Derbyshire County Council
PERFORMANCE CAPABILITY
PROCEDURETRAINING
FOR MANAGERS
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Derbyshire County Council
Aims and Objectives
Recognise why a procedure for managing performance exists
To Familiarise yourself with the procedure
Understand and apply fair practice
Understand management responsibilities
Understand support measures and employment options available for employees and managers
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Effects of Poor Performance
• Pressure on remaining staff
• Redistribution of work loads
• Low morale or motivation of remaining staff
• Negative impact on team work
• Poor customer service
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Introduction to the Procedure
The Procedure applies to all permanent and temporary employeesIt relates to whether someone is fulfilling their contract of employment The procedure has 3 stepsInformalFormalHearing
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Performance Capability Procedure Aims
• To improve performance to a satisfactory level through support, training and review.
• To define the expected standard of performance and progress reviewed on a regular basis.
• Where the employee can perform to the required standard but chooses not to, the disciplinary procedure is more appropriate.
• Capability issues need to be dealt with fairly and confidentially.
• The manager must be able to provide evidence of under performance and raise this with the employee promptly.
• The manager should maintain full documentation throughout in applying this procedure.
• The employee should be given the opportunity to improve. PUBLIC
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Capability Procedure Flowchart
• The Performance Capability procedure is informal and informal and stages can be repeated as required.
• The Performance Capability Procedure is in 3 Stages, Stage 1 informal, Stage 2 formal Stage 3 hearing.
• The Capability procedure should be completed within a matter of months, reaching some form of conclusion.
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Guiding Principles - Equality of Approach
• Equality Act requires Reasonable Adjustments.
• A disability is termed as … ‘has a physical or mental impairment which has a substantial and long-term adverse effect on his/her ability to carry out day to day tasks’…
• The Equality Act makes it unlawful for employers to discriminate against disabled employees, and requires them to make reasonable adjustments.
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Guiding Principles - Information Gathering
• A Manager can access support for themselves and their employee via
• An Occupational Health form• A Physiotherapy Form• Informing the employee about the
counselling service• Considering redeployment • All the above options are medically driven.• Asking for mediation via HR
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My Plan Meetings
• Managers meet with Employees under My Plan 2-3 times a year.
• Annually things are reviewed to make a new My Plan in relation to the department’s Service Plan and Team Plan.
• When Performance concerns arise, initially they should be dealt with under My Plan.
• You must make a decision to move to performance Capability if things don’t improve.
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What Should a Manager do
• As a supervisor, you should:• Provide specific performance expectations to your
employee• Provide frequent, informal feedback• Identify unsatisfactory performance• Describe it in specific terms, with examples, to the
employee• Clearly communicate your expectations for improvement
to the employee• Investigate reasons for poor performance • Provide options to help improve employee performance• Maintain documentation of employee work performance
and• Feedback each month, both positive and negative
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How to have Performance Discussions
• Advise an employee that performance is inadequate
• Ascertain the reasons why performance is inadequate (this will help you make a plan)
• Specify precisely what is unacceptable in the employee’s performance
• Specify precisely what the employee is expected to do in the future
• Provide clear warning that a failure to correct performance deficiencies will result in adverse consequences
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Stage 1 – Informal Meeting
• 1-3 months• No improvement move to stage 2• Details of the under performance• The improvement required• Timescales for achieving
improvement• A date for review (up to a maximum of
three months review)• Any support or training that will be
provided to assist the employee. PUBLIC
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Review Period
• The period of review will be 1 to 3 months, dependent on circumstances, during which time performance will be monitored and regular feedback provided through one to ones. These meetings should be documented. Managers should provide support and training as appropriate during this period. At the end of the review period, the manager should confirm the outcome in writing. Either:
• · The employee has reached the expected standard and there is no longer cause for concern
• · There has been some improvement but not to the required standard overall, and the review period will be extended
• · If there has been no improvement, the employee should be invited to a Stage 2 meeting.
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Stage 2 – Formal Meeting
• 1-3 months• Timescales can be extended if the employee is
improving, but still of concern.• Evidence of the lack of progress during the review
period is needed if things are to move to Stage 3.• Any extenuating circumstances that may be affecting
performance need to be noted.• A formal warning that failure to improve performance
could lead to dismissal needs to be discussed.• Further targets for improvement should be set.• Further support/training that may assist should be
discussed• Any reasonable adjustments, if appropriate, that may be
required (if it’s a health concern).• Discuss what will happen during the forthcoming review
periodPUBLIC
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Review Period
• The period of review will be from 1 to 3 months, dependent on circumstances, during which time performance should be closely monitored and regular feedback provided as a minimum on a monthly basis which should be documented. At the end of the review period, the manager should confirm the outcome in writing:
• · if the employee has reached the expected standard and there is no longer cause for concern
• · there has been some improvement but the employee is not yet fully at the required standard and the review period will be extended. Consideration should be given to a further written warning in these circumstances
• · if there has been no improvement, or consistent inadequate improvement, the employee should be invited to a Capability Hearing.
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When to move to a Hearing
• Have alI support measures been investigated• Have all training and development opportunities been
exhausted• Have you made a clear documented trail of what duties
you expect, why and timescales.• Have you linked performance objectives to My Plan,
Service Plan, Team Plan? i.e. you cannot expect a grade 6 person to do a grade 10 person’s level’s work.
• Are you being realistic• Have HR checked over the case• Have you acted on all advice given• Have you informed the employee at each step of the
procedure what happens next
HAVE YOU FOLLOWED THE PROCEDUREPUBLIC
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Preparing for A Hearing – Statement of Case
Personal details and Hearing details e.g.name, post held, base, start date
Details of Performance issues. Start with My Plan, and then move into Performance Capability meetings.
List chronologically all meetings, support measures, training etc. you have gone through. Attach appendices behind the front statement of case summary document.
Conclusion and Recommendations are needed for the hearing panel
Appendices Ask HR for a blank version for you to follow PUBLIC
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Stage 3 Capability Hearing
• The Employee would have had notice of the hearing via letter (copy on Dnet) including a copy of the Statement of Case and appendices.
• The Employee might bring Trade Union representative with them to the hearing.
• The employee has to submit any evidence to the hearing panel ahead of the hearing.
• The hearing commences with the line manager summarising the case, and then the employee summarising theirs.
• The panel then decide on an outcome.PUBLIC
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Dismissal with notice. Redeployment to another role at the
same level that better meets the skills and experience of the employee.
Redeployment into a job which incurs a reduction in grade.
Final written warning with a further review period.
No penalty was appropriate.
Capability Hearing – Possible Outcomes
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Post Hearing
Senior management with HR advice will confirm decision in writing to the employee.
Line Manager must inform SSC(HR) if dismissal/regrade/redeployment etc. If the Employee was dismissed, the manager can recruit into the post after notice period has completed.
Employee must register intention to appeal within 7 days
If the Employee Appeals, then senior management will take over for the next stage, although line management may be called in as a witness.
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Case Study
• Please read through Case Study • After you have finished reading, there
are a number of questions to go through. Please make some notes.
• You will have 15 minutes to go through everything. I recommend you talk to the people near you.
• Afterwards the group will have a discussion about the case study.
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Conclusions
•If you have any casework you want to go through now, you can. Please remove names of employees.
•Do you have any general questions.
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