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APRs and Performance Improvement Plans
Poor Performance Procedure
Challenging your APR markings.
Using the Formal Grievance Procedure.
CWU Head Office Guide to Performance Management and Appraisal
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It is now more important than ever that your APR markings are correct. Low scores can affect your
increments and put your job at risk via the Poor
Performance Procedure!
BT are entering a new phase with regard to Appraisements and Poor Performance. Over the last 18 months or so, managers have been pressured into forcing down the marks of a percentage of the staff on their teams and placing them on informal Performance Improvement Plans.
These PIPs have largely come completely out of the blue and when challenged, we have managed to stop a great many of them on the grounds that there has been no history of previous poor performance and no warnings or discussions about under-performance at one to one meetings throughout the year.
Unfortunately, BT have learned by these mistakes and are tightening up the process. They seem bent on manoeuvring people towards the door either by frightening people into taking release packages, making life so unpleasant they don't want to stay or more recently by simply manipulating the figures and using the Poor Performance Procedure to sack people.
Sackings for Poor Performance can be relatively easy to justify by simply proving that the correct process has been followed and that the dismissed person failed that process.
The fact that people are likely to be dismissed for an APR marking of "Generally Satisfactory" may prove a bit of a problem for BT at an Employment Tribunal but that fact seems to have had little impact on their determination.
The problem is that the APR process is highly subjective. There is often very little hard evidence used to justify markings. But there still has to be reasonable justification for awarding low marks for particular categories. Your manager will need to "justify" those marks in the "Review of Personal Capabilities" section and be prepared to back them up with evidence of your behaviour or "Capabilities".
By the same token, if you believe you deserve higher marks, you will need to demonstrate why; to be able to provide evidence of things you may have done throughout the year that could reasonably be considered as evidence of behaviour that matches the categories such as "Heart", "Inspiring", "Bottom Line" etc.
For that reason, you need to have some idea of what these rather vague euphemisms actually mean. Inside we have printed the list of what constitutes good and bad examples of these catagories as they appear on the HR website.
If you disagree with your markings in your APR or 1- 1 meeting, you need to challenge them at the review meeting with your manager and if this fails to change the marks, escalate the matter to your second line manager.
Trustworthy
Leadership Capabilities
Good
Listen to others with respect and create an open environment; Stand up for what we believe in; Back up people who do the right thing; Have personal integrity and ensure compliance with all legal and regulatory requirements.
Bad
Resist feedback and avoid difficult conversations; Let unacceptable behaviour go unchallenged; Tell people what they want to hear.
Team Member Capabilities
Good
Listen to others with respect; Share our views; Keep our promises; Have personal integrity and ensure compliance with all health and safety, legal and regulatory requirements
Bad
Resist feedback; Avoid difficult conversations; Let unacceptable behaviour go unchallenged
Helpful
Leadership Capabilities
Good
Take responsibility for creating a shared agenda with other leaders across BT; Be generous in contributing to the success of others; Encourage people to share lessons learned; Know when and where to seek help
Bad
Encourage tribalism. Work independently of the rest of BT. Be possessive of resources
Team Member Capabilities
Good
Work as one for the customer; Be flexible in what we do; Help others to be successful; Share what we know; Know when and where to seek help;
Bad
Blame other parts of BT for problems;
Forget we are all part of one company; Achieve our goals at the expense of others
Inspiring
Leadership Capabilities
Good
Create a compelling vision for our part of the business; Demonstrate depth and creativity of thought; Challenge existing thinking and embrace new ideas from everywhere and everyone
Bad
Assume the present predicts the future; Be complacent or assume things can not be improved.; Ignore or discourage new thinking
Team Member Capabilities
Good
Understand how our role fits within our group and BT; Suggest new ideas to improve things; Always try to find a better way.
Bad
Resist Change; Assume things can not be improved
Straightforward
Leadership Capabilities
Good
Think through complexity and make hard choices.; Communicate priorities and agree clear expectation; Create a climate in which people feel confident to exercise judgement.
Bad
Focus on process at the expense of results; Over-complicate messages and issues; Let unnecessary rules get in the way of common sense.
Team Member Capabilities
Good
Make complicated issues simple for everyone to understand; Communicate clearly and concisely; Use common sense and good judgement
Bad
Let unnecessary processes get in the way of meeting the customers’ needs;
Complicate messages and issues; Fail to question rules which get in the way of common sense<
HEART
Leadership Capabilities
Good
Mobilise and energise people by making them feel they can make a difference; Set stretching targets to win today and in the future; Give people freedom to apply their unique strengths; Be passionate and confident in making the strategy a success; Act as a role model in stretching our own capability
Bad
Fail to recognise or celebrate success; Take credit for others’ work; Focus unduly on the negatives; Make unrealistic demands on ourselves and others.
Team Member Capabilities
Good
Go the extra mile to deliver results;
Use our individual strengths; Be confident and enthusiastic about what we do. Recognise and celebrate success; Take personal responsibility for our own development.
Bad
Take credit for others’ work; Focus on the negatives; Be complacent about what we can achieve; Make unrealistic demands on self and others.
Coaching for Performance
Leadership Capabilities
Good
Give fair, accurate and insightful
feedback and instil a coaching culture;
Clearly differentiate between levels of
performance; Value diversity, encourage and leverage people’s unique ability; Enable people to accept and learn from mistakes.
Bad
Blame others when things go wrong; Discourage movement of people across boundaries; Tell rather than ask; See no need to support & motivate people.
Team Member Capabilities
Good
Give accurate and constructive feedback Seek advice and feedback to help our own performance; Value diversity; Encourage others to use their individual strengths; Accept and learn from mistakes
Bad
Blame others when things go wrong; Just focus on mistakes; Ignore others who need support.
Bottom Line
Leadership Capabilities
Good
Drive ‘profit, growth and value’; Balance short-term efficiencies with long-term commercial growth; Consider the cost and benefit to BT as a whole; Encourage the use of quality practices to improve business performance
Bad
Focus exclusively on cost and budget; Accept decisions without a clear commercial rationale; Lack courage to stop things that are not commercially viable
Team Member Capabilities
Good
Understand how our actions can contribute to profit, growth and company value; Consider the cost and benefit to BT as a whole of any actions we might take; Use quality methods to improve results and standards
Bad
Suggest actions without understanding the commercial impact; Lack courage to question things that don’t appear to make commercial sense.
Drive for Results
Leadership Capabilities
Good
Galvanise action and a sense of urgency; Take considered risks, use initiative and flexibility to deliver; Meet commitments, drive initiatives through to completion; Manage performance robustly and integrate resources to deliver effectively; Take personal responsibility for getting things done
bad
Accept poor or late delivery; Be busy without being effective; Lack confidence in the ability of others and try to do everything ourselves; Avoid responsibility by hiding behind position or professional status
Team Member Capabilities
Good
Act promptly with a sense of direction. Use initiative and be flexible in the way we deliver. Meet our commitments; Take responsibility for getting things done.
Bad
Deliver late or below standard or accept this from others; Be busy without being productive; Lack confidence in others and try to do everything ourselves; Hide behind bureaucracy to avoid taking responsibility.
Customer Connected
Leadership Capabilities
Good
Put customers at the centre of everything they do; Understand customer needs and innovate to meet and exceed them; Respond promptly to customer requirements and drive excellent service
Bad
Fail to integrate the customer perspective; Tolerate poor customer service; Allow bureaucracy to hinder delivery
Team Member Capabilities
Good
Put customers first; Meet customers’ needs; Deliver excellent customer service.
Bad
Be insensitive to customers’ needs; Give poor customer service; Allow bureaucracy to hinder delivery.
One to One Meetings.
The guidelines for One to One meetings are also worth a read.
Pre-Planning
Effective conversation at 1:1 meetings requires pre-planning from both individual and manager.
Both should track development progress and performance against milestones and role accountabilities. By gathering evidence from a range of sources ( recognition, 360 feedback-formal or informal from key stakeholders, any reporting systems, team meetings etc ) both should be well equipped for a structured conversation.
Genuine dialogue results when both individual and manager are prepared to listen and engage in open and honest discussion about performance.
Checklist
- Review the actions from last 1:1.
- Agree the status of both business and developmental objectives and any actions to be addressed.
- Review capabilities and provide two way feedback.
- Give an indicative overall rating of performance against expected standards (following a unit standards review meeting).
- Review potential ( and flag if appropriate within the Talent cycle).
- Explore causes of perceived under-performance and take actions to address.
- Review objectives/ Personal Development Plan for continuing business relevance. Update as appropriate.
- Evaluate any learning under-taken.
- Give recognition and celebrate the achievement of key milestones.
If you are indentified as underperforming, your manager should warn you about the problem and give you an opportunity to improve. If you fail to improve, you will be placed on a formal Performance Improvement Plan.
The formal Poor Performance Procedure requires that targets and a means of measuring them are agreed and understood from the start.
There needs to be a series of monitoring meetings at which progress needs to be discussed along with any reasons for shortfalls or hold-ups. It is very important that both parties understand each other's point of view and that any training needs that are identified are met.
It is also very important that accurate records are kept of these meetings and any agreements or disputes arising from them.
But. most important of all, contact the Branch as soon as your manager indicates that there may be a problem with your performance.
If it is decided that you have not managed to meet the agreed standards and deadlines, you will be requested to attend a meeting to discuss your continued poor performance. You are entitled to union representation at this meeting but this may result in an initial warning being awarded and a further PIP being implemented.
If you again fail this new PIP, there will be a further meeting at which a final warning may be issued. Again you are entitled to union representation at this meeting.
If you fail the next PIP, a meeting will be held to decide if termination of service is appropriate. Again you will be entitled to union representation but by this stage the decision is probably already made.
If you are sacked for Poor Performance, you will have the right of appeal and again to be represented at that appeal by a union representative. However, if that appeal fails, your only recourse will be to an Employment Tribunal. This process is covered elsewhere on the site.
The following is taken from the HR website and is a guide to the Managing Performance Process:-
The individual
- taking responsibility for own performance - including delivery against agreed objectives and demonstration of capabilities appropriate to the role held.
- owning personal development and creating a plan to build capabilities for current and future opportunities.
- proposing / agreeing SMART business and developmental objectives. seeking and acting on feedback on individual performance regularly and from a range of sources.
- setting up, preparing for and positively participating in regular reviews of performance and development.
- pursuing the learning and development opportunities agreed.
The manager
- ensuring business direction and role priorities are clear.
- establishing at the beginning of the performance cycle what “good” performance looks like (to meet role requirements, deliver objectives, and demonstrate capabilities for the role).
- reinforcing what “good” performance looks like throughout the year.
- supporting the individual to create SMART objectives, and being accountable for ensuring these are agreed, reviewed, amended and assessed on a regular basis.
- measuring and providing objective feedback on performance on a regular basis, through 1:1 coaching, with a structured review meeting taking place at least quarterly, and a formal assessment completed annually.
- encouraging, coaching and supporting individuals in the achievement of their agreed contribution and development.
- helping to identify and action development needs that tie in with business requirements, and committing appropriate developmental support and resources.
- acting immediately to address performance gaps and providing focused improvement coaching.
- recognising and developing talents through identifying particular strengths, and the opportunities for individuals to enhance them.
- ensuring the individual is clear through-out the year on their performance against required standards so there are no surprises at the formal review stage.
- where performance management responsibilities are shared between a continuity / people manager and project / matrix manager ensuring the individual is clear how these responsibilities will be met and by whom.
If you are unhappy about your APR markings, you will need to prepare your arguments for the APR counselling meeting. Because they are part of the normal management process, you do not have the right to be accompanied by a friend of union rep at this or the meeting with your countersigning manager should that become necessary.
There will always be a degree of subjectivity in the way your marks are awarded but they should not be plucked from the air. If you disagree with the marks you have been given, you will need to provide evidence to show they are wrong. However, by the same token, your manager should be prepared to provide examples of things that you have or haven't done to justify the marks he as awarded you.
Your APR marks should not be a surprise to you. If your marks are considerably lower than the year before, there ought to be a good reason for the change and you should have been told what the problem is before you receive your APR.
One to one meetings are being treated as mini APRs with the same capabilities being discussed. There should be minutes of these meetings agreed by you and they should accurately reflect what was discussed and the conclusions reached.
These could prove very important if Poor Performance becomes an issue so treat them with the respect they deserve and make sure they are accurate. If you disagree with anything in them, make sure your objections are recorded and if necessary escalate the matter via your level 2 or the union.
If your 1-1s have all been reasonable and no mention of under-performance has been made, these minutes can also be quite useful evidence to argue your marks up but they wont do it by themselves.
It might be a good idea to make notes throughout the year of anything you do beyond the call of duty or any bouquets you may receive from your "customers".
If, after all this, you fail to convince your manager that the marks should be changed, you have the right to take the matter to your level 2 manager. Again, you need to prepare for this meeting and to show evidence of why your manager has got your marks wrong. Your level 2 manager may take more convincing than your level one; he will not want to agree to the change so it may be an uphill struggle but it can be done. Your marks can be changed if you show they are obviously wrong.
If you believe you have made a convincing case and that your managers decisions have been unreasonable, you could take the matter to a formal grievance hearing.
Everyone has a right to take out greivance against any injustice you have suffered while at work. HR have argued that the APR process includes its own appeal/grievance process. If, after the meeting with your countersigning manager, you are still unhappy about your APR and want to take it further, it would be helpful if you were able to base your grievance on more than just an argument about the scores.
To raise a grievance about this or anything else, you need to write to your manager telling him you wish to raise a grievance under the Formal Grievance Procedure. You will need to give an outline of your complaint and most people request that their grievance is discussed at a meeting at which they are presented by an officer from their branch of the Union.
You may like to consult with your branch before you do this in order to ensure the wording is just right but you will need to make an appointment with your Branch Office to discuss the case and what the arguments are.
You will eventually be given a date for a Grievance Hearing and you should ensure that your representative is aware of the date and that they are available to attend. If not, the date can be re-arranged.
Hopefully, your grievance will be resolved at the first stage. But, if you are unhappy with the outcome, you have a right to appeal to the next level of management; again with the help of the Union.
That would normally be the end of the matter; however, in some cases there is a third appeal process known as a High Level Review. It is not an automatic right to have your case reivewed in this way and you have to make an application the relevant HR dept on a special form stating why you believe your case meets the criteria.
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