HUMAN RESOURCES MANAGEMENT OF CAPABILITY POLICY

Transcription

1 HUMAN RESOURCES MANAGEMENT OF CAPABILITY POLICY Policy Manager Lauraine Miller Policy Group MoC Working Group Policy Established Last Updated February 2005 Policy Review Period/Expiry December 2013 This policy does / does not apply to Medical/Dental Staff UNCONTROLLED WHEN PRINTED

2 Management of Capability Version Control Version Number Purpose/Change Author Date 1.0 Version Control was introduced in July 2011 and previous versions of this Policy, prior to this date, are available in the Electronic Document Store. L Miller 2

3 CONTENTS PAGE. 1. Policy Statement 4 2. Definition 4/5 3. Aims and Principles 5 4. Representation 5 5. Procedure Is there a capability issue? Initial approach 5/ Outcome of meeting Formal process Stage Outcome of meeting Stage Outcome of meeting Stage 3 7/ Outcome of meeting Appeals 8/9 6. Review 9 3

4 1. POLICY STATEMENT It is the aim of NHS Tayside to ensure that all members of staff are treated in a fair and equitable manner. Members of staff are required to perform the duties of their post to an acceptable standard. Where this standard is not met, members of staff will be offered support, encouragement, guidance and if necessary training to improve their work performance. However, a distinction must be drawn between inherent incapacity and a lack of performance that is attributable to a wilful refusal to work satisfactorily. The latter is a matter of conduct and will be dealt with under the Management of Employee Conduct Policy. Where a member of staff s lack of performance is related to a capability issue, the primary objective must be to assist and support the member of staff to improve to the required standard and every effort must be made to keep the member of staff at work. The reasons for the unacceptable performance need to be identified and an appropriate course of action jointly agreed to improve the performance. Only where support measures, including discussions, training and where appropriate, referral to OHSAS or consideration of alternative employment have failed to produce the required improvement should a dismissal for lack of capability be considered. This procedure does not replace or prevent the normal process of supervisory control where managers allocate work, monitor performance, draw attention to errors and poor quality and, as importantly, highlight work done well. This ongoing day-to-day process may include informal assistance in achieving improvement to the required standard. Much of this ongoing process will be carried out in conjunction with the Personal Development Planning and Review Process. Such discussions are not part of the Capability Procedure and therefore formal interviews and representation are not appropriate to this everyday ongoing process This procedure has been developed in partnership with the trade unions / professional organisations. It reflects the best practice identified in the guidance on the Management of Employee Capability produced by the Partnership Information Network (PIN) Board. The policy also reflects relevant employment legislation including the Employment Rights Act 1996, the Human Rights Act 1998, and the Disability Discrimination Act 1995, Employment Relations Act 1999 and Data Protection Act DEFINITION The Employment Relations Act (ERA) 1996 states that capability (is) assessed by reference to skill, aptitude, health or any other physical or mental quality. It also indicates that incapability must relate to the work or the kind of work that the member of staff was employed by the employer to do. This must be determined in accordance with the member of staff s current contractual obligations. This policy and procedure is designed to deal with those cases where the member of staff is lacking in some area of knowledge, skill or ability, resulting in a failure to be able to carry out the required duties to an acceptable standard. The procedure is to be used where there is a genuine lack of capability, rather than a deliberate failure on the part of the member of staff to perform to the standards of which they are capable. In the event of a deliberate failure by the member of staff, reference to the Management of Employee Conduct Policy would be appropriate. A genuine lack of capability may come about for a variety of reasons including the following: Ill health; Personal circumstances; Qualifications; Lapse or loss of registration; 4

5 Changes in the workplace environment; End of career change; Bullying and harassment. The procedure outlined in this policy will assist in dealing with capability issues associated with any of the above. 3. AIMS AND PRINCIPLES This policy will ensure that capability issues are dealt with in a fair and consistent manner. The policy provides: Assistance to members of staff to improve performance wherever possible when such deficiencies exist; Firm but fair and consistent means of dealing with capability problems without recourse to the disciplinary policy. In order to achieve this the following principles and values are required: The management of capability should always be consistent with respect for the member of staff as an individual and should respect the diversity of staff; Early intervention when poor performance is identified should be encouraged enabling a supportive approach to be taken. There should be a range of options available to deal with such matters, e.g. additional supervision, on or off the job training. 4. REPRESENTATION At all stages of this procedure, a member of staff is entitled to have a representative present. It will always be made clear in advance to the member of staff (and representative if relevant) that the capability rather than the disciplinary procedure is being used. 5. PROCEDURE Is there a capability issue? The first stage is to determine whether or not there is a capability issue. To assist with this part of the process the following questions should be considered: What are the indications that the member of staff is not measuring up to the requirements of the job? Have there been complaints about, or criticisms of, the member of staff s work from colleagues, patients or visitors? Are there factual grounds to indicate inadequate performance, such as poor results? Does the managers own observation of the member of staff indicate dissatisfaction with the member of staff s performance? Has the member of staff requested help to overcome a problem? Initial approach It is often best for managers to deal with issues about performance informally in the first instance. In many cases an informal conversation between the manager and the member of staff will be sufficient to address any areas of concern. 5

6 The informal discussion with the member of staff should focus on the particular performance issues. This is to ascertain whether the member of staff accepts that there is a problem and if so, if they will respond positively to constructive support and assistance to improve performance. The manager must constantly bear in mind that the aim is to assist the member of staff to improve to an acceptable standard. It is crucial that as many aspects of the problem as possible, as perceived by the member of staff, are unearthed. This will require a sensitively handled discussion free from interruption, aimed at establishing an atmosphere of trust and open discussion. The manager should: Outline the performance concerns and share any evidence available; Encourage the individual to describe the situation from his / her perspective; Probe the individual s description by the use of open-ended and non-negative questions (e.g. how, what, why, when, where); Be alert as to how to persuade the member of staff on generalities that may conceal details of the problem; Be alert to possible contributing factors, e.g. relationships with colleagues, fears of inadequacy / failure, lack of promotion, insufficient training, domestic / health reasons; Consider whether additional training and development would help address the issue(s); Avoid censure; Ensure pertinent questions are not evaded by member of staff; Discuss possible solutions and agree an action plan with timescales and a review mechanism Outcome of meeting Formal process A letter recording the date, time and agreed outcomes of the meeting should be sent to the member of staff within 7 working days of the meeting. If, following the agreed review of the member of staff s performance, there has been inadequate improvement, a more formal approach may need to be adopted. Prior to entering the formal stage, the manager must ensure that all agreed outcomes from the informal stage have been supported Stage 1 Where a member of staff is failing to perform to an acceptable standard despite having been given initial, informal guidance and support, a meeting will be arranged with the member of staff s line manager. The member of staff will be given at least 5 working days notice of the meeting. The written confirmation of the meeting will include: The procedure and stage being used; Clear details of the shortfall in performance; All necessary supporting documentation; Details of any informal discussion so far; The right of representation. The purpose of this meeting will be to discuss and agree the: Areas where the performance is unsatisfactory; Improvement in performance which is required, and how it will be measured; Action plan for addressing the performance issues with an agreed timescale for improvement; 6

7 Date their performance will be reviewed again; Action which may follow if the required improvement in performance is not achieved. During this meeting the member of staff will be told clearly and precisely of the deficiencies, which have been identified, and the improvement in the work standard which is required (with the possible consequences of not doing so). There must be an opportunity for the member of staff to answer these points and to explain any difficulties which (s)he may be having, and a discussion on the ways and means by which the desired improvement may be achieved Outcome of meeting The outcome of this meeting will be recorded in a letter to the member of staff within 7 working days of the meeting. The letter will include: The areas where performance is unsatisfactory; The improvement(s) required; An agreed action plan to achieve improvement underpinned by regular monitoring meetings; Timescale for improvement with date for overall review; Details of the right of appeal (see section 5.3.7) and the possible consequences if the necessary improvement is not achieved. If, at the agreed review date the desired improvement has been achieved, a meeting should still take place and the member of staff informed that the required standards have been achieved. This will be recorded and the member of staff will be given written confirmation within 7 working days of the review Stage 2 If, at the overall review of Stage 1, the desired improvement has not been achieved, a further meeting with the member of staff will be arranged. The timescales, format and purpose will be as detailed in Stage 1, paragraph In addition, the support measures previously identified will also be reviewed and there will be discussion as to whether they should continue or if additional measures might be helpful. The member of staff will again be given the opportunity to answer the points made and provide any other relevant information. It may also be helpful at this stage to discuss formal career counselling or whether a permanent redeployment would be possible, and, if so, an agreeable option for the member of staff. If this is an agreed possibility the Workforce representative will be notified and will be responsible for investigating the possible options and liaising with the Senior HR (Redeployment). (The Redeployment Policy will apply but where there is redeployment to a post on a lower grade, the new post would not normally attract protection but would normally be subject to the salary, terms and conditions applicable to the new post.) Outcome of meeting The outcome of this meeting will be formally recorded in a letter to the member of staff within 7 working days of the meeting. The letter will include: The areas where performance is unsatisfactory; The improvement(s) required; An agreed action plan to achieve improvement underpinned by regular monitoring meetings; Timescale for improvement with date for overall review; Details of the right of appeal (see section 5.3.7) 7

8 A failure to achieve the necessary improvement within the agreed timescale will result in consideration of termination of employment of the grounds of capability. If, at the agreed review date the desired improvement has been achieved, a meeting should still take place and the member of staff informed that the required standards have been achieved. This will be recorded and the member of staff will be given written confirmation within 7 working days of the review Stage 3 If, despite all the measures outlined above, the desired improvement has still not been achieved, a meeting must be convened by a manager with the authority to dismiss. The notice and information will be as stated in paragraph This meeting will involve the manager, Workforce representative, the member of staff and their representative. The member of staff will again be clearly told of the continued deficiencies and given the opportunity to answer the points made. Following the meeting the manager will make a decision as to whether there is any likelihood of the member of staff s performance achieving an acceptable level by extending the assistance offered or the timescale agreed under the previous stage. If the manager believes adequate improvement is possible in a reasonable timeframe then this should be agreed as in Stage 2 (refer 5.3.4). If the decision is that performance will not become acceptable in the current post, further consideration will be given to whether permanent redeployment (at the same or lower pay level) is possible, and to whether the alternative job is likely to be performed to the required standard by the member of staff Outcome of meeting If no suitable alternative employment is available, of the member of staff declines redeployment, termination of employment will take place. The member of staff will be advised in writing within 7 working days and the letter will include: The reasons for the dismissal; The date of dismissal; Any necessary administrative or financial arrangements; Whom, and within what time limit, any appeal should be made Appeals The right to an appeal exists at all stages of the formal procedure. There will not be a delay in implementing management decisions pending an appeal, but they may be subsequently amended or reversed as a result of an appeal hearing. Stage 1 A member of staff who is aggrieved at a decision made at Stage 1, has the right to appeal to the manager to whom the decision maker is responsible. Any appeal should be made in writing and should be received within 10 working days of receipt of the confirmation letter. Stage 2 A member of staff who is aggrieved at a decision made at Stage 2, has the right to appeal to the manager to whom the decision maker is responsible. Any appeal should be made in writing and should be received within 10 working days of receipt of the confirmation letter. Stage 3 / Termination of employment 8

9 A member of staff who is aggrieved at the decision made at Stage 3 / termination of employment, has the right to appeal to the Director of Strategic Human Resources and Workforce Development. Any appeal, which should be in writing, should be received within 10 working days of receipt of the letter of confirmation. The Director of Strategic Human Resources and Workforce Development will convene an appeal panel which will include a senior member of management and the Workforce Team to hear the appeal. member of the panel will have had any previous knowledge of the case. Arrangements for Appeal against Termination A senior member of the Workforce team will be responsible for co-ordinating all arrangements on behalf of the Director of Strategic Human Resources and Workforce Development; The appeal hearing will be held within one month of receipt of the appeal; The member of staff and their representative will be informed in writing of the date, venue and time of the appeal hearing. They will also be advised of the names of those who will hear the appeal; The member of staff will be advised of their right to be accompanied by their trade union / professional organisation representative of friend; The member of staff and the manager will be asked to submit a written case at least 7 working days prior to the appeal hearing. They will also be required to submit the names of any witnesses to be called; It will be the responsibility of the member of staff and the manager to inform any witness of the arrangements for the appeal hearing; At least 5 working days before the appeal hearing copies of the written case along with the names of any witnesses to be called will be circulated to the panel, the member of staff and the manager. 6. REVIEW This procedure will be reviewed by the Area Partnership Forum as part of the ongoing process for reviewing and updating Workforce policies. 9

10 NHS TAYSIDE - POLICY/STRATEGY APPROVAL CHECKLIST This checklist must be completed and forwarded with policy to the appropriate forum/committee for approval. POLICY/STRATEGY AREA: (See Intranet Framework) Workforce POLICY/STRATEGY TITLE: Management of Capability LEAD OFFICER: Valerie Beattie Why has this policy/strategy been developed? Has the policy/strategy been developed in accordance with or related to legislation? Please give details of applicable legislation. Has a risk control plan been developed? Who is the owner of the risk? Who has been involved/consulted in the development of the policy/strategy? Has the policy/strategy been assessed for Equality and Diversity in relation to:- Please indicate / for the following: To ensure all members of staff are treated in a fair and equitable manner when dealing with capability.. PIN Guidelines Employment Rights Act 1996, Human Rights Act 1998, Employment Relations Act 1999 and Data Protection Act 1998, Disability Discrimination Act N/A Short Life Working Group, HR Forum, NHS Tayside Managers and Staff Side Representatives Has the policy/strategy been assessed For Equality and Diversity not to disadvantage the following groups:- Please indicate / for the following: Race/Ethnicity Gender Age Religion/Faith Disability Sexual Orientation Minority Ethnic Communities (includes Gypsy/Travellers, Refugees & Asylum Seekers) Women and Men Religious & Faith Groups Disabled People Children and Young People Lesbian, Gay, Bisexual & Transgender Community Does the policy/strategy contain evidence of the Equality & Diversity Impact Assessment Process? Is there an implementation plan? Review of an existing policy Which officers are responsible for implementation? When will the policy/strategy take effect? Who must comply with the policy/strategy? How will they be informed of their responsibilities? Is any training required? If yes, has any been arranged? Are there any cost implications? If yes, please detail costs and note source of funding Who is responsible for auditing the implementation of the policy/strategy? What is the audit interval? Who will receive the audit reports? When will the policy/strategy be reviewed and by whom? (please give designation) All Line Managers Already in place All Staff Communication process across NHST and Staffnet N/A N/A N/A Area Partnership Forum 2 yearly Area Partnership Forum Director for Workforce/ December 2011 Name: Valerie Beattie Date: 31 st March

11 1. Rapid Impact Checklist (RIC) Management of Capability Each policy must include a completed and signed template of assessment Which groups of the population do you think will be affected by this proposal? minority ethnic people (incl. gypsy/travellers, refugees & asylum seekers) women and men people in religious/faith groups disabled people older people, children and young people lesbian, gay, bisexual and transgender people N.B. The word proposal is used below as shorthand for any policy, procedure, strategy or proposal that might be assessed. What impact will the proposal have on lifestyles? For example, will the changes affect: Diet and nutrition? Exercise and physical activity? Substance use: tobacco, alcohol or drugs? Risk taking behaviour? Education and learning, or skills? Will the proposal have any impact on the social environment? Things that might be affected include Social status Employment (paid or unpaid) Social/family support Stress Income Will the proposal have any impact on Discrimination? Equality of opportunity? Relations between groups? Will the proposal have an impact on the physical environment? For example, will there be impacts on: Living conditions? Working conditions? Accidental injuries or public safety? Transmission of infectious disease? Will the proposal affect access to and experience of services? For example, Health care Transport Social services Housing services Education people of low income Other Groups: people with mental health problems homeless people people involved in criminal justice system staff What positive and negative impacts do you think there may be? Which groups will be affected by these impacts? The policy will have a neutral impact on lifestyle. The policy introduces a supportive framework to ensure that in matters of capability, all staff are treated in a fair and equitable manner. While dismissal may be the final outcome this will only arise after an exhaustive process aimed at achieving acceptable performance. The policy provisions apply equally to all staff. Impact Impact

12 Rapid Impact Checklist (RIC) : Summary Sheet Each policy must include a completed and signed template of assessment 1. Positive Impacts (te the groups affected) Policy provisions apply equally to all staff. Staged process involving identification of issues affecting capability and supported discussion to achieve satisfactory outcome. Regular reviews at each formal staff 2. Negative Impacts (te the groups affected) negative impacts identified. 3. Additional Information and Evidence Required N/A 4. Recommendations N/A 5. From the outcome of the RIC, have negative impacts been identified for race or other equality groups? Has a full EQIA process been recommended? If not, why not? negative impacts identified and full EQIA not required at this stage. Manager s signature: John Young Date: 31 st March 2009 Alison Johnston