INTRODUCTION (please do not skip this)

1. Investigation
   
2. Informal performance session
   
3. Monitor the performance
   
4. Invitation to performance hearing
   
5. The hearing
   
6. Writing to the employee after the hearing
   
7. Response to request for appeal
   
8. The appeal hearing
   
9. Letter to employee with appeal decision
   
10. Monitor the employee's performance
    

For relevant law go or return to notes at: Disciplinary procedures and/or at Time off work/unauthorised time off work

INTRODUCTION

• These procedures are appropriate for an employee who is too often late for work, or whose attendance is not good enough. Please note: if the employee is seriously ill and not attending work you should go to the different procedure, "long term ill health".
  
• If you wish to take action to improve an employee's attendance (and note this includes lateness), you may want to use a combination of "carrot and stick" TM9: informal and formal procedures.)
  
• These procedures are the "stick" assuming the "carrot" has failed!
  
• Before beginning, we recommend that you take a look at TM1: the attendance procedure.
  
• If you are at all unsure about the procedure for giving warnings, we recommend that you complete TM2: the background to improving attendance.
  
• In order to ensure that you are best placed to improve attendance you do need to have proper systems that keep information about poor attendance or lateness. Please ensure that if you have not got such a system, that you set one up.
  
• If there is a chance that the employee in question has a disability (and note this is a very wide definition), you should complete TM:12 attendance and disability and TM13: reasonable adjustments.

Part 1: INVESTIGATION

• Before continuing with the procedure, you should undertake a proper investigation to ensure that you have the correct facts about the performance issues.
  
• If you are at all unsure how to do this you should complete TM:3 investigating poor performance.

Part 2: INFORMAL PERFORMANCE SESSION

• Before beginning the formal procedure, you should normally meet with the employee informally to discuss improving their performance.
  
• Note: If the poor performance is very serious you can move straight to the formal procedure. (Indeed if the poor performance is so serious as to warrant immediate dismissal you should look gross misconduct in the conduct section of the website.)
  
• As the hearing is informal you will not be able to keep a copy of any warnings on file after the meeting, (see TM:9 formal and informal warnings)
  
• Generally speaking, the tone of the meeting should be friendly, informal and supportive.
  
• If you are at all unsure about the way in which to hold this session, we recommend that you take a look at TM4: the informal performance session.
  
• It is strongly recommended that you keep a note of the hearing. See Form2: note of informal performance session. It is a good idea to give the employee a copy of the note at the end of the session.
  
• In order to invite an employee to the session, use Form1: invitation to informal performance session.

Part 3: MONITOR THE PERFORMANCE

• Ensure that having set the goals for improvement in the informal session, that you monitor the performance.
  
• This may mean asking the employee to report to you, or it may mean you discussing the employee's performance with their line manager. Ensure that you put dates in your diary to take the action you decide upon.
  
• Please note: it is the classic mistake to forget to monitor improvement. If the employee fails to improve this means that your hard work in the informal session will have been wasted. If the employee improves, it will mean that the employee's efforts go unrewarded.
  
• If the employee improves and makes the performance grade, ensure that you reward the employee with a letter along the lines of that set out in Form8: letter congratulating employee on improvement.

Part 4: INVITATION TO PERFORMANCE HEARING

• By now you should have:

  • investigated the poor performance thoroughly;
    
  • had an informal performance session; and
    
  • monitored the employee's performance.

• If not, you may wish to consider doing so before proceeding (although in some circumstances it may be appropriate to go straight to the formal procedure).
  
• If you have done the above, and your employee's performance has still not improved, you need to write to the employee to invite them to a disciplinary hearing. To write the letter, go to Form3: invitation to a formal performance hearing.

Part 5: THE HEARING

• Before you hold the hearing we suggest that you complete TM10: the performance hearing.
  
• Please note that it is very important that you keep a note of what is said at the hearing.
  
• Would you like to use Form4: note of formal performance hearing?

Part 6: WRITING TO THE EMPLOYEE AFTER THE HEARING

• Having done your investigation, having written to the employee before the hearing, and having had the hearing, you now need to write to the employee to confirm the decision you have come to and the sanction you feel is appropriate.
  
• Please now complete Form5: letter to employee after performance hearing.
  
• If the employee is to be dismissed, use Form9: dismissal following performance hearing.

Part 7: RESPONSE TO REQUEST FOR APPEAL

• Once the employee has been given a warning, the employee must be given the chance to appeal.
  
• We strongly suggest that before proceeding you now complete TM11: appeals.
  
• Once you have received a request to appeal, you should use Form6: response to request for appeal.

Part 8: THE APPEAL HEARING

• The appeal hearing takes the same format as the original hearing.
  
• Before you hold the appeal hearing we suggest that you complete TM10: the performance hearing.
  
• Please note that it is very important that you keep a note of what is said at the hearing.
  
• Would you like to print off a Hearing Record, for use at the appeal hearing? This is a formal note of the appeal hearing which will be disclosed to all parties. You print it off and then make handwritten notes on it, to record what is said. If yes, please go to Form4: note of formal performance hearing.

Part 9: LETTER TO employee WITH APPEAL DECISION