MANAGEMENT OF PERFORMANCE (CAPABILITY) POLICY AND PROCEDURE

Transcription

1 MANAGEMENT OF PERFORMANCE (CAPABILITY) POLICY AND PROCEDURE DOCUMENT CONTROL: Version: 3 Ratified by: HR and OD Policy and Planning Group Date ratified: August 2015 Name of originator/author: Senior HR Advisor Name of responsible committee/individual: Date issued: 19 August 2015 Review date: August 2018 Human Resources and Organisational Development Policy and Planning Group Target Audience All Employees and staff seconded into the Trust

2 SECTION CONTENTS Page 2 of 23 PAGE NO 1. INTRODUCTION 4 2. PURPOSE 4 3. SCOPE 4 4. RESPONSIBILITIES/ACCOUNTABILITIES AND DUTIES Board of Directors Line Manager/Appointing Officer Employees Human Resources 6 5. PROCEDURE/IMPLEMENTATION General Principles Managing Performance Positively Recruitment Job Related Training Supervision/One-to-one Meetings Team meetings Performance and Development Review (PDR) Support Mechanisms Managing Poor Performance Conduct or Capability Conduct Capability The Procedure for Managing Poor Performance Defining the Issues The Informal Procedure Informal Counselling Formal Procedure Formal Action Formal Action Plan setting (1 st Meeting in the formal stage) Action Plan Review Meetings (2 nd Meeting in the formal stage) 5.6 Records Discussions and Action Plans Timescales for monitoring and review Downgrading or Transfer Referral to External Agencies and Regulatory Bodies Right of Appeal TRAINING IMPLICATIONS MONITORING ARRANGEMENTS EQUALITY IMPACT ASSESSMENT SCREENING Privacy, Dignity and Respect

3 8.2 Mental Capacity Act LINKS TO ANY ASSOCIATED DOCUMENTS REFERENCES APPENDICES 18 Appendix One Managing Performance Positively 19 Appendix Two Managing Poor Performance Informal 20 Procedure Appendix Three Managing Poor Performance Formal 21 Procedure Appendix Four Possible Reasons for Poor Performance 22 Appendix Five Performance Management Action Plan 23 Page 3 of 23

4 1. INTRODUCTION As a provider of healthcare services, the Trust is obliged to ensure the provision of high quality services to our clients, patients and service users; therefore we have an ongoing responsibility to ensure that work performance is both to a high standard and in accordance with our values. All employees have a responsibility to achieve a satisfactory level of performance and carry out their duties to the standard required. This policy and procedure has been developed to assist and support line managers and supervisors with the management of the performance of employees. This includes guidance on managing performance and a procedure for dealing with issues of poor performance. It is the intention of this policy and procedure to ensure that there is a fair and consistent approach to managing performance across the organisation. This policy should be regarded as one of mutual and joint working, which enables the employee to maintain their performance or to restore their standards of performance to an acceptable level. 2. PURPOSE The intention of this policy is to assist managers in supporting employees to maintain expected levels of performance and addressing appropriately any performance issues of their employees. The policy requires managers to: Ensure that arrangements are in place to provide employees with clear expectations about their role and to support them appropriately. Ensure that arrangements for regular dialogue and feedback between managers, supervisors and their employees are in place, that incorporate the Trust s established Performance Development Review process. Support and encourage employees to overcome poor performance and to be safe and effective in their practice, irrespective of their occupation. Resolve concerns as close to their point of origin and as soon as reasonably practical after they have been identified. Recognise that the implementation of formal action within this policy/procedure is concerned with setting and monitoring of organisational standards and expectations of the employee and setting reasonable expectations within a realistic time frame. Adopt a problem-solving approach, attempting wherever possible to avoid issues escalating to a point where formal action is unavoidable. Ensure that the procedure is applied in a reasonable, fair and consistent way. 3. SCOPE This policy applies to all employees who are directly employed by RDaSH and for whom the organisation has legal responsibility. For medical staff this policy should be read in conjunction with Maintaining High Professional Standards as adopted by the Trust. Page 4 of 23

5 Where an issue is raised involving a seconded employee from another organisation, Human Resources will liaise with the Human Resources department of the other organisation involved, to agree a way forward, in accordance with the policy framework of each organisation. The application of this policy will also need to be considered in conjunction with the Policy and Procedure for the Management of Disciplinary Matters and the Personal Framework Responsibility principles, so that issues arising from poor performance as a consequence of deficiencies in capability are initially addressed through this policy whilst issues of poor performance resulting from personal conduct or where improvement in performance is not achieved after support is provided are addressed under the Policy and Procedure for the Management of Disciplinary Matters or the Personal Responsibility Framework principles.. 4. RESPONSIBILITIES, ACCOUNTABILITIES AND DUTIES 4.1. Board of Directors The Board of Directors are accountable for the overall wellbeing and performance of employees of the Trust whilst at work and to ensure the delivery of safe performance within the organisation. The Director of Workforce and Organisational Development has responsibility for the implementation of this policy and coordination of an appropriate communication strategy, together with ensuring that appropriate monitoring arrangements are in place. It is the duty of the Board of Directors to gain assurances from the directorates/business divisions that this policy is being implemented appropriately in order to balance the needs of the employees with the needs of the organisation and its services. 4.2 Line Managers/Appointing Officers It is the responsibility of the line manager/appointing officer to: Implement this policy and procedure as appropriate, in accordance with the guiding principles outlined to enable safe and effective performance. Communicate effectively the standards and speed at which work should be completed and the attitude and behaviour expected in performing these tasks. 4.3 Employees It is the responsibility of each employee to; Actively participate in the performance management processes outlined in this policy and procedure. Attain and maintain continued professional development, academic and practical based qualifications and where necessary undertake clinical supervision as required in order to perform their duties as identified in their job description Page 5 of 23

6 Take personal responsibility for proactively maintaining expected levels of performance and notify the line manager of any issues which may impact on continued performance. 4.4 Human Resources It is the responsibility of the Human Resource teams to; Advise line managers and supervisors on the application of this policy and the linkages to the Personal Responsibility Framework principles and the Policy and Procedure for the Management of Disciplinary Matters as appropriate. Assist in the identification of relevant training and development opportunities Assist with the development of performance action plans. Ensure line managers and supervisors are reminded of, and implement, relevant policies and procedures in order to support employees with issues which impact on their performance at work Assist managers in utilising the tools available within other policies and procedures to support employees at work in accordance with good practice and any associated employment legislation 5. PROCEDURE/IMPLEMENTATION: 5.1 General Principles Effective performance can only be achieved through the capability and willingness of employees to perform and with the support and guidance of their line manager. There are a range of actions that should be taken to ensure that employees are fully supported to perform effectively and to develop within the organisation. These actions are outlined in the following paragraphs. The Trust is responsible for setting realistic and achievable standards and making sure employees understand what is required of them. Employees have a contractual responsibility to achieve a satisfactory level of performance and should be given help and encouragement to reach it. Standards should be measurable in terms of quality, quantity, time and if appropriate, cost effectiveness. Any shortfall in performance should be highlighted to the employee concerned, and consideration given as to whether this is due to inadequate instruction, training, supervision or some other failing. The following principles should be observed when the employee commences employment with the organisation: the standard of work required should be explained and employees should be clear as to what is expected of them. This applies to both new appointments and movement into different roles within the Trust. job descriptions should accurately convey the main purpose and scope of the Page 6 of 23

7 duties they are required to undertake, specifically detailing the tasks involved. the consequence of any failure to meet the required standards should be explained to the employee This process is summarised in Appendix One Managing Performance Positively. 5.2 Managing Performance Positively & Reducing the Risk of Poor Performance There may be occasions where a Line Manager has to speak to an employee regarding their performance or standard of work, however, where these incidents are isolated; it does not necessarily constitute poor performance. Line Managers should keep a record of any issues that are raised to ensure that this information can be used to support any further action that is considered necessary. Where such concerns become more frequent or more significant and it becomes apparent there is a poor performance issue, there is a basic process which the Line Manager should undertake. The process outlines the action to be taken by the Line Manager irrespective of whether the manager or supervisor is undertaking the process in counselling mode or in formal action mode (definitions of counselling mode and formal action mode can be found in section and 5.5.1) Recruitment The importance of careful recruitment, selection and training should not be underestimated as this will facilitate a reduced risk of unsatisfactory performance. The first step in ensuring an employee is able to perform to a satisfactory level begins at the recruitment stage. Only those applicants who meet the essential criteria necessary for the role should move forward to the interview stage. The interview provides an ideal opportunity to test out the knowledge and skills of the candidate to ensure that the most suitable candidate is appointed. The new recruit should be issued with a contract of employment which confirms that the first 6 months of employment will be a probationary period where they will be required to demonstrate capability/ suitability in the position for which they are employed On commencement of employment the new recruit should be fully aware of the duties of the post and the general expectations associated with it and receive an induction appropriate for the role. For further information refer to the Appointment of Staff and Induction Policies Job Related Training New employees will need a period of on the job training and will be required to undertake mandatory and statutory training, as well as any other training deemed appropriate for the role they are employed to carry out. It is equally important that existing employees maintain their mandatory and statutory training as well as identifying any additional training that will support them in their role. In addition, failure to maintain core training (previously referred to as mandatory and statutory training) may jeopardise incremental pay progression. Page 7 of 23

8 The responsibility for continuing professional development is a joint responsibility both in terms of identifying training needs and sourcing the relevant training or development activity. Line Managers should ensure that they are following the Personal Development Review (PDR)/Personal Development Plan (PDP) process along with the Study Leave Guidance and the Policy for the Management of Local and Corporate Induction Supervision/One to One Meeting It is the responsibility of the line manager to ensure that regular supervision, clinical or non clinical is available to all employees and that it is timely and effective. It is recommended that the Line Manager and the employee meet once a month on a one to one basis, or as a minimum no less than every two months as detailed in Section 5.1 of the Clinical and Management Supervision for Clinical and Non-Clinical Staff Policy. This allows for areas to be discussed at the earliest opportunity which can prevent issues affecting an employee s performance at work and to provide praise to employees for areas where they have performed well. The one to one meeting should focus on issues around workload, priorities, forthcoming work, progress with current workload and performance against objectives. Again, any issues or problems, training needs or difficulties can then be identified and the relevant support put in place to prevent any escalation of problems. Where problems with performance become evident this should be raised initially with the individual in the one to one meeting. Detailed notes should be taken of the one to one meeting and any actions agreed made clear. It is recommended that one to one notes be signed by the line manager and employee. A template for the suggested format of a one to one meeting can be found in the Clinical and Management Supervision for Clinical and Non-Clinical Staff Policy. Appendix Four. It should be noted that this template applies to both clinical and non clinical staff. This supervision may or may not be carried out by the immediate Line Manager but could be from a variety of sources. It is for the employee and the Line Manager to agree the form that supervision will take. In addition, some employees may have access to daily supervision however, for others who may work on a more autonomous basis, peer support and access to more senior support will be available as and when required. Further guidance is contained within the Clinical and Management Supervision for Clinical and Non Clinical Staff, Policy and the Performance and Development Review Policy. Page 8 of 23

9 5.2.4 Team Meetings Each team, (department /division /unit as appropriate) should have regular meetings, at least on a bi-monthly basis. The team meeting does not replace a one to one meeting as its content is purely work focused and will cover general work issues. Team Meetings are the ideal forum for Line Managers to cascade organisational issues, provide feedback from relevant Trust meetings and also raise awareness of the wider NHS agenda. Whilst some of the information may not be directly relevant to the team it ensures that the channels of communication are open to all employees who then feel they are kept informed about what is happening within the organisation and can understand how their contribution fits in. Team meetings also provide an opportunity for staff to raise any work related issues jointly that they may not feel comfortable doing on a one to one basis. Line Managers should communicate clear and consistent information to all members of the team, participate in the discussions and deal with any queries in a timely manner Performance Development Review (PDR) & Personal Development Plan (PDP) The PDR process is a formal, annual, face-to-face meeting between the Line Manager and the employee. The purpose of the PDR is for the Line Manager to acknowledge the success and progress of the employee, discuss any areas of concern or areas for improvement and to confirm that the employee s job description is up to date. There will be a review of performance against the last set of objectives set for the member of staff. The employee will have the opportunity to feedback any concerns or issues on the way they are being managed, feedback any concerns or issues relating to the Trust as a whole and to share ideas and talk openly about their role and their performance. The meeting is designed to be structured, consistent and documented. There should be no surprises for either the employee or the Line Manager, however, this strongly relies upon ensuring that the regular one to one meetings are in place. At the end of the PDR or shortly afterwards the Line Manager and the employee will agree objectives for the forthcoming year and identify any training or development needs they have and as such put together a PDP. (Refer to Performance and Development Review Policy for more information). In addition, failure to undertake and complete an annual PDR may jeopardise incremental pay progression Support Mechanisms If at any stage problems, concerns or issues are raised there are a range of support options in place that are available to the employee where appropriate, some examples of which are detailed below: Page 9 of 23

10 Staff Counselling Fast Track Physiotherapy* Occupational Health Services Flexible Working* Special Leave Policy Mentoring/shadowing Employee Assistance Programme * Any health related absences should be managed in accordance with the Policy relating to the Management of Sickness Absence. Please note that this list is not exhaustive and advice is available from the Human Resources teams and via the relevant policies and procedures. 5.3 Managing Poor Performance There can be a number of reasons why staff experience difficulties in their ability to undertake the duties they have been employed to do or in coping with changes to their role. These reasons may include ill-health or disability, training needs, changing demands of the job which impact on skills and job aptitude or difficulties with colleagues. In many cases the problems can be due to factors outside the employee s control such as personal circumstance or issues with working relationships. In other cases, the problem can be linked to the individual s conduct. For performance concerns raised during a probationary period, reference should be made to the Trust Guidance on Probationary Periods and advice should be sought from the Human Resources teams Conduct or Capability? It is essential that managers identify the underlying cause of an individual s poor performance from the outset and at the earliest opportunity, to determine the appropriate way of dealing with it Conduct Where the underlying problem is related to the employee s conduct i.e. carelessness, negligence or idleness (wilfully inadequate in that the person could do the work to the required standard if they chose to do so), the employee s performance should be dealt with under the Trusts Personal Responsibility Framework principles or the Policy and Procedure for the Management of Disciplinary Matters, depending on the severity of the concern raised. In line with the principles of the Personal Responsibility Framework, consideration may be given to addressing problems related to an employee s conduct under this Framework, as an alternative to a low level disciplinary matter. The Framework is not designed to remove or replace the Trusts Policy and Procedure for the Management of Disciplinary Matters but is intended to allow an alternative approach to be considered for achieving improved behaviour/ conduct. Page 10 of 23

11 Capability Where the underlying problem is one of a genuine inability to undertake particular duties, their performance will be managed in accordance with the procedure for dealing with capability set out in this policy. In such circumstances the full application of the Trusts Policy and Procedure for the Management of Disciplinary Matters would be inappropriate as an immediate response, unless there is evidence of misconduct. It may however be necessary to work across both policy frameworks where improvement in performance is not achieved or sustained within the formal process of the Management of Performance (Capability) Policy and Procedure. Capability is defined in S.98 (3) of the Employment Rights Act 1996 as capability assessed by reference to skill, aptitude, health or any other physical or mental quality The Act states that capability must relate to the work of the kind that the employee was employed by the employer to do. This must be determined in accordance with the employee s current contract of employment, job description and person specification. 5.4 The Procedure for Managing Poor Performance Defining the Issues It is important to ensure that performance is being measured against reasonable expectations commensurate with the post, grade, banding and experience of the post holder as outlined in the job description and person specification for the role. Work performance problems may be identified by the individual member of staff who is experiencing difficulty, colleagues and/or the Line Manager. Where the individual recognises they are having problems they should discuss this with their Line Manager as soon as possible. It is recognised that peer support is valuable and colleagues may wish to discuss their concerns directly with an individual who appears to be struggling with performance should they feel comfortable to do so. Likewise where a colleague notices there are problems, this should be referred onto the individual s Line Manager. In this case and where the problems are identified by the Line Manager, the first, and the most important step is to make the employee aware of the concerns. To inform any discussions with a member of staff concerning their poor performance, it is essential that evidence in the form of examples of their poor performance e.g. specific pieces of work or situations can be shared with them. Such information should be illustrative of concerns. The Trust reserves the right to withhold incremental progression of salary for an employee when they are in the formal mode of this policy, after the action plan review meeting. (See Section 5.5.2) The Line Manager should discuss the withholding of incremental progression with a Senior HR Representative before this is implemented. If supported by Human Resources the Line Manager should notify Pay Services of the deferral of incremental progression of the employee and the time frames for the deferment. The incremental progression would normally be deferred for the same duration as the action plan. Pay progression would then be reinstated Page 11 of 23

12 when the employee successfully completes the action plan. The employee s incremental date would then be changed to the date they successfully completed the action plan The Informal Procedure - Informal Counselling Where an employee exhibits an inability to perform their duties satisfactorily, the matter will normally be dealt with informally in the first instance. The informal meeting will normally be between the employee and their line manager and this is referred to as informal counselling. Whilst it is not the norm for informal meetings, if the employee would like the support of a work place colleague or staff side representative then this may be agreed by the manager with prior notification. A representative from the Human Resources Department may also be invited to attend as support for the manager. The main emphasis of the meeting should focus on discussing with the employee where there are shortcomings, establish the reasons for poor/diminishing performance and how he or she can be assisted in addressing the problem. The Line Manager may wish to discuss these areas of concern with the Human Resources Department in order to understand how to move forward. The manager will then agree the expected performance standards with the employee and a time period in which an improvement in performance is expected to be achieved. This time period should be reasonable and realistic in the context of the nature of the problem and to allow for any necessary support to be put in place. Consideration should also be given to the impact of any planned annual leave, study leave and bank holidays to ensure there is sufficient time for the employee to improve their performance. They will also agree how the employee s performance will be monitored over this time. The manager will record the outcome of their meeting and confirm this in writing to the employee. This will indicate the nature of the unsatisfactory performance, what is expected and how future performance needs to be improved to meet the expected standards. It will also outline the support to be given, how their performance will be monitored and over what time period this will be undertaken. If the employee challenges the contents of the letter, they should first discuss it with the manager concerned, who will address their concerns. In the event of continued disagreement this issue should be raised with the next line of management in accordance with the principles outlined in the Trusts Grievance and Dispute Procedure. If the employee s performance improves adequately over the agreed time scale, then the process will end at this stage. If however the employee s performance remains unsatisfactory or the area of concern/s returns within a twelve month time period, then the manager will invoke the Formal Procedure as detailed in section 5.5. The Line Manager must ensure that regular supervision, clinical or non clinical is provided to the employee as detailed in section It is possible that an underlying health problem, which may not be apparent, could be Page 12 of 23

13 the cause of an employee s poor performance. This should be considered and if appropriate, the employee referred to the Occupational Health Service or signposted to their GP in accordance with the Trusts Policy Relating to the Management of Sickness Absence. 5.5 The Formal Procedure - Formal Action The Formal Procedure would be implemented, where either the Informal Procedure has proved to be ineffective, or where there appears to be serious concerns about an employee s performance. The manager will initially discuss the issues with the Human Resources teams, before invoking the formal procedure. Prior to commencing or during the formal procedure if it appears that the cause of the performance issue relates to conduct, rather than capability, then it may be appropriate to default to and implement the Personal Responsibility Framework principles or the Policy and Procedure for the Management of Disciplinary Matters Formal Action Plan Setting (1 st meeting in the formal stage) The employee should be personally informed by their line manager of the instigation of the Formal Stage of the Management of Performance (Capability) Policy and Procedure and a meeting should be arranged. This should be confirmed in writing to the employee. The employee should also be notified of their right to be accompanied by a companion. The chosen companion may be a fellow Trust employee, a trade union/professional organisation representative or an official employed by a trade union/professional organisation. The manager may be accompanied by a Human Resources Representative at this meeting. If issues of professional competence are to be addressed at the meeting and the manager is not qualified in that profession or discipline, then it is expected that an appropriate adviser, qualified in that profession or experienced in the relevant discipline will also be present at the meeting. The purpose of the adviser is to clarify, explain and/or advise on any issues, which are of a professional nature, or specific discipline. A key element of helping the employee to improve is the monitoring period set for them to meet their specific objectives. During this time there may also be specific training or development activities that will need to be undertaken, to enable the employee to improve. The time scale for the monitoring period will be dependent on the circumstances, but will usually last from three to six months. However, if it is clear that the employee is not achieving their action plan and the agreed support and development have been provided there is an option to bring the review date forward and not to wait until the expiry of the action plan. The purpose of the meeting will be to: highlight the issues concerning the employee s performance and make the employee aware of the shortfall(s) in performance where relevant, highlight the steps taken under the informal section of this Page 13 of 23

14 procedure and the support given to the employee remind the employee of the standards which are required to allow the employee and/or the employee s representative to have the opportunity to express their views and to identify possible reasons for the poor performance The outcome of the meeting will be either to Indicate to the employee that the current performance level is unacceptable. The employee should give their commitment to achieve the required standards. An action plan should be agreed with the employee that will outline the specific measurable objectives that need to be achieved within a specific timeframe. Managers must ensure that the objective is smart i.e. specific, measurable, achievable, realistic and time-limited. OR In exceptional circumstances, take no further formal action and revert back to the informal procedure. This should be confirmed in writing to the employee Where the current performance level is unacceptable details should also be provided outlining the consequences of failing to achieve the objectives within the given timeframe, namely that a disciplinary hearing may be arranged in accordance with the Policy and Procedure Relating to the Management of Disciplinary Matters, which could result in a disciplinary sanction and ultimately their dismissal. This will be formally outlined in a letter to the employee. The letter will indicate how the employee s progress will be monitored and any assistance that will be given to help the employee to improve. This may for example take the form of a development programme or additional training. A timescale will also be set for their performance to improve and a formal review date set. It will also emphasise the importance of the employee addressing the concerns raised. The action plan should also be reviewed regularly as part of the employees supervision/ one to one meetings. If the employees performance worsens at any stage within the formal procedure, it is acceptable for either party to bring forward the date of the Review meeting Action Plan Review Meeting (2 nd meeting under the formal stage) At the end of the action plan a formal review meeting should be arranged. The purpose of the review meeting is to explore the employee s performance and to inform them of the next steps. If the employee has met all of their agreed objectives then there should be no further formal monitoring. If the employee has met the majority (80%+) of their objectives then the decision may be taken to extend the formal action plan monitoring period. Page 14 of 23

15 However, if the objectives are significant in terms of not having been met then the decision may be taken to arrange a disciplinary hearing in accordance with the Policy and Procedure for the Management of Disciplinary Matters. At this point the Trust reserves the right to withhold incremental progression of salary for an employee when they are in the formal mode of this policy, namely after the action plan review meeting. The Line Manager should discuss the withholding of incremental progression with a Senior HR Representative before this is implemented. If supported by Human Resources the Line Manager should notify Pay Services of the deferral of incremental progression of the employee and the time frames for the deferment. The incremental progression would normally be deferred for the same duration as the action plan. Pay progression would then be reinstated when the employee successfully completes the action plan. The employee s incremental date would then be changed to the date they successfully completed the action Following the disciplinary hearing, a decision will be taken as to whether it is appropriate to repeat the formal stage of this process. An integral part of the process, whether in counselling mode or formal action mode, is an obligation upon the manager or supervisor to outline the standards of performance expected of the individual and the consequences of his or her being unable to meet these standards. In formal action mode, the expectations and consequences of failing to meet the standards required should be encapsulated in any disciplinary sanction which is to be issued to the individual. As one may expect, the final written warning represents a step change from the written warning and will be utilised when either the poor performance has become a recurrent concern or the significance and severity of the poor performance warrants an unequivocal and immediate marker being set down by the organisation regarding its expectations and the necessary action on the part of the individual. At this point the employee must be advised that one possible outcome of the process could be the termination of their employment although other supportive options should be exhausted before such action is taken. It must be noted that appropriate level of manager is appointed to take disciplinary action as detailed in the Scheme of Delegation within the Trusts Policy and Procedure for the management of Disciplinary Matters. The formal stage of this process is summarised in Appendix Three. 5.6 Records of Discussions and Action Plans. The content of any records collated during the management of performance should include the date, content, those present and the agreed outcome, and should be kept on file in accordance with the criteria above. A copy should be given to the employee irrespective of whether the discussion took place within the informal or formal stages of the procedure. In the formal mode this may be through the letter issued to the employee as part of that process. Page 15 of 23

16 At all stages in the process, an action plan will be developed to identify what the employee is expected to achieve, how this will be monitored and reviewed and how the manager or supervisor proposes to assist the employee in achieving the objectives set. The action plan must be relevant, factual and easily understood. 5.7 Timescales for Monitoring and Review If the employee maintains a consistent and satisfactory performance level during the monitoring period, the procedure would then come to an end. The employee would then be informed that their performance is satisfactory at that point and the usual performance appraisal process would then take its place. 5.8 Downgrading/banding or Transfer In certain cases it may be appropriate to use downgrading and/or transfer to address the issues raised, rather than dismissal. Any downgrading and/or transfer will be subject to the agreement of the employee concerned, and subject to a suitable alternative post being available within the Trust. Where agreement is reached with an employee to downgrade or transfer, this may also be accompanied by a programme of reorientation and/or further training. Where agreement is reached with an employee to downgrade and/or transfer, this action is not subject to appeal as the action has been agreed with the staff member. Where staff are downgraded or transferred as a result of a capability issue there is no entitlement to pay protection. 5.9 Referral to External Agencies and Regulatory Bodies A referral is unlikely to be an issue until the final stages of this process have been entered into and either the performance will have become recurrent or habitual or the severity of the poor performance is of a level that warrants consideration of serious action. Further advice on this issue will be provided by the Human Resources teams Right of Appeal Given that within the formal part of this procedure, action can only be taken by those managers who are authorised under the schedule of delegation within the Policy and Procedure in relation to Disciplinary Matters the right of appeal in respect of any action taken under the formal part of this procedure mirrors the arrangements in the Disciplinary Procedure It is appreciated that this process maybe difficult for the employee and managers will act with professionalism and sensitivity in addressing such issues. Page 16 of 23

17 6. TRAINING IMPLICATIONS Staff groups requiring training How often should this be undertaken Length of training Delivery method Training delivered by whom Where are the records of attendance held? Managers On revision of the policy or new appointments/ promotions N/A In house Training Team brief Training Session Line Managers Human Resources Advisors N/A ESR Human Resources On appointment or revision of the policy N/A On the Job Training Mentoring Team Leaders / Head of Workforce N/A Staff Side On revision of the policy and at Policy forum N/A Awareness/ Briefing sessions on policy Workforce and OD Directorate N/A 7 MONITORING ARRANGEMENTS Area for Monitoring How Who by Reported to Frequency Number of formal performance cases Protected characteristics analysis of employees subject to formal performance monitoring action Review of HR data HR HROD Annually Completion of monitoring forms by HR advisors HR HROD Annually 8. EQUALITY IMPACT ASSESSMENT SCREENING An Equality Impact Assessment has been completed on this policy and is published on the Equality and Diversity page of the RDaSH website click here. 8.1 Privacy, Dignity and Respect The NHS Constitution states that all patients should feel that their privacy and dignity are respected while they are in hospital. High Quality Care for All (2008), Lord Darzi s review of the NHS, identifies the need to organise care around the individual, not just clinically but in terms of dignity and respect. Policy does not relate to patients As a consequence the Trust is required to articulate its intent to deliver care with privacy and dignity that treats all service users with respect. Therefore, all procedural documents will be considered, if relevant, to reflect the requirement to treat everyone with privacy, dignity and respect, (when appropriate this should also include how same sex accommodation is provided). Page 17 of 23

18 8.2 Mental Capacity Act Central to any aspect of care delivered to adults and young people aged 16 years or over will be the consideration of the individuals capacity to participate in the decision making process. Consequently, no intervention should be carried out without either the individuals informed consent, or the powers included in a legal framework, or by order of the Court. Therefore, the Trust is required to make sure that all staff working with individuals who use our service are familiar with the provisions within the Mental Capacity Act. For this reason all procedural documents will be considered, if relevant to reflect the provisions of the Mental Capacity Act 2005 to ensure that the interests of an individual whose capacity is in question can continue to make as many decisions for themselves as possible. Indicate How This Will Be Achieved. All individuals involved in the implementation of this policy should do so in accordance with the Guiding Principles of the Mental Capacity Act (Section 1) 9. LINKS TO ANY ASSOCIATED DOCUMENTS Policy and Procedure for the management of Disciplinary Matters, Policy relating to the management of Sickness Absence, A Policy Framework for the positive Management of Pressure and Stress in the Workplace, Flexible Working Policy and Procedure P Policy in relation to Special Leave, Employment Policy Clinical and Management Supervision for Clinical and Non Clinical Staff, Personal Development Review (PDR) Policy, Policy for the Management of Local and Corporate Induction, Grievance and Dispute Procedure Policy for the Appointment of Staff 10. REFERENCES Advisory, Conciliation and Arbitration Service (ACAS) Agenda for Change Terms and Conditions of Service Handbook Maintaining High Professional Standards 11. APPENDICES Appendix One Appendix Two Appendix Three Appendix Four Appendix 5 Managing Performance Positively Managing Poor Performance Informal Procedure Managing Poor Performance Formal Procedure Possible Reasons for Poor Performance Performance Management Action Plan Page 18 of 23

19 Appendix One Managing Performance Positively Implement upon commencement for all new employees or employees appointed to a new role within the organisation Ensure that an appropriate induction is in place. Clarify the duties of the post and general expectations associated with it. Provide relevant job related training Provide regular supervision and feedback Reinforce the standards and level of performance when required Inform employee of the consequences of failing to perform at the required level required for the post Ensure that a formal Personal Development Review is undertaken to identify personal/professional needs Page 19 of 23

20 Appendix Two Managing Poor Performance Informal Procedure Problem of Poor Performance Highlighted and Evidenced Discussion between Manager / Supervisor and Employee Identify causes of Poor Performance Clarify Managerial / Supervisory Expectations via Informal Counselling Action Plan to Resolve Difficulties Poor Performance Resolved Problems Continue No Further Action Invoke Formal Procedure Page 20 of 23

21 Appendix Three Managing Poor Performance Formal Procedure Problem of Poor Performance Highlighted/Continues/Evidenced Meeting between Manager / Supervisor and Employee (Right to be accompanied by a Staff Side /Trade Union/Professional Organisation Representative and the manager can be supported by a HR Representative) Highlight the issues concerning the employee s performance Remind the employee of the standards which are required Employee and/or the employees representative will have the opportunity to express their views and to identify possible reasons for poor performance No further action in the formal stage and revert to the informal procedure Action Plan developed Poor Performance Resolved Performance Monitored/ Reviewed No further action Action Plan Review Meeting Fully Achieved the Action Plan Achieved 80%+ of the Action Plan Objectives Not achieved the Action Plan Objectives or less than 80% No further formal monitoring Extend formal Action Plan Monitoring Period Arrange Disciplinary Hearing Page 21 of 23

22 Appendix Four Possible Reasons for Poor Performance Reason for Poor Performance Worries or problems at home or work Difficulty with one particular aspect of the role An underlying medical condition or illness Unsuitability of working pattern Feelings of being bullied or harassed Work related Stress Workload either too much or too little Alcohol/Substance Misuse Possible Outcome Counselling or practical help may resolve the issue Constructive supervision, training, coaching, mentoring, education or secondment, one or any combination may overcome the difficulty. Review expectations in relation to performance and personal objectives set Advice may be sought from Occupational Health in accordance with the Sickness Absence Policy. Any advice and/or reasonable adjustments should be explored as necessary Flexible Working options can be explored, in accordance with the Flexible Working Policy Advice should be sought from Human Resources in accordance with the Prevention of Bullying and Harassment Procedure and the appropriate support mechanisms put in place A Risk Assessment should be undertaken and advice sought from Human Resources in accordance with the Management of Work Related Stress Procedure. This may include advice from the Occupational Health Department. A review of the working pattern should be undertaken and the levels of autonomy and delegation reviewed. Immediate advice should be sought from Human Resources and the Occupational Health Department. Where the employee may pose a risk to themselves, the Trust and/or wider service users/patients, disciplinary proceeding may be invoked. Page 22 of 23

23 Appendix Five PERFORMANCE MANGEMENT ACTION PLAN Name: Date of Issue: Manager: Review Date: ISSUE OBJECTIVE ACTION TO BE TAKEN/ SUPPORT BY WHOM DATE PROGRESS TO DATE Signature (Manager):. Signature (Employee):. Date:. Date:. Page 23 of 23