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Procedures which address performance management and related issues

This page is designed to answer the following questions:

NOTE: Although this page has been marked as complete, it has not yet been peer-reviewed or quality-assured, therefore it should be considered a ‘first draft’ and any information should be fact-checked independently.

For this assessment criterion, you will be required to evaluate your role with regard to your organisation’s performance management systems and procedures.

How to address conduct and performance issues with individuals

If a conduct or performance issue with a member of staff is identified, it must be addressed swiftly so that it can be corrected. Ignoring or procrastinating about such issues can lead to bad habits being formed that are difficult to break, potentially unsafe working practices and poor practice being copied by others. It will also undermine your role as a manager.

Your organisation’s performance management system should be used, so you must be familiar with the process. Performance reviews should be constructive and positive and support the team member to improve their practice.

You should explain the issue to the team member, using evidence to back up what you are saying and referring to other documents to help them to understand why it is not acceptable. For example, if a member of staff is consistently arriving late for their shift, you should have evidence of their clock-in times and show that this is not acceptable by referring to their employment contract, job description or organisational policies.

It is important to ensure that the team member has the opportunity to speak and you should listen with sensitivity and empathy. In the example above, the team member may use public transport to get to work and the buses are consistently a few minutes late, which is out of their control. You could suggest catching an earlier bus, adjusting their shift start time or reassigning them to a service that is nearer their home.

Discipline and grievance procedures

Disciplinary procedures are used by an employer to address unacceptable performance or conduct from employees. Conversely, grievance procedures are used by employees to raise concerns or complaints against their employer.

It is important that these processes are documented in policies and procedures and that they are followed.

Before taking formal disciplinary action or making a formal grievance, both employee and employer should discuss the issues and try to agree on a resolution. Many issues can be resolved in this way before formal disciplinary/grievance protocols are initiated. It may be something as simple as the employee not being clear about their role and responsibilities or requiring additional training in a particular area of their practice.

The mechanisms for addressing conduct and capability issues and how to implement these

When there are issues with an individual’s behaviour or performance, it is important to identify if the issue is related to their conduct or their capability. Conduct issues are those that an employee has control over, whilst capability issues are those of which they have no control. Conduct issues are usually more likely to result in disciplinary action and capability issues can usually be resolved with the performance management system. However, it is not always clear whether the root cause of an issue is conduct or capability, so it is important to follow procedures to ensure that the staff member is treated fairly.

The impact of your performance management system on addressing performance issues

Your organisation’s performance management system will be designed to ensure that team members perform their roles effectively, in line with organisational objectives. A good performance management system will have a positive impact on both the organisation and the staff. The organisation will achieve their goals and have an effective workforce that understands their responsibilities and accountabilities. It will also be able to identify high-performing staff and training needs as well as support workforce planning and succession. Staff will generally have higher morale and job satisfaction.

Assessment criteria

Learners evaluate their role with regard to their organisation’s performance management systems and procedures to include:

  • How to address conduct and performance issues with individuals
  • Discipline and grievance procedures
  • The mechanisms for addressing conduct and capability issues and how to implement these
  • The impact of their performance management system on in addressing performance issues
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