Performance Management Policy

1.1 Oxford Brookes University recognises that enabling high performance is essential in order to maintain its position as one of the UK’s leading modern universities, with an international reputation for world-class teaching and research. The University therefore aims to proactively manage performance and ensure all its employees have equitable opportunities to fulfill their duties to their full potential through a culture of supportive challenge (Brookes login required). 

3.1 This policy and its associated procedures will apply to all Oxford Brookes University employees, with the exception of those who are within their probationary period. In this instance the Probationary Policy applies.  

3.2 The Vice-Chancellor and the Registrar and Chief Operating Officer, are excluded from this policy, and instead the Articles of Governance should be referred to.

3.3 OBU operates a wide range of policies, procedures, guidance and support to ensure that employees are treated with dignity and respect, and are supported to fulfil their role. 

• 3.3.1 Where sickness absence levels are a concern, the Sickness Absence Management Policy should be used in the first instance. 
• 3.3.2 In some circumstances performance may be affected by more temporary or personal matters, for example bereavement, relationship issues, or parenting. The University provides a wide ranging family friendly provision, and leave types that may support employees in the short term and consequently support improved performance. 
• 3.3.3 Other work-related circumstances can affect performance, for example experiencing bullying harassment or victimisation. The University has a zero-tolerance approach to bullying, harassment (including sexual misconduct) and victimisation, as set out in the Anti-Harassment and Discrimination Policy.
• 3.3.4 In circumstances where under performance is a result of inappropriate conduct or negative behaviour, i.e. the employee chooses not to meet the required standards rather than cannot meet them, the University’s Disciplinary Policy and Procedure may apply. However, an understanding of the potential root causes of the conduct or negative behaviour should be explored in the first instance to avoid making assumptions and to ensure that matters are dealt with in good faith.
• 3.3.5 Conflict in working relationships may have an impact on an employee's performance and this can be supported by accessing the support available in the informal facilitated interventions detailed in the Resolving Grievances at Work Policy such as mediation.

3.4 This policy does not form part of any contract of employment or contract to provide services, and may be amended at any time following consultation with the recognised Trade Unions. 

3.5 The UK’s Advisory, Conciliation and Arbitration Service (ACAS) sets the minimum standards for employers to deal with workplace problems. This policy and the associated procedures and appendices reflect, and exceed, the recommended approach.

4.1 Performance and capability refer to an employee’s ability to perform to the required standards of their job role, demonstrating the necessary skills, aptitudes or competencies to carry it out successfully. “Capability” refers to an employee’s innate or acquired ability to perform their job role. “Performance” refers to how effectively an employee fulfills the responsibilities of their role, including the quality and timeliness of their work, the achievement of objectives, and the demonstration of expected behaviours and professional standards. It is influenced by factors including capability, motivation, clarity of expectations, workload, and the working environment. 

4.2 Underperformance occurs where there is a persistent or significant shortfall in performance. It is characterised by a gap between an employee’s actual performance and the established expectations of their role. There are a wide variety of factors that may affect performance, including but not limited to the following;

• 4.2.1 Medical capability (ill-health and/or a disability) can have a negative impact on performance.
• 4.2.2 Repeat short-term absence can also have a negative impact on performance.
• 4.2.3 Lack of skill/aptitude can affect the ability to reach the required standard.

Other circumstances can negatively impact performance, as detailed in section 3.3 above. In addressing underperformance, the University will consider contributory factors such as capability, clarity of expectations, available resources, and workload. 

4.3 Disability, under the Equality Act 2010, is defined as a physical or mental impairment that has a ‘substantial’ and ‘long-term’ negative effect on the ability to do normal daily activities. Some conditions are automatically classed as a disability, including cancer, an HIV infection, Multiple Sclerosis, a visual impairment, as well as progressive conditions. For more detail please refer to the Sickness Absence Management Policy. 

4.4 Reasonable adjustments are a legal requirement under the Equality Act 2010 to make changes where reasonably practicable to remove or reduce disadvantages related to someone's disability. They can cover any area of work, and can be for physical or mental health conditions. What constitutes a “reasonable" adjustment is dependent on the context, the employee’s needs, and the organisation's resources. They must be operationally feasible, affordable, and likely to enable the employee to fulfil their duties to an acceptable standard. For more information please see the Reasonable Adjustments Guidance (Brookes login required). 

5.1 Employees have a contractual responsibility to achieve an acceptable level of performance at work and will be supported and encouraged to reach that level. Recognising that diverse factors can influence performance over time, and wanting all employees to be supported to succeed, the University encourages employees and line managers to engage in open, regular consultations to identify potential barriers and challenges and determine any additional support or adjustments required to enable and sustain the required level of performance.

5.2 For all employees, performance should be discussed regularly, given its dynamic nature. Feedback should therefore be meaningful and relevant and a normal part of everyday working life. All feedback should be given in a supportive manner, privately and constructively, and the line manager must ensure the employee is fully aware of the standards and expectations in respect of their work, through the mechanisms described in section 6 of this policy.

5.3 Where employees are not meeting the expected standard this should normally be dealt with informally in the first instance, without unnecessary delay, and in a constructive manner. Employees will be given a full explanation of the perceived areas of under performance, supported by credible evidence. The focus of the conversation should be on understanding the root cause(s) of the under performance, seeking to identify and mitigate any barriers, support the employees in line with the University’s aim to provide equity of opportunity, and set measurable targets for improvements, to be made within a reasonable time frame. For more information please refer to section 6 and Appendix 1 (Brookes login required) for a template for documenting an action plan.

5.4 Where appropriate, and in line with section 6, the Formal Capability Procedure may be invoked where evidenced informal attempts to improve performance have been unsuccessful. The formal procedure is designed to support employees and managers in dealing with problems regarding performance, including where absence, ill-health and/or disability prevents an employee from fulfilling their role effectively.

5.5 There is no right to be accompanied by a workplace colleague or Trade Union Representative at informal meetings under this policy, unless it is agreed with the relevant manager, or as a reasonable adjustment. 

5.6 The University will not discriminate on the grounds of sex, race/ethnicity, disability, age, sexual orientation, religion/belief (or lack of belief), pregnancy/maternity, marriage/civil partnership or gender reassignment when applying this policy and associated procedures. 

5.7 The legal requirements set out in section 4.4 above will affect the way in which some cases should be handled when there are concerns regarding performance. Where an employee has disclosed a health concern or disability and there is a concern with performance, support is available from the link People Manager (Brookes login required) and Occupational Health (Brookes login required) to ensure that reasonable adjustments are fully explored. 

5.8 The University will work in partnership with employees to agree and implement reasonable adjustments. Where an employee is unable to perform to the required standards due to ill-health, even with these supports in place, management will prioritise the wellbeing of the employee by facilitating a transition to sick leave. Presenting for work serves as an indication of an employee’s readiness to meet the required standards of their role.

5.9 Any planned or unplanned absence should be taken into consideration when setting and reviewing timeframes for any action plans under this policy and its associated procedures, and adjustments made either to the duration of the plan or to the expected outcomes accordingly. 

5.10 After following due process, as outlined in section 6 of this policy, if under performance persists, the University may consider dismissal in line with this policy and the relevant procedures.

Promotion and induction 

6.1 The University provides a comprehensive mandatory induction to new starters to help them to learn about the University, the role of their Faculty/Directorate and their new job, as well as to support them to achieve acceptable standards of performance as soon as possible. This includes mandatory training. More information can be found in the Staff Learning Portal (Brookes login required). 

6.2 All new employees are appointed on a probationary basis, as outlined in their contract of employment and the University’’s Probationary Policy. The probationary period exists to ensure the employee is clear about the expected level of performance, standard of conduct and quality and quantity of outputs. It should make provision for regular assessment and review of the employee’s performance, training and developmental needs, and ensure proper feedback and discussion with the employee to ensure any issues related to performance, capability or conduct are identified and addressed early, and in accordance with the procedures set out in the Probationary Policy in the first instance.

Performance Development Conversations and One-to-Ones

6.3 Following probation, employees and line managers should have a continuous, structured rhythm of dialogue through Performance and Development Conversations (PDCs) (Brookes login required), which aim to foster potential and enable results. The PDC is development-focussed and held through structured mid-year and end-of-year conversations, supported by informal check-ins throughout the year as part of regular one-to-one interactions. 

6.4 PDCs provide the opportunity to clarify priorities by aligning individual contribution with organisational priorities, support career development and wellbeing, and reinforce the behaviours and culture the University seeks to foster. As outlined in the PDC guidance, PDC objectives are not intended to incorporate every aspect and responsibility of someone’s role, but serve to clarify the key areas of focus to progress. The PDC includes an annual check on whether the job description remains accurate and whether minimum role requirements and professional standards are being met. This step supports fairness, consistency and shared understanding, and provides reassurance to staff that expectations are clear and transparent.

6.5 The PDC is not the mechanism to manage under performance, but it is wholly appropriate to refer to on-going performance issues during such a meeting, and probable that a PDC may highlight gaps in performance.

6.6 Through the PDC and regular one-to-one meetings line managers and employees can build a trusted relationship where any issues that might affect an employee's performance can be raised and supported. 

Informal Performance Management Action Plans

6.7 In alignment with section 5.3, performance concerns should be raised at the earliest appropriate opportunity, to ensure timely support. 

6.8 Where performance concerns have been raised on more than one occasion, have not improved despite reasonable support, or where they significantly impact role requirements or professional standards, line managers should clearly and transparently move to an informal performance management stage. This informal stage is distinct from the PDC and provides a structured opportunity to address concerns before any formal action is considered. 

6.9 The informal stage should focus on enabling improvement and sustaining performance through a mutually agreed and documented action plan, which may include additional guidance, learning and development activity, or changes to ways of working, and must detail the expected outcomes and appropriate review timelines. 

6.10 Guidance is available to describe the relationship between the PDC and capability (Brookes login required), and a template for documenting the action plan is provided in Appendix One (Brookes login required).  

6.11 Progress should be monitored regularly against the agreed action plan. While these discussions may take place alongside existing one-to-ones, it must be explicit when the discussion relates to the informal performance management plan, with clear reference to agreed actions, timescales, and evidence of progress. Where concerns are significant, progress is limited, or discussions become more complex or sensitive, managers must hold separate, dedicated meetings to ensure clarity, focus, and appropriate documentation of the steps taken to date and the requirements moving forwards.  

6.12 If and when the agreed performance standard improves, the regularity of these meetings may decrease but the employee and line manager must ensure a sustained performance level is maintained. The timeframe for this is at the discretion of the line manager and must be clearly communicated to the employee.

6.13 If the required improvement in work performance is sustained after the review period, the employee will be informed that no further action will be taken. 

Formal Capability Procedure

6.14 If there is not an appropriate level of improvement within the timeframe, the Formal Capability Procedure may be used. 

6.15 Where there is a serious evidenced performance or capability concern, it may be appropriate to progress straight to the Formal Capability Procedure. Line managers must speak to their People Manager (Brookes login required) for advice in this instance. 

7.1 Employees have a contractual responsibility to achieve an acceptable level of performance at work. Employees are encouraged to look after and maintain their health and wellbeing, seeking appropriate medical support where required. 

7.2 In the management of performance informally or formally, OBU will make decisions in good faith based on the information and evidence available. While employees are under no obligation to discuss personal information with their line manager, they are encouraged to raise any issues that may be affecting their performance, so that they can be offered support. Where an employee has a concern regarding any disclosure they should contact their link People Manager (Brookes login required) directly. 

7.3 All new employees are responsible for completing their mandatory induction and training as directed within the Staff Learning Portal (Brookes logn required).

7.4 Line managers have a duty to support and encourage employees to reach the acceptable level of performance and provide feedback, through regular discussions, on-to-one meetings (typically weekly or fortnightly, or at an appropriate agreed interval) and the PDC.

7.5 Line managers are responsible for initiating Occupational Health (Brookes login required) referrals where appropriate in line with section 8.6, and considering reasonable adjustments or redeployment where needed and as directed by this policy and its associated procedures, with advice from the People Directorate as required. 

7.6 Line managers should seek advice from their link People Manager (Brookes login required) as required and always before invoking formal procedures, ensuring fair application of the relevant policies and procedures. 

7.7 The People Directorate is responsible for providing the tools and guidance to support induction and PDC via the Staff Learning Portal (Brookes login required). People Managers (Brookes login required) will support line managers with policy guidance, formal case management under the relevant procedures, and support line managers with decisions on how to implement recommendations made by Occupational Health (Brookes login required). 

8.1 It is the University’s aim to deal with performance concerns with respect for the privacy of its employees. Any information received or provided in connection with an employee's performance must be treated as confidential, subject to seeking advice and guidance as per this policy and its related procedures, or where there is a legal requirement. 

8.2 Medical information is categorised as special category data under UK GDPR and should be treated as sensitive personal data. It will be held securely, and for the minimum period in accordance with Data Protection law and the University’s Records Retention Schedule (Brookes login required). 

8.3 Records of informal conversations do not need to be forwarded to the People Directorate, but must be held securely in line with 8.2 above and in line with the University’s IT Acceptable Use Policy, and will be required to support any decisions to move to the Formal Capability Procedure. 

8.4 An official record will be kept of all cases progressed under the Formal Capability Procedure, including those where the outcome is no further action. Records will also be kept of the findings made and the actions taken, whether an appeal was lodged, the outcome of any appeal, any subsequent developments and notes of any formal meetings. These details will be kept on the employee’s personal file in the People Directorate for the duration specified in the case outcome. After this period the record will be retained as per the University’s Records Retention Schedule, (Brookes login required) but will not be referred to in future cases or external references if asked, when the outcome is no longer live.

8.5 Unauthorised voice or video recording of conversations and meetings are prohibited and must not be used within the process. Anyone in breach of data privacy rights of others may be subject to disciplinary action. 

8.6 Before any Occupational Health (Brookes login required) referral is made the line manager should discuss the need for a referral with the employee and gain their express consent to make the referral. Any Occupational Health (Brookes login required) information collated by the University’s nominated Occupational Health (Brookes login required) provider UKIM will be handled in line with their Data Privacy Statement. It should be noted that withholding consent to make a referral or to share the outcomes of the referral means the University can only make decisions on the information available. 

9.1 Sickness Absence Management Policy.

9.2 Formal Capability Procedure.

9.3 Reasonable Adjustments Guidance

10.1 Managing under performance and capability can be stressful for all of the parties involved. The University partners with an Employee Assistance Programme (EAP) (Brookes login required) providing free, impartial and confidential access to a range of information and resources via an online platform (Brookes login required) and a free confidential helpline open 24/7 365 days a year on 0800 028 0199. 

10.2 Occupational Health (Brookes login required) is a confidential service to help and support employees and line managers to effectively manage performance concerns that may be linked to ill-health or disability. Many illnesses or disabilities will be outside the expertise of the University and professional advice may be needed. 

10.3 The University has trained Mental Health First Aiders (Brookes login required) who are trained to listen to concerns and signpost to relevant help and support. 

10.4 The University provides a range of support, information and resources to both employees and line managers, in order to deal with concerns or problems, manage stress in the workplace, and strengthen personal resources to support and improve employee health and wellbeing. 

10.5 The University's recognised Trade Unions, Unison (Brookes login required) and UCU, may be able to provide advice and guidance to employees who are members, and the People Management Team (Brookes login required) can explain the process and support available.

10.6 The University is a Disability Confident Employer and has a Disability Network, which is an inclusive forum that aims to provide peer support and share information to raise awareness of disability issues and improve the experience of disabled employees. 

10.7 Access to Work is a government scheme that helps people who have a physical or mental health condition or disability who need support to do their job or get to and from work. For those eligible, Access to Work may provide a grant to help pay for practical support with work, or support with managing mental health at work. Access to Work must be initiated by the employee, and will be subject to the provision and wait times of the scheme. This is not a substitute for the employer's legal obligation to make reasonable adjustments or pay for them. 

10.8 Information regarding support, reporting mechanisms, and relevant procedures for harassment is provided on the University’s Anti-Harassment webpages, including the support available from Staff Harassment Advisors.

11.1 Appendix One: Action plan template (Brookes login required)