Managing Capability Guidance Notes for Managers
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1 Managing Capability Guidance Notes for Managers
2 Managing Capability Guidance Notes for Managers Contents Page 1.0 Introduction Rights and Responsibilities Common reasons for Capability Issues Good practice in Managing Capability Related Documents.. 5 Appendix 1 Template Letter - Invite to Formal Capability Review Meeting (Stage 2).. 6 Appendix 2 Template Letter Outcome from Formal Capability Review Meeting (Stage 2).. 7 Appendix 3 Template Letter - Invite to Formal Capability Hearing (Stage 3).. 8 Appendix 4 Template Summary Report for Formal Capability Hearing (Stage 3).. 9 Appendix 5 Template Letter Outcome from Formal Capability Hearing (Stage 3).. 12 Page 2 of 13
3 1.0 Introduction 1.1. This document is designed to be read in conjunction with, and complement, the Capability Policy and Procedure These guidance notes aim to provide a resource which will assist managers to use the Capability Policy and Procedure fairly and consistently Suggested template correspondence is provided for managers to use when handling matters relating to capability. 2.0 Rights and Responsibilities 2.1. Employees are responsible for: Ensuring that they are aware of their responsibilities and that they perform their duties to the required standards; Engaging in any reasonable training and development that will enable them to reach the required standards of performance for the job; Understanding that if their work performance falls below the required standard, managers will be obliged to address this; Responding to corrective measures that are identified; Familiarising themselves with the University procedures relating to their employment; Bringing to the attention of their line manager as soon as possible, any work related problems or personal circumstances that may hinder their performance Employees have a right to: Be treated with dignity and respect at all times; Be informed of the requirements / performance standards of their job; Seek help from their managers if they have their own concerns about anything which may be affecting their performance, without prejudice; Be accompanied and/or represented by a recognised Trade Union Representative (this may be a full time official) or a work colleague throughout the formal stages of the procedure. Once notification of a representative is received all relevant correspondence will be copied to the representative. Legal representatives are not allowed to be present at internal capability investigations or hearings Managers are responsible for: Recruiting, selecting, training and managing staff appropriately minimising the risk of poor performance; Setting standards of performance, and ensuring that these are communicated and understood; Ensuring that staff have a reasonable workload; Providing induction to all new staff; Providing regular and timely feedback and appropriate support to help staff reach and maintain the required standards of work; Carrying out staff appraisals Identifying and supporting development and training needs for all staff they line manage; Page 3 of 13
4 Managing poor performance as it becomes apparent to avoid having a detrimental effect on the performance of the University or on staff morale; Ensuring that matters relating to an individual s performance are dealt with sensitively and in line with dignity and respect principles and making appropriate adjustments when necessary Managers have a right to: Be treated with dignity and respect at all times; Enquire, where appropriate, about issues that may be affecting a member of staff s work performance Human Resources are responsible for: Training, advising and supporting managers on the capability policy & procedure; Ensuring consistency in applying the policy & procedure across the University; Attending and keeping a formal record of all meetings in relation to the formal stages of the procedure. Providing support and advice to employees on the capability procedure. Supporting the identification and implementation of training to improve performance. 3.0 Common reasons for Capability Issues 3.1. There are a number of reasons why an individual is unable to perform to the required standards of a role. It is important to understand any underlying factors that may be driving a capability issue The following are common reasons for Capability Issues: Lack of aptitude, skill or experience, which may be the result of inappropriate recruitment, selection, induction or training. Lack of proficiency and poor overall personal organisation / time management Lack of facilities crucial to the individuals performance Changes in the nature and allocation of work including heavy workload Changes in technology Personal / Family Difficulties Short term health problems and/or poor attendance at work, related to genuine ill health. Advice may be sought from HR on any of these matters and particularly health and attendance issues. Reorganisation or redefinition of role Lack of motivation to perform in role. 4.0 Good practice in Managing Capability 4.1. In both the informal or formal stages of capability management it is good practice to give the employee feedback in a meeting and document the discussion and any concerns raised. In the meeting, the manager should: Let the employee know the specific nature of the concerns including how the required standards have not been met with recent examples. Page 4 of 13
5 Ask the employee for their perception of the matter, and their thoughts on how their performance could be improved. Establish the reasons for required standards not being met where possible, taking into account all related factors. Establish a programme to address and improve performance, with the agreement of the employee where possible. This may include additional supervisory support, training or coaching, organisational or temporary workload changes. Where any personal issue is identified, managers should consider support as appropriate through the University Counselling Service, Occupational Health or HR Any programme of remedial action should reflect the discussion and: Set structured targets such as SMART targets (Specific, Measurable, Achievable, Realistic, Time-bound) and detail how and when they will be assessed. Set timescales for meeting targets that a competent holder of the post could reasonably be expected to meet. Typically this may be up to 3 months for most support staff but may be longer for more senior or academic role. Ensure that the plan covers relevant training needs and appropriate action in relation to these. Establish regular review meetings within this timeframe. 5.0 Related documents Capability Policy & Procedure Redeployment Policy & Procedure Absence Management Policy & Procedure Page 5 of 13
6 Appendix 1 Template Letter - Invite to Formal Capability Review Meeting (Stage 2) Date Private & Confidential Address/or Invitation to Formal Capability Review Meeting Further to informal discussions, I am inviting you to a formal Capability Review Meeting on date at time in location. I/ will chair the hearing and HR Rep will also be present. The meeting is being held to discuss and consider your capability, more specifically- Outline/bullet point the key reasons for the meeting e.g. not hitting specific deadlines or targets, inaccurately completing work. You may wish to refer to any informal improvement plan you have been working on with the employee. Please ensure that your HR Manager has reviewed this document prior to sending to your employee. This meeting may ultimately result in formal action being taken, as outlined in the attached Capability Policy. As this policy outlines, there are a range of possible actions and outcomes at different stages. Please find enclosed a copy of the supporting evidence gathered in relation to the alleged capability issue. Please come to the hearing prepared to review these documents. Where this includes witness statements etc. from other employees I must instruct you not to approach these people without first meeting with me. You will be given every opportunity to discuss the content of any evidence at the hearing. You have the right to be accompanied to the meeting as detailed in the attached Capability Policy and Procedure, and it is your responsibility to ensure that whoever accompanies you is available to attend. If you have any difficulties or require any assistance in arranging for someone to accompany you to the meeting, then please let me know as soon as possible. Should you wish to be accompanied I would be grateful if you could let me know ahead of the meeting who you will have in attendance. Should you wish to submit any evidence for consideration at the hearing, please ensure it reaches me by DATE 2 days in advance of the meeting. You must take all reasonable steps to attend the scheduled meeting and inform me on contact details, with at least 1 days notice if you are unable to attend. If you fail to attend again or to provide adequate explanation for your non-attendance, the hearing will be held in your absence. Yours sincerely, Job Title ENC. Capability Policy and Procedure NB: REMEMBER TO ATTACH THE CAPABILITY POLICY AND PROCEDURE List here the documents you will be using as evidence e.g. PIP, meeting notes dated Page 6 of 13
7 Appendix 2 Template Letter Outcome from Formal Capability Review Meeting (Stage 2) Date Private & Confidential Address/or Formal Capability Review Meeting Outcome Further to the Formal Capability Review Meeting on Date where you, Rep, HR Rep, Note taker, and I were present, please find to follow the agreed outcome- Detail the agreed outcome e.g. a formalised Personal Improvement Plan (PIP) to be implemented over an 8 week period that is reviewed every week. Please ensure your HR manager has reviewed this document prior to sending to your employee. Any actions will be formally reviewed at the end of the review period. The likely outcomes are- Outcome All expectations/targets are met and employee performing at a satisfactory standard Significant progress has been made but further limited support required to secure permanent satisfactory standard Targets not met but with mitigating circumstances or impossible to provide vital part of agreed support Likely Next Step No further action required. Extend review period at current stage, or progress to next formal stage. Extend the review period at current stage. Targets not met Progress to next formal stage. Please also find attached a copy of the notes that were taken during the hearing for your records. Yours sincerely, Job Title ENC. Hearing Notes, Personal Improvement Plan Any other documents relevant to the outcome Page 7 of 13
8 Appendix 3 Template Letter - Invite to Formal Capability Hearing (Stage 3) Date Private & Confidential Address/or Invitation to Formal Capability Hearing Further to your failure to meet the expectations as outlined in a performance improvement plan issued following a Formal Capability Hearing on date of first formal capability hearing, I am inviting you to a second formal capability hearing on date at time in location. I/ will chair the hearing and HR Rep will be present. Original Manager and Original HR Rep will also attend to present a Capability Summary report and to answer questions, please find a copy of this document enclosed. The hearing is being held to discuss and consider your capability, more specifically- Outline/bullet point the key reasons for the meeting including the need to review what steps have been taken to improve capability. You must take all reasonable steps to attend this scheduled hearing and inform me, at least the day before if you are unable to attend. This hearing may result in formal action being taken, as outlined in the attached Capability Policy. As this policy outlines, this may include dismissal on grounds of Capability. Please come to the hearing prepared to review the case summary enclosed. Where this includes witness statements etc. from other employees I must instruct you not to approach these people without first meeting with me. You will be given every opportunity to discuss the content of any evidence at the hearing. Should you wish to submit any evidence for consideration at the hearing, please ensure it reaches of HR Rep by DATE- 2 days in advance of the meeting. You have the right to be accompanied to the meeting as detailed in the attached Capability Policy and Procedure, and it is your responsibility to ensure that whoever accompanies you is available to attend. If you have any difficulties or require any assistance in arranging for someone to accompany you to the meeting, then please let me know as soon as possible. Should you wish to be accompanied I would be grateful if you could let me know ahead of the meeting who you will have in attendance. You must take all reasonable steps to attend the scheduled meeting and inform me on contact details, with at least 1 days notice if you are unable to attend. If you fail to attend again or to provide adequate explanation for your non-attendance, the hearing will be held in your absence. Yours sincerely, Job Title ENC. Capability Policy and Procedure NB: REMEMBER TO ATTACH THE CAPABILITY POLICY AND PROCEDURE List here the documents you will be using as evidence - this will usually be a case summary document Page 8 of 13
9 Appendix 4 Template Summary Report for Formal Capability Hearing (Stage 3) Case Report for the Hearing to Consider Continued Employment With Regard to: Job Title Faculty / Service Month/Year Report written by: of original HR Rep of Line Manager Page 9 of 13
10 CONTENTS PAGE 1 Introduction...Pg No 2 Findings and Analysis...Pg No 3 Conclusion and Recommendations...Pg No Appendices Should usually include the following and any other relevant information Role Profile All PIP s and review meeting notes Case Timeline Notes from Formal Capability Review Meeting(s) Capability Policy and Procedure Redeployment Policy and Procedure Page 10 of 13
11 1.0 Introduction 2.0 Findings and Analysis 3.0 Conclusion and Recommendations HR Rep HR Rep Job Title Manager Job Title Page 11 of 13
12 Appendix 5 Template Letter Outcome from Formal Capability Hearing (Stage 3) Date Private & Confidential Address/or Formal Capability Hearing - Outcome Further to the Formal Capability Hearing on Date where you, Rep, all those present, and I were present, I am writing to inform you that a decision has been made to terminate your employment on the grounds of capability. You have the right to appeal against this decision, if you wish to appeal, please do so in writing, within 5 working days of receipt of this letter, to the Director of Human Resources, Human Resources, Edinburgh Building, Chester Road, Sunderland, SR1 3SD. Further information about this can be found in the enclosed Capability Policy. All outstanding holiday pay will be paid to you in your final salary payment. / Please be advised that as a participant in the Cycle to Work Scheme final payment is required and therefore Payroll will advise you and deduct this from your final salary /For further details on how your departure from the University effects your pension please see enclosed information Payroll will send your P45 for tax purposes once you have received your final pay. If you need any advice on this they can be contacted on (0191) or (0191) If you are in receipt of a car parking pass please return it to Facilities, Unit 3 Technology Park. Please also find attached a copy of the notes that were taken during the hearing for your records. Yours sincerely, Job Title ENC. Hearing Notes Page 12 of 13
13 Managing Capability Guidance Notes for Managers Date of Issue: October 2012 Next review date: October 2014 Approved by (e.g. Committee, Director, etc): Joint Consultative Committee Employment Committee Board of Governors Date of last approval: October 2012 Author/Owner: Faculty/Service: Head of HR Business Support Human Resources This Policy can be obtained from the Human Resources website, Docushare or by contacting Human Resources. If you would like this document in larger print please contact Human Resources. Page 13 of 13
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