

4.3.4 Provide Positive Reinforcement: Make additional efforts to recognise and celebrate small wins or improvements. Acknowledging progress helps sustain motivation and build momentum.

4.3.5 Implement a Personal Improvement Plan (PIP):

Introduce a PIP to provide targeted support and clear expectations. The PIP should include:

  • Clear Objectives: Define measurable and specific goals for improvement
  • Specific Concerns: Outline the performance issues with concrete examples
  • Support Options: Offer tailored resources such as training, coaching, mentoring, peer support, or workload adjustments.

4.3.6 Encourage Peer Support: Strengthen collaboration by encouraging colleagues to share challenges and successes. This fosters a supportive and solutions-oriented environment.

4.3.7 Offer Coaching and Mentorship: Provide personalised coaching to address challenges, share best practices, and explore strategies for improvement.

5. Additional support

5.1 RoS' occupational health adviser and the employee assistance programme provider are available to managers for guidance if a colleague requires additional support.

5.2 If a colleagues' performance is affected by a disability or disability-related absences, managers should seek appropriate advice and ensure that reasonable adjustments are in place if appropriate. Where  a colleague has a known disability which is or may be affecting performance, the manager should seek advice from HR and where appropriate an OH referral should be done.

5.3 The Employee Passport is a document that is owned by a colleague and outlines circumstances, disabilities, conditions or commitments which may impact on their work. The passport is a tool to facilitate a conversation with your manager, to share information and identify adjustments that may support you going forward. The passport does not change your terms and conditions. Employee passports should be reviewed regularly and will not be permanent agreements.

5.4 Managers should seek appropriate advice and ensure that health and wellbeing support is offered if performance is affected by poor health & wellbeing, underlying health conditions or workplace factors.

5.5 If colleagues are members of the recognised Trade Union (PCS) they can  seek advice and support at any stage.

6. Formal performance improvement process

6.1 In cases where colleagues are not  performing to the level expected, they should be given a fair and reasonable opportunity to improve, with the full support of their manager and resources available. The performance improvement process provides an opportunity for this to take place.

6.2 A Performance Improvement Plan (PIP) should be used throughout the duration of the performance improvement process. This plan supports both managers and colleagues to clearly identify and record details of the underperformance, the required level of improvement and any agreed support measures. An appropriate monitoring period will accompany the Performance Improvement Plan at each stage. Colleagues also have the opportunity to note comments on the Performance Improvement Plan.

6.3 It is important that a reasonable monitoring period is given to allow observation of performance levels and for training or support measures to be implemented. This may be variable depending on the nature of the role. Monitoring periods should be no less than 1 month and no more than 3 months, with a typical period being 4-6 weeks. Advice from the HR Team should be sought in all cases where progression is being considered on this basis.

6.4 Stage 1

6.4.1 Early intervention increases the chances that performance will improve to the expected levels. Colleagues will be invited via a letter to a formal performance improvement meeting to discuss performance standards and consider progressing to a Stage 1 of the formal improvement process.

6.4.2 The colleague should be made aware that they are not performing to the required standard. The expected performance standards should be clearly explained. Where further development or training requirements are identified these must be arranged and a reasonable and defined monitoring/review period agreed during a formal meeting between the manager and the colleague. HR and work colleague or Union representative may also attend.

6.4.3 The colleague should be offered relevant guidance, coaching and supervision to help them to reach the standards expected. All avenues should be considered to assist the colleague in reaching these standards and regular feedback should be provided. These details must be confirmed to the colleague in writing using a formal Performance Improvement Plan (PIP) clearly outlining what has been discussed and agreed at the Performance meeting. The timeframe for improvement to be demonstrated should be clearly set out usually over a period of 4-6 weeks.

6.4.4 Managers should ensure they are prepared for the discussion by gathering the necessary information/examples relating to the underperformance. This may include notes of previous discussions, the job description for the role, quality or quantity of work, or specific examples of unsatisfactory work.

6.4.5 During the discussion, managers should:

  • Refer to the information/examples gathered in order to make the colleague aware of the reasons why their current level of performance is unsatisfactory
  • Reinforce the expected level of performance (including noting examples)
  • Consider any underlying reasons or concerns raised by the colleague which may be contributing to the underperformance. It may be appropriate to take further advice from the HR Team on a case-by case basis
  • Identify any support, adjustments or training needs which might be put in place to support an improvement
  • Agree an action plan, including measurable targets or objectives and timescales for monitoring performance
  • Ensure the colleague is aware of any next steps, including any review meetings or possible outcomes, including potential progression to the formal stage should the underperformance continue.

6.4.6 At all stages of this process colleagues should receive advance notice of meetings and have the right to be accompanied by a work colleague or a Trade Union representative.

6.4.7 At the end of the first monitoring period of approximately 4-6 weeks, a performance review meeting should be held with the colleague. If the colleague’s performance has reached and been maintained at a satisfactory level, no further action will be required and the colleague will be informed of this in writing.

6.4.8 If performance then becomes unacceptable again within the following 12-month period, they will return to the stage of the formal performance improvement process they were last on.

6.5 Stage 2

6.5.1 If the colleagues' performance has not improved to a satisfactory level, the required performance standards should again be clearly explained at a Stage 2 Performance meeting. A Stage 2 improvement note will be issued and expected standards outlined in writing using a formal PIP.

6.5.2 A formal meeting should take place between the manager and the colleague. HR and work colleague or Union representative may also attend. 6.5.3 Where there has been some improvement this should be noted, however colleagues must reach and maintain the expected standards set for the role. A further chance to reach the expected performance will be provided throughout the stage 2 period, and appropriate supervision and coaching will be offered along with regular feedback.

6.5.4 A further reasonable and defined monitoring period should commence with a timeframe of approximately 4 to 6 weeks. The outcome of the meeting should be confirmed to the colleague in writing specifying what has been discussed, the content of the PIP, the standards required and the consequences of a failure to reach the standards expected.

6.5.5 Weekly review meetings should take place during the monitoring period to discuss progress in relation to the PIP and to make any required adjustments.

6.5.6 At the end of the second monitoring period of approximately 4 to 6 weeks a performance review meeting should be held with the employee. If the employee’s performance has reached and been maintained at a satisfactory level no further action will be required and the employee will be informed of this in writing.

6.5.7 If performance then becomes unacceptable again within the following 12-month period, they will return to the stage of the formal performance improvement process they were last on.

6.6 Stage 3

6.6.1 If the colleagues' performance has not improved to a satisfactory level, the required performance standards should again be clearly explained at a Stage 3 performance meeting. A further Stage 3 improvement note will be issued and expected standards outlined in writing using a further formal PIP.

6.6.2 A formal meeting should take place between the manager and the colleague. People and Change and work colleague or Union representative may also attend.

6.6.3 Where there has been some improvement this should be noted, however colleagues' must reach and maintain the expected standards set for the role. A further chance to reach the expected performance will be provided and appropriate supervision and coaching will be offered along with regular feedback.

6.6.4 A further reasonable and defined monitoring period should commence with a timeframe of approximately 4 to 6 weeks. The outcome of the meeting should be confirmed to the colleague in writing specifying what has been discussed, the content of the PIP, the standards required and the consequences of a failure to reach the standards expected.

6.6.5 Weekly review meetings should take place during the monitoring period to discuss progress in relation to the PIP and to make any required adjustments.

6.6.6 At the end of the second monitoring period of approximately 4 to 6 weeks a performance review meeting should be held with the colleague. If  their performance has reached and been maintained at a satisfactory level no further action will be required and the employee will be informed of this in writing.

6.6.7 If performance then becomes unacceptable again within the following 12-month period, they will return to the stage of the formal performance improvement process they were last on.

7 Performance hearing

7.1 If the colleagues' performance has not improved to a satisfactory level at the Stage 3 Performance Review meeting, this should be explained to them and a hearing will be scheduled.

7.2 Invite the colleague to a hearing

7.2.1 This meeting should be held without unreasonable delay whilst allowing the colleague reasonable time to prepare their case.

7.2.2 All parties (and either work colleague or Trade Union)) should make every effort to attend the hearing. At the hearing the chair should explain the process to the colleague and present the evidence that has been gathered. The colleague should be allowed to set out their case and respond to the performance issues that have been raised.

7.2.3 The colleague should also be given a reasonable opportunity to ask questions and present evidence. They should also be given an opportunity to raise points about any information provided by witnesses.

7.2.4 The chair will then decide on the evidence available. The outcome may be reversion to a previous grade, downgrading, redeployment to another work area or dismissal.

7.2.5 Where a colleague is unable or unwilling to attend the hearing without good cause, the hearing will take place in their absence.

7.3 Trade union representation

7.3.1 Colleagues have a statutory right to be accompanied to any performance formal meetings or a hearing by a RoS recognised trade union representative or workplace colleague. The trade union representative or work colleague has the right to address the hearing, sum up the employees' case and confer privately with the employee during the hearing. They are not entitled to respond to questions on the colleague’s behalf.

7.4 Removal or return to the formal procedure

7.4.1 If a colleague achieves a return to acceptable performance during a review stage of the formal procedure, then they will be removed from the formal performance improvement process.

7.4.2 If performance then becomes unacceptable again within the following 12-month period, they will return to the stage of the formal performance improvement process they were last on.

8 Appeal

8.1 At every stage of the formal performance improvement process the colleague has the right to appeal the decision. The appeal must be in writing and submitted within 10 working days of the date of the decision to the appropriate appeal officer.

8.2 The appeal must detail the grounds for appeal i.e., why the decision was unfair or why the level of action taken was too severe. If the colleague wishes to present additional new evidence to support their case, then this must be provided to the appeals chair at least two working days in advance of the appeal hearing. To ensure impartiality the appeal will be held by an appropriate independent manager and an independent HR adviser wherever possible.

9. Eligibility for compensation

Colleagues who are dismissed on the grounds of performance capability may be eligible for compensation under the Rules of the Principal Civil Service Pension Scheme (PCSPS).

10. Approval and review

This policy will be reviewed and approved by the Strategic People Authority (SPA) annually, unless earlier review is appropriate.

AuthorEmployee Relation Manager
ReviewedChief People Officer
ClearedDirector of People and Operational Services
ApprovalSPA Approval date March 2025
Policy version Version 2.0
Review responsibilitySPA Review date March 2026
Publication scheme Yes
Email to contactemployeerelations@ros.gov.uk