Guidance on Initial Service Review Procedure (Ordinance 25)

• Main principles and purpose of the procedure
• Terminology
• Responsibilities under this procedure
• Regular Informal Review Meetings
• Formal review meetings: reporting on progress
• Informal action
• Formal action
• Where to seek help in enacting the procedure

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The purpose of this guidance is to provide managers and staff with further information on how to apply this procedure. This guidance should be read in conjunction with the Initial Service Review Procedure.

1. Main principles and purpose of the procedure

• to support new members of staff while they are settling into the University;
• to give the University time to assess the suitability of the new member of staff for continued employment;
• to provide a framework within which any areas of concern can be identified, addressed and resolved.

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2. Terminology

Under this guidance, the term 'manager' or 'line manager' refers to a Head of School/Division or other individual who has been given delegated responsibility for the day-to-day management of a member of staff by the Head of School/Division.

In line with the Ordinance, the Head of School/Division may delegate their formal role under the procedure, where appropriate (see Section 3: procedural issues).

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3. Responsibilities under this procedure

Heads of School/Division/line managers

Responsible for:

• ensuring that the employee understands their role and the expected standards of performance;
• ensuring that they have access to information, equipment, training and other resources necessary to perform their role and that they are aware of the relevant rules, policies, procedures and standards of conduct expected;
• conducting regular informal one-to-one review meetings with the employee;
• conducting formal reviews (in the ordinary course of events) half-way and towards the end of the initial service review period and completing the brief reports requested by Human Resources;
• identifying and taking action where the performance or conduct of an individual is falling short of reasonable expectations during the initial service review period;
• exploring fully with the individual what the likely reasons for their under-performance against reasonable expectations might be;
• initiating proceedings, following appropriate consultation with their HR Manager where normal process have failed to achieve the required improvements;
• ensuring that appropriate information discussions/reviews have taken place before moving into the formal stages of the procedure;
• setting targets to enable the individual to achieve the performance standards/improvement required;
• ensuring that all relevant information is gathered/presented at informal discussions or at formal hearings;
• identifying witnesses to attend formal hearings where appropriate;
• determining whether it is appropriate to request another member of staff to attend the hearing;
• convening hearings, writing letters, providing notes etc., in accordance with the procedures;
• adjourning hearings where appropriate and necessary to gather further relevant information;
• considering all the information provided objectively and fairly;
• taking decisions on appropriate actions under the procedure.

Human Resources

Responsible for:

• advising managers and staff on appropriate implementation of policy, principles and procedures;
• advising Heads of School/Division/line managers when it is not appropriate to use this procedure;
• advising Heads of School/Division/line managers on “reasonable” expectations;
• assisting Heads of School/Division/line managers in setting targets to identify the performance standards/improvements required;
• advising/assisting in gathering all relevant information and assisting with investigations where appropriate;
• advising on who should, appropriately, attend the hearing;
• ensuring that Heads of School/Division/line managers convene hearings, write letters, provide notes, etc, in accordance with the procedure;
• advising Heads of School/Division/line managers when an adjournment should be granted;
• ensuring that decisions taken by Heads of Department/line managers are consistent and fair across the organisation.

Trades unions

Responsible for:

• providing relevant and appropriate advice to their members as required;
• providing appropriate representation of staff at hearings as required;
• endeavouring to be available to attend hearings as required.

Individuals

Responsible for:

• ensuring that their conduct and behaviour is appropriate at all times;
• being aware of and complying with the University’s Rules of Conduct and acting in accordance with these;
• making every effort to ensure that their performance is in line with reasonable standards and expectations;
• ensuring they fully understand and are clear on the required standards and expectations;
• taking up offers of additional training/support to assist them in achieving the performance standards/improvements required;
• attending hearings as required under the procedure;
• providing all relevant information in order that fair and objective decisions can be taken.

Office of the Secretary

Responsible for convening and servicing appeal panels in accordance with the procedure.

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4. Regular informal review meetings

Following initial induction, there should be regular informal one-to-one review meetings between the member of staff and their line manager/supervisor throughout the Initial Service Review period. The meetings should be a mix of two agenda – the line manager’s and the employee’s. The initial meeting is likely to focus on the manager providing guidance and information to the new employee, but subsequent meetings should provide an opportunity to share information, set objectives, review progress, discuss and address concerns and identify and plan for any further training and development needs:

Conducting a review meeting

The order and content of discussions will naturally vary according to the situation, but a possible structure for the meeting could be as follows:

• Introduction – set the scene by outlining and agreeing the aim of the session, the proposed structure for discussion, clarify the time available for the meeting and recognise that the discussion should be a two-way process
• Review performance - refer back to the job description/expectations/deadlines agreed as part of the induction programme/previous meetings and review progress to date.
• Celebrate areas of achievement.
• Highlight tasks yet to be taken on and plan how this could be achieved.
• Highlight areas for improvement and discuss how this can be achieved.
• Identify appropriate examples throughout.
• Set targets/objectives jointly – ensuring always that these are specific, measurable, achievable, reasonable and time-bound ('SMART').
• Discuss what support may be needed over coming weeks and months in order to achieve these objectives. Depending on the nature of the role and the support needed, this could be via a variety of sources (eg access to further supervision and advice, training courses, on-the-job coaching or mentoring, delegated tasks and projects, shadowing more experienced colleagues, reading assignments, internet and e-learning, attending appropriate meetings and presentations).
• Seek feedback from the employee throughout on what they think is going well and any areas of concern they have, what support, training and development they feel they need and how they feel they are being managed.
• Close – summarise discussion, key points and follow up actions.
• Follow up with a brief summary/action notes (providing a copy to employee).

If problems arise:

Where areas of concern are identified, it is important that these are raised as soon as possible (also see Section 6: Informal Action). If the line manager considers that there are serious gaps in performance or has concerns about conduct, advice should be sought from the appropriate Faculty HR Manager at the earliest possible opportunity.

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5. Formal review meetings: reporting on progress

In the normal course of events, in addition to the regular informal meetings, two formal reviews should take place during the initial service review period (See Section 4 of Ordinance 25: Initial Service Review procedure). These should normally take place first at the half-way stage and then again towards the end of the initial service review period. HR will prompt Heads of School/Division when a formal review is due and towards the end of the ISR period, will request a brief report. This report will seek confirmation of whether the employee’s progress has been satisfactory such that they can be considered to have successfully completed their initial service review period.

Factors to consider in assessing progress

In determining whether or not progress has been satisfactory, managers may find it helpful to consider the following factors (although this is not an exhaustive list):

Attendance

What have the frequency, duration and pattern of any period(s) of absence been? What were the reasons for this? If concerns regarding attendance have been identified due to sickness, managers may find it helpful to refer to the University’s Sickness Absence Guidance. Where absence is unauthorised/absence reporting procedures have not been correctly followed, this may be regarded as a potential conduct issue. Advice should be obtained from the Faculty HR Manager as appropriate.

Time-keeping/reliability

This does not just cover the question of arrival and readiness to begin work at agreed start times but also returning from breaks, attendance at meetings at agreed times, etc.

Personal and professional conduct

Has the employee’s behaviour been acceptable and in line with the University’s rules of conduct for members of staff? This will be typically be evidenced by an absence of problems or negative feedback from colleagues, clients, students, etc.

Adherence to University rules, codes, procedures

In the course of carrying out their work, has the employee demonstrated an appropriate understanding and observation of relevant University rules, regulations, codes of practice, policies and procedures?

Performance

Depending on the nature of the role and duties associated with it, it may or may not be possible to measure full performance in the role by the end of an initial service review period. In some cases, where tasks are relatively short-term and occur frequently, this will be reasonably straight-forward to assess. In other cases, tasks may occur far less frequently and outputs take longer to become evident. In terms of performance therefore, managers are being asked to assess progress in terms of what could reasonably be expected to have been achieved by this stage, and to make an overall judgement on general levels of performance. In looking at evidence of this, it may be helpful to focus on the following areas:

• Achievement to date. given the context of the role, to what extent has the employee demonstrated an ability to achieve tasks/ duties to a satisfactory standard within acceptable time frames? On the basis of the evidence available so far, is the employee demonstrating an appropriate and acceptable level of professional/technical skills/knowledge (in line with the job description/role profile/person specification)?
• Ability to work independently and use initiative: this will naturally vary according to the level and nature of the role. The question is whether, given appropriate training/ support, has the employee demonstrated an appropriate level of independence and initiative, an ability to organise their own work, to use available resources appropriately, to plan ahead and prioritise effectively?
• Leadership, management and supervision: if appropriate to the role, has the employee demonstrated the ability to lead, develop, manage, supervise, or co-ordinate the work of others?
• Communication: Given the context of the role, has the employee demonstrated an ability to communicate appropriately and effectively with others at all levels in person and/or in writing?
• Interpersonal relationships. has the employee demonstrated the skills and ability necessary to develop and maintain effective working relationships with others?

Conducting formal review meetings

The structure and approach to the meeting should operate along the same lines as the suggested outline for the informal review meetings (see previous section). However, since the purpose at this stage is also to make a formal assessment of whether satisfactory progress has been achieved, it is necessary to take more of an overview of progress (in terms of the factors outlined above) looking at the whole initial service review period to date. Where a manager has concerns about an employee’s progress, they should contact their Faculty Personnel Manager for advice in advance of the formal review meeting with the employee.

If progress is satisfactory

Where all aspects of progress are satisfactory at the half-way stage, no further formal action is required.  Progress should continue to be monitored and regular informal one-to-one review meetings between the member of staff and their line manager should  continue to take place throughout the remaining initial service review period.  Towards the end of the individual's ISR period, managers will be asked to complete a brief report.  Where all aspects of progress are satisfactory, such that the employee is considered to have completed their ISR period, this should be confirmed on the report and returned to HR.   It is also good practice to continue to hold regular one-to-one meetings with staff throughout their employment.

If progress is not satisfactory

If the review highlights problems such that the manager is unable to confirm that the employee has successfully completed the half-way stage or whole of their initial service review period, the manager should contact their Faculty Personnel Manager for advice on what informal/formal action should now be taken under the procedure.  Advice should be sought as early as possible. 

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6. Informal action

Where the performance or conduct of an employee is causing concern during the initial service review period, the manager’s first step will usually be to discuss the problem with the employee, as soon as possible. (See Section 6 of Ordinance 25: Initial Service Review Procedure). This will typically occur as part of the regular informal review meetings as detailed above. However, where problems arise, it may be particularly helpful to be aware of the following points:

When setting up informal discussions under the procedure, the manager should ensure that the individual is notified of the date, time, purpose and location of the meeting in writing (or by email) in good time so that the individual can prepare for the meeting (usually 2 working days’ notice as a minimum should be given).

An individual may ask if they can bring along a representative to informal meetings, and while this is not part of the procedure, managers need to be aware that there is a legal requirement to allow representation where disciplinary action may be taken. Where a manager is concerned, advice should be sought from the HR Manager. The manager should ensure that adequate time is set aside for the meeting, and that the discussions will be held in uninterrupted privacy.

The manager should ensure that they clearly explain the purpose and structure of the discussion, and that the individual has an opportunity to raise any issues that are of concern to them. The manager should explain that there are concerns about the employee’s ability to meet the requirements of the initial service review period, clearly communicating the situation/problem to the member of staff. Using observations and examples, the manager should explain precisely what the 'gap' is perceived to be between existing levels of conduct or performance and the required standards, explore possible explanations for this and agree a plan of action. It may be helpful to refer back to the job description/expectations/deadlines agreed as part of the induction programme/previous meetings to help explain where performance is falling short. The manager should set clear performance targets and timescales for improvement. At all stages throughout this procedure, the targets set must be 'SMART' – specific, measurable, achievable, reasonable and time-bound (see above).

The manager must explore what further information/training/support might be appropriate and discuss how this might be delivered. They should also consider whether additional equipment/facilities might reasonably be provided, and whether changes to workload or re-allocation of tasks might be appropriate.

The manager should agree with the individual a timescale for review and advise them of the potential consequences of a failure to improve (ie formal action may be taken under this procedure).

Whilst the meeting is an informal one, the manager should nonetheless ensure that a note is kept of the meeting, and of agreed outcomes, targets, review date, etc, and that this is sent to the individual after the meeting.

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7. Formal action

Before convening a formal hearing, the manager should gather appropriate further information, following advice from the Faculty HR Manager. When dealing with issues of misconduct, it will normally be essential to have conducted appropriate investigations before convening a formal hearing.

The manager will need to determine whether they should involve another member of staff in the hearing. This might be the supervisor or immediate line manager who may be much closer to the detail of the case. It is good practice to use the following format:

• Introductions – all present should introduce themselves, their role in the University and their role in the proceedings.
• Representation – where an individual has brought a representative, the manager or HR Manager present at the hearing should clarify how that role is to be fulfilled. The role may involve:
  • assisting in the presentation of the individual’s case (and this may involve presenting the case on the individual’s behalf), where the individual so wishes.
  • assisting the individual in responding to questions, although the individual will be required to respond directly themselves to specific questions;
  • assisting the individual in cross-examination of witnesses (and this may involve asking questions of witnesses on the individual’s behalf where the individual so wishes);
  • assisting in the summing up on the individual’s case (and this may involve summing up on the individual’s behalf) where the individual so wishes;
  • Where an individual has elected not to bring a representative to any meeting, the manager should always confirm that the individual has so chosen and is happy to proceed, before the meeting commences.
• The manager will outline the case from their perspective.
• The individual will ask questions of/respond to the manager.
• The other member of staff present, where applicable, will make their statement and will respond to questions from the individual and the manager.
• The individual will make their statement.
• The manager will ask any final questions of the individual.
• The manager to adjourn – this will normally be for a short time to enable the manager to consider carefully all the information and evidence and, with advice from the HR Manager, to reach a decision. During this short time the individual and their representative can normally be asked to retire to a room nearby, from which they can be recalled when the decision has been taken.
• During the adjournment, the manager will consider all information and evidence that has been presented and any mitigating circumstances put forward by the individual. The HR Manager will advise as to all the alternatives to the manager, which may include:
• At Stage 1
  • taking no further action, or
  • giving a Warning under the procedure (which may also involve extending the Initial Service Review Period if the warning is for a duration that exceeds the remainder of the individual’s Initial Service Review Period) or,
  • (If the case concerns only misconduct), issuing a warning equivalent to a Stage 1 warning under the Conduct Procedure (for a period not exceeding 6 months).
• At Stage 2:
  • taking no further action, or
  • giving a warning as set out under Stage 1, and
  • extending the employee’s initial service review period and setting a further date for review (Stage 2);
  • (If the case concerns only misconduct), confirming the employee in post but issuing a warning equivalent to a Stage 2 Warning under the Conduct Procedure (for a period not exceeding 2 years)
  • dismissal.

Where appropriate, the manager should also consider what “SMART” targets (see above) should be defined for the individual, and the implications if they do not meet the targets. The manager/ HR Manager should also consider what support/ training etc should be offered to the individual to assist them in meeting the targets.

Hearing to reconvene and the manager to convey their decision to the individual.

The manager and individual should discuss any targets and timescales for their achievement. The arrangements for regular reviews of performance, and the training/ support to be offered should also be discussed. The manager will advise the individual of the duration of any Warning/ Extension of initial service review period, and the implications of failure to achieve the improvements specified.

Where the decision is dismissal, HR will formally notify the individual of the effective date of the termination of their employment.

How to establish an appropriate outcome from Hearings under the Procedure

Preparation and investigations before any Hearing are the key to ensuring that appropriate outcomes are established. Ensuring that the Manager has as full and factual account of the situation as possible is crucial. It may transpire that formal action is not appropriate under the circumstances – it is always better for everyone that this is decided before a hearing is convened rather than in the course of the hearing!

Follow up responsibilities and Actions:

Head of School/Division/Line Manager (where the Head of School/Division/ Line Manager has heard the case)

Responsible for ensuring that the individual is properly notified of the outcome of any hearing, in writing giving:

• The basis for the finding
• The improvement expected (i.e. the targets)
• The time during which the improvement must be achieved
• The duration of the warning, if longer than the period during which an improvement must be achieved
• Any training or support which may be available
• The consequences of failure to improve
• The individual’s right to appeal

The Head of School/Division/ Line Manager is also responsible for ensuring that the individual receives a note of the hearing; for ensuring that on-going performance is monitored appropriately; for establishing the agreed review meetings and conducting them appropriately; for ensuring that requirements remain consistent with those outlined in the letter above; for ensuring that any agreed support, training or other assistance is provided within agreed timescales; for initiating further action under this procedure where performance does not meet the required standards.

Human Resources

Responsible for ensuring that the individual is properly notified of the decision, in accordance with the procedure; responsible for ensuring that the individual receives a note of the hearing; responsible for assisting and advising the Head of School/Division/ Line Manager in their follow-up responsibilities; responsible for ensuring ongoing fairness and consistency in relation to the case.

The Individual

Responsible for trying to achieve the targets and improvements outlined; responsible for taking up any follow up action agreed between themselves and the Head of School/Division/Line Manager (e.g. training, support etc); responsible for ensuring that the Head of School/Division/Line Manager is provided with any information relevant to their ongoing performance.

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8. Where to seek help in enacting the Procedure

HR have a responsibility to advise the Head of School/Division, Line Manager or individual on all aspects of this procedure

Trades Unions can advise individuals on all aspects of this procedure, and may represent/ accompany the individual at meetings/ hearings.

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