8450 - performance management

Prison Service Order

ORDERNUMBER

8450

Performance Management

Implementation date: 25/09/06

Date of Initial Issue New Edition 25/09/06Issue Number 262 PSI Amendments should be read in conjunction with this PSO Date of Further Amendments

Amendments can be tracked in the numerical index.

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EXECUTIVE SUMMARY

IMPLEMENTATION DATE: 25/09/06

(signed)

Gareth HadleyDirector of Personnel.

Further advice or information on this PSO or the systems contained within it can be sought from:

Clare Scotcher 020 7217 6536Helen Wood 020 7217 6458

Issue no. 262 Issue date 30/08/06

STATEMENT OF PURPOSE

This PSO is issued to update the previous version of PSO 8450, which it replaces. The Staff Performance and Development Record (SPDR), introduced in April 2002, has been revised and simplified. This requires no change to policy or to the overall process but does require minor updates to the text of the existing PSO. Changes have also been made to the PSO to ensure it complies with the statutory dismissal procedures.

DESIRED OUTCOME

The effective management of staff is a key means by which we deliver the work of the Service and clear guidance and support should be available to staff to help them undertake their performance management responsibilities effectively. This PSO and the complimentary document entitled ‘Guidance on Staff Performance Management Processes’ have the purpose of providing a simple and clear explanation of the mandatory requirements of the Service’s staff performance management process. The PSO underpins the Management Standard.

MANDATORY ACTIONS

All staff must follow the mandatory requirements in this PSO. Governing Governors, Area Managers, Heads of Groups and other more senior managers are responsible for the delivery of these requirements in their areas.

RESOURCE IMPLICATIONS

The PSO and processes remain largely unchanged. There are therefore no specific training requirements. The changes to SPDR form and guidance will make the conducting of SPDR reviews less complex and a more effective tool for line managers.

SPDR champions have been identified to implement the changes to the SPDR process locally and all line managers have been provided with a newly printed SPDR guidance booklet.

The Maximising Performance Team in Personnel Management Group are able to provide any further advice required.

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Chapter Paragraph

1. CHAPTER ONE

1.Introduction 1.12.The Prison Service Vision 1.43.Role of Participants 1.9

2. INDUCTION

Purpose 2.1Scope 2.2Programme 2.4Guidance 2.6

3. MANAGING PROBATION

Purpose 3.1Scope 3.2Length of probation 3.3Principles 3.4Procedures 3.7

Letter of appointment 3.8Monitoring Progress during Probation 3.12Unsatisfactory Performance, Attendance or Conduct during Probation 3.16Confirmation of Appointment 3.22Extension of Probation 3.23Termination of Appointment 3.24Appeals Against Dismissal 3.28

Guidance 3.31

4. STAFF PERFORMANCE AND DEVELOPMENT SYSTEM

Purpose 4.1Principles 4.2Participation 4.3Timing 4.7The Performance Plan 4.8Job Competences 4.10Development Plan 4.11In Year Requirements 4.15End Of the Reporting Period Requirements 4.16Recording SPDR Actions 4.18Action to Resolve Differences between the Job Holder and Their Manager 4.19

Guidance 4.22


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5. MANAGING POOR PERFORMERS

Purpose 5.1Scope 5.3Procedures 5.10

First stage 5.11Medical considerations 5.12Second stage - 5.18Third stage - final 5.26

Healthcare staff with professional regulatory bodies 5.31

AppealsInternal 5.32External 5.35

Guidance 5.36

6. RECORDING STAFF PERFORMANCE MANAGEMENT ACTIONS

Induction 6.3Probation 6.3SPDR 6.4

reviewsPerformance planInterim End of reporting period assessmentDevelopment planCompetence assessmentAction if the SPDR is not completed

Model letters for poor performance 6.5

Guidance 6.6 7. MONITORING AND QUALITY ASSURANCE

Induction 7.2Probation 7.3By the Performance Management Team 7.5

Guidance 7.6

8. FURTHER SUPPORT AND GUIDANCE 8.1


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Chapter 1

Introduction 1.1 Staff performance management involves a number of processes designed to ensure that

staff are managed and developed so that they deliver the work of the Service in line with its plans and principles.

1.2 This PSO provides a broad outline of the processes involved and the mandatory

requirements of these processes. Detailed guidance on how these requirements should be undertaken is contained in the Service’s “ Guidance on Staff Performance Management Processes.”

1.3 Purpose of Performance Management

To plan, review and improve performance at individual, team and organisational level.

To ensure staff understand what is required of them and how they contribute towards delivery of Service Vision.

To increase staff competence so that they are effective in their roles and are equipped with the necessary skills to contribute to the Vision of the Service.

To encourage continuous development. To recognise and address staff performance.

The Prison Service Vision 1.4 Purpose

Her Majesty’s Prison Service serves the public by keeping in custody those committed by the courts. Our duty is to look after them with humanity and help them lead law-abiding and useful lives in custody and on release.

1.5 Aim

Effective execution of the sentences of the courts so as to reduce re-offending and protect the public.

1.6 Objectives

Protect the public by holding those committed by the courts in a safe, decent, and healthy environment;

Reduce crime by providing constructive regimes which address offending behaviours, improve educational and work skills and promote law abiding behaviours in custody and after release.

1.7 Principles

1. Deal fairly, openly and humanely with prisoners and all others who come into contact with us.

2. Encourage prisoners to address offending behaviour and respect others.3. Value and support each other’s contribution.4. Promote equality of opportunity for all and combat discrimination wherever it occurs.5. Work constructively with criminal justice agencies and other organisations.6. Obtain best value from the resources available.


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In particular we must ensure that our actions are fair and reasonable and in line with Prison Service’s policy on equality of opportunity and diversity. 1.8 Prison Service Statement of Equal Opportunities and Diversity

The Prison Service is committed to being an Equal Opportunities Employer. The Prison Service will not tolerate harassment or unfair discrimination on the grounds of gender, marital status, race, colour, nationality, ethnic or national origin, disability, religion, sexual orientation, age or any other irrelevant factor.

We will promote and support the use of a range of flexible working patterns to enable those working for us to balance home and work responsibilities, and we will treat people fairly irrespective of their working arrangements and develop staff in order that they have an equal opportunity to reach their full potential.

It is our aim to give everyone an equal chance to develop and fulfil their potential. We value the contribution each person can make to the organisation. We believe that treating people fairly is right and makes good business sense.

Cases of discrimination on any of these grounds are offences under the Prison Service Code of Conduct and Discipline, some are illegal and subject to law. They will not be tolerated and may lead to disciplinary proceedings which could result in dismissal if proven.

Role of Participants 1.9 Job Holder:

Should participate fully in all aspects of the performance management arrangements. 1.10 Manager:

Is responsible for ensuring that all the mandatory requirements in relation to induction, probation and managing performance and development are met. Must ensure staff are afforded resources to participate in performance management processes.

1.11 Manager’s Manager:

Is responsible for the monitoring and quality assurance of all the processes undertaken by the Manager in relation to induction, probation and managing performance and development. Must ensure the Manager undertakes their responsibilities with due regard to Prison Service policy on equal opportunities and diversity and Prison Service principles. Must ensure that Managers have the time to undertake their performance management responsibilities.

Must ensure that both Manager and Job Holder are acting fairly and reasonably at all times. In the case of a disagreement between the Manager and Job Holder, the Manager’s Manager must seek to resolve the dispute by meeting with both.

1.12 Governor/Head of Group in HQ:

Must ensure that staff performance management in their establishment/ HQ group is carried out in line with this PSO. Must ensure that these processes are monitored and take action to put right any deficiencies identified.

Takes decisions on confirmation/extension/termination of appointments during probation. Take decisions on dismissal of staff under poor performance procedures.


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1.13 Head of Personnel:Works to the Governor/Head of Group in HQ to manage and monitor the processes contained in this PSO, is the Governor’s source of advice on these processes. Ensures that the personnel function is competent to advise staff and managers on these processes.

1.14 Maximising Performance Team, HQ:

Develops policy on performance management, provides advice on this policy. Provides training and current support as required. Undertakes quality assurance and monitoring for the Service as a whole and produces an annual report on the operation of these processes to the PSMB.


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Chapter 2. INDUCTION Purpose 2.1 The purpose of induction is to familiarise a new member of staff - whether externally recruited

or transferred from elsewhere in the Prison Service, the Home Office or the Civil Service - with the job, unit and workplace.

Scope 2.2 Induction is a process, not an event. Wherever possible, induction begins before taking up the

post. For instance, a letter of welcome may provide useful information. Induction will vary in content and duration according to the prior experience of the new member of staff.

2.3 Induction is the responsibility of the Manager who must draw up an induction programme for

all new staff for whom they are responsible. Programme 2.4 All induction programmes must include the following:

For those new to the Service, provision of the Service induction pack and Staff Handbook. These can be found on the Prison Service Intranet

Familiarisation with the establishment or Headquarters Group, including:

site(s), facilities and daily and emergency routines, including fire escape routes;

health and safety issues;

directories, contact points, addresses and telephone numbers;

personnel with whom the new member of staff will expect to work and need to

know;

aims, functions and business plans;

key rules and procedures that apply nationally or locally;

details of Service Equal Opportunity and RESPOND policies;

where to get further information;

a meeting with the Manager to agree and open a Staff Performance and Development Record (once these procedures have been explained to them);

the name of and time to meet with the relevant Trade Union representative.


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2.5 All induction programmes for new externally recruited staff must include an explanation of probation requirements and procedures (unless probation does not apply).

It is the responsibility of the Manager to ensure that this programme is delivered. For details of mandatory induction requirements for particular grades of staff please consult:

For psychologists: Psychology Group, room 310 Cleland House ( 020-7217-6622

For nurses/doctors: Prison Service Healthcare, Wellington House, Waterloo

For chaplains: Chaplaincy Unit, room 709a Abell House ( 020-7217-5817

For accountants: Senior Accounting Professional room 204 Abell House ( 020-7217-5728

Guidance

2.6 Guidance in undertaking the management of Induction is contained in chapter 2 of “Guidance on Staff Performance Management Processes”.


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Chapter 3 MANAGING PROBATION Purpose 3.1 The purpose of probation is to give newly recruited staff the opportunity to show their suitability

- in terms of conduct, performance and attendance - for confirmation in the grade or post to which they have been appointed

Scope 3.2 Staff appointed to permanent posts or fixed-term-appointments of a year or more must

normally serve a probationary period. Staff not required to serve a probationary period are:

appointments of under a year;

re-appointed staff;

members of the Senior Civil Service;

staff from the Diplomatic Service or a Non-Departmental Public Body;

serving established civil servants appointed through an open recruitment scheme for the same grade or to a grade which they have an avenue of promotion (established civil servants recruited to a grade to which they did not have an avenue of promotion or those entering a new specialism are required to serve probation);

existing Prison Service staff who have successfully passed a JSAC to Prison Officer and

have completed probation. Length of probation 3.3 For prison officers and some specialist staff, e.g. Psychologists, the minimum period of

probation is 12 months, unless, exceptionally, it is extended. (See paragraph 3.23.) For most other grades the minimum period is six months. HEO (D) grades are subject to a maximum of two years probation and oversight by the Home Office. Please contact HR Services of the Home Office on 020 7035 6580 for advice on managing HEO (D)’s who are on probation. For those on the Prison Service Fast Track schemes probation is managed by Management and Selection Succession Unit (MSSU). For further advice please contact MSSU on 020-7217-2664.

Principles

3.4 The primary emphasis of probation is on the positive development, guidance and

encouragement of new staff. Probation procedures must accord with the Prison Service commitment to equal opportunities. Particular attention must be given to any special facilities required by staff with disabilities.

3.5 The Manager has the primary responsibility for managing the probation period. 3.6 All staff on probation must have an induction programme, a Performance Plan and a

Development Plan.


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3.7 Procedures At The Start of Probation Letter of appointment 3.8 Newly recruited staff, who are subject to probation, must be informed in the schedule attached

to their appointment letter that they are subject to probation. See PSO 8100 RECRUITMENT. 3.9 The requirements set out in chapter 2 of this PSO on induction must be followed. 3.10 All staff must be given a copy of the “Guidance on Staff Performance Management

Processes”. 3.11 As soon as practicable, all probationers must meet with their Manager to open a Staff

Performance and Development Record (SPDR), the “type of report box“ on the front cover must be ticked to indicate that it is a probation report.

Monitoring Progress during Probation 3.12 The Manager must monitor the probationer throughout the probation period and must provide

opportunities for the probationer to discuss progress and any difficulties. 3.13 An interim probation Staff Performance and Development Record must be completed within

six months from the date of taking up the appointment. Probationers (except officer grades and some specialist staff), who receive an Exceeded or Achieved performance level in this report will have their appointment confirmed at this stage if the Governor or Head of Group accepts the assessments in the report as meeting the requirements for the grade or post and the probationer is not subject to ongoing conduct or attendance procedures. Officer grades and some specialist staff will continue on probation for a further 6 months.

3.14 If staff receive an Unacceptable performance level at this stage, the Governor or Head of

Group in Headquarters will consider whether their appointment should be terminated. See paragraph 3.24 termination of appointment.

3.15 For those staff whose appointment is not confirmed or terminated at 6 months a final

Probation Report must be completed within twelve months from the date of taking up the appointment. A recommendation must be made to the Governor/Head of Headquarters group on whether the appointment should be confirmed, extended or terminated (see paragraphs 3.22 to 3.27 below).

Unsatisfactory Performance, Attendance or Conduct during Probation 3.16 Action must be prompt. It must not wait until a report is due. 3.17 The poor performance (see chapter 5 of this PSO), attendance (see Management of

Attendance PSO 8403 paragraph 7.11 or conduct procedures (see Code of Conduct and Discipline) must be followed. In the cases of performance or attendance difficulties these procedures may be shortened for probationers as long as it can be shown that the probationer has been treated fairly and reasonably. This would mean that in most cases following a formal warning staff should be given 3 months to improve before a decision is taken to terminate their appointment.

3.18 If informal action is ineffective or if a problem recurs, a formal written warning must be given,

the warning must contain the following:

length of trial period and reasons for it;


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areas in need of improvement; reference to Trade Unions and Staff Care and Welfare; a warning that appointment may be terminated if improvement is not made.

A model letter is in chapter 3 of the Guidance on Staff Performance Management Processes. Two copies of the letter should be given to the probationer, one of which must be signed and returned to the Manager.

This formal warning must also be given when an interim probation report records an Unacceptable performance level or when a final probation report records an Unacceptable performance level and an extended period of probation is granted.

3.19 Following a formal warning, if the performance, attendance or conduct has not sufficiently

improved the Governor, Head of Headquarters group may terminate the appointment (see paragraph 3.24 below).

3.20 A formal warning is not appropriate where there is continuous sick absence. The OHS must

be consulted regarding the possibility of Medical Retirement. If the Medical Adviser does not recommend Medical Retirement, the Job Holder must be consulted about the likely date of return to work. The Governor or Head of Group/Unit must decide whether this is satisfactory and, if not, may terminate the appointment, after consulting the Job Holder. Where ill health is an issue the procedures set out in the Management of Attendance PSO 8403 must be followed.

3.21 Staff can seek the advice and support of their Trade Union at any stage of this procedure. Confirmation of Appointment 3.22 The Governor/Head of Headquarters group decides whether an appointment should be

confirmed upon recommendations from the Manager, see paragraph 3.15. They must satisfy themselves that the performance, attendance and conduct are satisfactory. They must write to the probationer confirming their appointment. (A model letter for this purpose is in chapter 3 of the “Guidance on Staff Performance Management Processes.) For staff who are on incremental pay, Pay Service must be notified of the date probation was completed.

Extension of Probation 3.23 The Governor/Head of Headquarters group may decide in exceptional circumstances that

probation should be extended beyond the 12 month period. This should be for no longer than 6 months. If they so decide they must write to the probationer setting out the reasons for the extension and length of extension. They should again inform the probationer that failure to improve could lead to termination. A model letter for this purpose is in chapter 3 of the “Guidance on Staff Performance Management Processes”.

Termination of Appointment 3.24 Before making a decision, the Governor or Head of Group must write to the probationer

inviting them to a meeting. The Governor or Head of Group must give reasonable notice of such a meeting. The letter must contain:

summary of reports, warning etc; an invitation to meet with Governor/Head of Group to discuss the issues raised in the

letter, accompanied by a Trade Union representative or work colleague.

A model letter for this purpose is in chapter 3 of the “Guidance on Staff Performance Management Processes”.


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3.25 If no representations are received, or representations are received but the Governor/Head

of Headquarters Group still decides to terminate the appointment, they must write confirming the dismissal and the last day of service and informing them of their right of appeal.

3.26 The effective date of dismissal will be either:

the date of expiry of the time allowed to notify an intention to appeal if no appeal is notified; or

the date of notification of confirmation of dismissal by the person conducting the appeal/the date of the Governor’s letter informing them of this decision

A model letter for this purpose is in chapter 3 of the “Guidance on Staff Performance Management Processes”.

3.27 Home Office Pay Service must be informed of the dismissal and the last day of service. Appeals against Dismissal 3.28 The member of staff must notify of their intention to appeal within 1 week and submit any

grounds of appeal within 2 weeks. (Model letters for this purpose are in Chapter 3 of the “Guidance on Staff Performance Management Processes”.) Appeals must be considered by the Area Manager or Director. The person hearing the appeal must do so within 3 weeks of receipt unless there are acceptable reasons for delay.

3.29 The person hearing the appeal can decide to confirm or terminate the appointment or to

extend the period of probation for a specified period. The Governor or Head of Group/Unit must write to advise the probationer of the decision. (Model letters for this purpose are in chapter 3 of the “Guidance on Staff Performance Management Processes”.)

3.30 A probationer may have the right to appeal to an Employment Tribunal about the decision to terminate their appointment. Please see “Guidance on Staff Performance Management Processes” for further details.

3.31 Guidance in undertaking the requirements of probation is contained in chapter 3 of the

“Guidance on Staff Performance Management Processes”.


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Chapter 4 STAFF PERFORMANCE AND DEVELOPMENT SYSTEM Purpose

4.1 The Staff Performance and Development System (SPDS) aims to enable staff and their managers to agree performance and development actions that enable the Service to deliver its business plans though the effective management and development of its staff.

Principles 4.2 SPDS is an integral part of managing staff and work effectively. It is the responsibility of

managers to ensure the requirements of the SPDS are undertaken.

Everyone is expected to apply the Prison Service Principles in their work. They must:

Deal fairly, openly and humanely with prisoners and all others who come into contact with them.

Encourage prisoners to address offending behaviour and respect others. Value and support each other’s contribution. Promote equality of opportunity for all and combat discrimination whenever it occurs. Work constructively with criminal justice agencies and other organisations. Obtain best value from the resources available.

Participation

4.3 All staff directly employed by the Prison Service must take part in the SPDS, whether as Job Holders, Managers, Manager's Managers, Governors, Head of Groups in Headquarters, Area Managers and Directors. The only Prison Service staff who do not take part as Job Holders are

AT/HEODs and the Senior Civil Service, for whom different performance management

and appraisal processes apply. Staff on secondment to other organisations, remain subject to SPDS arrangements. 4.4 SPDS applies equally to part-time staff, fixed-term and casual appointments and staff on New

Deal appointments. 4.5 Staff on temporary promotion must participate and will be assessed on the basis of the post

they hold temporarily, including any managerial responsibilities. 4.6 Staff not directly employed by the Prison Service who manage staff who are Prison Service

employees must undertake these procedures. The only requirement for managing staff is that staff must be a management grade.

Timing

4.7 The SPDR cycle runs between 1 April and 31 March. Three months is the minimum period for a complete SPDR cycle e.g. when a new post has been taken up towards the end of the reporting year.

The Performance Plan 4.8 The Job Holder and their Manager must meet to agree a performance plan as early as

possible in the business year and the performance plan must be opened no later than 30 June.


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4.9 The performance plan must outline the work to be undertaken during the reporting year and must include clear standards of performance to be achieved.

Job Competencies 4.10 All jobs should have agreed Prison Service core competences. These are agreed using the

Core Competence Framework. If the job requires specialist competences or qualifications these also must be identified. At the beginning of the reporting year the Manager and Job Holder should confirm that the competences identified are correct. The competences identified must be used to plan any development actions (see below). When a job is advertised these competences together with the key work to be done must be used to advertise the job.

Development Plan 4.11 All staff must consider their development needs, in discussion with their Manager at the start

of the reporting period and as necessary during the reporting period. 4.12 Any development actions must be identified through consideration of the performance plan

and the Job Holder’s career aspirations. 4.13 If the development plan is agreed it must outline the competences to be developed and the

actions to develop them. It should only contain actions for which the necessary resources are available.

4.14 Every establishment/headquarters group must produce a local training plan at the start of the

financial year. This plan must reflect and inform staff development plans.

In Year Requirements 4.15 The Job Holder and their Manager must meet at least once during the year to discuss their

performance and any development needs and to make any necessary changes to the plans agreed at the beginning of the reporting period. This meeting must take place between 1 September and 30 November. They must also meet as necessary to discuss any changes during the reporting year.

End of Period Reporting Requirements

4.16 The Job Holder and their Manager must meet at the end of the reporting period to discuss performance during the reporting period and progress with the development plan. An assessment of performance by the Manager must take place and the Manager must award a performance level. The Job holder must state whether s/he accepts the Manager’s assessment, and be offered the opportunity to comment. For a normal year reporting period this must take place between 1 April and 30 June. Progress against the development plan must also be reviewed.

4.17The Manager’s Manager must consider the Manager’s assessment and satisfy themselves that the Manager has undertaken their responsibilities effectively. They must satisfy themselves that the requirements of the Service’s Diversity and Equality policies have been followed.

Recording SPDR Actions 4.18 The SPDR must be completed to record SPDS actions and decisions. The performance level

awarded must be recorded on PERSONNEL.


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Action to Resolve Differences between the Job Holder and Their Manager 4.19 If at any stage during the reporting year the Job Holder and their Manager are unable to

agree over differences it is the responsibility of the Manager’s Manager to resolve these. Once a decision has been taken at this stage the Service grievance procedure may be used if the Job Holder is still not satisfied.

4.20 While a disagreement remains unresolved, the Job Holder must continue to follow

management instructions. 4.21 Staff may seek the advice and support of their Trade Union in resolving any disputes.

Guidance

4.22 Guidance on undertaking the requirements of SPDS are contained in chapter 4 of the “Guidance on Staff Performance Management Processes”.


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Chapter 5 MANAGING POOR PERFORMERS

Purpose

5.1 The purposes of these procedures is to improve performance and ensure poor performance is identified and appropriate action taken in line with employment law and the needs of the Service.

5.2 It is the responsibility of Managers to undertake these procedures, where necessary, for their staff.

Scope

5.3 These procedures apply to all staff directly employed by the Service including those on fixed-term appointments over a year.

5.4 Casual staff must be treated fairly and according to the same principles as permanent staff

however it may not be necessary to go through all the stages of the poor performance procedures. Casual staff may be dismissed (using the statutory dismissal procedures) following a period of notice as long as all reasonable attempts have been made to improve performance.

5.5 For staff on probation see chapter 3 of this PSO. 5.6 Staff over the minimum retirement age must be treated fairly, in accordance with procedures

set out in this chapter. 5.7 Poor performers must be treated sensitively, fairly and without discrimination. They must be

given the time, opportunity and assistance to improve. 5.8 Any underlying reasons for poor performance must be explored. The poor performer must be

encouraged to seek medical help or advice or the assistance of the Staff Care and Welfare Service, where this would be appropriate.

5.9 The Job Holder may seek the advice and support of the relevant Trade Union or a work

colleague at any stage of this process.

Procedures

5.10 All poor performance procedures must be carried out according to these instructions and fully documented.

First stage 5.11 The Manager must discuss poor performance with the Job Holder as soon as there is cause

for concern. This discussion must be confidential and free of interruption.

Medical considerations 5.12 Where appropriate, if the Job Holder mentions health problems or the Manager believes there

to be any, consent to obtain a confidential medical report from the GP must be sought. This should be done by your personnel unit. The “Guidance on Staff Performance Management Processes” provides a model letter for this purpose at chapter 5. A referral to Occupational Health will be necessary if the reply indicates a relevant medical condition. If the Job Holder refuses consent, Occupational Health advice must be sought. Problem drinking or other addictions must be dealt with in line with Service instructions on these areas and treated the same as other health problems and support made available if the Job Holder is prepared to admit to a problem and to take steps to deal with it. If a Job Holder whose performance is


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adversely affected by drinking repeatedly refuses to acknowledge a problem or to accept offers of help to deal with it, they must be warned that they are liable to dismissal. If the Job Holder is a poor or irregular attendee as well as a poor performer, the procedures set out in PSO 8403 Management of Attendance Procedures must also be followed.

5.13 The Job Holder must be reminded that the Staff Care and Welfare Service exists to provide

confidential advice that is independent of management. If there appears to be a personal or domestic problem the manager should strongly encourage the Job Holder to seek the support of Staff Care and Welfare Service. Where circumstances are such that the line manager has serious concerns for the welfare of the Job Holder the manager must inform Staff Care and Welfare Service so that they can approach the Job Holder and offer help.

5.14 The Manager must give the Job Holder a warning in writing. This is an informal warning but

must include:

specific areas of work that must improve;

assistance that will be given;

a timetable, which must be at least three months and sufficient to demonstrate the required improvement;

a warning that if performance does not improve sufficiently, formal procedures will

follow and they could result in dismissal; 5.15 The Staff Performance and Development Record must be amended to include the action to be

taken to improve performance and any development actions necessary. 5.16 The Manager's Manager must be informed and they must satisfy themselves that a warning is

both necessary and relevant. 5.17 For a specified trial period of at least three months, progress must be closely monitored.

Progress during the trial period must be noted and the Job Holder must be given feedback. Second stage -

Where performance has reached the required standard 5.18 Throughout the trial period the Manager must meet the Job Holder to review progress and

determine whether performance has reached the required standard. If at the end of the trial period performance is acceptable, then no further action is necessary, however the Manager must record the improvement and remind the Job Holder that it must be maintained (see model letter in chapter 5 of “Guidance on Staff Performance Management Processes”) also, if circumstances suggest, close supervision should be retained.

Where performance is not yet at the required standard

5.19 If performance is not yet acceptable, but progress has been made and there is reason to

believe that an acceptable performance will soon be achieved, then the first stage can be repeated.

Where performance remains unacceptable

5.20 If the Manager considers that performance remains unacceptable but that a continuing of the

first stage process is not appropriate the Manager should seek agreement from their manager to move to the second stage. The Staff Performance and Development Record (SPDR) must


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be completed and an “Unacceptable” performance level given. The Job Holder must meet with their Manager and open a new SPDR.

A formal written warning must be given, (a model letter is at chapter 5 of the “Guidance on Staff Performance Management Processes”). The warning must contain the following:

specific areas of work that must improve, ( these should also be recorded in the

SPDR); assistance that will be given; a timetable which must be at least three months and sufficient to demonstrate the

required improvement; a warning that if performance does not improve sufficiently formal procedures will

follow and they could result in dismissal.

Medical Considerations 5.21 The Manager must ask the Job Holder if there might be any medical reason for poor

performance and if either of them believes so, then the advice of Occupational Health must be sought. If Occupational Health recommend Medical Retirement and the Job Holder accepts, then the poor performance procedures will cease and arrangements will be made for Medical Retirement.

Reviews and Feedback

5.22 During this stage, the Job Holder and their Manager must meet regularly to discuss progress,

provide encouragement, advice and support, and consider any coaching or training that needs to be arranged or any modification of the performance plan that may be appropriate. Any improvement must be noted

5.23 Exceptionally, during a trial period, a change of post or manager may take place, where this is

practicable and in the interests of the Job Holder achieving an acceptable performance level. 5.24 At the end of this stage, the Job Holder and their Manager must meet to review progress. The

SPDR must be completed.

Where performance has reached the required standard 5.25 If performance is acceptable, then poor performance procedures will cease and the Job

Holder must be informed that if performance declines to an unacceptable level within twelve months, a further formal warning will be given. In that case, the second stage will be repeated. (Chapter 5 of the “Guidance on Staff Performance Management Processes” contains a model letter for this purpose).

Third stage - final 5.26 If performance remains unacceptable at the end of the second stage, then the Manager must

recommend one of the following to the Governor or Head of Headquarters Group (or, in the case of staff for whom the Governor or Head of Group/Unit is the Manager, the decision should be taken by a more senior manager within the management line).

Extension of the trial period: Where exceptional circumstances have meant

that there has been insufficient time to demonstrate the necessary improvement (chapter 5 of “Guidance on Staff Performance Management Processes” contains a model letter for this purpose).

Downgrading or regrading: This must be considered if there are grounds for

believing that the Job Holder may be capable of carrying out the duties of another


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grade satisfactorily and would be willing to do so and if there are suitable local vacancies.

Dismissal: Dismissal may only be decided by the Governing Governor, Head of

Headquarters Group or a more senior manager. 5.27 Before making a decision to downgrade/regrade or dismiss, the Governor or Head of

Group/Unit (or senior manager) must give the Job Holder the opportunity of a meeting, assisted if they wish by a colleague or Trade Union representative, and must give reasonable notice of such a meeting. (Chapter 5 of the “Guidance on Staff Performance Management Processes” contains a model letter for this purpose).

5.28 If the decision is taken to dismiss or agreement is reached on downgrading/regrading, the Job

Holder must be informed in writing of the decision and the rights of appeal including the time limits. (Chapter 5 of the “Guidance on Staff Performance Management Processes” contains a model letter for this purpose).

5.29 Formal notification of dismissal, (including the appropriate period of notice or payment in lieu

of notice), will follow if the Job Holder does not notify an intention to appeal or if the dismissal is upheld on appeal. (Chapter 5 of the “Guidance on Staff Performance Management” contains a model letter for this purpose.) A copy of the formal dismissal letter must be sent to Home Office Pay Service and Superannuation Service.

5.30 Staff dismissed for performance may be eligible for compensation under the terms of the

Principle Civil Service Pension Scheme. For further information see “Guidance on Staff Performance Management Processes”.

Healthcare staff with professional regulatory bodies 5.31 When dealing with a performance issue involving a professional member of health care staff

(whether or not this initially appears to relate to an individual’s professional practice), there must be appropriate input from someone from the same professional group. This will help determine whether the case should be referred to the relevant professional regulatory body which may need to carry out it’s own investigation. The following statutory bodies regulate medical, dental and nursing professionals - the General Medical Council (GMC), General Dental Council (GDC) and the Nursing and Midwifery Council (NMC). You may also contact the Prison Health Policy Unit/Task Force in Wellington House for further information about individual cases which are causing concern.

For cases involving psychologists the Area Psychologist (or Psychology Group for Headquarters) must be informed.

APPEALS

Internal 5.32 The Job Holder has a right of appeal against a decision to downgrade/regrade or dismiss

and/or a decision not to pay compensation. 5.33 An appeal must be made to the Area Manager, Director or another senior manager if

appropriate.

The Job Holder may be assisted by a colleague or Trade Union representative at any appeal meeting .

5.34 The following timetable applies unless the person hearing the appeal is satisfied that there are

good reasons for any delay:


PS0 8450 page 21

notification of an intention to appeal must be made within one week of receipt of the

decision to dismiss;

following this notification, the grounds of appeal and any request for a personal interview must be made within two weeks ;

if a meeting is requested, it must be held within three weeks of receipt;

the decision on the appeal must be communicated to the Job Holder in writing within

two weeks of a meeting or receipt of representations if no meeting was requested.

Model letters for the appeal process are contained in chapter 5 of the “Guidance on Staff Performance Management Processes”.

5.35 External

the Job Holder may also appeal to the Civil Service Appeal Board or to an Employment Tribunal. Information on this is contained in the “Guidance on Staff Performance Management Processes”.

5.36 Guidance on undertaking these poor performance requirements is contained in Chapter 5

of the “Guidance on Staff Performance Management Processes”.


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Chapter 6 RECORDING STAFF PERFORMANCE MANAGEMENT ACTIONS

6.1 This chapter contains the mandatory requirements in relation to recording the processes contained in this PSO. It should be remembered that it is the processes themselves that ensure that staff are managed effectively. However it is important to record performance management actions as if any decisions are challenged the records are the evidence that will be considered.

6.2 This chapter therefore identifies the mandatory recording requirements. Detailed guidance on

recording performance management actions is contained in “Guidance on Staff Performance Management Processes”.

In duction 6.3 An induction programme must be drawn up.

Appointment letters must contain details of probation arrangements.An SPDR must be opened.An interim SPDR must be completed after 6 months.A formal written warning must be given if performance, attendance or conduct is unsatisfactory.The Governor/Head of Group must write to the probationer on successful completion of probation to confirm the appointment.The Governor/Head of Group must write to the probationer if probation is to be extended.The Governor/Head of Group must write to the probationer if the appointment is to be terminated.The Governor/Head of Group must write to the probationer confirming the decision to dismiss if no representations are received or following representations the decision is still to dismiss.The member of staff must notify in writing an intention to appeal against a decision to dismiss.The member of staff must submit any grounds of appeal in writing.The person considering the appeal must write to the probationer informing them of their decision.Pay Services must be notified when an appointment has been confirmed.Information on appointments confirmed, terminated or probation extended must be entered on PERSONNEL.

Chapter 3 of the “Guidance on Performance Management Processes” contains model letters for the probation process. 6.4 The SPDR must be used to record staff performance and development actions. The form

may be printed off for signature. Alternatively, if an electronic copy of the form is being used, completion of each section may be confirmed through exchange of e-mail. Copies of those e-mails must be retained. Each time comments are added to the form, a unique electronic version of the document must be saved and retained. Each e-mail from the Manager, the Job-Holder or the Manager's Manager, recording and confirming completion of those comments must explicitly specify which part of the document has now been completed; the name of the document that has been saved; and the date and time at which it was saved. The new document must be attached to the e-mail

Section 1 - all of this section must be completed.

Section 2: The performance standards and “core duties and objectives“ section must be completed at the beginning of the reporting period and amended during the reporting period to reflect any


PS0 8450 page 23

changes. The Job Holder and Manager must sign to show they have agreed the performance plan.

The ‘End of Period Review’ section must be completed to record progress against each ‘core duty’ or ‘objective’

Section 3: The ‘Interim Review’ section must be completed and signed by the Manager and the Job Holder.

Section 4: The Job Holder, the Manager and the Manager’s Manager must complete and sign the sections of the ‘End of Reporting Period Assessment of Performance’ that are relevant to them.

The performance level awarded must be entered on PERSONNEL. Action if the SPDR is not completed

If the Job Holder does not wish to complete or sign their sections then the Manager must annotate the relevant section accordingly.If the Manager has not completed sections for which they are responsible their managers must take action to ensure that they do.

Managing Poor Performance

If medical advice is needed this must be sought in writing.At the first stage of these procedures the Manager must warn the job holder in writing and the SPDR must be amended if necessary. At the second stage the Manager must write to the Job Holder confirming the result of the first stage. The SPDR must be completed at this stage. At the third stage the Manager must write to the Job Holder if the performance is now acceptable. If the performance is not acceptable the Governor/Head of Group must write to the Job Holder informing them of this and invite them to a meeting. Following the meeting, if the decision is to dismiss (or alternatively to downgrade/regrade) the Governor/Head of Group must write informing the Job Holder of this decision. The Job Holder must notify their intention to appeal in writing and submit any grounds of appeal in writing. The person hearing the appeal must inform the Job Holder in writing of their decision.

6.5 Chapter 5 of the “Guidance on Staff Performance Management Processes” contains model letters for the poor performance processes.

G uidance

6.6 Guidance on recording staff performance management action is contained in Chapter 6 of the “Guidance on staff performance management processes”.


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Chapter 7 MONITORING AND QUALITY ASSURANCE 7.1 This section describes the mandatory monitoring and quality assurance actions that are

required as part of the staff performance management arrangements.

In duction

7.2 An evaluation of each induction programme must be undertaken and recorded. A record must be kept of the numbers of staff new to the establishment/headquarters group and when induction was completed for them. Using these records as a starting point, the governor/head of group must ensure that the operation of induction processes at their establishment/headquarters group are reviewed annually and that action is taken to address and deficiencies identified.

Pr obation

7.3 The governor/head of headquarters group must ensure that at least 10% of SPDRs are quality assured at three stages during the performance management cycle:

- when performance and development plans have been opened.- when the mandatory interim reviews have taken place.- when performance levels have been awarded.

They must ensure that action is taken to address any deficiencies that are identified as a result of these reviews.

7.4 Records must be kept of all staff who are subject to poor performance procedures. This must

include the number and grades of staff, those who have been given an unacceptable marking, a formal warning and who have been dismissed, who appeal against dismissal and the results of that appeal. The governor/head of group must ensure that the operation of these procedures are reviewed annually including the information referred to above and that action is taken to address any deficiencies identified.

By the Maximising Performance Team 7.5 The Maximising Performance team will review the operation of these procedures annually.

They will require information held by establishments and headquarters groups (see above) in order to undertake this review. The team will visit at least 10% of establishments and headquarters groups each year to evaluate the operation of these procedures. The team will report to the PSMB annually on the operation of these procedures.

G uidance

7.6 Guidance on quality assurance and monitoring is contained in chapter 7 of “Guidance on Staff Performance Management Processes”.


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Chapter 8 FURTHER SUPPORT AND GUIDANCE 8.1 Guidance on undertaking all the requirements contained in this PSO is contained in “Guidance

on Staff Performance Management Processes”.

The initial point of contact for queries about this PSO is your Personnel Department/section. However if they are unable to deal with your query you should contact the Maximising Performance team in Personnel Management Group at Headquarters who are:

Clare Scotcher - 020 7217 6536Helen Wood - 020 7217 6458


8450 - performance management

Business