Capability Policy and Procedure for Police Staff

Capability Policy and Procedure for Police Staff

Table of Contents

Section 1 – Policy Intentions

1.1POLICY STATEMENT

Section 2 – Policy Wording and Procedural guides

2.1INTRODUCTION

2.1.1General

2.1.2Capability

2.1.3Policy Aims

2.1.4Template letters

2.2INITIAL PROCEDURE

2.2.1Initial Meeting - Purpose

2.2.2Outcomes

2.2.3After the Meeting

2.2.4During the Initial Development Plan

2.2.5End of the Initial Development Plan

2.2.6Outcomes of the Initial Plan

2.3FORMAL PROCEDURE

2.3.1Capability Meetings –Purpose

2.3.2Invite to Meeting

2.3.3Attendees

2.3.4At the Capability Meeting

2.3.5Outcomes of the Capability Meetings

2.3.6After all Formal Meetings

2.3.7During the Formal Development Plan

2.3.8End of the Formal Development Plan

2.3.9Outcomes

2.4RIGHT OF APPEAL

2.4.1Procedure

Section 3 - Relevant Legislation

Section 4 - Related References/Policies

Section 5 - Monitoring and Review

5.0Monitoring and Reviewing

5.1Monitoring

5.2Review

Appendix A – letter Outcome of Informal Stage

Appendix B – letter Invite to Formal Capability Meeting

Appendix C – Letter Outcome of Formal Meeting Verbal

Appendix D – Letter Outcome of Formal Meeting Written

Appendix E – Letter Outcome of Formal Meeting Final

Appendix F – Letter Outcome of Formal Meeting Dismissal

Appendix G – Letter Outcome of Development Plan-Successful

Appendix H – Letter Outcome of Development Plan-Not Successful

Appendix I – Letter Appeal

Appendix J - Guidance to Chair of a formal capability meeting

Section 1 – Policy Intentions

1.1POLICY STATEMENT

It is the Policy of the Police and Crime Commissioner and Chief Constable for Gloucestershire to require all staff to attend work and perform their role to an acceptable standard in line with their roleprofile and PDR. Gloucestershire Constabulary will assist staff who are performing below the standard expected of them and allow them to improve their competence/attendance.
The Police and Crime Commissioner and Chief Constable require:

All staff to perform their roles to the highest standard.
All managers to provide staff with clearly defined expectations and to inform them of the link with the Performance Development Review (PDR) system and Attendance Management Policy.
All managers to address competence/attendance issues quickly in a fair, consistent and supportive manner.
All managers to support staff to achieve and maintain the required standards.
All staff to attend work wherever possible, rather than take sick leave.
All managers to apply the Attendance Management Policy at an early stage so as to avoid sickness absence, or facilitate an early return to work.

All staff to discuss work related issues with their line manager at an early stage.

Section 2 – Policy Wording and Procedural guides

2.1INTRODUCTION

2.1.1General

Employees have a contractual responsibility to achieve a satisfactory level of performanceand attendance and should be given help and encouragement to achieve it. The employer is responsible for setting realistic and achievable standards and making sure employees understand what is required. Standards should be measurable in terms of quality, quantity, time and cost.

2.1.2Capability

Capability is an employee's ability to do their job, or maintain or update a required qualification. It is one of the reasons for fair dismissal and is most often referred to in discipline cases where there is a lack of capability. Lack of capability is due to lack of skill, experience, knowledge or inability to attend work. Examples of incapability could include:

poor or unsatisfactory performance
poor attendance associated with sickness absence

This procedure applies to all police staff and will be used for all matters related to performance other than those aspects that would fall under the disciplinary procedure.

2.1.3Policy Aims

The capability procedure will seek to assist members of staff who are performing below the standard expected of them and allow them to improve their competence/attendance. It will provide a fair and clearly defined framework for dealing with all cases of capability.

An employee will not be dismissed because of unsatisfactory performance or attendance unless warnings and a chance for improvement has been given, with additional training and redeployment considered if necessary.

2.1.4Template letters

Template letters are available for Line Managers to use at each stage of the process as appropriate. These can be found in appendices A to I. Please cut and paste these letters as required onto corporate letterhead containedinY:\Corporate Resources\_Force letterhead.

2.2INITIAL PROCEDURE

2.2.1Initial Meeting - Purpose

Where it is decided that there is a capability issue to be addressed, it should be raised at a monthly job chat(ePDR User Guide), management visit or return to work interview under the Attendance Management Policy.

This will provide an opportunity for the individual involved, and their line manager, to openly discuss the perceived unsatisfactory performance or attendance and to agree a way forward to enable the individual to improve and to put mechanisms in place to support the individual at an early stage.

2.2.2Outcomes

No Further Action

It may be decided that after this initial meeting that no further action is needed. However, the meeting will be recorded as normal on e-PDR.

Development Plan Development Plan Guidance.doc

Where it is decided that there is a potential capability issue a development plan should be agreed as a way forward to aid an individual to improve in the areas identified.

Where the individual is on sick leave, advice must be sought from the Occupational Health Unit and the Attendance Management Policy must be followed. The development plan should describe:

What steps and measures the individual and the organisation will take to improve performance or attendance (be that further training, support from line management etc.)
The timescale in which this improvement must be made; and
A date for formally reviewing capability (this will not exceed 3 months).

Dates for review meetings should also be agreed as part of the development plan, to ensure continual monitoring and guidance. Development plans should be SMARTER and completed on the individuals PDR. Development Plans may be reviewed by the HR Consultant if necessary.

2.2.3After the Meeting

The Line Manager will send a letter(Appendix A) to the individual outlining the outcome of the informal stage and clarifying the discussion. If a development plan was agreed a copy should be sent.

The letter will include:

Areas where competence/attendance is deemed unsatisfactory.
The improvement required.
Dates of future review meetings.
Timescales including when the action plan ends and when the overall review date ends.
Any other issues discussed.
Copy of the agreed action plan.

2.2.4During the Initial Development Plan

Regular meetings should be held throughout the development plan and the line manager should continue to support, guide and offer advice to the individual. The frequency of the meetings will depend upon the length of the development plan. However, a meeting just at the end of the period will not constitute ‘regular meetings’. Confidential written records (file notes) of all discussions must be made and kept in a separate ‘Capability File’ for the individual, and should be copied to the individual. Dates of all meetings should be documented on the individual’s PDR.

Development Plan objectives not met before end of plan

If an individual fails to achieve the objectives set within the action plan prior to the agreed end review date, the manager should contact the People Services Centre (PSC) to arrange a review meeting. In cases of long term absence, this meeting can be arranged and/or conducted if the individual is still absent, however they must be given every opportunity to attend or submit written comments to the line manager. The meeting should be conducted before the end of the action plan period as the individual has failed to comply with the agreed terms of the plan.

At the meeting the decision to invoke the formal capability procedure may be taken, as the informal stage has been ineffective in achieving the desired improvement.

2.2.5End of the Initial Development Plan

At the end of the review period, another informal meeting should be arranged to discuss the individual’s competence / attendance over the timescales stipulated in the action plan.

2.2.6Outcomes of the Initial Plan

No Further Action

If the individual has achieved and sustained the desired competence/attendance level then no further action will be taken, and this must be communicated to the individual. The individual must sustain this level of competence/attendance. If the individual’s performance or attendance becomes unsatisfactory again the formal capability procedure could be invoked.

Formal Capability Action

If the line manager considers that the individual has failed to make the necessary improvement then they will inform the individual at the end of the meeting that the formal capability procedure will be commenced.

This process should be fully documented and notes held on the individual’s personal capability file. A note of the action taken should be made on the individual’s PDR.

2.3FORMAL PROCEDURE

2.3.1Capability Meetings –Purpose

If an individual has failed to perform to the acceptable standard after the initial process, the individual must be invited to attend a Formal Capability Meeting. The purpose of this meeting is to highlight to an individual that their competence/attendance level is still unacceptable in specific areas and to put a framework in place to help them to improve in those areas. It is also an opportunity to hear of any factors that are inhibiting the individual’s performance and what can be done to overcome them.

2.3.2Invite to Meeting

The line manager will inform the individual in writing(Appendix B), giving them 7 calendar days notice, of the details of the meeting, including its purpose, the date of the meeting together with copies of related documentation that the line manager has collated and intends to use at the meeting. The line manager will also inform the individual that they have the right to be represented by a Trade Union Representative or accompanied by a work colleague.

2.3.3Attendees

The following people will attend the formal capability meeting:

Chair - a higher level of management than the presenting manager. They will chair the meeting and decide on the outcome.
Line Manager – to present the management case.
Individual – will present their case.

The following people may attend the capability review:

An appropriate representative from HR e.g. HR Consultant
Representative (Internal Unison Representative may present the individuals case).
Work colleague (may accompany the individual, but cannot represent them)
Witnesses nominated by the individual / management (only present during the time required to give evidence).

2.3.4At the Capability Meeting

To view the format / areas that should be followed / covered by the chair at the formal capability review meeting see (Appendix J).

2.3.5Outcomes of the Capability Meetings

No Further Action

If the individual’s competence/attendance is not classed as unsatisfactory by the chair it may be decided to take no further action. The individual should be reminded that the level of improvement must be sustained otherwise the formal capability procedure will be invoked again.

Extension

If the chair concludes there was a reason for an individual not achieving their action plan, for example unexpected leave / personal circumstances or where the agreed training has not been made available, the chair may decide to extend the action plan at the initial stage for a set period with continual monitoring. The extension would not normally exceed 3 months.

Redeployment

Only to be used in exceptional circumstances regarding capability issues relating to attendance, when there is a need to make / propose reasonable adjustment under the disability provisions of the Equality Act 2010. See theManagement Of Change Policy.

Sanctions

If the chair concludes that the initial action plan was not met and there was no justifiable reason for this, they will issue a capability sanction with appropriate action plan.

There are 4 sanctions available to the chair. Sanctions will be imposed relative to the circumstances of the case. More severe cases of competence/attendance issues, may initiate a higher level of sanction even though the individual may not have already received a lower level sanction. All sanctions other than dismissal will be issued with an accompanying development plan to aid improvement. No individual should be dismissed (Final Stage) without having received at least one previous improvement notice.

Sanction1:Verbal Improvement Notice

Appendix Cshould be issued for first, less serious cases where competence / attendance does not meet acceptable standards. This should remain on the individual’s personal file for 6 months and be confirmed in writing.

Sanction 2:Written Improvement Notice

Appendix Dshould be issued for more serious cases where competence/attendance does not meet acceptable standards or there has been a failure to improve competence/attendance to the required standard after being issued a Verbal Improvement Notice. This should remain on the individual’s personal file for 12 months and be confirmed in writing.

Sanction 3:Final Written Improvement Notice

Appendix Eshould be issued for serious cases where competence/attendance does not meet acceptable standards, which fall just short of justifying dismissal or where an individual has failed to improve competence/attendance to the required standard after being issued earlier current improvement notices. It should be made clear to an individual that failure to achieve the required standard could result in dismissal. This should remain on the individual’s personal file for 18 months and be confirmed in writing.

Sanction 4 – Dismissal with notice

If at least one previous improvement notice has been issued and the improvement required has not been achieved, the decision to dismiss with notice (or compensation for the notice period to which the individual is entitled) may be taken. Appendix F.

2.3.6After all Formal Meetings

Notes

This process should be fully documented and notes held on the individual’s personal file, copied to the individual. A note of the action taken should be made on the individual’s capability file and PDR.

Decision

The Chair of the Capability Meeting will write to the individual informing them of:

Areas where competence / attendance was deemed unsatisfactory.
Improvement required.
Details of sanction imposed or the decision for no further action where appropriate.
Copy of the agreed further development plan.
Timescales including when the action plan.
Consequences if the improvement detailed in the letter and action plan is not achieved (i.e. progression to the next sanction or termination of employment).
Details of the right to appeal.

2.3.7During the Formal Development Plan

Meetings

Action Plan Objectives Not Met Before End of Plan

If an individual fails to achieve the objectives set within the action plan prior to the agreed end of plan, the manager may wish to consult with the PSC and agree to arrange an early review meeting.

In cases of long term absence, this meeting can be arranged and / or conducted if the individual is still absent, however they must be given every opportunity to attend or submit written comments to the line manager. The meeting should be conducted before the end of the action plan period as the individual has failed to comply with the agreed terms of the plan. At the meeting the decision to invoke the next stage of the formal capability procedure may be taken.

2.3.8End of the Formal Development Plan

Meeting

At the end of the development plan, another meeting should be arranged to discuss the individual’s competence/attendance over the timescales stipulated in the action plan. This meeting should be arranged by the manager and the individual should be given 7 calendar days’ notice and be made aware of their right to be accompanied by a Trade Union Representative or work colleague. The date can be extended with the agreement of the Chairperson.

2.3.9Outcomes

No Further Action

If the individual has achieved and sustained the desired competence/attendance level then no further action will be taken, and this must be communicated to the individual (AppendixG). The individual must sustain this level of competence/attendance. If the individual’s performance or attendance becomes unsatisfactory again the formal capability procedure could be invoked.

Further Formal Capability Action

If the line manager considers that the individual has failed to make the necessary improvement then they will inform them that further formal capability action will be commenced under the capability procedure (AppendixH)and the outcome could be dismissal.

The above procedure will be followed after each formal review period or where an action plan’s objectives are not met before the end of the review period. At each stage a higher level of management will chair the review meeting. More severe sanctions could be issued until it is agreed that a sustained improvement has been achieved or a decision is made to dismiss the individual

2.4RIGHT OF APPEAL

2.4.1Procedure

If the employee wishes to appeal, they must do so in writing within five working days from the confirmation of the outcome to the next level of management. In the cases of dismissal, the appeal must be made to a Superintendent or Departmental Head.

The manager must liaise with the PSC to:

arrange a hearing with the relevant manager within ten working days of receipt of the appeal
provide relevant papers to the relevant manager

The employee has the right to be represented at the meeting by a Unison representative. They may also be accompanied by a work colleague.

The decision of the manager (or Superintendent or Departmental Head in cases involving dismissal) will be final, the employee will:

be informed of the result of the appeal and the reason for the decision
receive confirmation in writing within five working days(Appendix I)

Section 3 - Relevant Legislation

Equality Act 2010