IMPLEMENTATION DATE: SEPTEMBER 2017 (REISSUED MARCH 2018)

Transcription

1 SECTION: HUMAN RESOURCES POLICY AND PROCEDURE: NATURE AND SCOPE: SUBJECT: POLICY AND PROCEDURE TRUST WIDE CAPABILITY AND PERFORMANCE This procedure seeks to encourage employees to take personal responsibility for their own capability and performance levels, and empower staff and managers to initiate and participate fully in the process of developing self and others within an environment that is inclusive, equitable and respectful of individual needs and abilities DATE OF LATEST RATIFICATION: SEPTEMBER 2017 RATFIED BY: EXECUTIVE LEADERSHIP TEAM (ELT) IMPLEMENTATION DATE: SEPTEMBER 2017 (REISSUED MARCH 2018) REVIEW DATE APRIL 2019 ASSOCIATED TRUST POLICIES AND PROCEDURES: Grievance (inc Bullying and Harassment) Clinical Supervision Employment ISSUE 7 AUGUST 2018

2 NOTTINGHAMSHIRE HEALTHCARE NHS FOUNDATION TRUST CAPABILITY & PERFORMANCE POLICY AND PROCEDURE CONTENTS 1.0 Policy Statement 2.0 Introduction 3.0 Scope 4.0 Single Equality Scheme 5.0 Definitions 6.0 Responsibilities 6.1 The Trust s Responsibilities 6.2 Managers Responsibilities 6.3 Employees Responsibilities 7.0 Employees Rights 8.0 Unsatisfactory Capability and/or Performance Related to Disability 9.0 Procedure 9.1 Informal Stage 9.2 Formal Procedure Stage 1: First Formal Caution 9.3 Formal Procedure Stage 2: Final Formal Caution 9.4 Formal Procedure Stage 3: Capability Hearing 10.0 Outcomes of the Capability Hearing 10.1 Further Improvement Opportunities 10.2 Redeployment (including Demotion) 10.3 Dismissal 11.0 Performance after Redeployment / Demotion 12.0 Records of Informal and Formal Action 13.0 Long Term Sickness Absence During Review Periods 14.0 Appeals 15.0 Standards of Professional Codes and Referrals to Professional Bodies 16.0 Examination Failure 17.0 Definitions 18.0 Target Audience 19.0 Implementation 20.0 Training 21.0 Review Date 22.0 Consultation 23.0 Monitoring Compliance 24.0 Relevant Trust Policies 25.0 Equality Impact Assessment 26.0 Legislation Compliance 27.0 Champion & Expert Writer ISSUE 7 AUGUST

3 Appendix 1 Appendix 2 Appendix 3 Capability Procedure Flowchart Equality Impact Assessment Screening Tool Record of Changes ISSUE 7 AUGUST

4 1.0 POLICY STATEMENT Capability & Performance NOTTINGHAMSHIRE HEALTHCARE NHS FOUNDATION TRUST CAPABILITY & PERFORMANCE POLICY AND PROCEDURE 1.1 Nottinghamshire Healthcare NHS Foundation Trust recognises that the quality of service provision and care to patients and colleagues relies upon the recruitment, development and retention of committed and motivated staff. The Trust aims to ensure that its service users and carers experience high quality care, delivered by supportive, positive and professional staff, and this requires the Trust to enable its employees to perform at a high standard within their roles. 1.2 The Trust encourages all employees and managers to take a proactive approach in ensuring that they have the relevant skills and capabilities to perform at a high standard, and to address capability and performance issues through open and informal discussion. It is the Trust s intention that the formal procedures outlined in this policy should be adopted only when informal procedures have been exhausted. However in exceptional circumstances, it may be appropriate to implement the formal procedure at a later stage, where the issues of performance are too serious to be dealt with informally. 1.3 This procedure seeks to encourage employees to take personal responsibility for their own capability and performance levels. It aims to empower staff and managers to initiate and participate fully in the process of developing self and others within an environment that is inclusive, equitable and respectful of individual needs and abilities. 1.4 This procedure incorporates the revised ACAS Code of Practice principles on discipline and grievances in the workplace (2015). 1.5 The Trust is committed to ensuring it treats all its employees with dignity and respect and that it will not discriminate against individuals or groups on the basis of age, disability, race, pregnancy/maternity status,, gender, religion/belief, sexual orientation, marital/partnership status, social and employment status, gender identity, language, trade union membership or mental health status. 2.0 INTRODUCTION 2.1 This policy provides a framework which allows staff and managers to engage in a supportive and effective process by working in partnership to develop and maintain the Trust s high levels of service provision. This requires employees and managers to recognise and understand the impact of their capability and performance on service delivery, and to take a proactive approach to ensure that their capability and performance levels are of the highest standard, commensurate with the individual s job description. 2.2 This policy and procedure promotes the resolution of capability and performance issues in an informal manner wherever possible. The formal procedure will be adopted only when necessary, or in exceptional circumstance to resolve incidences of persistent failure to meet the capability and performance standards required by the Trust. Dismissal will be considered as a last resort when all other methods to resolve the issues have been exhausted. 3.0 SCOPE 3.1 The procedure applies to all employees except medical and dental staff for whom a separate procedure exists. Please refer to High Professional Standards in the Modern NHS: a Framework for the Initial Handling of Concerns about Doctors and Dentists in the NHS. 3.2 This policy will apply only in circumstances whereby an employee s capability and/or performance is unsatisfactory; conduct issues will be dealt with under the Trust s Conduct ISSUE 7 AUGUST

5 ISSUE 7 AUGUST Capability & Performance Policy and Procedure. In certain circumstances issues of capability may also include behaviour or actions which could be described as conduct related. 3.3 Where an individual is subject to a formal warning under this Policy, the annual increment will be withheld. An increment will only subsequently be awarded (without back dating) once the warning or performance improvement plan has expired or been met. The next increment will then be awarded at the normal increment date 4.0 SINGLE EQUALITY SCHEME 4.1 In applying this procedure, managers, employees and their representatives will have regard to the principles and requirements of the Trust s Single Equality Scheme. The Trust is committed to equality, diversity and human rights, accordingly the implementation of this policy and its impact will be monitored across all equality strands and reported regularly to the Trust Board. 4.2 Managers will not discriminate in the application of this policy and procedure in respect of age, disability, race, pregnancy/maternity status, gender, religion/belief, sexual orientation, marital/partnership status, social and employment status, gender identity, language or trade union membership or mental health status. 4.3 In all cases, full and sensitive consideration should be given to equality and diversity needs/requirements or issues that may exist when implementing this policy and procedure. It should be recognised that in some cases, the perceived behaviour of individuals may be a reflection of diverse backgrounds and identities and can be subject to misinterpretation. Therefore, judgments regarding an individual s conduct, capability or performance should always be fully and appropriately informed, which may in some instances, require diversity specific/focused input, guidance/advice. 5.0 DEFINITIONS 5.1 Capability refers to an employee s ability or competence to perform their work to an acceptable standard. Performance refers to the level at which the employee operates and the standard of work produced in order to achieve tasks and objectives. 5.2 Employees are expected to demonstrate levels of both capability and performance at a standard which is satisfactory to the Trust. This will be assessed in conjunction with their Knowledge and Skills Framework outline and on going supervision. 5.3 It is the intention of the Trust that managers should take all reasonable steps to support an improvement in an employee s capability and/or performance before invoking the formal procedure. 6.0 RESPONSIBILITIES 6.1 The Trust s Responsibilities The Trust is committed to creating and maintaining an environment which promotes equality and embraces diversity, both within the workforce and in service delivery. This policy will be implemented with due regard to this commitment The Trust will be responsible for ensuring that expected standards of capability and/or performance are realistic and achievable within the scope of the job description, post banding and Knowledge and Skills Framework outline. The Trust recognises that setting unreasonable expectations beyond the levels commensurate with an employee s post may place unnecessary stress on an individual and will be counter-productive in encouraging high levels of performance. 6.2 Managers Responsibilities

6 Managers and supervisory staff carry responsibility for effectively and fairly implementing and operating this policy within their sphere of authority. Managers and supervisors must ensure: All potential new staff are properly assessed during the recruitment phase against the person specification for the job and have the qualifications / experience required by the person specification and Knowledge and Skills Framework outline. Managers must ensure that all staff have access to appropriate essential training and other agreed resources to undertake their role. All employees who are new to the Trust receive a proper induction (including attendance on the Trust s Corporate induction course) and are locally orientated within the relevant workplace. Managers and supervisors must ensure that staff who are new to the team / department are locally inducted. Employees are informed of this policy and the procedures referred to within it, and any subsequent updates / amendments to the policy Employees are consulted with regularly on their progress in meeting the required performance standards for their job, by reference to the relevant job description, person specification and the Knowledge and Skills outline, which provide the competencies required for the job, through regular supervision. That where an employee s performance does not meet the required standards, managers will notify them and work with them to rectify the situation at the earliest opportunity. That adequate and appropriate advice and supervision is available, both on a formal and an informal basis. That due regard is given to the Trust s duty outlined in the Equality Act 2010, to make reasonable adjustments in the case of employees with a disability. If, as a result of the disability, an employee is placed at a substantial disadvantage in performing the duties of their existing job, the Manager must consider any reasonable adjustments (including redeployment as a last resort) which would enable the employee to continue working within the organisation. 6.3 Employees Responsibilities All employees are expected to meet the required Trust standards of performance for their job, by reference to their job description, person specification and the Knowledge and Skills Framework outline, which provides the competencies applicable to the job All employees have a responsibility to inform their manager if they: Are concerned about their ability to effectively perform their job for any reason Are concerned about their ability to fulfil the requirements laid out in Require support, including training and/or other resources, to enable them to fulfil the requirements laid out in or to enable them to perform the duties of their job more effectively Need clarification of the requirements applicable to them in their job ISSUE 7 AUGUST

7 6.3.3 All employees have the responsibility to meet with their manager at mutually agreed intervals to discuss the performance of their role and conduct their Performance Appraisal and Development Review. Where these are not arranged by the employee s manager the employee has the responsibility to request these. 7.0 EMPLOYEES RIGHTS 7.1 Employees have the right to be accompanied at all formal meetings convened in accordance with this policy, by an accredited Trade Union representative or a work colleague not acting in a professional capacity. 7.2 Additional support from the Staff Counselling and/or Occupational Health Services is available to all employees. 7.3 Employees whose performance does not meet the required standard will be given an explanation of how they are not meeting the expectations of the role. 7.4 Employees will be given the opportunity to comment on the capability and/or performance issues that have been identified. 7.5 Employees will be given the opportunity to address their capability and/or performance issues and be offered the appropriate support, which may include any of the following: Training opportunities Assigning a mentor Coaching Clinical/managerial supervision Transfer permanent / temporary Redeployment permanent / temporary This list is not intended to be exhaustive; managers and employees will work together to identify the most suitable method of facilitating improvement. The above suggestions may not be applicable in all cases. 8.0 UNSATISFACTORY CAPABILITY AND/OR PERFORMANCE RELATED TO DISABILITY 8.1 Where capacity and/or performance issues are related to a disability defined under the Equality Act 2010, managers should discuss with employees reasonable adjustments which could be made to the role in order to facilitate the achievement of the standards required. Reference to the Sickness Absence Policy may be appropriate, in certain circumstances. Completion of a Workplace Individual Support Plan (for employees with disabilities) or a Workplace Well-being Plan (for employees with short term physical and/or mental health issues), to identify specific agreed support measures may also be considered. 9.0 PROCEDURE 9.1 Informal Stage The informal procedure will normally take the form of a one-to-one discussion, i.e. between the employee and their line manager (advice and support should be provided by relevant professional leads where applicable) The purpose of the informal discussion is to: Provide the employee with a copy of the Capability Policy and to explain the process and stages within it. ISSUE 7 AUGUST

8 Identify areas in which the employee is not performing satisfactorily, using evidence to facilitate the discussion Find out if the employee accepts and acknowledges that their performance is not meeting the required standards Establish whether there are any problems being faced by the employee in relation to their performance and/or capability for which the Trust can offer support Agree an action plan for improvement, with timescales, SMART objectives and obtain the employee s commitment both to achieving the provisions of this plan and to reaching the required performance standards Monitor the effectiveness of any reasonable adjustments made and identify if any other considerations are required During the meeting, the manager will ensure that accurate notes of the meeting including objectives and timescales are taken The manager will confirm the outcomes and agreed action plan in writing to the individual to avoid any misunderstanding within 7 calendar days of the meeting The manager will continue to monitor the employee s progress during the timescale set for improvement regularly, through one-to-ones and/or supervision Where the required standards of work performance have been met within the timescales agreed, the manager will confirm this in writing with the employee and no further action will be taken If satisfactory performance standards are not met, this may be addressed via the formal procedure. 9.2 Formal Procedure Stage 1: First Formal Warning Where work performance remains unsatisfactory following the informal procedure, a formal review meeting should take place (advice and support should be provided by relevant professional leads where applicable). The formal review meeting will be convened in a timely manner, and in any case not longer than one month following the end of the timescale set under the informal procedure There may be cases where a manager decides that it is appropriate to move to the formal review stage before the expiry of an agreed timescale under the informal procedure. This will usually be the result of another event or incident concerning the employee s capability and/or performance The manager will write to the employee to request their attendance at the meeting. The written request will also confirm the purpose of the meeting At least 14 calendar days notice of the meeting will be given to allow the employee to prepare and seek representation by an accredited Trade Union representative or work colleague, unless the employee agrees to a shorter notice period Advice should be sought from the Human Resources Department in advance of the meeting. A representative from the Human Resources Department will also be in attendance at the meeting, to provide independent advice and support The purpose of the meeting will be to identify problems and agree plans for their solution. Managers and employees should discuss: The nature of the shortfall in capability and/or performance ISSUE 7 AUGUST

9 The reasons for the shortfall Action to be taken by the employee to rectify the shortfall The possibility of redeploying the employee into an alternative vacant post, where one exists, and in which it is expected that the employee s performance will be satisfactory Further support / training which the manager will consider and arrange where appropriate Referral to Occupational Health and/or the Staff Counselling Services, if appropriate Reasonable timescales for improvement in capability and/or performance will be agreed, e.g. based on the availability of training or opportunity to undertake certain tasks A first formal warning under the Capability Policy will be issued in relation to the under-performance unless it is considered not appropriate given the review of information presented in The first formal warning will remain live on the employee s file for a period of 9 months. Should the required level of performance not be met or maintained during this period the matter will proceed to the next stage. If the employee s capability and performance fall below the required standard after the 9 month period has elapsed, the process should begin at the appropriate stage The manager will ensure that accurate notes of the discussions of this meeting are taken and agreed where possible with the individual, and will confirm the agreements made to the employee in writing within seven calendar days of the meeting The manager will continue to monitor the employee s progress during the timescale set for improvement regularly, through one-to-ones and/or supervision Where the required standards of work performance have been met within the timescales agreed, the manager will confirm this in writing with the employee and no further action will take place Where an individual is subject to a formal warning under the Trust's Capability Policy, the annual increment will be withheld. An increment will only subsequently be awarded (without back dating) once the warning or performance improvement plan has expired or been met (normally 12 months). The next increment will then be awarded at the normal increment date For the right of appeal, refer to the Trust s Appeal Procedure 9.3 Formal Procedure Stage 2: Final Formal Warning A second formal review meeting will take place following a failure to demonstrate the required standard of performance after the first formal review period. This will follow the procedure as outlined at stage one above During the second formal review meeting, the employee should be informed that if their capability and/or performance does not reach the required standard, a possible consequence may be redeployment into a suitable alternative vacant post, or ultimately dismissal. Available redeployment opportunities will be discussed with the employee to confirm their suitability in terms of: Qualifications and/or experience required, as stated in the Person Specification Specialisation of skills ISSUE 7 AUGUST

10 Additional / reduced commuting Additional / reduced requirement to travel in the course of the duties Working environment Employee s perception of their ability to perform the tasks laid out in the Job Description This list is not intended to be exhaustive. At the second review meeting a final formal warning under the Capability Policy will be given issued unless it is considered not appropriate given the review of information presented at The final formal warning will remain live on the employee s file for a period of 12 months. Should the required level of performance not be met the matter will proceed to the next stage. For the right of appeal, refer to the Trust s Appeal Procedure 9.4 Formal Procedure Stage 3: Capability Hearing Where work performance remains unsatisfactory following the two formal review meetings, a Capability Hearing should take place. The Capability Hearing will be convened in a timely manner, and in any case not longer than one month following the end of the timescale set during the second formal review meeting There will be cases where a manager decides that it is appropriate to move to the Capability Hearing stage before the expiry of an agreed timescale set during the second formal review. This will usually be the result of another event or incident concerning the employee s capability and/or performance The Capability Hearing meeting must be chaired by a manager with the appropriate authority to dismiss (advice and support should be provided by relevant professional lead where applicable who may sit on the panel), and who has not been involved in informal or formal reviews and a HR Manager The manager chairing the meeting will write to the employee to request their attendance at a meeting. The written request will also confirm the purpose of the meeting At least 14 calendar days notice of the meeting will be given to allow the employee to prepare and seek representation by an accredited Trade Union representative or work colleague, unless the employee agrees to a shorter notice period Advice should be sought from the Human Resources Department in advance of the meeting During the Capability Hearing, the employee s manager will present evidence from the informal and formal review meetings to the Chair. The employee will also be given the opportunity to present their case. The Chair may ask questions of both parties to clarify the information provided The outcome of the hearing is the final stage of the procedure and the Chair will make a reasoned decision, after all the evidence has been considered. The Chair reserves the right to adjourn the meeting in order to consider the evidence further if necessary; in these cases, the meeting will be reconvened no later than 7 calendar days following the adjournment OUTCOMES OF THE CAPABILITY HEARING ISSUE 7 AUGUST

11 10.1 Further Improvement Opportunities The Chair may decide, that further improvement opportunities should be provided, and that the individual would benefit from further or different performance improvement opportunities (advice and support should be provided by relevant professional leads where applicable) The Chair will if necessary take advice from other experts within the Trust as to what alternative performance activities should be implemented Where further improvement opportunities are implemented these will be reviewed at the second formal review level and if standards of performance are not met will lead to a capability hearing Redeployment (including Demotion) The Trust is not obliged to create suitable alternative posts; redeployment opportunities will be limited only to vacant or imminently vacant posts Redeployment opportunities may attract a lower banding and/or salary, or additional travel than the employee s current post; this is also known as demotion. Where an employee is demoted, pay protection will not apply Demotion will be considered only as an alternative to dismissal, and will only take place after thorough discussion with and agreement from the employee Redeployment or demotion will also be dependent upon the agreement of the receiving manager of the new team/department/care Group (advice and support should be provided by relevant professional leads where applicable when making such a decision). In cases of redeployment or demotion, continuity of service will be maintained, and the actual date on which employment in the new role commences will be subject to agreement between the employee, their manager and the receiving manager The Chair will ensure that the employee is issued a letter within 7 calendar days following the date on which the decision was delivered confirming the outcome of the Hearing Dismissal The Chair may decide that no suitable options for redeployment exist, and may be left with no alternative but to dismiss the employee from the Trust. Advice and support should be provided by relevant professional leads where applicable. When considering this decision, the Chair should have taken into account redeployment and have good reason for not pursuing this course of action Where the outcome of the Capability Hearing is dismissal, the employee will be given notice during which time alternative employment will be sought or, at the employee s request, will be issued with payment in lieu of the notice period The Chair will ensure that the employee is issued with a letter within seven calendar days of the date on which the decision was delivered which confirms the following details: The date of termination The reasons for their termination The length of the notice period, or agreement to be paid in lieu of notice if requested by the employee ISSUE 7 AUGUST

12 The employee s right of appeal against the outcome, including the employee s rights to representation and the time limit for submitting the appeal Copies of this letter should be kept on the employee s personal file and the relevant professional bodies/regulators should be informed where applicable. For the right of appeal, refer to the Trust s Appeal Procedure 11.0 PERFORMANCE AFTER REDEPLOYMENT / DEMOTION 11.1 Upon commencing the new role, the receiving manager will be responsible for ensuring that the employee is properly inducted into their new post and working environment The receiving manager will review the employee s performance in the new role within 3 6 months of the effective date of the redeployment or demotion, with a view to assessing whether the employee s capability and/or performance has been satisfactory RECORDS OF INFORMAL AND FORMAL ACTION 12.1 Written notifications issued following any stage of this policy will remain on the employee s personal file for a period of 12 months Any recurrence of unsatisfactory capability and/or performance may result in further formal action commencing at the stage previously reached LONG TERM SICKNESS ABSENCE DURING REVIEW PERIODS 13.1 Where an employee is subject to any of the review periods outlined in this policy and becomes absent from work on a long term basis, i.e. four weeks or more, the manager will have discretion regarding extending the review period for a length of time which is not longer than the period of absence Managers wishing to extend review periods under these circumstances should consult the Human Resources Department prior to applying the extension APPEALS 14.1 Please refer to the Trust s Appeal Procedure 15.0 STANDARDS OF PROFESSIONAL CODES AND REFERRALS TO PROFESSIONAL BODIES 15.1 Clinical and professional staff governed by a professional regulatory body are expected to exercise relevant competence in accordance with their regulatory body and qualifications. At any stage during the capability procedure exceptional consideration may be given to referring the employee to their relevant professional body for their own independent review and a manager may seek advice from the professional body. This responsibility rests with the manager dealing with the case or hearing an appeal The organisation may take action under the Capability Policy regardless of and independent to, the outcome of any referral to a professional body EXAMINATION FAILURE 16.1 Failure to obtain a formal qualification or obtain the satisfactory standard in a theoretical and/or practical examination during the course of a training period or on completion of a training programme, where the attainment of the qualification is an essential requirement of employment, will form part of the Capability Policy. ISSUE 7 AUGUST

13 17.0 DEFINITIONS 17.1 Provided TARGET AUDIENCE 18.1 All Trust employees except medical and dental staff for whom a separate procedure exists IMPLEMENTATION 19.1 Implementation will be via Executive Directors, Clinical Directors, General Managers and their direct reports TRAINING 20.1 The policy will be communicated by the relevant Directorate HR Teams to all managers and made available to staff on the intranet REVIEW DATE 21.1 This policy will be reviewed in October 2018 or in light of organisational or legislative changes CONSULTATION 22.1 Leadership Council (LC) and staff side representatives MONITORING COMPLIANCE 23.1 The Trust s Core Group will asses the implementation and effectiveness of this policy on an annual basis RELEVANT TRUST POLICIES Single Equality Scheme ( ) Grievance Policy Clinical Supervision Employment EQUALITY IMPACT ASSESSMENT 25.1 Following the EIA screening exercise (attached at Appendix 2) it has been concluded that a full EIA is not needed. The policy, as required by the Equality Act 2010 ensures that the specific requirements of diverse groups are identified, considered and met as appropriate within the remit of this policy/procedure. The policy also clearly requires managers to ensure full and informed consideration is given to avoid misinterpretation of cultural behaviour(s)/identities. In addition the need to consider the suitability of reasonable adjustments is highlighted within the policy to ensure that people with disabilities are not disadvantaged (as described in the Equality Act 2010) LEGISLATION COMPLIANCE Equality Act 2010 ACAS Code of Practice principles on discipline and grievances in the workplace (2015). ISSUE 7 AUGUST

14 27.0 CHAMPION & EXPERT WRITER 27.1 The Champion of this policy is the Director of HR and the Expert Writer is the Deputy Head of Workforce & Organisational Effectiveness. ISSUE 7 AUGUST

15 CAPABILITY PROCEDURE FLOWCHART APPENDIX 1 The following flowchart sets out the stages of the capability procedure. In the majority of cases, when an employee s performance is unsatisfactory, it will be dealt with informally, and in a supportive manner by the line manager/supervisor. Where the problem remains following the agreed period of review, the formal stages will be invoked as detailed below: INFORMAL STAGE Performance problems first become apparent; targets for improvement set through dialogue between line manager and employee. Required improvement achieved? No Yes No further action required. Return to normal performance management methods. STAGE ONE - First Formal Warning Work performance remains unsatisfactory, therefore formal review meeting takes place. Employee has right to representation at this meeting. Action plan for improvement set and monitoring period agreed. Individual has the right of appeal. STAGE TWO Final Formal Warning Unsatisfactory performance raised by the Manager with the employee. Employee has right to representation. Action plan for improvement set and monitoring period agreed. Individual has the right of appeal. STAGE THREE- Formal Capability Hearing Where work performance remains unsatisfactory following two formal review meetings. Appropriate senior line manager to arrange hearing to review the evidence, explore the options available and make a decision about the employee s employment based on their performance. APPEAL Where dismissal has occurred and the employee has appealed, a panel will hear their appeal. The appeal is not a re-hearing but to review the decision arrived at by the earlier panel and determine whether this was fair and reasonable. See Trust Appeal Procedure. The decision of the appeal panel is final. Required improvement achieved? No Yes Required improvement achieved? No Yes Is Outcome Dismissal? Yes No No further action required. Return to normal performance management methods. Warning to remain on file for 9 months. No further action required. Return to normal performance management methods. Warning to remain on file for 12 months if performance is not maintained during this period the matter will proceed immediately to Capability Hearing. It may be appropriate as an alternative to dismissal to make recommendations for other action, which could include redeployment, downgrading, making adjustments to working hours etc. Where a move to another post, downgrading, or change of hours is agreed there will be no protection of salary or terms and conditions. ISSUE 7 AUGUST

16 APPENDIX 2 EQUALITY IMPACT ASSESSMENT (EIA) SCREENING TOOL Name of policy/procedure/strategy/plan/function etc being assessed: Brief description of policy/procedure/strategy/plan/ function etc and reason for EIA: Names and designations of EIA group members: List of key groups/organisations consulted Data, Intelligence and Evidence used to conduct the screening exercise Capability & Performance Policy This policy seeks to encourage employees to take personal responsibility for their own capability and performance levels, and empower staff and managers to initiate and participate fully in the process of developing self and others within an environment that is inclusive, equitable and respectful of individual needs and abilities Charlotte Whyman, Deputy Head of Workforce & Organisational Effectiveness Leadership Council Previous EIA s, policy, workforce metrics ISSUE 7 AUGUST

17 Equality Strand Race Gender Incl. Transgender Disability Incl. Mental Health and LD Does the proposed policy/procedure/ strategy/ plan/ function etc have a positive or negative (adverse) impact on people from these key equality groups? Please describe The policy identifies that Leaders at all levels the Trust must treat all staff fairly, consistently and equitably and take action to address any forms of prejudice, discrimination and victimisation in the implementation of the policy. The policy outlines that managers will not discriminate in respect of any of the equality strands. The policy identifies that full and sensitive consideration should be given to all equality and diversity needs/requirements or issues which arise or may exist when implementing the policy and procedure. Are there any changes which could be made to the proposals which would minimise any adverse impact identified? What changes can be made to the proposals to ensure that a positive impact is achieved? Please describe N/A Have any mitigating circumstances been identified? Please describe Bi-annually or more often if required, the Trust together with staff side representatives will review the key workforce metrics including the number of capability cases across all of the equality strands. Impact of the policy is monitored across all equality strands and reported regularly to management groups and to the Trust Board. Areas for Review/Actions Taken (with timescales and name of responsible officer) Author to review in 6 months As Race N/A N/A Author to review in 6 months As Race. In addition the need to consider the suitability of reasonable adjustments is highlighted within the policy to ensure that people with N/A N/A Author to review in 6 months ISSUE 7 AUGUST

18 disabilities are not disadvantaged (as described in the Equality Act 2010). As Race N/A N/A Author to review in 6 Religion/Belief months As Race N/A N/A Author to review in 6 Sexual Orientation months As Race N/A N/A Author to review in 6 Age months Social Inclusion* 1 As Race N/A N/A Author to review in 6 Community Cohesion* 2 months As Race N/A N/A Author to review in 6 months Human Rights * 3 months As Race N/A N/A Author to review in 6 * 1 for Social Inclusion please consider any issues which contribute to or act as barriers, resulting in people being excluded from society e.g. homelessness, unemployment, poor educational outcomes, health inequalities, poverty etc * 2 Community Cohesion essentially means ensuring that people from different groups and communities interact with each other and do not exclusively live parallel lives. Actions which you may consider, where appropriate, could include ensuring that people with disabilities and non-disabled people interact, or that people from different areas of the City or County have the chance to meet, discuss issues and are given the opportunity to learn from and understand each other. * 3 The Human Rights Act 1998 prevents discrimination in the enjoyment of a set of fundamental human rights including: The right to a fair trial, Freedom of thought, conscience and Religion, Freedom of expression, Freedom of assembly and association and the right to education Conclusions and Further Action (including whether a full EIA is deemed necessary and agreed date for completion) Screening Tool Consultation End Date Name of Equality and Diversity (E&D) Group Approving EIA (i.e. Directorate E&D Group, Divisional E&D Forum or Trustwide E&D Steering Group) Following the EIA screening exercise it has been concluded that a full EIA is not needed. The policy, as required by the Equality Act 2010 ensures that the specific requirements of diverse groups are identified, considered and met as appropriate within the remit of this policy/procedure. The policy also clearly requires managers to ensure full and informed consideration is given to avoid misinterpretation of cultural behaviour(s)/identities. In addition the need to consider the suitability of reasonable adjustments is highlighted within the policy to ensure that people with disabilities are not disadvantaged (as described in the Equality Act 2010). EIA reviewed September No amendments necessary. Equality & Diversity Subcommittee of the Board of Directors ISSUE 7 AUGUST

19 Name of Responsible Officer Name and Contact Details (tel. , postal) Charlotte Whyman, Deputy Head of Workforce & Organisational Effectiveness ext ISSUE 7 AUGUST

20 APPENDIX 3 Policy for: Capability & Performance Issue: 06 Status: Author Name & Title: APPROVED Charlotte Whyman, Deputy Head of Workforce &Organisational Effectiveness Issue Date: 19 SEPTEMBER 2017 (REISSUED: 27 MARCH 2018) Review Date: APRIL 2019 Approved by: EXECUTIVE LEADERSHIP TEAM (13/09/2017) Distribution/Access: NORMAL RECORD OF CHANGES DATE AUTHOR PROCEDURE DETAILS OF CHANGE Jun 13 Sept 13 May 14 Feb 17 Aug 17 Mar 18 Aug 18 O Fulton N Forman P Hall C Whyman C Whyman C Whyman B Cassidy (issue 1) (issue 2) (Issue 3) (Issue 3) (Issue 4) (Issue 5) (issue 6) Changes to review date and issue number only Insertion of extra stage to procedure, minor amendments to text, new appendix 1 Change of policy number Change of referenced policies to reflect new numbers Update to logo, author, review date and issue number. Review date changed. Review date rolled forward by 6 months (to October 2018 from April 2018) Review date extended ISSUE 7 AUGUST