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  1. To navigate through this tutorial: Using this Tutorial • use sidebar menu to the left of the page to go directly to the relevant section you require • within sections (and subsections) you can navigate via page numbers if available ( ) and back to main section using the up arrow ( ) or back button ( ) • use the button on the top right of the screen to quit the tutorial. 1 2 3 ë There are also links embedded in various slides which you can follow to get more detail on a particular subject. These will be highlighted like this as text links, or as graphics with text ( ). Place your mouse over the text or graphic, and when you see the hand ( ) symbol, click. Link Begin

  2. Guidelines forManagingUnderperformancein the Civil Service Home

  3. Purpose of this tutorial 1 Purpose of this Tutorial • The objective of this tutorial is to help managers to undertake the task of managing underperformance to the benefit of staff and the Department/Office concerned. • With this objective in mind this tutorial includes a step-by-step guide for managers and jobholders to address underperformance issues and sets out the role of HR Units in managing underperformance. • This tutorial is based on the Guidelines for Managing Underperformance in the Civil Service. • Where appropriate, support will also be provided to you by more senior managers, HR Units and the Employee Assistance Service (EAS).

  4. Introduction 3 1 2 Introduction • The Civil Service needs a strong and effective approach to tackling underperformance. Some compelling reasons are: • An individual, being paid a salary, has a responsibility to contribute efficiently and effectively to their organisations objectives. • Negative impact on all staff, e.g. colleagues may resent having to pick up the slack, become overloaded and feel under pressure, or become demotivated due to perceived tolerance of poor performance. Constructive comment and advice on poor performance assist the jobholder to confront and deal with the issues arising.

  5. Introduction 3 1 2 Introduction • While some managers may not be particularly comfortable with tackling underperformance, this reluctance, where it exists, must be overcome and the matter should be dealt with promptly. • Significant problems with performance or behaviour rarely correct themselves without direct intervention. • In fact, problems with performance tend to become more intractable the longer they are allowed to continue. • The underperforming individual may come to feel that his/her performance is acceptable thus making attempts to bring about change more difficult.

  6. Introduction 3 1 2 Introduction • Where underperformance is dealt with in a constructive and professional manner it can result in performance improvements and the staff member can go on to make a valuable contribution to the Department. • Where performance does not improve and the person is ultimately dismissed managers are meeting their responsibilities. • Experience shows that all parties benefit from a meeting to discuss matters as early as possible after difficulties have become apparent.

  7. Guide for Managers in Managing Underperformance 2 What is Underperformance? Guide for Managers 1 Role of Managers 3 Step-by-Step Guide Click to see more 5 Supports For Managers 4 Follow Up Actions

  8. Role of managers ë • As a manager, it is your responsibility to agree realistic targets and monitor the performance of your staff on an ongoing basis. • You are also responsible for objectively assessing a jobholder’s performance based on fact. • Any signs of underperformance should be tackled immediately. • In this context, jobholders also have a responsibility to contribute efficiently and effectively to your organisation’s objectives. • You should ensure that all issues around underperformance remain confidential and should only be discussed in the formal line management structure. Guide for Managers

  9. What is Underperformance? 3 1 2 ë • Underperformance is ongoing failure to meet specified, realistic objectives and standards. • All jobholders have days or even short periods when their performance is not satisfactory and they fail to meet the targets which they have been set. • While this will result in episodes where the individual is not performing at a satisfactory level, it will not constitute underperformance as such unless it persists. Guide for Managers

  10. What is Underperformance? 3 1 2 ë • It should nevertheless be monitored and managed, through giving constructive feedback to the jobholder concerned, and, where appropriate, agreeing short term targets, reviewing progress towards achieving those targets, etc. • Underperformance arises where, despite constructive feedback from the manager, and the putting in place of measures to assist the jobholder to improve his or her performance, it does not improve to an acceptable standard. • Where this arises, a formal strategy needs to be put in place to manage the underperformance. Guide for Managers

  11. What is Underperformance? 3 1 2 ë • The underlying causes of underperformance can vary greatly and the range of strategies available to tackle underperformance must reflect this fact. • Regardless of the underlying cause of underperformance, where the underperformance has been properly addressed by you and satisfactory improvement is not achieved, you and the jobholder should be aware that disciplinary action, in accordance with the Disciplinary Code, can be taken. Guide for Managers

  12. Formal Disciplinary Procedures • Paragraph 23 of Circular 14/2006  states that“Where an officer’s conduct and/or performance does not meet the required standard despite informal discussion and/or the procedures under PMDS, the matter will be dealt with as set out in paragraphs 24 - 31”

  13. Step by Step Guide for Managers on how to manage underperformance ë • The five basic steps required to manage underperformers (click on each for more details) are: Guide for Managers Step 1: Identify underperformance via PMDS Step 2: Identify the reasons for / causes of underperformance via the Performance Review Meeting Step 3: Decide & agree on action required using the Performance Improvement Action Plan Step 4: Resource the action Step 5: Monitor and provide feedback

  14. Step 1: Identify underperformance via the PMDS Step 2 ë • PMDS provides the appropriate formal framework through which underperformance should be identified. • It is an individualised and specific measurement tool that sets out clearly each individual’s agreed role for a 12 month period in terms of what has to be achieved (the what), when it has to be achieved (the when) and the manner in which it must be achieved (the how). • In addition, the training required to enable the individual achieve these objectives are agreed and recorded. Guide for Managers PMDS Performance Ratings Evaluating Performance Use of Role Profile for Evaluating Performance

  15. PMDS Performance Ratings ë Guide for Managers • A rating of 3 reflects that a good level of performance has been achieved. • A rating of 1 or 2 in PMDS reflects some level of underperformance and a rating of 1 means that the jobholder will not receive their increment.

  16. Evaluating Performance 3 4 1 2 ë • All evaluations of performance must be by reference to the Role Profile. • Consequently, it is essential that you ensure, in relation to your staff, that their Role Profile clearly states what are the objectives and standards to be applied to the achievement of key tasks. • These should be clear, unambiguous and measurable. • They should also be realistic and achievable within specified timescales. Guide for Managers

  17. Evaluating Performance 3 4 1 2 ë • Formal evaluation of performance is done via the Interim and Annual Reviews. • Progress towards achieving the specified objectives and standards is assessed at the time of the Interim Review, and evaluated and rated in the Annual Review. • However, you should not wait until the formal PMDS milestones to assess performance. Guide for Managers

  18. Evaluating Performance 3 4 1 2 ë • Performance should be monitored on an ongoing basis and regular, constructive feedback should be provided informally by you to the jobholder. • Where it is felt it would be beneficial, informal/off the record meetings can be held between you both regarding performance issues. • At all times, the integrity and right to privacy of the jobholder must be fully respected. Guide for Managers

  19. Evaluating Performance 3 4 1 2 ë • When evaluating performance – whether formally or informally – you should always use transparent, objective criteria and apply them to the standards and objectives set out in the jobholder’s Role Profile. • They should be applied in a structured, logical manner and all conclusions reached must be objective and evidence based. • You must always be able to cite factual examples in support of the assessment, whether positive or negative. Guide for Managers

  20. Use of Role Profile for evaluating performance 3 4 1 2 ë • You should examine the jobholder’s PMDS Role Profile, which sets out in detail: Guide for Managers • The objectives and key deliverables required for the job/role for the 12 month period and the timescales within which each objective must be delivered. • The knowledge, skills, competencies and standards of performance for the particular job/role. • The agreed personal training and development plan to enable the jobholder perform this role effectively.

  21. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. The personal training and development identified has been delivered.

  22. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. The personal training and development identified has been delivered. Action: Defer any further action until reviewer has decided on the matter.

  23. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. The personal training and development identified has been delivered.

  24. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. The personal training and development identified has been delivered. Role Profile needs to be re-examined and redefined in detail as soon as possible and appropriate amendments made Action:

  25. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. Y N The personal training and development identified has been delivered.

  26. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. Y N The personal training and development identified has been delivered. Role Profile needs to be re-examined and redefined in detail as soon as possible and appropriate amendments made Action:

  27. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. Y N The personal training and development identified has been delivered. Y N

  28. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. Y N The personal training and development identified has been delivered. Y N Defer action until appropriate training has been provided. Actively persue with Training Unit if necessary. Action:

  29. Use of Role Profile for evaluating performance 3 4 1 2 ë • Before raising the issue of underperformance with the jobholder, you must be satisfied that: Guide for Managers The Role Profile has been agreed (and understood) with the jobholder (i.e. signed off and is not with the Reviewer). Y N The knowledge, skills, competencies and related standards, required for the role are correctly documented in the jobholder’s Role Profile Form. Y N The particular element(s) i.e. the objectives, timeframes, skills, competencies and standards, which the jobholder is considered to be ‘underperforming’, are identified as requirements of the job in the Role Profile. Y N The personal training and development identified has been delivered. Y N Underperformance verified. Action:

  30. Use of Role Profile for evaluating performance 3 4 1 2 ë • If underperformance is verified, the matter must be addressed. • You should now arrange a Performance Review Meeting with the jobholder to formally discuss the jobholder’s performance. • This should be done as soon as possible after you have become aware that the jobholder’s performance is not satisfactory. • You should not wait until the next PMDS milestone (Interim or Annual Review), unless very imminent, to hold the Performance Review Meeting. • The cause(s) of the underperformance will determine the approach to be taken at this meeting. Guide for Managers

  31. Use of Role Profile for evaluating performance 3 4 1 2 ë • You should be aware that under Section 10(4) of the Civil Service Regulation (Amendment) Act 2005, disciplinary action in relation to underperformance on the part of a jobholder should not be taken unless measures aimed at improving the performance of the jobholder through training and development: Guide for Managers have in relation to that civil servant been introduced and applied, and have failed to result in specified improvement in performance of the civil servant, or have in relation to that civil servant no reasonable prospect of resulting in an improvement in performance on the part of the civil servant.

  32. Identify reasons for/causes via Performance Review Meeting Step 2: 2 3 4 Step 3 1 ë The Performance Review Meeting is used to identify the reasons for/causes of underperformance and to agree a Performance Improvement Action Plan to assist the jobholder in improving his or her performance to the required standard, within a specified timeframe. Generally speaking, causes of underperformance fall under one of the following 5 headings: Guide for Managers • Lack of clarity about goals/expectations. • Lack of knowledge/skills/attributes for the job. • Clear lack of commitment or effort. • Attendance patterns including ill health/sick leave. • Personal/domestic difficulties. Sometimes more than one factor will be at play.[1]

  33. Note on Factors affecting Underperformance Where it is claimed that there have been mitigating factors, for example, increased workload, workplace stress, or other factors such as bullying etc. which prevented the jobholder from performing to the required standard, the manager should follow the procedures set out in A Positive Working Environment (see appendices). If a claim is found to be unjustified then the manager can go back to the process of dealing with underperformance.

  34. Identify reasons for/causes of UP via Performance Review Meeting Step 2: 2 3 4 Step 3 1 ë Frequently, you will already know, or have a good idea of, the cause(s) of the underperformance. However, in some cases this/these will only emerge in the course of the Performance Review Meeting. A minute of the meeting should be taken to ensure that a clear record of the proceedings is recorded. A template of the steps involved in conducting the Performance Review Meeting and details of what is involved in each step are outlined in the next section. Guide for Managers

  35. Identify reasons for/causes of UP via Performance Review Meeting Step 2: 2 3 4 Step 3 1 ë Once the reasons for/causes of underperformance have been identified you should proceed in accordance with the different strategies set out under each of the factors below as appropriate. Guide for Managers i: Lack of clarity about goals / expectations ii: Lack of knowledge / skills / competencies iii: Clear lack of commitment or effort iv: Issues arising in the context of ill health / sick leave v: Personal or domestic difficulties Advice on how to proceed where difficult circumstances arise is set out below: vii: Longstanding underperformance viii: Avoidance of engagement by jobholder in the process vi: Refusal to acknowledge underperformance

  36. Identify reasons for/causes of UP via Performance Review Meeting Step 2: 2 3 4 Step 3 1 ë Regardless of the reasons for/causes of underperformance, you should make it clear to the jobholder in a straightforward, non-threatening manner that: Guide for Managers • his/her performance is not acceptable and needs to be improved. • where underperformance does not improve it is a ground for disciplinary action • if issues identified are not addressed and actions set out in the Performance Improvement Action Plan not delivered within the set timeframes, disciplinary action will be considered. You should also advise the jobholder that the Civil Service Disciplinary Code provides for a range of sanctionsin proven cases, the most severe of which is dismissal.

  37. i Lack of clarity about goals / expectations ii 3 1 2 ë It is essential that you are clear on your role and responsibilities in relation to your staff member’s knowledge of goals and expectations and the effect that this area of managerial duty can have on the performance of your staff. In some cases performance problems in staff can arise because you have failed to: Guide for Managers • Clarify requirements and expectations, e.g. objectives, standards and priorities. • Provide adequate encouragement, guidance, support or information. • Set reasonable or attainable objectives and standards or have arbitrarily changed tasks or priorities.

  38. i Lack of clarity about goals / expectations ii 3 1 2 ë It is crucial, therefore, that you should: • Ensure that all staff reporting to you contribute to the development of the Business Plan for your area and that they are clear on their individual roles in the implementation of the Plan. • Ensure that each individual member of staff is clear on his or her particular objectives as expressed in their Role Profile Form and the standards to be upheld and met in achieving same. • Ensure that when an individual takes up a new position they should be given a clear job description. • Give regular objective feedback on performance to your staff and not just at the relevant times in the PMDS cycle. This feedback should acknowledge good performance and identify, in a constructive manner, performance that is not satisfactory. Guide for Managers

  39. i Lack of clarity about goals / expectations ii 3 1 2 ë It is important for jobholders to recognise that they too have a responsibility to seek clarification from you – as their manager – regarding goals/expectations. Guide for Managers

  40. ii Lack of knowledge / skills / competencies for the job iii 3 1 2 ë Where, at the Performance Review Meeting, it becomes clear that lack of knowledge/skills/competencies are preventing the jobholder from reaching a satisfactory standard of performance, the Performance Improvement Action Plan to deal with the issues should focus clearly on measures which will be put in place to assist the jobholder to improve his or her performance. You should advise the jobholder that you both have a responsibility to address the matters identified. In discussion with the jobholder, you should establish the most appropriate measures or combination of measures. Guide for Managers

  41. ii Lack of knowledge / skills / competencies for the job iii 3 1 2 ë These can include any or all of the following and a record should be kept by you of all such measures provided to the jobholder: Guide for Managers • Coaching from a more experienced peer or you, the manager. • Self-managed learning by the jobholder of specified material. • Specific formal training arranged by Training Unit. In relation to formal training, Training Unit should be consulted to identify the most appropriate and suitable training available and ascertain the earliest timeframe in which it could be provided. This will need to be done before the Action Plan is finalised.

  42. ii Lack of knowledge / skills / competencies for the job iii 3 1 2 ë In certain, limited, circumstances, a bad fit between the jobholder and his or her current job may be at the root of the underperformance issue. In such cases, further development/support measures may be unlikely to result in attainment of satisfactory performance in that job. Such measures as were undertaken should be documented. Provided the jobholder has shown a commitment to perform well generally, you should consult with HR Unit and evaluate if a transfer to a more suitable position within the Department would be a more appropriate measure. HR Unit will only facilitate transfers in such cases where it is shown that all reasonable measures to address the underperformance issue have been taken locally. Guide for Managers

  43. iii Clear lack of commitment or effort iv 1 2 ë A jobholder whose performance is not satisfactory because of his or her lack of commitment or effort is unlikely to disclose that as the reason. There can be many reasons for this, ranging from embarrassment, defensiveness, denial etc. As long as there are no other factors at play, a reasonably “tough while fair-minded” approach should be taken by you at the Performance Review Meeting. Guide for Managers

  44. iii Clear lack of commitment or effort iv 1 2 ë • You should cite concrete examples in support of your contention. • Examples could include: • poor attendance and/or lack of punctuality on the part of the jobholder; • inadequate preparation for work tasks or events; • poor quantity and/or quality of work output; • ignoring guidance/advice on the optimal way to deal with the work; • letting colleagues down; etc Guide for Managers

  45. iv Issues arising in the context of ill health / sick leave v 1 2 ë You may find that a staff member has poor attendance arising from high amounts of sick leave. Attendance patterns may be the sole issue to be addressed or there may be other related performance difficulties, such as non achievement of goals. The first step in addressing any issues relating to ill health or sick leave is to follow the procedures set out in the Management of Sick Leave Circular 09/2010 . You should not deal with sick leave absences as an underperformance matter unless you have first addressed the matter as a sick leave issue. Guide for Managers

  46. iv Issues arising in the context of ill health / sick leave v 1 2 ë Where you believe that ill health or sick leave are leading to underperformance, you need to act with sensitivity and care. Please be aware that: Guide for Managers • equality legislation prohibits discrimination in employment on any of the “9 grounds”, one of which is disability and • information about a person’s health is deemed to be sensitive personal data for the purposes of Data Protection legislation and as such is accorded special protection. See Also: Uncertified sickness absence Ill health not resulting in sickness absence Employee Assistance Service Certified sickness absence

  47. Certified sickness absence 1 2 ë 1) • On the jobholders return to work you must hold a Return to Work Meeting, as set out in Circular 9/2010 (Sick Leave Circular). • Where there are difficulties in meeting the requirements of the job and the targets agreed at the Return to Work Meeting are not being met, they should be revisited with the jobholder. • You can at this point ask HR Unit to refer the case to the EAS. • You could also consult with HR Unit and evaluate if a transfer to a more suitable position within the Department would be a more appropriate measure. • (HR Unit will only facilitate transfers in such cases where it is shown that all reasonable measures to address the issue have been taken locally.) Guide for Managers

  48. Certified sickness absence 1 2 ë 2) • Where, following either a Sick Leave Review Meeting or a Return to Work Meeting, there is still a difficulty with attendance, you should have the case referred to the Chief Medical Officer (CMO) through your HR Unit. • This is particularly the case where stress is the reason for the sick leave. Guide for Managers 3) • Once all reasonable steps have been taken by you and your Department, and the jobholder has been certified as fit to return to work by the CMO, you should begin to deal with the issue as an underperformance matter and hold a Performance Review Meeting.

  49. Uncertified sickness absence 3 1 2 ë • Some jobholders may have a combination of certified and uncertified sick leave, or just high levels of uncertified sick leave. • While certified sickness absence should de dealt with as outlined previously, good practice requires monitoring of uncertified sickness absence by managers and HR Units. • Certain patterns of uncertified sickness absence may signal that a jobholder has difficulties showing commitment to their job. • Thus, a jobholder who regularly takes 5 or more days of uncertified sickness absence in any 12-month period may be in difficulty. Guide for Managers

  50. Uncertified sickness absence 3 1 2 ë • Situations where jobholders regularly take uncertified sickness absence when their annual leave allocation has been exhausted may also need to be addressed. • Similarly, jobholders who regularly have uncertified sickness absence on a Monday and/or Friday may have issues that need to be addressed. • You should be aware of the Civil Service Drugs and Alcohol policy and related guidelines, available from your HR Unit and you should ask the HR Unit to consult the CMO if you have any concerns. • As with certified sick leave you need to approach a problem with uncertified sick leave with sensitivity and tact. • See what you should make staff aware of when dealing with high rates of sick leave. Guide for Managers

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