Deductions made from the Unitary Charge if the facility is not Available or services are not provided to the required standard.

This Flowchart sets out the procedure that an employer should follow when an employee performance or capability issue has been identified, including obtaining relevant documents such as the contract of employment and appraisal records, considering the use of mediation, deciding who should undertake the performance monitoring, convening informal and formal meetings, the decision to dismiss or implement some other sanction, and managing the appeal process. Click below to view or print the full-size PDF version: Note 1—identifying whether there is a performance issue If the employee’s performance is falling below the required standard, the employer may wish to address the situation through its performance procedure. For an example procedure, see Precedent: Policy and procedure—performance and capability. A distinction is made between misconduct and poor performance. Where it is the employee’s conduct that is at issue, then a disciplinary process will be appropriate, see Practice Note: Managing performance—Dealing with poor performance. Before starting a formal process, it will be necessary to review the provisions of the employer’s performance procedure and consider, for example, if there are any

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s dept] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to the appraisers in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, all parties should sign and date the form and agree review dates

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s department] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s department] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1–1.5 hours. This should be protected time, without interruption. When the appraisal is complete, both parties should sign and date the form and agree

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current PDP year [Insert year] Department [Insert appraisee’s department] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1–1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties should sign and date the form and agree review

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s dept] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations. • To provide feedback about your level of performance. • To plan your future with us, ensuring we are supporting your career development. • To set and agree objectives aligned with the strategic aims of the firm. What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption.

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s dept] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide you with feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties should sign and date the form and agree review dates (monthly, quarterly,

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s dept] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide you with feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties should sign and date the form and agree review dates (monthly, quarterly, six-monthly

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title department [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s dept] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations. • To provide feedback about your level of performance. • To plan your future with us, ensuring we are supporting your career development. • To set and agree objectives aligned with the strategic aims of the firm. What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties should sign and date the form

Name [Insert appraisee’s name] Current manager [Insert appraiser’s name] Position/title deprtment [Insert appraisee’s job title] Current personal development plan (PDP) year [Insert year] Department [Insert appraisee’s department] Date of appraisal [Insert date] Appraisal conducted in person? ☐ Yes☐ No Aim of the meeting • To understand your personal aspirations • To provide feedback about your level of performance • To plan your future with us, ensuring we are supporting your career development • To set and agree objectives aligned with the strategic aims of the firm What the meeting will cover • Part 1: Performance against personal objectives • Part 2: Performance against core skills • Part 3: Assessment of overall performance • Part 4: Future aspirations • Part 5: Future personal objectives • Part 6: Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties should sign and date the form

Name of trainee [Insert trainee’s name] Appraising supervisor [Insert appraising supervisor’s name] Appraisal period From [insert date] to [insert date] Date of appraisal [Insert date] Aim of the meeting The aim of this meeting is to: • provide feedback about your level of performance; • plan your training, ensuring we are supporting your development; • set and agree objectives to enable you to develop the skills needed to meet the SRA Standards and Regulations and Practice Skills Standards. What the meeting will cover • Parts 1–6: Performance appraisal; • Parts 7 and 8: Training needs; • Part 9: Objectives for next appraisal period. Preparation for appraisal meeting Please review and complete sections 1–7 in advance of the meeting. Provide a copy of your completed form to the appraising supervisor in advance of the meeting. You may also wish to consider Parts 8 and 9. The meeting should be expected to last [1–1.5]