Employee Handbook
CAPABILITY POLICY
CATEGORY
People & Culture
POLICY OWNER
Director of People & Culture
DATE & VERSION
02-10-2023 - Version 3
APPROVED BY
Operation Leadership Team
REVIEW FREQUENCY
Annually
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Employee Handbook
Contents
SECTION
CONTENT
PAGE NUMBER
1
Policy Purpose
3
2
Policy Statement
3
3
Policy Implementation 1. Indicators of Poor Performance
4
4
Related Information 1. Data Protection 2. Relevant Policies
5 5 5
5
Policy Measurement and Reporting
5
6
Appendices 1. Roles and Responsibilities 2. Policy Implementation - Informal Performance Counselling - Monitoring and Review - Representation - Grievances 3. Formal Action Procedure
6 6 8 8 9 9 10 11
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Employee Handbook 1. Policy Purpose UWC Atlantic (the College) aims to provide a high standard of service to its various stakeholders. The College recognises that the competence and commitment of its employees is fundamental to the achievement of its goals and aspirations. The College aims to: ● ● ● ● ●
Ensure that the employee is aware of the required standard of performance Seek to establish the reasons for under performance and offer assistance to the employee to improve performance Warn the employee of the consequences of continued under performance Allow the employee sufficient time to improve before any decision is taken on their future employment. Monitor and review the Capability Procedure and its application in line with organisational responsibilities
Action taken under these guidelines should be designed to improve or correct work performance. Genuine incapability is not misconduct and, as with any other process, the employee should be treated in a supportive manner, with dignity and respect demonstrated throughout, with the ultimate aim of bringing about improvements in the individual’s performance. Employee counselling support should also be offered to the individual. 2. Policy Statement Sometimes , individuals may experience difficulties in demonstrating the levels of competence required to perform their job effectively. The reasons for this may not be immediately apparent and may be varied in nature. It is essential such situations are dealt with promptly, effectively and fairly and in a supportive manner. This procedure for managing capability has been developed to ensure an employee who is not meeting the required standard in their work is given every reasonable opportunity, and support, to improve. UWC Atlantic’s Capability Policy applies to all employees of the College. The policy should be used to manage any issue of under performance resulting from a lack of skill, ability or knowledge. It would not be used in situations where a manager believes that
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Employee Handbook an employee has been guilty of misconduct, i.e. is choosing wilfully to perform below their level of capability. In these cases, the College’s Disciplinary Procedure should be used. 3. Policy Implementation It is the responsibility of all managers to ensure proper standards of work performance are achieved by the employee(s) for whom they are responsible. Where an employee’s work performance is below standard, the manager is responsible for investigating the cause and taking suitable action without delay. Any queries on the application or interpretation of this policy must be discussed with the People and Culture Team. If an employee is within their probationary period, stages of this capability procedure may be escalated. If the employee refuses to accept and respond to feedback and offers of help, and performance does not improve to the level required, it may be necessary to consider the future employment of the employee before the end of the relevant review period. If, at any stage, a manager has reason to believe that the under-performance is related to a health or wellbeing medical reason, the manager will suspend the process and refer to the People and Culture team. The People and Culture department will support the manager to assess and consider any underlying factors which may be impacting on the individual’s performance, including whether Occupational Health advice should be sought, whether outside work circumstances may be impacting on the individual, together with consideration of any legal protections. including adjustments under the Equality Act 2010. 3.1
Indicators of Underperformance
Managers need to be aware that any one or more of the following may, but will not always necessarily, indicate a problem of poor performance: ● ● ● ● ●
failure to meet a specific standard or level of performance failure to meet pre-set targets or deadlines management observation of instances of poor performance complaint(s) or criticism(s) of the employee’s work a medical condition that may impact on performance where occupational health advice may need to be sought
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Employee Handbook Further details of the policy implementation can be found in Appendix 1. 4. Related Information 4.1
Data Protection
The College processes any personal data collected as part of the Capability procedure in accordance with the Data Protection policy. Any data collected is held securely and accessed by, and disclosed to, individuals only for the purposes of completing the procedure. 4.2
Relevant Policies ● ● ● ●
Disciplinary Policy Attendance Policy Grievance Policy Probation Policy
5. Policy Measurement and Reporting The Capability Policy is reviewed annually by the People and Culture Committee of the Board and the Director of People and Culture as part of the annual review cycle and as part of the whole College development plan. It will be reviewed sooner if there are changes in the law. Part of this review process will consider to what extent the policy is being used as an active working document. The policy is communicated to the school community electronically on Every.
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Employee Handbook Appendix 1 Roles and Responsibilities Roles and Responsibilities Managers are responsible for: ● Ensuring they and their staff are aware of their responsibilities under the College’s Code of Conduct, Safeguarding and other legislation and guidance applicable to their roles; ● Ensuring staff are clear what is expected of them in the delivery of their work and have the right training, information and skills to do so, regularly providing and receiving feedback; ● Where necessary, provide feedback, help, training and encouragement to maintain the required standard where there are minor misconduct or performance concerns; ● Familiarising themselves with this policy and attending or requesting relevant training to help them deal effectively with cases of alleged misconduct or underperformance; and ● Seeking advice from the People and Culture team where there are repeated minor concerns, where performance is not improving or where there are concerns or allegations of more serious misconduct; and All member of staff are responsible for: ● Ensuring they are aware of their responsibilities under the College’s Code of Conduct, Safeguarding and other legislation and guidance applicable to their roles and ensure they observe these at all times; ● Delivering a consistent good standard of work; ● Knowing how to raise concerns appropriately should issues arise; ● Meeting regularly with their manager to discuss performance, work priorities/objectives, training and development etc; ● Co-operating with management, taking responsibility for achieving and maintaining a good level of performance, attending meetings and training as required; and ● Behaving in a sensitive manner with respect for all involved, maintaining confidentiality when involved in disciplinary matters. The People and Culture team are responsible for: ● Ensuring people are aware of and understand the capability policy and procedure and responding to general queries on it; ● Supporting and advising managers, as needed, who are initiating and taking action in addressing underperformance; ● Advising the member of staff, as needed, who are the subject of a case on the application of this policy; ● Signposting member of staff to sources of further assistance and support such as counselling or occupational health; ● Appointing and training Managers, Decision Making officers and, where necessary Appeal Officers, liaising with the line manager on making arrangements for formal meetings under this procedure; ● Ensuring that decisions are ratified by a member of the senior leadership team, where
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●
dismissal or downgrading is recommended; and Ensuring witnesses are informed at the appropriate time in the process that the matter has been concluded.
Decision Making officers (DMOs) are responsible for: ● Conducting meetings in accordance with this procedure and determining the outcome at the final stage in the process; ● Taking advice from colleagues in People & Culture at each stage of the formal disciplinary and appeal procedure; ● Undertaking enquiries to resolve any doubts about the facts, so they can then make a decision which is reasonable, taking into account all relevant factors after hearing all the evidence; and ● Acting impartially, independently and confidentially to ensure all parties are treated equally and fairly. Appeal Officers (AOs) are responsible for: ● Exploring the reasons why the member of staff has appealed; ● Considering carefully any new evidence; ● Deciding whether or not to uphold the outcome determined by the Decision-Making Officer; and ● Acting impartially, independently and confidentially throughout.
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Employee Handbook Appendix 2 - Policy Implementation 2.1
Informal Performance Counselling
Before proceeding to the formal procedure (See Appendix 2), managers are responsible for ensuring that employees are given informal guidance and assistance to improve continued unsatisfactory performance. Informal performance counselling is to ensure the employee is aware that their performance is below the standard required, to tell them in what way(s) it has fallen short, and what is expected of them as a result. It should also explore possible causes of the shortfall in performance. The meeting provides the employee with the opportunity to explain and explore the issue jointly. The manager must state the consequences if the required standard is not reached and specify a designated review period. It should also identify any support or training requirements to enable improvement in performance. At the end of the meeting, the manager should agree with the employee, a performance improvement action plan designed to resolve the particular situation. This will set out clear objectives linked to the changes and improvements needed. It will also set out the review period, specify any additional training or supervision, changes in working arrangements or practices, provision of equipment or facilities, referral to other agency or any other measures being taken, as well as include any revised targets and the review date. The manager should make a note of the meeting. Copies of this and the performance improvement action plan should go to the employee following the meeting and be placed on their people and culture personal file for a maximum of 12 months. The review period must be reasonable in length, depending on the nature of the job. In a job where there are few and simple tasks, a period of a few days may be reasonable, particularly where the lack of capability is in a task which is fundamental to the job and emerges in the early stages of appointment. Where the job is complex and effectiveness cannot be assessed in a short time, a review period of several weeks or longer, may be necessary. 2.2
Monitoring and Review
If, after monitoring during the review period, performance improves to the required standard, no further action will be necessary. The manager must inform the employee of the satisfactory outcome of the review, and place a note to this effect on the employee’s people and culture personal file.
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Employee Handbook Where performance does not improve, (or where there is some improvement but the required standard is still not reached), the manager may consider a further review period or consider more formal action. If employees have difficulties at any stage of the procedure and need support or adjustments due to barriers they are encountering (for example due to an impairment or difference, underlying health condition, because English is not their first language etc.), they should discuss the situation with their manager or a member of People and Culture. 2.3
Representation
An employee has the right to be represented by a Trade Union representative or accompanied by a work colleague at all formal stages of this procedure. Where an employee has been requested to attend a formal capability meeting, the employee is entitled to bring a companion or representative with them. This may be a work colleague or Trade Union representative. It is the employee’s duty to arrange for the companion or representative to attend with them and to assess the suitability of their chosen companion or Trade Union representative. Prior to the formal meeting or hearing the employee must inform the People and Culture team whom they have chosen to act as their companion or representative at the meeting. The employee is responsible for providing their companion or representative with copies of any supporting evidence/statements. Employees are allowed reasonable time off from duties without loss of pay to act as a companion. There is no duty on employees to act as a companion if they do not wish to do so. If employees’ choice of companion or Trade Union representative is unreasonable the college may require they choose someone else, for example: a) If in the college’s opinion your companion or Trade Union representative may have a conflict of interest or may prejudice the hearing or b) If the companion or Trade Union representative is unavailable at the time a hearing is scheduled and will not be available for more than five working days. A companion or representative who accompanies or represents an employee to a formal capability meeting/ hearing may do the following:
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Employee Handbook ● ● ● ● ●
Attend at and address the hearing and ask questions Confer with the employee who is the subject of the hearing Respond to the employees views expressed Present and sum up the employee’s case Take note of the proceedings
The employee will answer any question put directly to them at a hearing. The representative may ask questions but may not answer on the employee’s behalf. 2.4
Grievances
If during the capability procedure an employee raises a grievance, depending on the circumstances, it may be appropriate to suspend the capability procedure until the grievance can be considered. Any complaint regarding the capability process itself should be raised using the right of appeal outlined in Appendix 3.
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Employee Handbook Appendix 3 - Formal Action Procedure 1.
Stage 1
Where the manager believes that a more serious case of lack of capability exists, or where persistent poor performance has not responded to informal action, they should arrange a formal performance capability meeting with the employee. A letter outlining the date and time of the meeting must be sent to the employee, at least five working days in advance of the meeting. The letter must include: ● ● ● ● ●
the reason for the meeting with clear details of the shortfall and performance the name of the manager who will conduct the meeting the employee's right to be represented by a trade union representative or work colleague copies of any documentation to be used at the meeting a copy of the Capability Procedure
A member of the People and Culture team will be present at any formal capability stage meeting/hearing. If employees or their companion or Trade Union representative cannot attend the meeting they should inform the appropriate manager immediately who will arrange an alternative time. Employees must make every effort to attend the meeting, and failure to attend without good reason may be treated as misconduct in itself. If employees fail to attend without good reason, or are persistently unable to do so (for example for health reasons), we may have to take a decision based on the available evidence. At the meeting - the manager should: ● ● ● ● ●
Set out the standard of work performance expected of the employee in the areas under consideration Explain how the employee's performance has fallen short of what is required and the impact of this on service delivery Confirm that any informal measures have failed to improve performance to the level required and that the poor performance is due to lack of skills, knowledge or ability Provide the employee with an opportunity to explain and/or give reasons why the manager should not consider that performance has been poor Discuss and draw up a performance improvement action plan, as outlined above
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Employee Handbook ● ● ●
Discuss any appropriate support and training requirements Set a review date which allows for regularly updating the employee on progress being made and gives a reasonable period of time during which the required improvement must be made If not satisfied with the explanations offered for their poor performance, caution the employee that if they fail to reach the required standard during the course of the review period, further formal action may be taken
A meeting may be adjourned if the manager needs to gather any further information or give consideration to matters discussed at the meeting. Employees will be given a reasonable opportunity to consider any new information obtained before the meeting is re-convened. Conclusions from this meeting will be formally recorded in writing with a copy given to the employee within five working days of the meeting. Following the meeting, if it is decided that the employee’s performance is unsatisfactory, employees may receive a first written warning, setting out: a) The areas in which employees have not met the required performance standards; b) Targets for improvement; c) Any measures, such as additional training or supervision, which will be taken with a view to improving performance; d) A period for review; e) The consequences of failing to improve within the review period, or of further unsatisfactory performance. The warning will normally remain active for 12 months (from the end of the review period), after which time it will be disregarded for the purposes of the capability procedure. However, a permanent record of it will be placed on the employee’s people and culture personal file. The employee will also be given details of the right of appeal within five working days of written notification to the manager of the line manager who has conducted the meeting. The performance improvement action plan will be updated to reflect the outcomes of this meeting and given to the employee. The manager should ensure that any further training or assistance offered is made available and the employee’s progress is closely monitored. The employee should be kept informed of his/her progress.
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Employee Handbook If performance is assessed as satisfactory at the end of the review period, the manager should inform the employee of the outcome of the review and confirm this in writing. 2.
Stage 2
If, however, performance has not reached the required level by the end of the review period (or earlier if there is clearly no improvement or a deterioration in performance during the review period), the manager should hold a further formal performance capability meeting. At the meeting, the manager should follow the same procedure as was used during stage 1. The remedial measures previously identified in the performance improvement action plan will also be reviewed and there will be discussion whether they should continue or if additional measures might be helpful. The employee will again be afforded the right to answer the points made and explain his or her problems. Following a Stage 2 meeting, if employees’ performance is unsatisfactory, employees may receive a final written warning. The Stage 2 meeting will be followed by a formal letter to the employee setting out continued deficiencies, the expected improvement, the timescale for achieving it, further help which will be given and explaining that failure to achieve the improvement within the timescale will necessitate a consideration of whether employment should be terminated. It will also set out the employee’s right of appeal. A reasonable timescale for improvement would again be set with monitoring during that period. A final written warning will remain active for 12 months from the end of the review period, after which time it will be disregarded for the purposes of the capability procedure. A record of the warning will form a permanent part of the employee’s people and culture personal file. Employee performance will be monitored during the review period and they will be informed in writing of the outcome. If an employee’s manager is satisfied with their performance, no further action will be taken. The manager should also consider if there are other means of resolving the situation, that is, alternative employment. This action should only be taken if the employee accepts that they may have a capability problem and says that he or she is willing to be considered for alternative employment. In seeking alternative employment, the manager should be sure that the employee will be able to perform the duties of the new job satisfactorily. Otherwise there is a risk that the capability problem will be transferred to the new area of work.
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Employee Handbook Where such work is found, offered and accepted, the rate of pay, grade and other conditions are those applicable to the new post being offered. NOTE: At all stages of the formal capability meeting, the manager conducting the meeting may withdraw/adjourn to consider his or her decision regarding the outcome of the capability meeting or to pursue further enquiries. 3.
Stage 3 - Referral to Performance Capability Resolution Hearing
In instances where the required improvement has not been forthcoming, and the continued employment of the employee remains under question, or performance is unsatisfactory while a final written warning is still active a 3rd stage of the formal capability procedure should be instigated. A Senior Manager will hold the performance capability hearing, `the Decision Making Officer’, unless previously involved in the capability procedure. Should this be the case, another Senior Manager from a different directorate from the employee will hear the performance capability hearing. The procedure will follow that of stages 1 and 2 with the additional clarity that a possible outcome of the hearing, if the employee is held to be incapable of performing their duties, is dismissal. During stage 3, the employee will again be informed as to where performance is not at a satisfactory level. After the employee has been offered the opportunity to answer the points made, the Decision Making Officer will adjourn and come to a decision based on the evidence presented. The Decision Making Officer will determine whether there is any likelihood of the employee’s performance achieving an acceptable level by extending the assistance offered and timescale allowed under the previous stage. If the decision is that the performance will not become acceptable in the current post, consideration will be given as to whether permanent redeployment is possible. If no suitable alternative employment is available, or the employee declines redeployment, they may be dismissed. The decision to dismiss should be confirmed in writing within five working days. Dismissal will normally be with full notice or payment in lieu of notice, unless the employee's performance has been so negligent as to amount to gross misconduct, in which case employees may be dismissed without notice or any pay in lieu. Exception to the above process Employees will not normally be dismissed for performance reasons without previous warnings. However, in serious cases of gross negligence, where there is significant adverse impact on the organisation or individuals in it and in any case involving an employee who has not yet completed
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Employee Handbook their probationary period. In these situations, dismissal without previous warnings may be appropriate.
4.
Right of Appeal
Employees have the right to appeal against any formal action under this procedure to a level of more senior management. At the dismissal stage, the appeal shall be heard by the Principal, whose decision will be final. If the Principal was previously involved in the procedure any appeal may be referred to a panel of Board of Governors members appointed by the Board, whose decision will be final. Such right of appeal should, where possible, be exercised in writing and should be submitted within five working days of the employee being notified of the decision or as soon as possible thereafter if not reasonably practicable to do so within that time frame. The person, to whom the request for an appeal should be made, will be outlined in the letter confirming the outcome. The nominated person will arrange an appeal hearing to take place if reasonably practicable, within seven days of the date of receiving the request for appeal. The procedure at the Appeal Hearing shall be the same as that for the Performance Capability Hearing save that there will be no right of appeal from the decision of the Appeal Hearing. The decision of the Appeal Hearing will be notified to the employee in writing within five working days. A copy of this will be placed on the employee’s people and culture personal file.
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