Competency procedure for support staff

1. Introduction

The University of Glasgow is committed to being a fair and reasonable employer and recognises that instances may arise where line managers will be concerned about the performance of a member of staff. Such cases need to be addressed through an agreed process where the problem is identified and appropriate action taken. The specific objectives of this procedure are as follows:

to ensure that a fair and formal procedure is adopted where there are managerial concerns regarding an employee’s performance
to ensure that employees experiencing performance difficulties are managed appropriately recognising the University's separate arrangements for dealing with discipline and capability matters relating to sickness absence.
to ensure that employees are adequately supervised and are given appropriate counselling, development and support.

This procedure applies to all support staff employed by the University, both full-time and part-time, whether permanent or fixed term.
The University recognises the role, purpose, and rights of the support staff Trade Unions in respect of competency/performance issues.
Before any action is taken under this procedure, Human Resources must be consulted.

2. Guiding principles

The procedures incorporate the undernoted principles:

Good faith by which it is understood that the application of this procedure will be fair, prompt, impartial, reasonable, consistent and applied without discrimination.
Confidentiality by which it is understood that information relating to the matter should not be divulged to a third party not involved in the competency procedure. Statements, letters and other communications are confidential to those involved in the process.
Fairness by which it is understood that action will be promoted which is reasonable, necessary, known and understood. All parties involved are entitled to be heard with courtesy and respect
Representation by which it is understood that at all formal levels of the competency procedure, members of staff are entitled to be accompanied. Representation may be provided by an officer of a trade union or by a fellow worker of the University. Witnesses cited by either party would not normally have the right to such representation. Legal representation is not permitted for either party.
Equal opportunities by which it is understood that all members of staff have the right to be heard and to state their case, without any distinction as to sex or gender, sexual orientation, marital or parental status or other family circumstance, race, ethnic or national origin, colour, creed, disability, political belief, membership of or activities as part of a trade union, or social or economic status. Recourse to statutory remedies such as an employment tribunal will also be available where appropriate. Those involved in investigating and resolving competency matters should have received equal opportunities training before using these procedures, although an absence of training will not exclude them from participation or render the procedure automatically unfair.

3. General provisions

3.1 Recruitment and Selection: The importance of effective recruitment and selection procedures cannot be underestimated and those involved in recruitment and selection should ensure that they attend the appropriate training and become conversant with, and follow the University’s agreed recruitment and selection procedures and guidelines.

3.2 Induction: New employees will be provided with clear information about their role in the department in order to perform to the best of their ability.

3.3 Probationary Period: For new employees the probationary period of six months will be used to discuss any shortfalls in performance.

3.4 Supervision Process: Line Managers should ensure that employees are continually aware of their duties and responsibilities through designated review processes.

3.5 Training and Development: The University recognises that employees need to be properly trained to perform the requirements of their jobs. It also recognises the importance of continuing to train and develop its employees, to maximise their efficiency, effectiveness and personal satisfaction from the job.

3.6 Ill Health: In cases where the problem appears to be related to ill health, substance dependence or disability, the Line Manager, in conjunction with the relevant Human Resources Manager, will take action under the appropriate University policy. Where appropriate, it may be necessary to seek the view of the University’s Occupational Health Service, which may require medical reports, and the employee will be requested to assist in providing these through referral to University Health Service or other appropriate means.

3.7 Disability Discrimination Act: Appropriate consideration should be given in cases where an employee has a disability as defined under the Disability Discrimination Act 1995.

4. Records

Notes of interviews conducted should be kept, as well as evidence relating to the monitoring of work standards/targets, and a formal record should be written up immediately after interviews at each stage take place. It is advisable to have a person to attend formal meetings simply to record discussions. An agreed record should be circulated to all parties involved.

5. Notes for guidance

The Procedure is outlined below, and this document should be read in conjunction with the Notes for Guidance (Competency Procedure) circulated to all current and new staff, and available on the Human Resources website.

Informal procedure

The University recognises that occasions will occur when competence or performance falls below expectations. In the majority of cases, where employees are experiencing difficulties with performance, the problem should be immediately addressed when it first becomes apparent, either through the supervision process, or in an informal, supportive way through dialogue between the Line Manager and the employee.

With support, and through drawing attention to the fact that there is a problem, performance may return to expected standards. However, if it becomes apparent that an informal approach to improving performance has failed, the employee should be advised that a formal process will be entered into and this should be confirmed in writing.

Formal procedure

Stage 1

The Line Manager will call a meeting and will advise the member of staff, in writing, of the following:-

(i) that he/she is expected to attend a hearing at a specified place and time,

(ii) details supporting the fact that the individual’s performance has fallen below the level required in the job,

(iii) that the member of staff has the right to be accompanied at the hearing by a Trade Union representative or fellow worker (but not more than one person).

The member of staff should be given reasonable notice of the date for the hearing to enable him/her to prepare, usually five working days. Prior to the meeting, the Line Manager should make available to the employee any documentation that is to be relied upon during the meeting,.
The purpose of the meeting will be to discuss with the member of staff the performance standards that are required, and how they are currently not being met. The Line Manager will identify clearly and fairly the ways in which an employee is considered to be underperforming/achieving and will have provided evidence in advance to support this. He/she will also endeavour to establish the causes underlying the unsatisfactory level of performance. In these discussions with the member of staff concerned, the Line Manager will have due regard to all the circumstances affecting the performance, including:

(i) any personal factors affecting performance; and

(ii) changes in the management or supervision of the person concerned.

The employee should be given the opportunity to challenge and/or put forward any facts or evidence for consideration.
Possible causes should be identified and discussed, and consideration will be given to an agreed programme of support, further training or development and any monitoring to be implemented.

Prior to beginning a period of training or development, the Line Manager will set realistic targets or standards and dates for meeting these targets and standards, and will ensure that the employee fully understands these timescales. The employee will be advised of the consequences of a failure to attain the required standards. Performance will thereafter be monitored and periodically re-assessed in meetings between the employee and his/her Line Manager.
The agreed programme of action should be detailed in writing to the employee, outlining the improvement required within the agreed time period.

Where agreement on the causes of performance difficulties and the suggested means of resolving them is difficult to achieve, or if there is disagreement on the level of support, supervision or direction provided by the Line Manager, the matter will be referred to the Head of Department, or next most senior line manager, where the head of department has already been involved. The Head of Department will consult the Human Resources Manager for advice at this stage, and a further meeting will take place with the employee conducted by someone independent of both original parties.

Where the Line Manager establishes that there is a wilful refusal to work to the agreed standard of performance, the matter will be dealt with under the provisions of the University Disciplinary Procedure.

Stage 2

At the end of the review period a meeting should be arranged between the Line Manager, the employee, and his/her representative, to formally review progress to date. Where the member of staff’s performance is improved, and s/he has attained the required level, this should be confirmed in writing to the employee. If performance has improved during the review period but not sufficiently, the employee should be informed in writing of the further improvements required before the next agreed review period, and of the possible consequences of failing to reach the required standards.

If performance has not improved during this review period, this will be sensitively brought to the employee’s attention by the Line Manager, and confirmed in writing, indicating the improvement expected and the timescale within which it is to be demonstrated.

Stage 3

If after the agreed timescale, the Head of Department in conjunction with the line manager decides that further training, development or support has not produced a satisfactory improvement, s/he will involve the Human Resources Manager who will advise of any suitable alternative employment opportunities which may be available. Regard will be given to the individual’s skills and abilities, and any alternative post offered by the Head of Department for consideration may be on a similar grade to the existing post, but only where the duties of the post warrant this. The views of the employee will be taken into account in this process.

If no suitable alternative employment exists, or if the employee concerned refuses a reasonable offer of employment, the employee will be interviewed by the Head of Department and a Human Resources Manager. In so doing it will be demonstrated to the employee concerned that all reasonable steps have been taken to identify suitable alternative employment. The employee will be advised of his/her dismissal, with appropriate notice, and his/her right of appeal.

Appeal procedure

1. Where a decision to dismiss is taken, the member of staff will also be notified of the right of appeal. He/she will also be informed that an appeal may result in the original outcome being confirmed, varied, or revoked.

2. A member of staff wishing to appeal against dismissal should submit notice of appeal to the Director of Human Resources in writing within five working days of receipt of the written confirmation of dismissal. The appellant should state the grounds of appeal.

3. Arrangements will be made for appeals against dismissal to be heard normally within ten working days of receipt of notice of appeal or as soon as reasonably practicable.

4. The appellant will be notified within ten working days of receipt of the notice of appeal, or as soon as is reasonably practicable of the time, date and place of the appeal hearing. He/she will be advised that he/she may be accompanied by his/her Trade Union representative or fellow worker.

5. The appeal will be heard by a senior member of staff who has not previously been involved in the case.

6. The dismissal imposed as a result of the original hearing will remain in force, with notice continuing to be served, unless and until it is modified as a result of the appeal.

7. The result of the appeal will normally be notified to the appellant orally within two working days and in writing within five working days of the hearing. A copy will be sent to the representative attending.

8. Where an appeal against dismissal is upheld, reference to that stage will be expunged from the member of staff’s record and the member of staff so notified.

>>> Competency Procedure - Notes for guidance

UNIVERSITY of GLASGOW