Performance and Capability at Work policy

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Performance and Capability at Work policy


20 July 2021
PJH Law
Company House
Company Road
ComapyCity PE9 2AZ

Sections:

  • Performance and Capability at Work policy

Performance and Capability at Work policy

  1. INTRODUCTION

    1. The Employer endeavours to ensure that its employees deliver an acceptable standard of performance for their role. It is The Employer’s aim to use this policy as a means of encouraging employees to improve performance wherever possible and provide help and support to restore and maintain effective contribution. However, poor performance can ultimately result in dismissal.
  2. PURPOSE

    1. The purpose of this policy is to describe the required standards of performance and the consequences of a failure to deliver to the standards.
    2. It also sets out the procedural steps which The Employer will take in response to performance which falls short of those standards. They are designed to ensure fair and consistent treatment of staff.
  3. SCOPE

    1. This policy applies equally to full time and part time employees on a permanent or fixed term contract.
    2. This policy applies where there is a genuine lack of capability displayed in the work that the employee is asked to deliver (e.g. lack of skill, aptitude, knowledge or ability).
    3. It does not apply to cases of poor attendance or wilful poor performance. In those circumstances the Attendance and Absence Policy and the Discipline Policy will be invoked respectively. Nothing in this policy prevents The Employer from taking action under those policies if considered appropriate. Exceptionally, a very serious failure to meet performance standards (eg negligence which amounts to gross misconduct) may lead to your dismissal without prior warnings and without a notice period under the terms of the Discipline Policy.
    4. This policy does not form part of any employee’s contract of employment. The Employer may change it from time to time and may depart from it depending on the circumstances of any case.
  4. WHAT WE EXPECT FROM OUR STAFF

    1. We expect staff to:
      • carry out their job to the standard that is expected of and required for the role and understand the impact of their job performance on colleagues and customers.
      • Clarify expectations, tasks, objectives and behaviours with their line manager if they are unclear about them.
      • Engage fully in their induction, the setting of their objectives and the assessment and monitoring of their performance through The Employer’s probation procedures and following the completion of probation through a process of performance review to develop their skills, knowledge and performance in their role to the highest possible standard.
      • bring all relevant issues which may affect their work and performance to the attention of their line manager at the earliest possible opportunity.
      • co-operate with their manager to help improve any aspects of their work and performance which are considered to be unsatisfactory.
      • attend meetings to discuss any aspects of their performance which are considered unsatisfactory as requested to do so.
  5. WHAT STAFF CAN EXPECT FROM The Employer

    1. We commit to:
      • treat performance issues fairly and consistently.
      • Take action promptly and look into the root causes of the performance issue.
      • be clear about the required improvement and the relevant timescales.
      • give appropriate support, help and where necessary training, to improve performance.
      • deal with minor unsatisfactory performance issues through informal intervention.
      • instigate the formal procedure only if there is no significant and lasting improvement in performance following informal intervention.
      • dismiss staff with appropriate notice if they do not perform their role to the required standards after being given the appropriate opportunity to improve as set out in this policy and procedure.
  6. CAUSES OF UNSATISFACTORY PERFORMANCE/ LACK OF CAPABILITY

    1. There are a number of factors which may affect a member of staff’s ability to perform the job to the standard required. Appropriate consideration should be given to factors put forward by members of staff, where those factors are supported by evidence.
    2. Unsatisfactory performance caused by carelessness, lack of effort or negligence may not be a capability issue but may be a misconduct issue which will be addressed under The Employer‘s Disciplinary Procedure (below).
    3. Unsatisfactory performance which is the result of poor behaviour or attitude may be viewed as misconduct depending on the circumstances. Similarly, unsatisfactory performance may be caused by health issues.
  7. DISCPLINARY PROCEDURE

  8. INFORMAL PROCESS

    1. In the first instance, performance issues should normally be dealt with informally between you and your line manager as part of day-to-day management. You are encouraged to have early and open dialogue with your line manager or other senior managers about your performance and any anticipated failures in meeting standards.Informal discussions may cover the following issues:
      • clarification of the required standards;
      • identification of areas of concern;
      • identification of the likely causes of poor performance;
      • any training, coaching or support needed in order to help you meet the required standard; and setting a time period for improvement and review.
    2. You may be given a verbal warning by your line manager, but this will not be considered to be a formal sanction and they will be disregarded for the purposes of any formal proceedings under this policy. Where informal discussions have not resulted in a satisfactory improvement after a reasonable period of time, The Employer may give you further verbal warnings or may invoke the formal procedure set out below.If poor performance is due to a domestic, personal, or work-related problem, you must explain this to your line manager. These situations will be dealt with sensitively.
  9. FORMAL CAPABILITY PROCEDURE

    1. The formal procedure will be used for cases of serious under performance or where the informal procedure has not resulted in improvement. There are three stages under the formal procedure. These stages are detailed below.
    2. Preliminary Steps including Investigations:
      • The Employer will normally investigate to decide if there are grounds for taking formal action.
      • The investigation will depend on the circumstances but may involve reviewing your human resources (HR) file including any appraisal records, gathering any relevant documents, monitoring your work and, if appropriate, interviewing you and/or other individuals confidentially regarding your work. You and other employees involved are expected to co-operate fully with an investigation and will be asked to maintain the confidentiality of any discussions held.
      • If The Employer considers that there are grounds for taking formal action over alleged poor performance, you will be required to attend a meeting to discuss the matter (Capability Hearing).
      • You will first be notified in writing of The Employer’s concerns, the reasons for those concerns,and the likely outcome The Employer decides, after the Capability Hearing, that your performance has been unsatisfactory.
    3. You will also be provided with the following where appropriate:
      • A summary of relevant information gathered as part of any investigation.
      • A copy of any relevant documents which will be used at the Capability Hearing.
      • Any documents which you intend to rely on at the Capability Hearing must be submitted to HR within a reasonable time before the hearing. The Employer will give you written notice of the date, time and place of the Capability Hearing.
      • The hearing will be held as soon as reasonably practicable, but not before you have had a reasonable amount of time, usually 5 working days, to prepare your case based on the information provided to you.
    4. Procedure at Capability Hearings:
      • HR will select an employee of appropriate seniority not previously involved in the matter to conduct the Capability Hearing. The Capability Hearing will be attended by a member of HR.
      • You are entitled to bring a companion to a Capability Hearing (see section 12 below).If you or your companion cannot attend the Capability Hearing you should inform The Employer immediately and an alternative time can usually be arranged.
      • You must make every effort to attend because a failure to attend without good reason may be treated as misconduct in itself. Alternatively The Employer may have to take a decision based on the available evidence without having met with you.
      • You may ask relevant witnesses to appear, provided you give The Employer sufficient advance notice to arrange their attendance.
      • You will be given the opportunity to respond to any information given by a witness.
    5. The aims of a Capability Hearing will usually include:
      • Setting out the required standards that The Employer believes you have failed to meet and going through the evidence of this;
      • allowing you to ask questions, present evidence, call witnesses, respond to evidence and make representations;
      • establishing the likely causes of poor performance including any reasons why any measures taken so far have not led to the required improvement;
      • identifying whether there are measures, such as additional training, support or supervision, which may improve performance;
      • where appropriate, discussing targets for improvement and a time-scale for review; and explaining the consequences of a failure to improve.
    6. A Capability Hearing may be adjourned if The Employer needs to gather any further information or give consideration to matters discussed at the hearing. You will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened.The Employer will inform you in writing of the decision and the reasons for it usually within 5working days of the Capability Hearing. Where possible this will also be explained to you in person.
    7. First Capability Hearing (first warning).
      • If The Employer decides that your performance is unsatisfactory following a first Capability Hearing you will be given a first written warning setting out:
        • the areas in which you have not met the required performance standards;
        • targets for improvement;
        • any measures, such as additional training, support or supervision, which will beprovided to you with a view to improving performance;
        • the period for review and the system for monitoring your performance; and
        • the consequences of failing to improve.
    8. At the expiry of the review period The Employer will write to inform you of the outcome:
      • if your line manager is satisfied with your performance, that no immediate further action will be taken; or
      • if your line manager is not satisfied that your performance has met the required standard, that the matter will be progressed to a second Capability Hearing; or
      • if your line manager feels that there has been a substantial but insufficient improvement, that the review period will be extended. The warning will be retained permanently on your HR file but will normally only remain active for six months from the end of the review period, after which time it will be disregarded for the purposes of the future actions taken under this policy.
    9. Second Capability Hearing (final written warning).
      • If your performance has not improved by the date of expiry of the review period set out in a first written warning, or if there is evidence of further poor performance whilst your first written warning is still active, The Employer may decide to hold a second Capability Hearing.If The Employer decides that your performance is unsatisfactory following the second Capability Hearing, you will be given a final written warning setting out:
        • The areas in which you have not met the required performance standards;
        • Targets for improvement;
        • Any measures, such as additional training, support or supervision, which will beprovided to you with a view to improving performance;
        • The period for review and the system for monitoring your performance.
        • The consequences of failing to improve.
      • At the expiry of the review period The Employer will write to inform you of the outcome:
        • if your line manager is satisfied with your performance, that no immediate further action will be taken; or
        • if your line manager is not satisfied that your performance has met the required standard, that the matter will be progressed to a third Capability Hearing; or
        • if your line manager feels that there has been a substantial but insufficient improvement, that the review period will be extended.
      • The warning will be retained permanently on your HR file but will normally only remain active for twelve months from the end of the review period, after which time it will be disregarded for the purposes of the future actions taken under this policy.
    10. Third Capability Hearing (dismissal or other sanction).
      • If your performance has not improved by the date of expiry of the review period set out in a final written warning, or if there is evidence of further poor performance whilst your final written warning is still active, The Employer may decide to hold a third Capability Hearing.If The Employerdecides that your performance is unsatisfactory following the third CapabilityHearing, The Employermay decide to:
        • dismiss you;
        • demote you; or
        • redeploy you into another suitable job.
        • a decision to dismiss must be approved by the employee’s line manager and a member of The Employer’s Senior Management Team. Dismissal will normally be with full notice or payment in lieu of notice.
    11. A record of a disciplinary sanction, other than dismissal, will be retained permanently on your HR file but will normally only remain active for twelve months from the date of the sanction after which time it will be disregarded for the purposes of any future actions taken under this policy.If your performance is still poor whilst the sanction is active, The Employer may decide to reinvoke this procedure at the third Capability Hearing stage.
  10. APPEALS AGAINST DISMISSAL (APPEAL HEARING)

    1. The notice of intention to appeal against dismissal should be made in writing within five working days of written confirmation of dismissal.
    2. The purpose of an appeal against dismissal is for an employee to have his/her case reviewed and for the Chair to decide whether the dismissal applied is fair, reasonable, consistent, and soundly based.
  11. ROLES AND RESPONSIBILITIES

    1. Employees have a responsibility to comply with this policy adhering to it sterms and conditions and be responsible for their performance.
    2. Managers should ensure that this policy is applied within their own area. Any queries on the application or interpretation of this policy must be discussed with HR prior to any action being taken for poor performance.
    3. HR will provide operational support and advice to the organisation to enable the effective management of capability issues under this policy.Specifically, HR has a responsibility to:
      • Ensure the communication, maintenance, regular review and up datingof this policy
      • Monitor and review delivery and impact of this policy.
      • Ensuring managers are sufficiently trained to implement this policy.
    4. In consultation with the recognised Trade Unions, The Head of Human Resources will exercise delegated authority for and be responsible for the ongoing review and updating of this Policy to ensure compliance with changes in statutory requirements and operational delivery, including responsibility for identifying the appropriate process for the regular evaluation of the effectiveness of this policy.
    5. Any review and revisions of this policy will be undertaken by HR and will be in consultation with the The Employer’s recognised trade unions.
  12. EQUALITY

    1. An Equality Analysis has been carried out on this policy and procedure.The Employer has aduty to monitor the application of the policy in relation to protected characteristics under Equality legislation. This is reported annually in The Employer’s Equality Monitoring Report.If any aspect of the capability procedure causes you difficulty on account of any disability that you may have, or if you need assistance because English is not your first language, you should raise this issue with HR, who will make appropriate arrangements.
  13. RIGHT TO BE ACCOMPANIED

    1. Employees may be accompanied by a fellow worker or trade union official at any formal meetings that are held to discuss a failure to meet or sustain there quired standards of performance. This includes attendance at any appeal meetings. In exceptional circumstances The Employer will consider a request from an employee to be accompanied by a person other than a Trade Union official or fellow worker.
    2. It is not usually the case that employees will be represented at the informal stage of the procedure. However, if requested by the employee this will not be unreasonably refused, provided it does not delay the discussion.

      –DECLARATION:

      I have read and understood The Employer’s Capability Policy and agree to abide by its principles.

      Signature………………………………………………………

      Date……………………………………………………………………

      Print Name……………………………………………………

      PLEASE RETURN TO HUMAN RESOURCES