Document Details

Document Id	managing_underperformance_formal_steps_checklist.docx.pdf
Document Title	Managing Underperformance Formal Steps Checklist.Docx
Reference	https://docs.google.com/document/d/1-kP_1V-11aQeq6ZXOdAhpeHoWQJJMqCm/export?format=pdf
Publisher	Not specified
Categorization	Human Resource Management Performance Management
Document Source	4145 characters in 0 pages. (pdf)
Tags	underperformance, performance management, employee meeting, workplace relations, support person, performance improvement, feedback, warning letters, employee rights, Fair Work Ombudsman

The document titled "Managing Underperformance - the 'Formal Steps' Checklist" serves as a practical guide for managers dealing with employee performance issues. It outlines a structured approach to conducting formal meetings with underperforming employees, ensuring that the process is fair and documented. The checklist is divided into three main sections: preparation before the meeting, conduct during the meeting, and follow-up actions after the meeting. Key points include arranging a private meeting, allowing the employee to bring a support person, clearly explaining the performance issues, and documenting all discussions and outcomes. The guide emphasizes the importance of providing support and setting clear expectations for improvement. Published by the Fair Work Ombudsman, it aims to assist managers in navigating performance management while adhering to fair workplace practices.

The document "Managing Underperformance - the 'Formal Steps' Checklist" provides a comprehensive framework for managers to address employee performance issues formally. It is designed to assist in planning and conducting meetings with employees whose performance has not improved despite initial informal interventions. The checklist is structured into three main phases: preparation, execution, and follow-up, ensuring a systematic approach to managing underperformance. **Preparation Before the Meeting**: The document emphasizes the importance of creating a conducive environment for the meeting. Managers are advised to schedule the meeting in a private setting to avoid interruptions and to inform the employee about the meeting's purpose and attendees. Employees are allowed to bring a support person, which could be a colleague, family member, or union representative, to help them during the meeting. Managers should prepare by gathering relevant documentation, including performance agreements and evidence of underperformance, to support their discussion. **Conducting the Meeting**: During the meeting, managers are instructed to clearly articulate the reasons for the meeting and the specific performance issues at hand. It is crucial to provide concrete examples and focus on factual information rather than personal opinions. Managers should also outline any previous steps taken to address the performance issues, such as feedback or training provided. Importantly, the employee should be given the opportunity to respond and share their perspective on the performance issues. If necessary, the meeting can be adjourned to allow the manager time to consider the employee's input. **Post-Meeting Actions**: After the meeting, it is essential to document the outcomes in writing, including what was discussed, the employee's responsibilities for improvement, and any support offered. Managers should keep detailed records of the meeting and any warnings issued, ensuring that both the employee and any witnesses sign these documents. A reasonable timeframe for performance improvement is typically set at 6-8 weeks, during which regular check-ins should occur to monitor progress. At the end of this period, a formal review meeting should be held to assess whether the employee's performance has improved. If it has, the process can be concluded, but if not, further actions may be necessary. The document also encourages managers to seek additional resources and support from the Fair Work Ombudsman, highlighting the importance of adhering to fair workplace practices. Overall, this checklist serves as a vital tool for managers to navigate the complexities of performance management while ensuring compliance with workplace regulations.

Original content extracted from the source document.

Managing underperformance - the 'formal steps' checklist

If you have followed the 'initial steps' and your employee's performance hasn't improved it may be time to move to the 'formal steps' part of the process.

The following checklist has been created to help you plan and conduct a formal underperformance meeting with your employee, and document the issue.

Before the meeting

□ Arrange to meet with the employee at a time and in a place where you won't be interrupted, overheard or rushed. Consider having a senior employee to attend as a witness and note-taker.
□ Tell the employee why you want to meet with them and who will be at the meeting.
□ Allow the employee to bring a support person of their choice to the meeting, if they want to.

A support person may be a co-worker, family member, friend or union representative. Their role is to support the employee during the meeting, not to speak or advocate for them.

□ Carefully plan what you want to say at the meeting using our underperformance meeting plan template.
□ Gather relevant paperwork (eg. the employee's performance agreement, job description and any performance improvement plan) and any documents that demonstrate the underperformance (eg. work examples, complaints or performance statistics).

During the meeting

□ Clearly explain why you're meeting with the employee.
□ Describe the underperformance in issue and clearly explain why it's an issue, using specific examples and focusing on facts.
□ Set out any steps you've taken so far to resolve the issue (eg. feedback and warnings) as well as the support you've provided (eg. training).
□ Invite the employee to respond to what you've said and to explain their performance, and ask them what they think can be done to improve it.
□ Consider what the employee has said.

If you need more time to think about or look into what the employee has said, close the meeting and agree to meet again in a day or two.

□ Decide on a way forward with the employee, including if you'll provide any further assistance or support or make any adjustments. Record this using our performance improvement plan template.
□ Tell the employee if you'll be issuing a verbal or written warning. Provide them with a written warning using our template warning letters, or record a verbal warning using our meeting record template.
□ Explain what will happen next if the employee's performance doesn't improve (eg. a further warning).

After the meeting

□ Confirm the outcome of the meeting in writing and invite the employee to respond. Include:

What was discussed (including any issues raised by the employee).
What the employee needs to do to improve their performance.
Any support or assistance you'll provide.
Whether a verbal or written warning was, or will be, issued.
What will happen next if the employee's performance doesn't improve.

□ Keep thorough notes of the meeting and copies of any letters, emails or warnings, and sign and date these documents. Ask the employee and any witnesses to do the same. If the employee refuses, make a record of the refusal.
□ Give the employee a reasonable period of time to improve their performance (typically 6-8 weeks).
□ Regularly check-in with the employee over that period to discuss how they're progressing.
□ Formally meet with the employee again at the end of the period to review their performance.
□ If the employee's performance has improved enough, close the process. Follow up in writing and clearly explain that they must maintain the improvement.
□ If the employee's performance hasn't improved, consider taking further action.

Find out more

For more information see our online learning course on

managing performance at

www.fairwork.gov.au/learning

The Fair Work Ombudsman is committed to providing you with advice that you can rely on.

The information contained in this template is general in nature. If you are unsure about how it applies to your situation you can call our Infoline on 13 13 94 or speak with a union, industry association or a workplace relations professional.

Chunk 0 from Page 1 (Managing underperformance - the 'formal steps' checklist)

If you have followed the 'initial steps' and your employee's performance hasn't improved it may be time to move to the 'formal steps' part of the process. The following checklist has been created to help you plan and conduct a formal underperformance meeting with your employee, and document the issue.

Chunk 1 from Page 1 (Before the meeting)

□ Arrange to meet with the employee at a time and in a place where you won't be interrupted, overheard or rushed. Consider having a senior employee to attend as a witness and note-taker.
□ Tell the employee why you want to meet with them and who will be at the meeting.
□ Allow the employee to bring a support person of their choice to the meeting, if they want to. A support person may be a co-worker, family member, friend or union representative. Their role is to support the employee during the meeting, not to speak or advocate for them.
□ Carefully plan what you want to say at the meeting using our underperformance meeting plan template.
□ Gather relevant paperwork (eg. the employee's performance agreement, job description and any performance improvement plan) and any documents that demonstrate the underperformance (eg. work examples, complaints or performance statistics).

Chunk 2 from Page 1 (During the meeting)

□ Clearly explain why you're meeting with the employee.
□ Describe the underperformance in issue and clearly explain why it's an issue, using specific examples and focusing on facts.
□ Set out any steps you've taken so far to resolve the issue (eg. feedback and warnings) as well as the support you've provided (eg. training).
□ Invite the employee to respond to what you've said and to explain their performance, and ask them what they think can be done to improve it.
□ Consider what the employee has said. If you need more time to think about or look into what the employee has said, close the meeting and agree to meet again in a day or two.
□ Decide on a way forward with the employee, including if you'll provide any further assistance or support or make any adjustments. Record this using our performance improvement plan template.
□ Tell the employee if you'll be issuing a verbal or written warning. Provide them with a written warning using our template warning letters, or record a verbal warning using our meeting record template.

Chunk 3 from Page 1 (During the meeting)

□ Explain what will happen next if the employee's performance doesn't improve (eg. a further warning).

Chunk 4 from Page 1 (After the meeting)

□ Confirm the outcome of the meeting in writing and invite the employee to respond. Include:

What was discussed (including any issues raised by the employee).
What the employee needs to do to improve their performance.
Any support or assistance you'll provide.
Whether a verbal or written warning was, or will be, issued.
What will happen next if the employee's performance doesn't improve.

□ Keep thorough notes of the meeting and copies of any letters, emails or warnings, and sign and date these documents. Ask the employee and any witnesses to do the same. If the employee refuses, make a record of the refusal.
□ Give the employee a reasonable period of time to improve their performance (typically 6-8 weeks).
□ Regularly check-in with the employee over that period to discuss how they're progressing.
□ Formally meet with the employee again at the end of the period to review their performance.
□ If the employee's performance has improved enough, close the process. Follow up in writing and clearly explain that they must maintain the improvement.
□ If the employee's performance hasn't improved, consider taking further action.

Chunk 5 from Page 1 (Find out more)

For more information see our online learning course on managing performance at www.fairwork.gov.au/learning The Fair Work Ombudsman is committed to providing you with advice that you can rely on. The information contained in this template is general in nature. If you are unsure about how it applies to your situation you can call our Infoline on 13 13 94 or speak with a union, industry association or a workplace relations professional.