Human Resources

Policy / Procedure

CAPABILITY POLICY

Version: 1

Date approved: May 2008

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V.1

May 2008

Document Control
Document Reference

HR002

Title of document

Capability Policy

Authors name(s)

HR Team

Authors job title(s)

Directorate(s)

Human Resources

Document status

v.1

Supersedes

New Policy

Clinical approval
PCT (Committee) approved by

JCNC

Date of approval

May 2008

Publication/issue date

May 2008

Review date

May 2010

Distribution

PCT web site

Monday Messenger

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Capability Policy

CONTENTS

PAGE

1.

Introduction

2.

Representation

3.

Maintaining standards of performance

4.

Informal procedure

5.

Formal procedure

6.

Authority to dismiss

7.

Right of appeal

Appendix One PCT Capability Review Form

Capability procedure flow chart

10

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Capability procedure

1. Introduction
It is expected that the PCTs KSF/PDR process will address most performance
issues.
The purpose of this policy is to develop and promote a supportive framework and a
positive approach to managing more serious concerns with an employees
performance with the aim to improve and maintain their performance.
This procedure applies to all PCT employees EXCEPT medical and dental staff who
are covered by the framework for doctors and dentists set out in Maintaining High
Professional Standards in the Modern NHS. Where other professional staff have
professional codes of conduct this procedure should be read in conjunction with
professional codes of conduct.
Performance relates to an employees capability to undertake the duties and
responsibilities of their job. Problems arise where the employee, applying every
reasonable effort, is unable to produce work of the standard and/or frequency
required.
Capability is different from conduct, which relates to action that is wilful, careless,
negligent or the result of a lack of motivation. Matters of conduct should be dealt with
in accordance with the disciplinary procedure.
This procedure does not cover issues of capability as a result of sickness or
disability. In such cases reference must be made to the PCTs Managing
Attendance Policy and the Disability Discrimination Act and/or the Human Resources
Team for advice. However, both policies may be applied jointly where felt
appropriate.
2. Representation
At any stage of this procedure a member of staff may request the support of a trade
union representative, a workplace colleague, or a friend, not acting in a legal
capacity.
3. Maintaining standards of performance
All managers have a responsibility to ensure that staff are able to meet standards of
performance by ensuring that the following good practices are followed:

Ensuring all employees are recruited in accordance with the guidance contained
in the PCTs Recruitment and Selection Policy.
Ensuring all employees are properly inducted and orientated into the PCT and
their department of work.
Ensuring employees are in possession of an accurate and up to date job
description, KSF Post Outline and person specification.
Ensuring employees actively participate in annual performance development
reviews (PDR) in order to identify training needs based on their KSF Post Outline

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In setting standards and targets that are appropriate to the role managers will
have regard to national and locally agreed standards and requirements and KSF
procedures.
Providing adequate time for training, help, encouragement, support and
supervision.
Ensuring that staff are fully appraised of support mechanisms that are available
within the PCT, e.g. occupational health and counselling service.
Providing positive feedback for work well done via verbal feedback and if
necessary confirmed in writing on the personal file and during the PDR process.

Procedure for dealing with poor performance

4. Informal procedure
Where the manager is satisfied that the above responsibilities are met but the
employees performance is still giving cause for concern then the manager must take
the following action:4.1

In the first instance the immediate line manager should at the earliest
opportunity discuss the issue informally with the employee and agree
appropriate action. The manager must ensure that (s)he has listened to the
employees explanations and tried to ascertain whether there is an underlying
problem relating to any of the issues at paragraph 3 and/or any other issue
that is affecting the employees performance, for example: Health issues. A visit to The Occupational Health Department may be
required.
Interpersonal relationships within the department.
Personal problems
A disciplinary issue.
Training issues
The manager may need to determine the appropriate avenue for dealing with
the above issues, e.g. referral to occupational health, an agreed action plan,
etc. It will be at the managers discretion to allow an extra period of time for
the employee to resolve problems. The manager should contact the Human
Resources department for clarification.

4.2

In the event that this informal discussion does not resolve the issues, then the
manager will meet again with the employee and progress the matter by means
of further discussion and feedback. This may be undertaken without resort to
the formal capability procedure. Employees are entitled to be accompanied at
such discussions by either a staff side representative, a workplace colleague,
or a friend not acting in a legal capacity, and must be so informed before the
interview. Likewise, a representative of Human Resources may attend.
To address areas of poor performance the manager will indicate the standards
required and how these standards are not being achieved, the KSF outline
may indicate what standards are required. The manager should indicate what
support has been given and agree any future training or support needed as
necessary to help the employee reach the required standards. Managers
should summarise the main points of the discussion in writing to the employee
as soon as possible after the meeting agreeing a review date. It is essential to

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both parties to have a written record for reference as well as a clear indication
of the areas of shortfall, the standards expected and any actions to be taken
by either the manager or the employee to remedy the situation. Managers
should seek guidance from Human Resources if necessary.
4.3

Objectives should be agreed and an action plan developed and appropriate

review dates set, the first of which should be no longer than 2 months from the
date at the initial meeting. If there is a failure to agree, advice should be
sought from HR and the staff side representative involved.
If the review period shows that the employees work has returned to a
satisfactory and sustained level then no further action will be taken and this
should be recorded. The employee will continue to be appraised via the PDR
process and receive regular feedback on performance, as should be the case
with all employees.

4.4

However, if the manager decides that there has been insufficient sustained
improvement during the review period, then the case will be dealt with by use
of the formal capability procedure.

4.5

Each stage including the outcome of the review period will be confirmed in
writing to the employee.

5. Formal procedure- Advice from HR must be sought at this stage.

5.1
Stage 1
Where an employee is failing to perform to an acceptable standard despite having
been given informal guidance and assistance, a formal meeting will be arranged and
the employee will be informed in writing. The letter will also include details of:

The procedure and stage being used;

Details of the shortfall in performance;
All necessary supporting documentation;
Details of any informal action taken so far;
Details of whether the Statutory Body has been informed
The right of representation with a staff side representative, colleague, or friend
not acting in a legal capacity.

During the meeting the employee will be told of the performance issues, which have
been identified and the expected standard which is required. The employee will have
the opportunity to respond to these issues and to explain any difficulties which (s)he
is experiencing. The expected performance standard will be discussed with the
employee along with actions on how that standard could be achieved. This could
include any or all of the following:

Training, either external or internal;

Working under closer supervision from a line manager, or a colleague who is

competent and experienced in the work, for an agreed specified period;

Agreed changes in duties at the appropriate level, either permanently or for a

trial period.

The outcome of the meeting will be confirmed in writing with a copy given to the
employee and one maintained on the personal file. Any agreed action will include

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timescales for review and ongoing monitoring. The timescale for agreed
improvements will be determined by individual circumstances but will not normally be
longer than six months. The outcome of each review meeting will be confirmed in
writing. See action template Appendix one.
5.2
Stage 2
If the desired improvement has not been achieved, the employee will be told of the
continued areas of under performance in a formal meeting in the same manner as at
paragraph 5.1.
At this meeting the remedial measures previously identified will also be reviewed,
and there will be discussion on whether they should continue or if additional
measures might be helpful. The employee will again be afforded the right to answer
the points made and explain his/her actions.
It may be felt appropriate at this stage to discuss whether a permanent redeployment
would be possible, and, if so, an agreeable option for the employee. This may be
particularly appropriate for an employee who has not been able to cope with a
promotion but was satisfactory in the previous job within the PCT. Where there is
redeployment to a post on a lower grade there will be no salary protection.
The outcome of the meeting will be confirmed in writing with a copy given to the
employee and one maintained on the personal file. Any agreed action will include a
reasonable timescale for review (not normally longer than 3 months) with ongoing
monitoring during that period. The outcome of each review meeting will be confirmed
in writing. This letter should state that a failure to achieve the agreed improvements
may result in termination of employment. Where termination of employment is being
considered, advice must be sought from the Associate Director of Human Resources.
5.3
Stage 3
If the desired improvement has still not been achieved, and a dismissal is a
possibility a further meeting involving the appropriate manager, see paragraph 6,
must be conducted when the employee will again be told of the continued
deficiencies.
After the employee has been offered the opportunity to answer the points made, the
manager chairing the meeting will make a decision as to whether there is any
likelihood of the employees performance achieving an acceptable level by extending
the assistance offered and time scale allowed under the previous stage.
If the decision is that performance will not become acceptable in the current post,
further consideration will be given as to whether suitable redeployment is
appropriate.
If suitable redeployment is not appropriate, or the employee declines redeployment,
dismissal will take place.
The reason for dismissal will be capability.
The outcome will be confirmed in writing
Employment in certain professions which are regulated by Statutory Bodies is
conditional upon continuing Registration (for example, Nursing & Midwifery Council in
respect of nurses, midwives and health visitors). In such cases, the PCT has a duty

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to report any incidents of alleged professional misconduct or serious performance

issues to the appropriate Registration Authority)
6

Authority to dismiss

The authority to dismiss is confined to the Chief Executive, and those in line to the
Chief Executive or delegated officer.
7

Right of appeal

Rights of appeal against dismissal or other action taken on the grounds of capability
will be identical to those laid down with the PCTs Disciplinary Procedure and must
be made in writing within 21 days of receiving the letter and must set out the grounds
for appeal.

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Appendix One
PCT CAPABILITY REVIEW
DATE:
AGREED ACTION PLAN:
Key areas for improvement

Example:
Record Keeping

NAME:

MANAGER:

Action/training or development
identified to achieve
improvement
Attendance at Documentation,
Record Keeping and Law and
the Health Professional
Courses (specify dates)

By whom

Standards to be achieved

To be
completed by

Staff

All records are maintained in accordance with

PCT policy, legal requirements and professional
codes of conduct in relation to data entry,
retention, archiving, quality

3 months
31.03.08

Refresh Lorenzo Training

Staff

Attendance at Confidentiality
and Caldicott Training
Familiarise with PCT Records
Management Policy including
retention and archiving
Audit of Records

Staff

Signed employee

Print Name Employee

Signed Manager

Print Name Manager

Staff

Manager

Agreed date of interim monitoring meeting: (eg ) 14th February 2008

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Data input onto Lorenzo System within 2 days

No incomplete records

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Capability Procedure Flow Chart

Poor performance identified by manager

Discuss with employee nature of shortcomings on informal basis (staff

rep/ friend may attend) and record discussion

Ascertain possible reason for poor performance

Conduct

no

yes

Health

no

yes

Capability
yes

Disciplinary Procedure

Managing Attendance Policy

yes

Discuss with employee on an informal basis (staff rep/friend and HR rep

may attend) can the problem be solved by training, etc Confirm meeting
in writing

Review Performance regularly

no

Tell the employee what needs to be improved and

the consequences of not doing so (set objectives).
Review after 2 months from 1st informal discussion
yes

Meet with employee to

advise of this - cease
formal process

Has performance improved to satisfactory level?

no

Formal procedure to commence

Stage 1 meeting consider other training, supervision, change in duties.

Staff rep/friend and HR may attend. Follow up meeting in writing.
Continue to monitor & support Review (no longer than 6 months after).
yes

Meet with employee to

advise of this - cease
take off
formal process

Has performance improved to a satisfactory level?

no

Stage 2 meeting Consider factors as at stage 1 and redeployment. Staff

rep/friend and HR rep may attend. Follow up meeting in writing. Review (no
longer than 3 months after)

yes

Meet with employee to

advise of this - formal
process

Has performance improved to a satisfactory level?

no

yes

Stage 3 meeting consider factors as at stage 2. Staff rep/friend may

attend/HR rep MUST attend. Adjourn to make decision. If performance is
no
not satisfactory and redeployment is not an option take decision to dismiss.

Dismiss

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