.svg)
TED Web Chat
.svg)
TED Web Chat
Talk to TED
The objective of this Procedure is to help and encourage all employees to achieve and maintain good standards of job performance and to ensure that Tendring District Council has fair and effective arrangements in place for dealing with work performance and capability matters. The Council is committed to ensure that all staff have the appropriate skills, knowledge, competence and aptitude to undertake their role effectively.
Where employees are performing below expectations, the role of the line manager will be to bring this to the attention of the individual and to work closely with them to support them to improve performance to an acceptable level. The objective will always be to set out a constructive approach to achieving improved work performance through effective supervision, mentoring, support and training and performance review and development.
Whilst the Council will support employees who are underperforming, it is the employee`s responsibility to take whatever action is necessary, including seeking guidance, to improve their performance.
This Procedure applies to all employees of Tendring District Council with the exception of the Chief Executive, Section 151 and Monitoring Officer where separate procedures are applicable.
For the purposes of this Procedure, capability is assessed with reference to skill, aptitude, attitude, behaviours, competence, knowledge and the ability to do the job. The Council encourages managers to quickly make employees aware of any shortfall in their performance as part of routine day to day performance management, without entering into the Capability Procedure. In many instances, this action will allow the employee to address under performance.
This Procedure will ensure that:
Cases of poor performance are handled fairly and consistently with any underlying reasons and mitigating circumstances taken into account – e.g., changing job content, health issues or personal factors affecting the individual`s performance.
Employees will be offered appropriate support and training to ensure that they are able to meet the requirements of the job description and job competencies.
All employees are aware of the performance and standards of work expected of them as part of normal day to day management and any action taken in accordance with this Procedure, should come as no surprise.
Employees will be given the opportunity to state their case and be represented at all formal stages of the Procedure by a Unison representative or work colleague of their choice.
A record of the required actions/standards of performance will be provided in the form of a letter of expectation and issued to the employee.
Employees have the right of appeal against the decisions made at each formal stage of the Capability Procedure and also against any decision to dismiss for reason of capability.
Monitoring timescales may be varied by mutual agreement – the intention is to avoid unreasonable delay and to allow a little flexibility where it is appropriate.
Whilst every effort will be made to enable an employee to improve their performance and retain them in post, the Council cannot guarantee to maintain employment if reasonable and appropriate performance and competency is not achieved within a reasonable period of time.
In exceptional cases where one performance error has serious consequences (eg., where it results or could result in the serious jeopardy of the health and safety of service users or employees) the principles of this policy may not apply. Instead, the matter may be dealt with as potential misconduct or gross misconduct under the Council`s Disciplinary Policy.
Employees have the right to reasonable adjustments in accordance with the Equality Act 2010.
It is important to ensure that issues of discipline are not dealt with under this Procedure. The Disciplinary Policy will apply where misconduct or negligence are believed to be the causes and also where employees have demonstrated that they are capable of performing the job at the required level, but choose not to do so.
Where action is necessary in respect of a new employee during their probationary period or within the first 12 months of their employment, such action may commence at Stage 3 of this Procedure, regardless of the seriousness of the issue.
At any stage of the Procedure, redeployment to an alternative post is an option that can be considered subject to an appropriate match of competencies to the alternative post.
All employees have a responsibility to:
- Take full accountability for their own performance and behaviour.
- Consistently perform to the required standards.
- Perform in line with the Council`s Competency Framework and Career Grade Progression (where appropriate), taking into account agreed development needs.
- Contribute to 1 to 1`s and to engage in objective setting, problem solving, review and evaluation.
- Work with Managers constructively to address any underlying issues, which may be affecting performance.
- Move forward their learning and development by taking ownership for their personal development.
- Be open to constructive feedback
Although normal capability and work performance standards apply to trade union representatives, no formal capability management action will be taken until the circumstances of the case have been discussed with a senior trade union or full-time official, and in consultation with Human Resources. This arrangement is in place to avoid the action being misconstrued as an attack on the union itself or on its representation and negotiating role, and is in accordance with the ACAS Code of Practice.
As each case will be different it is not appropriate to set fixed timescales for each stage of the Procedure. As a general guide performance review periods should be at least 1 month but no longer than 3 months. Employees will be given at least 5 working days` notice of formal meetings.
Records of formal action will be disregarded for future capability purposes after 12 months.Records will be treated as confidential and kept in accordance with the Data Protection Act 1998.
Managers in consultation with a member of the HR team should consider whether an employee may be considered to have a disability in accordance with the Equality Act 2010 and best practice. Consideration should be given to any “reasonable adjustments” which might permit retention in the job, or in another job. Managers should also explore with the employee any adjustments which can be made to improve performance.
If ill health or a disability is affecting an individual`s performance, the employee should raise this with their manager so that this may be taken into account and reasonable adjustments made. A critical stage in assisting an employee may be to gain authorisation to access their medical records. If it is necessary for an employee`s relevant medical record to be reviewed, this will be completed directly by Occupational Health. However, with the employee`s permission, relevant information as determined by the medical practitioner will be made directly available to Human Resources. Permission will be obtained from the employee each time medical information is requested. In addition, the Council may request that an employee is seen by Occupational Health and / or an independent medical examiner. If an employee refuses permission to any or all of the above, any future decision which the Council makes, will be based on the limited evidence and knowledge available.
The Council reserves the right to seek assistance from external facilitators at any stage of the Procedure, in the interest of seeking a satisfactory and objective outcome.
Employees can access support from the Council`s external counselling service and UNISON is also able to offer support and guidance to employees who are members of the union.
The Capability Procedure contains the following stages:-
Where appropriate, very early concerns raised should be raised in a normal 1 to 1 with the employee and staff appraisal should be consistent with these concerns. The employee will be advised that unless performance improves, any entitlement to annual increments or career grade progression will be frozen if the issues progress to the Informal Stage of this Procedure.
Informal Stage – Interview of concern
Formal Stage – Stage 1 Capability Meeting
Formal Stage – Stage 2 Capability Meeting
Formal Stage – Stage 3 Capability Case hearing (potential of dismissal or alternatives to dismissal)
The table below gives details of the level of management authorised to take action and to conduct an appeal under this Procedure. Appeal hearings will be conducted in accordance with the Council`s Appeals Procedure.
If either the employee or their representative is unable to attend a meeting on the date the hearing is due to take place because of sickness or another substantial or valid reason, the meeting may be postponed. All parties will be advised of the revised date immediately. If the employee is unable to attend this second rearranged meeting, in most circumstances the meeting will be held in the employee`s absence. However, employees will have the option of requesting that their representative is allowed to present their case or to submit written evidence to the Panel.
Where an employee has not addressed their underperformance as part of the normal performance management discussion, the manager will invite the employee to an informal meeting. This is part of the Capability Procedure. As this meeting is “informal action”, neither party will be accompanied nor will the right of representation exist, as the aim is to try and resolve matters on a 1 to 1 basis in an informal capacity. As part of this meeting, the employee should be offered access to additional training, support or role clarification as appropriate to the situation.
The aim of this meeting is to try and help the employee rapidly address their under- performance in a constructive and informal manner. A problem solving approach will be taken to address the situation and during the meeting.
The employee will be provided with objective examples of the areas of under.
performance which are causing concern with specific reference to the Council`s competency framework.
They will be asked to explore possible reasons for the performance shortfall.
The Manager will confirm the standards and job competencies required to the employee in a letter of expectation, including short-term objectives which they need to achieve by a specified timescale.
The Manager will provide Human Resources will a copy of this letter for the personnel file
. Additional support required by the employee will be identified including counselling and where reasonable, provided by the Council.
The possibility that medical / disability related reasons may be affecting the employee`s performance will be explored. If this is mentioned as a possibility, the manager should refer to HR. It may be necessary to ask the employee to authorise Access to Medical Records and/ or see Occupational Health / or an independent medical consultant.
The timetable for achievement of the performance improvement will be set by the Manager and will be a minimum of 4 weeks and a maximum of 12 weeks.
During this time, the manager will hold regular informal interim review meetings as necessary to provide feedback on progress and to encourage and motivate improved performance.
The manager will confirm to the employee that the formal stages of the Capability Procedure will be implemented if the employee fails to improve sufficiently with sustained satisfactory performance standards.
If there is a need to share with any other parties (other than HR) the fact that the employee is being managed under the informal stage of the policy, this will be discussed and agreed at the meeting (e.g, if the employee`s work is to be monitored by a third party or if they are to be provided with on-the-job training by someone else in the team etc).
If at the follow up review interview, it is evident that the required improvement has been made, then the employee will be given positive feedback and reminded of the need to sustain this improved level of performance.
Should significant improvements be evident, but the employee has not yet achieved the required standards of performance, the manager may choose to extend the length of the review period by a further 4 weeks.
If there has been insufficient improvement, or there is a further shortfall in performance, the formal part of the Capability Procedure will be implemented and the employee will be requested to attend a Stage 1 Capability Meeting. The employee will receive a letter of expectation fully explaining the standards which are required to be met, with a first warning that if the employee fails to meet these standards that the process will continue into the formal stages.
At all formal capability meetings, employees will have the right of representation.
Managers will be accompanied by a member of the HR Team whose role it will be to ask questions as appropriate and provide advice strictly on procedural matters. The decision about management action must be made by the manager.
Employees will be issued with a letter giving at least 5 working days` notice of the requirement to attend a Stage 1 Capability Meeting. This meeting format is similar to the structure of the meeting held at the informal stage.
The purpose of the meeting is to:
Identify clearly and fairly the ways in which the employee is under-performing providing examples as appropriate.
Explore with the employee what may be the possible causes for the shortfall in performance.
Allow the employee to have the opportunity to challenge and/put forward any facts and evidence for consideration.
Reconfirm the standards of performance and competency which are expected of job holders.
Explore the support which has already been provided as part of the informal process and investigate what other support may be required by the employee in order to improve their performance.
Confirm that the employee is clear as to the management concerns about their performance, the standards that are reasonably required, and the particular areas where there is a shortfall.
Having given consideration to the content of the discussions, one of the following two outcomes will be confirmed to the employee:
- The employee will continued to be managed under the informal stage of the Procedure.
The employee will continue to be managed under the formal stages of the Capability Procedure.
The Manager will again write to the employee after consultation with HR a letter of expectation for achievement including the specific measurable objectives and competencies that need to be achieved/maintained to address this and confirming also the timescales for achievement. The letter will include copies of any file notes of the meeting, the outcome of the meeting, any agreed actions and any further training/on the training identified. The letter will advise the employee that any potential increases to their spinal column pay point (annual increment or career grade) will be frozen until the conclusion of this process and satisfactory performance has been reliably achieved. The letter will clarify any changes to acting up arrangements, working patterns, work locations and any other requirements appropriate to the circumstances such as suspension of the flexi-time scheme.
A review period of between 4 – 12 weeks will be agreed during which, the manager will continue to hold regular 1 to 1 meetings with the employee both to provide feedback on progress and to encourage and motivate improved performance. Employees would normally have the right of representation at these meetings.
At the Stage 1 meeting, the manager will confirm to the employee that if they fail to improve and sustain satisfactory performance and competency standards, and issue a warning that it may be necessary to move to Stage 2 of the Capability Procedure and that ultimately a failure to achieve and maintain satisfactory standards of performance and competency, could lead to dismissal.
The Manager will confirm to the employee the right of appeal and the appeal will be held in accordance with the Council`s Appeals Policy.