Performance development policy

1. Purpose and Scope

1.1  The Performance development Policy and Procedure provide management guidance on how to effectively support and manage performance of RoS employees.

1.2  This policy and procedure outline our approach to fostering a culture of continuous performance improvement while supporting employees 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 policy and procedure applies to all RoS employees after successful completion of the probationary period. It does not apply to employees within their period of probation.

2. Guiding principles

2.1  RoS is committed to developing and improving employee performance through proactive support, clear expectations, and effective performance management. Performance management begins with setting clear expectations aligned to the Corporate Plan. All employees are entitled to understand what is expected of them and how their role contributes to organisational objectives. Managers should manage performance through regular discussions, objective setting, and ongoing support as part of day-to-day line management.

2.2  This policy and procedure aim to ensure that all employees are treated in a fair, reasonable, and consistent manner to achieve and maintain acceptable performance levels. Frequent, meaningful conversations between managers and employees are central to this approach. These conversations should focus on individual contribution, development, and support needs, recognising that performance is measured over time and strengthened through feedback and continuous improvement.

2.3  It is expected that managers will initially address performance through informal development and support, including timely feedback, coaching, and recognition of achievements. Where performance does not meet expectations, this should be highlighted and discussed promptly. If improvement is not achieved through informal measures, the formal Performance Improvement Procedure should be followed.

2.4  Everyone has a role to play and is accountable for delivery. Employee contribution is essential to achieving the Corporate Plan, and individuals are responsible for meeting agreed expectations. Managers should support employees through regular one-to-one meetings to review progress, identify development opportunities, and address any barriers to performance, including wellbeing considerations.

2.5  Where an employee’s performance is affected by a disability or disability-related absence, managers must seek advice from HR and ensure that reasonable adjustments are in place where reasonably practicable, both before and during the application of this policy and procedure.

2.6  Managers should also seek guidance from HR where performance concerns may be related to health and wellbeing, underlying conditions, or workplace factors, ensuring appropriate support is offered.

2.7  This policy and procedure comply with current legislation and promote equality, diversity, and inclusion in the workplace.

2.8  If any colleague feels that they have been treated unfairly because of the application of this policy, they have a right to raise a grievance.

3. Roles and responsibilities

3.1 Employee 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 performance, including promptly dealing with under-performance, as well as supporting 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 employee and stored in an appropriate place. It is recommended that the PAL check-in tool is used to record performance discussions.
• Meet with the employee as soon as concerns are identified with performance and ensure that the required performance improvement 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.
• HR is available to provide professional advice, guidance and support to both employees and managers.
• Senior managers must consistently manage under-performance across their teams in line with their role requirements.

3.3 HR 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 employees.
• 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 employees.

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 on deliverables, 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 employees understand how they are performing, celebrating successes and identifying areas for improvement.

5. Additional support

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

5.2 If an employee’s ' 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 an employee 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 an employee 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 employees are members of the recognised Trade Union (PCS) they can seek advice and support at any stage.

6.  Under performance

6.1 If a manager has concerns about an employee’s performance after they have passed their probation period, they will normally discuss with them informally the concerns and improvement in performance which are necessary. If there is no improvement, formal performance improvement procedures will be applied.

6.2 Informal performance improvement procedure

6.2.1 Initial concerns about performance are best dealt with informally. A discussion between the employee and the manager may be all that is required to improve performance.

6.2.2 The manager should establish whether there are any reasons beyond the employee’s control that may be affecting performance, including:

• matters relating to a disability
• health problems
• personal problems
• poor induction
• inadequate training
• inappropriate objectives
• capability problems

6.2.3 Where any of these circumstances exist, the manager should:

• raise their concerns with the employee about their performance
• give sympathetic consideration to what support may resolve or help the situation, for example workplace adjustments, training, more effective supervision, 1:1 coaching, encouragement to seek medical help or referral to Occupational Health
• inform the ER team at this stage as some employees may prefer to discuss personal or domestic difficulties with someone other than their manager

6.2.4 The manager should keep and agree with the employee a written record of discussions through PAL and any agreed actions. They will regularly review progress against outcomes within an agreed reasonable and proportionate timeframe of 4 weeks. The manager should also capture the actions, discussions and outcomes in the informal performance improvement plan (PIP).

6.2.5 If there is no improvement within the agreed period of time and the concerns continue, or the issues are more serious, the manager should immediately seek advice from the ER team about moving to formal performance improvement procedures.

6.2.6 The Performance Toolkit outlines the informal and formal procedure. It provides guidance on how to identify underperformance and what to do in those situations to ensure employees are supported to achieve their performance expectations.

7. Formal performance improvement process

7.1 Stage 1: First improvement period

7.1.1 This is the first stage of the formal procedure aimed at helping to improve the employee’s performance and sustain it at an effective level.

7.1.2 The manager will set out their areas of concern in a letter inviting the employee to a meeting with them and an ER team member to discuss the performance, the basis of the concerns and possible causes.

7.1.3 After the meeting the employee will receive a letter which will confirm that a formal performance improvement plan (PIP) should be put in place, with the aim of bringing the performance up to an effective standard. The employee will also be advised of their right of appeal. The formal PIP will take account of any views the employee may express and will set out:

• the performance concerns and the improvement that is required by the employee
• the support that the employee will be given to secure the required improvement in performance
• the improvement period which will be set and agreed by the manager and the ER team - the timescale set can vary but will not normally be less than two months
• a review date

7.1.4 The employee’s performance will be monitored and reviewed at the end of the period set out in the action plan.

7.1.5 The employee cannot apply for advertised posts if you are subject to a formal PIP. More information can be found at the Talent Acquisition policy.

7.2 First improvement period

7.2.1 During this period, the manager will give support and encouragement, monitor performance, give feedback and advise the employee if there is improvement or not. The manager should take account of any mitigating circumstances that have been identified.

7.2.2 the improvement period which will be set and agreed by the manager and the ER team - the timescale set can vary but will not normally be less than two months.

67.2.3 At the end of the first improvement period, and in consultation with the ER team, the manager will review the employee’s performance.

7.2.4 Where the performance is assessed as effective, the manager will write to the employee recognising the improvement, confirming no further action will be taken and making clear that the improved performance must be maintained.

7.2.5 When the employee continues to underperform, the employee will be invited to a further meeting, and the employee may move to stage 2 and a second improvement period will begin.

7.3 Stage 2: Second improvement period

7.3.1 Where the employee continues to underperform on conclusion of the first improvement period:

• the employee will be invited to a further meeting with their manager and an ER team member to discuss their continued less than effective performance
• a further performance improvement plan (PIP) will be agreed and confirmed to the colleague in writing by their manager
• the employee will receive a letter to instigate  a stage 2, second improvement period  concerning their continued less than effective performance and to advise them of their right of appeal

7.3.2 the improvement period which will be set and agreed by the manager and the ER team - the timescale set can vary but will not normally be less than two months.

7.3.3  On conclusion of the second period of improvement, if  the performance has improved and is assessed as effective, highly effective or exceptional, the manager will write to the employee to confirm that no further action is required, so long as the improved performance is maintained.

7.3.4 On conclusion of the second period of improvement, if the performance does not improve to an effective standard during this second improvement period, taking account of any mitigating circumstances, then the manager should discuss the employees performance with the ER team,  who will support the manager to  refer the performance concerns to a hearing manager for consideration and appropriate action.

7.4 Stage 3: Formal hearing

7.4.1 If the employees performance continues to be less than effective by the end of the second improvement period, then a hearing manager will be appointed to decide on an appropriate outcome. The outcome may be reversion to a previous grade, downgrading, redeployment to another work area or dismissal.

7.4.2 The hearing manager will be a chair from band C or above. HR will provide advice to the hearing manager. The hearing manager and HR must declare any actual or potential conflict of interest; have no prior involvement with any aspect of the matter being raised and no close association with the member of staff involved.

7.4.3 The hearing manager will receive a factual report prepared by HR which summarises events and contains copies of all relevant papers. A copy of the report, the performance concerns and their basis will be sent to the employee  along with an invitation to attend a meeting.

8. Performance hearing

8.1 If the employee’s performance has not improved to a satisfactory level at the Stage 2 Performance Review meeting, this should be explained to them and a hearing will be scheduled.

8.2 Invite the colleague to a hearing

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

8.2.2 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 employee and present the evidence that has been gathered. The employee should be allowed to set out their case and respond to the performance issues that have been raised.

8.2.3 The employee 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.

8.2.4 The hearing manager will then decide on the evidence available. The outcome may be reversion to a previous grade, downgrading, redeployment to another work area or dismissal. In the event of a decision to dismiss, the employee will be advised of the reasons for dismissal, effective date and any period of notice.

8.2.5 Where an employee is unable or unwilling to attend the hearing without good cause, the hearing will take place in their absence.

8.3 Trade Union representation

8.3.1 At all stages of this process employees should receive advance notice of meetings and have the right to be accompanied by a work colleague or a Trade Union representative. If they wish to be accompanied, the employee should notify the person conducting the meeting who their chosen companion is in good time before the meeting. The companion is entitled to take notes, address the meeting to set out and sum up the employee’s case, respond on their behalf to any views expressed at the hearing and confer with them during the hearing. The companion does not have the right to answer questions on the colleague’s behalf, address the hearing if they do not wish it or prevent RoS from explaining our case. If either the employee or their companion cannot attend on the proposed date for the meeting, they may suggest a reasonable alternative date, which must be within five working days of the date first proposed.

8.4 Removal or return to the formal procedure

8.4.1 If an employee 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.

8.4.2 If the employees performance then becomes unacceptable again within the following 12-month period, they will be invited to a meeting to discuss their performance, and consideration will be be taken on the appropriate next steps, including returning to the stage of the formal performance improvement process they were last on or progressing to the next stage of the performance improvement procedure.

9. Appeal

9.1 At every stage of the formal performance improvement process the employee 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.

9.2 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 employee 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.

10. Eligibility for compensation

10.1 Employees 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). Details can be obtained from HR.

11. Roles and responsibilities

11.1 The Strategic People Authority is responsible for the content of this policy, its approval and review. They are responsible for ensuring its implementation in practice and for monitoring this over time. They are responsible for ensuring that appropriate procedures, guidelines or standards as are required to support this are maintained and ownership for these assigned appropriately

12. Approval and review

12.1 This policy will be reviewed and approved by the Strategic People Authority (SPA) every 24 months, unless earlier review is appropriate.