Performance improvement policy and procedure

October 2025

Introduction

At Lancashire County Council (LCC) we are committed to supporting you to achieve your full potential and to developing a high-performing and productive workforce to deliver our vision of building a better Lancashire where everyone can live their best life through stronger communities, a growing economy and high-quality public services. But if your performance falls below our expectations, we will address any issues with you in a fair and supportive way, to help you improve and maintain your level of performance.

Following the completion of your probationary period this policy and procedure will be used when your performance has been identified as falling below an acceptable level. Its purpose is to provide a framework for resolving poor performance in a fair and constructive manner. It is designed to complement our values of Supportive,

Innovative, Respectful, and Collaborative and the performance appraisal process and sets out the steps to be followed if your performance falls below an acceptable level.

Scope

This policy applies to all employees on LCC terms and conditions who have completed their probationary period, excluding teaching and non-teaching staff employed by schools and employees who transferred to the council in accordance with TUPE regulations and who remain on their previous terms and conditions of employment.

It does not apply to workers, contractors, consultants or any self-employed individuals working for the organisation.

Performance concerns relating to the Chief Executive, the Monitoring Officer and Chief Financial Officer are managed through the Employment Committee and are therefore, excluded from this policy.

Where poor performance is believed to be the result of deliberate negligence, or where serious errors have been made to the detriment of the organisation, we may decide to use our Disciplinary policy and procedure instead.

This policy is intended to complement the performance appraisal process. It does not form part of your contract of employment, and we reserve the right to amend or withdraw it at any time.

This policy does not deal with attendance issues, however it is acknowledged that disability or health concerns may be identified during the process of managing underperformance. In these circumstances, consideration may be given to action in line with our Attendance, Disability Retention and/or Redeployment policies and procedures.

Responsibilities

The principles of the performance improvement policy reflect our Lancashire Mindset and require a commitment from all those involved to ensure our objective of having a high-performing and productive workforce.

You will

Undertake your role to best of your ability and to the standards expected of the role.
Where underperformance occurs, commit to improving performance to the required standard and engage with support or training that is identified to support you with this.
Be proactive in seeking clarity and asking for help or support from your manager.
Inform your manager if there are any internal or external factors impacting your performance
Engage in all stages of the policy and procedure as required.

Your manager will

Have regular informal discussions with you regarding your performance and identify any performance gaps and methods to help address them wherever possible.
Hold regular performance appraisals with you to review performance and set objectives.
Be proactive in managing underperformance to ensure the standards of individual and team performance support the needs and requirements of the service and wider council as early intervention is key.
Support you to improve your performance to the required standards by exploring and implementing supportive measures and training where appropriate.
Manage all stages of underperformance in accordance with the policy provisions.
Seek advice from their People Business Partner at all stages of the procedure.

People Services will

Provide support and guidance to managers on the implementation and application of this policy.
Regularly review and update this policy.

Informal performance improvement procedure

Wherever we can, we will try to resolve performance issues informally. If your manager has any concerns about your performance, they will initially raise this with you during a regular conversation, 121 or supervision meeting, or they may set up an informal performance improvement meeting with you just to talk about it. The purpose of this meeting is to discuss your performance in a collaborative way with the aim of agreeing measures that will help you improve.

Your manager will:

Outline clearly the performance concerns, providing you with specific examples.
Give you clear feedback about the nature and seriousness of the concerns.
Ensure you know what is expected of you and that this is realistic.
Review with you the level of training, advice and support you need to do your job.
Confirm with you that the volume of work you are being given is reasonable.
Check you have the equipment, resources and right working conditions to do your job.
Discuss with you whether there are any underlying medical conditions, disabilities or external factors that are causing your performance to suffer and, if appropriate, seek a medical opinion.
Give you the opportunity to comment, respond to and discuss the concerns.

Your manager will make a record of an informal performance improvement meeting so you can both remember what you have discussed and agreed. Ask your manager questions if you are not clear about what or how you need to improve and let them know if there is anything you need from them.

Performance improvement plan (PIP)

The meeting record is called a performance improvement plan (PIP) which is a series of measures designed to help you to improve your performance. A PIP will:

Identify the areas in which improved performance is needed and on what criteria your performance will be assessed.
Provide a clear set of SMART objectives for you to achieve.
Record the measures we will take to support you in improving your performance. This may include, training; additional supervision; the temporary reallocation of certain duties; and the provision of additional temporary support from your colleagues.
Provide a reasonable timescale for you to make the required improvements, together with the timescale for reaching individual milestones where appropriate.
Confirm the date for a further discussion to review your progress.
Set out the implications and next steps if no or insufficient improvement is made.

We will seek to agree each measure with you but reserve the right to make a final decision on any aspect of the content of the PIP if agreement cannot be reached.

During the PIP you will be given regular feedback from your manager indicating the extent to which you are on track to deliver the recorded improvements. A review meeting will be held with you on or near the agreed date and at the review meeting your manager will either:

Conclude the process and advise you that no further action will be taken in accordance with this policy and procedure; or,
Extend the PIP for a further period to ensure that you can sustain the required improvements; or,
If you have not demonstrated the required improvements, refer you to the formal stages of this policy and procedure.

PIP Timescales

Every PIP should be unique to the individual and your particular support needs. Therefore, timescales for achieving the required improvement will vary accordingly, but should be no longer than 8 weeks in duration.

Formal performance improvement procedure

If your performance does not improve, we will need to move into the formal performance improvement procedure, and you will be invited to formal meetings to talk about your performance.

The stages set out in this policy are guidelines only. There are circumstances in which it will be appropriate to skip straight to stage 2 of the formal performance improvement procedure. For example, this might occur if your actions have had, or are liable to have, a serious or harmful impact on the council.

Stage 1: Formal performance meeting

You will be invited to a stage 1 formal performance improvement meeting in writing.

The letter will explain the reasons for the meeting and that you have the right to be accompanied by a work colleague, trade union representative or an official employed by a trade union if you wish. You will be given at least five days' notice of the meeting. If your companion is unavailable on the proposed date, you may suggest an alternative date within five working days of the original. If you do not attend the re-arranged meeting, a decision may be made in your absence, and the outcome will be confirmed to you in writing.

During the meeting, your manager will:

Explain the concerns around your performance and, where appropriate, the impact of this.
Consider any reasons for the underperformance.
Review the support provided to date, including any training that has taken place, and consider whether there is anything further that can be done to support you to achieve the required improvements.

During the meeting, you will be given the opportunity to:

Respond to the points your manager raises about your underperformance.
Explain any reasons or mitigating factors for the underperformance.
Request any further support, training or adjustments if required/applicable.

Your manager may decide that:

No further action is required; or,
Set out in a PIP the nature of the improvement that is required in your performance, state the timescale for making these improvements and the support that will be provided.

The outcome of the meeting will be confirmed to you in writing, along with a copy of the revised PIP, as soon as reasonably practicable following the meeting. The PIP will explain what the next stages are if the necessary improvement does not take place.

If your performance deteriorates during the 12 months after the end of PIP, your manager may apply the next stage of the procedure, therefore, the process will not restart from the beginning.

If, at any stage during the procedure, your manager feels that your performance is not progressing in a satisfactory way, an interim meeting may be held with you to discuss this, and where appropriate, your PIP may be amended and/or extended.

Stage 2: Formal performance meeting

If your manager believes that your performance has not met and/or sustained the required level or has deteriorated further, you will be invited in writing to a stage 2 formal performance meeting.

During the meeting, your manager will:

Review the PIP with you to determine whether the required improvements have been fully, partially, or not met.
Review the support, training and/or adjustments that have been made available to you.

During the meeting, you will be able to:

Respond to the points your manager raises about your performance.
Share your views on your current performance.
Explain any reasons or mitigating factors for any continued underperformance.

Following the meeting, your manager may decide to:

Take no further action where sufficient performance improvements have been made;
Extend the PIP, where some improvement in performance was met, but the required standard has not been consistent;
Mutually agree with you redeployment to a different or lower graded role, provided there is a suitable vacant role available within the service. In these circumstances, a compensation payment to offset any salary reduction will not be paid; or,
If there remains a concern about your performance, refer you to a formal performance hearing.

The outcome will be confirmed in writing following the meeting.

If the outcome of this stage is that no further action is taken and there is a subsequent dip in your performance within the next 12 months, the procedure may recommence at stage 2.

Where circumstances are appropriate to refer you straight to stage 2 of the formal performance improvement procedure, we will follow the same procedure as outlined in stage 1, discussing our concerns with you and agreeing a PIP with you.

Extending the PIP

Extensions to a PIP should only be considered in exceptional circumstances, and your manager will seek advice from their People Business Partner. Any extension can only be for a short period of time and up to a maximum of eight weeks, unless in exceptional circumstances such as ill-health or disability.

If your PIP is extended the following will be discussed with you and documented:

Length of the extension and the date on which the extended PIP will end.
The reason for the extension.
The performance standards or objectives that you are required to achieve by the end of the extended period.
Any support that will be provided during the extension, such as training.
The potential outcome if you do not reach the required level of performance.

Stage 3: Formal performance hearing

If your manager believes that your performance is still unacceptable or has deteriorated further, you will be invited, in writing, to a stage 3 formal performance hearing.

The hearing will be chaired by an appropriate senior manager who has not been directly involved in managing your underperformance at any stage of the procedure. This includes Heads of Service, or managers at Grade 12 and above (where authorised by their respective Head of Service under the Scheme of Delegation) who have the authority to issue any one of the outcomes referred to below.

Prior to the hearing your manager will prepare a written summary of the management of your performance to date. The summary will set out the current performance concerns, the PIPs implemented and your progress in meeting the objectives, the support, training and adjustments that have been made available to you, along with the reason(s) for referring the case to a formal performance hearing. This summary will be shared with you and the hearing Chair ahead of the hearing and the hearing Chair will confirm at the hearing that you have received and read it.

During the hearing your manager will:

Present the written summary if required.
Ask you any questions following your presentation/response.

During the hearing you or your companion will be able to:

Present your response and any mitigating factors to the hearing chair.
Ask your manager any questions you may have on their presentation or report.

The hearing Chair may ask questions at any point within the hearing.

The hearing Chair may decide that the outcome of the hearing may be:

No further action is taken where sufficient and sustained improvements are considered to have been made.
Extension of the PIP where some improvement in performance has been met, but the required standard has not been consistent or further support is identified (refer to stage 2 for PIP extension information).
Mutually agree with you redeployment to a different or lower graded role, provided there is a suitable vacant role available within the service. In these circumstances, a compensation payment to offset any salary reduction will not be paid.
Dismissal on the grounds of capability.

The outcome of the hearing will be confirmed to you in writing.

If the outcome of this stage is no further action is taken and there is a subsequent dip in your performance within the next 12 months the procedure may recommence at stage 3.

Any offer to redeploy you will be entirely at our discretion. Such an offer will be made only where we reasonably believe that you will be able to perform well in the redeployed role. Redeployment at stage 3 will normally be offered as an alternative to dismissal only in circumstances in which we are satisfied that you are no longer able to perform in your current role but may be able to perform to the level required in an alternative role. While you are free to refuse any offer of redeployment, the only alternative then available will usually be dismissal.

If we believe that there is no alternative role available that is suitable for you and that you have not met an acceptable standard of performance, you may be dismissed. A decision to dismiss will only be taken by a manager who has the authority to do so.

The decision to dismiss together with the reasons for dismissal will be set out in writing and sent to you. Any dismissal will be with full notice pay or a payment in lieu of notice.

Where you are dismissed in accordance with this procedure, you will have a right of appeal.

Appeal

If you intend to appeal, you must submit your grounds for appeal in writing to the manager named in the formal performance hearing outcome letter within five working days of receipt of the outcome letter. It is important that you set out the grounds of your appeal so that the manager considering it can consider them at the appeal hearing.

The appeal will be heard by a senior manager who has not been directly involved in the process to date.

The senior manager will invite you to an appeal hearing, which will normally be held within 20 working days of receipt of your appeal. If it is not possible to achieve this timeframe, this will be explained to you and the date will be confirmed.

You will be notified of the appeal hearing in writing and given at least five working days' notice. You have the right to be accompanied at the meeting by a work colleague, trade union representative or an official employed by a trade union. If your companion is unavailable on the proposed date, you may suggest an alternative date within five working days of the original. If you do not attend the re-arranged hearing, a decision may be made in your absence.

The appeal hearing is your opportunity to talk through your grounds of appeal, but it is not a repeat of the formal performance hearing. The senior manager hearing the appeal will consider evidence presented at the original hearing which is relevant to the grounds of appeal or any new information relating to your performance that could have had a bearing on the outcome but was not available at the time.

Following the hearing, the senior manager will notify you in writing of their final decision without unreasonable delay. This decision is final and there will be no further right of appeal.

Reasonable adjustments

If a medical condition or disability may be affecting your performance at work, talk to your manager at any stage of the performance improvement process, so they understand the issue and they will consider ways to support you. This might include referring you for an occupational health assessment, so we can find out more about your condition and how it may affect you at work and whether there are any reasonable adjustments we could make that may help.

Your manager will discuss this with you and then put in place any agreed adjustments. They will then allow time for these to take affect before reviewing your performance again, allowing you to participate fully and fairly in the process. There’s more information about making reasonable adjustments in the reasonable adjustments guide.

If you have a disability or health condition and need to significantly reduce your workload/caseload; can no longer travel as easily to your workplace or for your work; or if you are no longer able to carry out tasks which form a substantial part of your role we may discuss the disability retention procedure with you rather than performance improvement, where there has been no deterioration in your overall performance. We may also consider this route where we are either unable to make reasonable adjustments or they have not provided you with the expected support to improve your performance.

Ongoing review

Following the successful completion of a PIP, your performance will continue to be monitored, as we do with all employees, through 121, supervision and appraisal meetings. If, at any stage during the following 12 months, your performance again starts to fall short of an acceptable standard, your manager may decide to recommence this procedure at the stage where it concluded previously.

Other procedural matters

Redeployment

We may mutually agree with you redeployment to a different or lower graded role, provided there is a suitable vacant role available within the service at any stage of the performance improvement procedure. In these circumstances, a compensation payment to offset any salary reduction will not be paid.

We may refer to the disability retention process if your circumstances are appliable.

Right to be accompanied at formal meetings

Under this procedure, you have the right to be accompanied at any formal meetings and hearings by a work colleague, trade union representative or an official employed by a trade union. Your companion can present your case and respond to any views expressed at the meeting on your behalf, but cannot answer questions on your behalf, or prevent others from presenting information or explaining their position.

Recording meetings

We will take a written record of the key points of all meetings conducted under this procedure. This will be done either by the person holding the meeting or by an additional person arranged by us to take notes.

We do not allow meetings to be recorded as this could make those present feel uncomfortable and therefore less willing to participate. Any breach of this provision may lead to disciplinary action, which could include dismissal.

Notes taken by the manager/note taker will not be verbatim detailed minutes, therefore, if you wish to make your own notes during the meeting, you are welcome to do so.

Confidentiality and retention of documents

All documentation and records will be treated in the strictest confidence and processed and kept in accordance with data protection legislation.

Sickness absence during the performance improvement procedure

In the event you are absent from work due to sickness the performance improvement procedure will be paused and will resume at an appropriate point once you return to work. In these circumstances, consideration may be given to a referral to Occupational Health.

Remote proceedings

Where it is not possible to hold a face-to-face meeting under this procedure, we will conduct the process remotely. We will ensure that you and your companion have access to the necessary technology for participating. Your rights will not be affected, and we will ensure that the procedure remains fair and reasonable.

Postponement of meetings

We will make every effort to ensure that any meeting we hold under this procedure is scheduled for a time and place that is reasonable and within your normal working hours. You are therefore required to attend the meeting if it is possible for you to do so. If you are too ill to attend, or have some other reasonable excuse, we will consider rearranging the meeting to a time when your attendance is possible, within five working days of the original meeting date.

However, it is important to ensure that the performance improvement procedure is completed within a reasonable timescale. We reserve the right to proceed with a meeting in your absence when it has not been possible to arrange a meeting that you are unable to attend. In that case, we will make every effort to ensure that you are able to make representations in writing or through a companion.

If you are unable to make written representation or your companion is not available to attend the meeting in your absence, we will agree to postpone and seek to agree a mutually convenient time. However, any such postponement must be short, and we reserve the right to proceed with the original meeting if no new date can be found that is within five working days of the scheduled date.

Trade union representatives

No formal action under this procedure will be taken against a trade union representative until the circumstances of the case have been discussed with a full time official of the union concerned after obtaining the employee's agreement.

Grievances relating to performance improvement

Normal management action, including management of underperformance, would not ordinarily be a reason to raise a grievance. Therefore, if you have any concerns in relation to any action or decisions taken by your manager regarding the management of underperformance, you should discuss this directly with them in the first instance.

If you raise a grievance during the performance improvement procedure that is unrelated to those proceedings, the performance improvement procedure and grievance procedure will normally run independently in parallel.

Extreme underperformance

In exceptional circumstances, if your underperformance is so extreme that it puts the council at significant risk – such as if it endangers health and safety – and is due to incompetence rather than negligence or conduct, we may start the performance improvement process at any stage. This could include the final stage.

If we decide that it’s not appropriate for you to carry on with your current role while matters are fully investigated, we might ask you to temporarily take on an alternative role.

Additional support

If you have any questions about this policy or the procedure, please speak to your manager or AskHR on 01772 535355. If managers need advice they can contact their People Business Partner.

We understand that this can be a difficult process, and so if at any point you need additional support, the Employee Assistance helpline is available 24-hours a day, 365 days a year. They can be contacted on 0800 0542 301 or online at www.employeeassistance.org.uk using the access code lccsupport.

You may wish to access our employee health and wellbeing resources and/or contact your trade union if you are a member. You can also reach out to our various support networks.