CAPABILITY POLICY
Human Resources Department
Norfolk and Norwich University Hospital
Date Policy first issued / November 2007Date of last Review / April 2014
Next Review Date / April 2015 / EP 4.2
Review frequency / Three years
Author / Amy Knights
Email of Author /
CAPABILITY POLICY
CONTENTS
Section / Heading / Page No1 / Introduction / 3
2 / Scope of Procedure / 4
3 / The Role of Induction, Training and Development / 4
4 / Identifying Poor Performance / 5
5 / The Capability Procedure - Informal Stage / 5
6 / The Capability Procedure - Formal Stage / 8
7 / The Capability Procedure – Second Formal Stage / 11
8 / The Capability Procedure - Final Stage / 13
9 / The Right of Appeal / 14
10 / Professional Bodies / 14
11 / The Keeping of Records / 14
12 / Review, Variation and Termination / 14
APPENDIX A Flow Chart of Process 15
CAPABILITY POLICY
1.0 INTRODUCTION.
1.1 The Norfolk and Norwich University Hospital NHS Trust recognises that matters relating to poor performance should be dealt with sensitively, fairly and in a timely fashion. The aim of the procedure is to provide a framework through which to support staff who are not performing at the appropriate level for their role. The objective is to help and support staff to improve their performance to the benefit of both the individual employee and the Trust.
1.2 These procedures should be used where it is not appropriate to use the Trust’s Disciplinary Procedure. This Policy will be used where a failure to perform to the required standard is due to a lack of required skills/competence which is resulting in poor performance either in the short-term or over a longer period. The Disciplinary Procedure should be used to manage issues of poor performance resulting from poor effort, conduct, attendance or wilful negligence – see Disciplinary Policy.
1.3 The Trust has separate procedures for dealing with issues of capability which arise as a result of sickness absence and/or alcohol and other substance misuse/ dependency, and care should be taken to use the appropriate procedure. Advice is available from the Human Resources Department.
1.4 The Trust’s Appraisal and Personal Development Review Policy provides the opportunity for an employee to optimise their performance against the KSF outline for their post. Managers should refer to the Trust’s KSF Career and Pay Progression Policy. However, there may be the need to address separately informally or formally concerns about capability. There are separate Appraisal processes for medical staff.
1.5 The aim of the procedure is to manage performance issues in a supportive way which encourages and motivates staff. Therefore, the emphasis is on the need, initially to deal with capability issues on an informal basis before recourse to the formal procedures. In certain situations, such as where evidence of lack of skills is immediately apparent due the occurrence of a reportable incident, formal action may be appropriate from the outset.
2.0 SCOPE OF THE POLICY.
2.1 It is noted that for medical and dental staff there are procedures for dealing with professional capability, conduct and competence outlined in ‘Maintaining High Professional Standards in the Modern NHS’ published in 2005. That guidance states that capability issues are matters for local employers and must be resolved locally. Any investigations and hearings on grounds of capability must be conducted in accordance with the national guidance.
2.2 It is recognised that other professional bodies, of which many health care staff are required to have membership, also have professional standards covering capability, conduct and competence, e.g. Nursing and Midwifery Council Code of Professional Conduct and Standards for Conduct, Performance and ethics (2004). Reference in any such cases should also be made to the Department of Health document – ‘Handling concerns about the Performance of Healthcare Professionals (2006)’.
2.3 Healthcare professionals should also refer to the Trust’s Procedure for Self-Referral of Performance, Competence or Capability Concerns.
3.0 THE ROLE OF INDUCTION, TRAINING AND DEVELOPMENT.
3.1 All new employees of the Trust are required to attend and comply with the Trust’s Induction and Mandatory Training sessions in accordance with Trust Policy.
3.2 Employees who are new to a role should undergo basic training specific to that role within the first month of their employment, and Line Managers are responsible for ensuring such basic training is supplied appropriately. This induction period may include a period of orientation, introductions, learning informally from peers, formal training sessions and familiarisation with departmental processes and procedures. The manager should also consider any special needs the employee may have, including familiarisation with Trust policies and procedures for staff from different ethnic/cultural backgrounds.
3.3 During the first month the Line Manager must ensure that the employee has the basic skills to perform their job effectively. If not this will need to be addressed to ensure they can work at the level required for the KSF subset outline in their first year. The Manager should review performance with the employee to identify any shortfalls or additional training and support required.
3.4 The Trust accepts that with developments such as new technology, additional training and support will be needed for some employees in the inevitable changes that confront many jobs. Such support is a basic component of these procedures. The Capability Procedure should not be initiated where new techniques or procedures are implemented until appropriate formal or experiential training has been given to undertake such new techniques or procedures. The KSF outline for the post may also need to be reviewed and a further Appraisal/PDR interview be held.
4.0 IDENTIFYING POOR PERFORMANCE.
4.1 Where inadequate performance on the part of the employee arises, which appears to be due to a lack of aptitude or skill, clear information about the lack of performance and the ways in which they are not performing to expected standards must be collected by the Line Manager or Head of Department. This must include information discussed as part of the Appraisal/PDR process within the last 12 months.
4.2 There are many occasions when the appropriate Line Manager may discuss an employee’s performance at work in the normal course of management. On these occasions, improvements in performance may be sought. Although these meetings may reveal problems that are ultimately dealt with under these procedures, they are not part of the procedures themselves. They may be referred to as evidence of previous discussion of performance issues with the employee. Any informal suggestions of poor performance should be supported by the line Manager giving examples. It is advisable for Managers to keep a record of their discussions for a stated period of time and the employee should be made aware of this.
4.3 If it becomes apparent that the employee’s performance is affected by illness or disability, or is related to alcohol or other substance dependency the matter may need to be dealt with under the Trust’s other policies at which stage consideration should be given as to whether the Capability Procedure should be suspended. A management referral must be made to the Occupational Health Department to assess whether and the extent to which the illness/disability/dependency has a direct impact on the individuals performance.
5.0 THE CAPABILITY PROCEDURE : INFORMAL STAGE.
5.1 Before moving into the formal procedure it will usually be appropriate, as part of the normal management process, for any shortcomings in performance to be discussed with the employee and for them to be provided with help and support in order to improve. Such support may, where appropriate, include provision of appropriate training, the issue of written protocols and procedures and/or the provision of a mentor or ‘buddy’.
5.2 At this stage, the Line Manager is expected to meet with the employee concerned and discuss with them why the expected standard of performance is not being met, identifying factors that may be affecting performance and giving examples of where performance has been below the standard expected. The aim of this meeting will be to support the employee to overcome these factors by exploring working arrangements and agreeing joint standards and a plan for improvement over an agreed timescale. There should be some flexibility in the timescale depending on what needs to be achieved and how often the employee works. Any need for training in order to facilitate improved performance, or for a workplace mentor, should also be identified.
5.3 Informal Procedures : Early Recognition
5.3.1 It should be feasible to identify areas of performance that need to be developed through the use of supervision and appraisal schemes. A culture where staff are encouraged to self-evaluate and identify their needs will help this process.
5.3.2 It is important that robust supervision arrangements are in place at all levels so that difficulties can be identified and addressed early. Line Managers need to have the skill, training and confidence to raise concerns as soon as they arise. It is not appropriate to wait until the next appraisal session and ‘save up’ concerns to discuss with the appraisee.
5.3.3 Where difficulties are highlighted, discussions between the individual and the appropriate Manager should take place as soon as possible to establish the nature of the concerns and any possible causes of them. At this informal stage of the procedure an employee would not routinely be accompanied in any discussions although representation by a colleague/staff representative may be allowed at the discretion of the Manager.
5.4 Preparing for an Informal Meeting.
5.4.1 It is important that the meeting is as positive and constructive as possible so that both parties feel able to identify and explore issues. In preparation for the meeting the Manager should gather information relating to any concerns raised.
5.4.2 Where specific concerns have been raised, the Manager should make these very clear and be able to articulate clearly the standards expected by the organisation and explain where the individual is failing to achieve these standards.
5.4.3 The individual must be given the opportunity to respond to concerns and to identify, where appropriate, any issues that have contributed to the situation.
5.4.4 The content of the meeting should indicate a particular course of action to address the concerns identified taking into account any issues/ needs identified by the individual.
5.4.5 The employee must be notified at this meeting that their work performance will be monitored for an agreed period of time and will be reviewed at the end of that period. They must also be informed that, if their performance has not reached the required levels within the agreed timescales, then the matter will have to be referred to the formal stage of the Capability Procedure.
5.5 Action Following a Meeting.
5.5.1 Action plans should be agreed, signed by both parties and should identify the specific help, training and support that is considered necessary. The plan should:-
§ have clear, objective, measurable outcomes
§ be explicit about how these will be met
§ have timescales attached
§ be evaluated at regular intervals
§ allow for regular feedback
§ identify what action might be required if the level of performance is not achieved
5.5.2 A file note of the content of such informal discussions and any interim performance meetings to support the employee should be made and placed on the personal file and the individual employee should receive a copy of the file note and action plan. If the employee does not agree with the action plan or the outcome of the informal meeting they must confirm this in writing to their manager who will discuss the matter with their HR Manager.
5.7 Review of Progress.
5.7.1 A review meeting should be arranged within the agreed timeframe of the action plan.
5.7.2 At the review meeting, if there is improvement in performance such that the employee has achieved the standard required, the employee should be advised that their performance has improved to a satisfactory standard and no further action is necessary. This must be recorded, a copy of the file note placed on the employee’s personal file and a copy given to the employee.
5.7.3 If the required standards have not been achieved or sustained, then the matter may need to progress to the formal stage.
6.0 FORMAL STAGE MEETING.
6.1 In the case of Medical Staff there are separate procedures which must be followed as set out in ‘Maintaining High Professional Standards in the Modern NHS’ [2005]. Reference for other staff should also be made to the DoH guidance “Handling Concerns about the Performance of Healthcare Professionals” at this stage.
6.2 The Manager, in conjunction with their Human Resources Manager, will consider the evidence and support offered to date and decide whether to proceed to the formal stage.
6.3 A meeting will be arranged by letter with the Manager, the employee and a Human Resources representative. The employee will be notified by letter of the reasons for the meeting (see 6.4).
6.4 In order to allow the member of staff sufficient time to seek adequate representation at the interview, it is recommended that a minimum of five working days notice should be given and, if necessary, this timescale be extended by mutual consent.