Employment Law Digest August – Case Law Update
Redundancy – selection pools and meaningful consultation In Valimulla v Al-Khair Foundation: Mr Valimulla was a liaison officer, based in…
These FAQs set out the common questions and pitfalls faced by employers when dealing with performance issues. The additional documents referred to are designed to assist you further. Please note that some documents are available to all readers whilst others are locked and only accessible to HR Protect clients. To become a retainer client or to find out further information please click here.
All schools should have a performance management policy in place, which provide consistency and fairness and so staff members understand what is expected of them. The ACAS Code of Practice must also be followed when dismissing an employee, see:
https://www.acas.org.uk/acas-code-of-practice-on-disciplinary-and-grievance-procedures
Performance Management policies are not routinely incorporated into contracts of employment and they can be produced and implemented based on your specific needs and requirements. If a local authority policy has been inherited following an academy conversion, it is possible to seek to introduce a bespoke policy which may better suit your needs. This may require consultation with the recognised trade unions and care must be taken to establish whether the existing policies are contractual. We would recommend legal advice is taken before you take any formal steps. For an example performance management policy and procedure see:
P13 Performance management policy and procedure
Schools are required to undertake annual appraisals, including annual pay progression decisions for teachers. This process will set targets and objectives for the coming year. In conjunction with regular informal meetings, these processes are helpful in identifying any training needs and areas of improvement before they become problematic.
Separate to the performance related pay process, schools may also need to tackle performance issues, such as underperformance, poor quality teaching or mistakes. If performance does not improve then it may be appropriate to use the performance management policy and procedure, which may set out a performance improvement plan with formal targets for improvement and potential formal improvement warnings if performance does not improve to a required standard. For further guidance please see:
P1: How to Guide – Managing Poor Performance.
You want your staff to perform to an acceptable standard to ensure the best possible outcomes for pupils.
You should also be aware of the guidance which Ofsted includes in paragraph 28 (page 11) of the School Inspection Handbook (2015):
Employees with less than 2 years’ do not have protection from unfair dismissal, however care should be taken to ensure your records accurately reflect their length of service.
If an employee does have less than 2 years’ service, then it is technically possible to dismiss this short serving employee for poor performance without issuing any previous formal warnings. However, you need to be mindful of whether this may cause industrial relations issues with the Trade Unions, and also mindful that there are employment claims, such as discrimination claims, which do not require the employee to have a minimum level of service, and therefore following the normal performance process may be a safer option.
Furthermore, recruiting and training staff to work in the school can be time consuming and costly so it is usually a good idea to raise the problem with the employee to give them an opportunity to address this before considering dismissal.
Our HR Protect for Schools performance management policy, P13: Performance Management Policy and Procedure applies to all employees but expressly states that employees with less than 2 years’ service can be dismissed without any previous warnings.
Normally this would involve inviting the employee to a meeting to discuss their performance, setting out your concerns and then setting a performance improvement plan (often called a “PIP”) which sets out the necessary improvements. If the required improvements are not made then formal meetings are arranged, resulting in performance improvement warnings and ultimately, if there is no/insufficient improvement, the employee may be dismissed. For a clear visual explanation of the process please refer to the following flowchart:
P2: flowchart of performance management process
The performance improvement process broadly involves:
P3: Invitation to stage 1 performance improvement meeting
P7: Letter of invitation to short serving employee potential dismissal for poor performance
P15: Guide to Conducting Formal Performance Improvement Meetings
P8: Written warning (poor performance)
P12: Termination of Employment Short Serving Employee (Poor Performance)
P4: Invitation to stage 2 performance improvement meeting
P9: Final Written Warning (Poor Performance)
P5: Invitation to stage 3 performance improvement meeting.
P10:Termination of Employment (Poor Performance)
P9: Invitation to Appeal Hearing
P16: Guide to Conducting Appeal hearing
P11: Appeal Hearing Outcome Letter
If the incompetence was wilful then it should be dealt with as misconduct, rather than a performance issue, and if this is gross misconduct then the individual can potentially be dismissed for this one-off act.
However, assuming that it was not intentional or wilful, then it will normally be difficult to dismiss for a single act of incompetence. This is because the purpose of a performance improvement policy is to support the employee to improve and to allow them time and opportunity to improve. Only if their performance does not improve can dismissal be justified. Despite this, in very rare cases dismissal can be justified if the incompetence had particularly serious or hazardous consequences, but this will need to be considered on a case by case basis. We would recommend you seek legal advice on this.
This depends on the circumstances. If there is a pattern of the employee’s performance dipping as soon as the warning period has ended, then it may be reasonable to extend the warning period. However, if the underperformance is suspected to be intentional it may be better to deal with it as misconduct.
Yes, the right to be accompanied, which applies to all employees, applies to formal performance management hearings. This is because any action which can result in a disciplinary action, including dismissal, triggers the right to be accompanied and so the employee has the right to be accompanied by either a colleague or Trade Union representative. Where the employer fails to allow the employee to be accompanied to a disciplinary meeting and they subsequently bring a claim in the Employment Tribunal, this failure in itself attracts a separate award of compensation.
Allowing poor performance to carry on for a considerable time without any intervention can also make it more difficult to dismiss, and is very frustrating for the employer and fellow colleagues who work alongside them in school!
Index – Performance
P1 – How to Guide – Managing Poor Performance
P3 – Invitation to stage 1 performance improvement hearing
P3A – Letter to confirm moving from informal support plan to formal support plan with meeting
P4 – Invitation to stage 2 performance improvement hearing
P5 – Invitation to stage 3 performance improvement hearing
P6 – Invitation to Appeal Hearing
P7 – Letter of invitation – short serving employee – potential dismissal
P8 – Written Warning (Poor Performance) Stage 1
P9 – Final Written Warning (Poor Performance) Stage 2
P10 – Termination of Employment (Poor Performance) Stage 3
P11 – Appeal Outcome Letter
P12 – Termination of Employment – Short Serving Employee (Poor Performance)
P14 – Performance improvement plan (PIP)
P14A – Informal Performance improvement plan (iPIP)
P15 – Guide to Conducting Formal Performance Improvement hearings
P16 – Guide to Conducting Appeal Meeting
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