CHAPTER 10: PERFORMANCE MANAGEMENT

Annual staff appraisals and interviews: staff in Pay Spans A to E

10.1. A staff appraisal on the performance of each member of staff, except new staff appointed after 1 January, is made annually. The appraisal system gives feedback to staff on their performance and how it might be improved; assists management in promotions and career development; and determines any bonus recomendations (see paragraphs 3.2­3.7). A reporting officer, normally the member of staff's immediate superior, will assess how the member of staff has performed each of the main duties of the post with reference to the office objectives and will comment on overall performance. The reporting officer will also comment on various aspects of performance. The appraisal will in most cases be countersigned by a more senior officer (normally the reporting officer's immediate superior) who will indicate on the appraisal form whether he or she agrees or disagrees with the reporting officer's judgement.

10.2. If any member of staff receives comments indicating that their performance is not fully up to requirement or is unacceptable he or she will be informed in writing by the Human Resources Office of any further action to be taken. No such comments may be written unless the member of staff has been previously warned as to their performance.

10.3. There is also an Autumn Development Review for those in grades A-D.

10.4. A three-box marking system is applied in respect of the catering grades.

10.5. A one page appraisal is being introduced for Housekeepers for the 2004-05 appraisal year. Its purpose is to encourage discussion of performance, development and future training needs. A short record of the interview will be retained by the Human Resources Office.

10.6. The Annual Staff Appraisal is completely open and staff will be required to confirm that they have read it and may if they wish comment upon the remarks written. Each member of staff will also have an annual interview with the Reporting Officer and, if desired, with the Countersigning Officer. This interview provides an opportunity to discuss the member of staff's progress during the past year and to look to the future. The interviewer will be concerned primarily with the member of staff's performance and how it can be improved. The interview is not an event in isolation; it is an extension of day-to-day management and supervision.

Disputed appraisals

10.7. Any allegation of inaccuracy or unfairness in a staff appraisal should be fully discussed at the interviews. If the matter is still unresolved at the end of the interviews, the job holder will be given the opportunity of recording comments, either on the appraisal form itself or on a separate sheet of paper for attachment to the appraisal. If a job holder wishes to pursue the matter further, there is a right of appeal. In the Clerk of the Parliaments' Department the appeal is to the Clerk Assistant, or to the Clerk of the Parliaments if the Clerk Assistant has been involved in the appraisal process. In Black Rod's Department the appeal is to the Yeoman Usher, or to Black Rod if the Yeoman Usher has been involved in the appraisal process. The Official hearing the appeal may convene a board comprising him/herself and two other members of staff senior to the appellant. Their decision is final. At any hearing in connection with an appeal, the job holder may be accompanied by a trade union representative or colleague.

Training in staff appraisals

10.8. All staff are required to attend a training course in staff appraisal procedures. Detailed notes for guidance in staff appraisals are available from the Human Resources Office.

Custody of appraisals

10.9. Staff appraisals will be treated as confidential. The annual appraisal forms will be held by the Human Resources Office but will be made available to promotion boards as necessary (see paragraph 11.13). Staff should not disclose or discuss details of their appraisals other than to or with their reporting and countersigning officers, their Head of Office, and the Human Resources Office, or a trade union representative or colleague accompanying them in any appeal proceedings (see paragraph 10.7).

Annual staff appraisals and interviews: Senior Staff

10.10. An appraisal is made annually on the performance of each senior member of staff. The form of the appraisal is different from that which applies to staff in Pay Spans A to E. The jobholder is required to assess his or her own performance against an agreed set of key tasks and objectives. This assessment is then reviewed by a Reporting Officer and, where practicable, a Countersigning Officer, with reference to a range of "core criteria". A performance marking system using five boxes determines the value of any annual pay increase.

10.11. There is also a mid-year development review for each senior member of staff. Box markings are not awarded for this review.

General

10.12. Staff will always be given prior informal warning that their performance is falling below the acceptable standard or that their attendance is unsatisfactory, and efforts will be made to deal with the problem, including where appropriate reference to the Occupational Health and Welfare Service. If nevertheless there is insufficient improvement, the formal inefficiency procedures will be invoked. The purpose of the procedures is to assist staff to attain the appropriate standard of performance and attendance. But continuing poor performance or attendance could result in dismissal.

The procedure for restoring efficiency

10.13. If it appears that a member of staff is unable to discharge his or her duties efficiently, he or she will be given informal warnings and as much help and encouragement as possible to discover the cause of the shortcoming. These informal warnings may be given in the course of day-to-day work by the line manager or by the Head of Office. If appropriate, an interview will be arranged with the Welfare Officer. In the case of frequent absences from work, the Houses of Parliament Occupational Health Service (HOPOHS) may be consulted (with the member of staff's consent). Performance will be monitored over a further period of duty to ensure it comes up to an acceptable standard.

10.14. If the informal warnings, together with any training deemed appropriate by the Line Manager or Human Resources Office, lead to insufficient improvement, formal procedures may be initiated by the Head of Office and they or the line manager should so inform the member of staff. This may be done during the annual staff reporting exercise carried out for most non-industrial grades. But it can also be done at any other time. The member of staff will then be invited to a meeting with their line manager or Head of Office and a member of the Human Resources Office, following which the member of staff may be formally warned in writing by the Human Resources Office that his or her performance or attendance record is unacceptable. Staff may be accompanied by a trade union representative or colleague at this meeting.

10.15. Following the issue of a formal warning there is a fixed trial period during which performance will be closely assessed, if appropriate against a specific schedule of tasks. If performance continues to be unsatisfactory then a further and final trial period will begin, if appropriate in a different suitable post under another manager. Any targets and timescales set during the trial periods will be reasonable, and will take account of the nature of the duties and the experience of the member of staff. During the trial periods appropriate assistance and training will be given to encourage an improvement in performance. It may also be appropriate at this stage for the member of staff's case to be put before the HOPOHS (with the member of staff's consent).

10.16. Written assessments will be made on the member of staff's performance at the end of each of the trial periods, and an interview will be held with the member of staff to discuss the assessments. If there is insufficient improvement during the final trial period, the member of staff may be dismissed or downgraded.

10.17. In rare cases where the consequences of the poor performance are such that the business or reputation of the House could be seriously adversely affected, it may not be appropriate for the full inefficiency procedures to be invoked. Such cases may lead to summary dismissal under the disciplinary procedures. Similarly if, during the application of the inefficiency procedures, it appears that poor performance is the result of lack of application or neglect of duty, disciplinary procedures may be invoked.

10.18. Staff may appeal to the Clerk of the Parliaments against any decision to dismiss or downgrade them under these procedures.