1. Derbyshire County Council PERFORMANCE CAPABILITY PROCEDURE TRAINING FOR MANAGERS PUBLIC

2. 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 PUBLIC

3. Derbyshire County Council 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 PUBLIC

4. Derbyshire County Council Introduction to the Procedure  The Procedure applies to all permanent and temporary employees  It relates to whether someone is fulfilling their contract of employment  The procedure has 3 steps  Informal  Formal  Hearing PUBLIC

5. Derbyshire County Council 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

6. Derbyshire County Council 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. PUBLIC

7. Derbyshire County Council 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. PUBLIC

8. Derbyshire County Council 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 PUBLIC

9. Derbyshire County Council 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. PUBLIC

10. Derbyshire County Council 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 PUBLIC

11. Derbyshire County Council 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 PUBLIC

12. Derbyshire County Council 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

13. Derbyshire County Council 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. PUBLIC

14. Derbyshire County Council 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 period PUBLIC

15. Derbyshire County Council 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. PUBLIC

16. Derbyshire County Council 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 PROCEDURE PUBLIC

17. Derbyshire County Council 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

18. Derbyshire County Council 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

19. Derbyshire County Council  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 PUBLIC

20. Derbyshire County Council 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. PUBLIC

21. Derbyshire County Council 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. PUBLIC

22. Derbyshire County Council 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. PUBLIC