Clinical Commissioning Group MANAGEMENT OF UNSATISFACTORY WORK PERFORMANCE POLICY VERSION DATE: VERSION NUMBER: 2 DOCUMENT REFERENCE: HRP07 STATUS: DEVELOPED BY: POLICY SPONSOR: APPROVED BY: REVIEW DATE: TARGET AUDIENCE: Approved by Governing Body 08/05/2014 and Governance Committee on 22/07/15 Arden & GEM HR Business Partners Beachcroft LLP Assistant Chief Officer and Corporate Director Partnership Working Forum Governing Body September 2017 or if legislation changes All CCG Staff Revision History Version Revision Summary of Changes date 2 05/06/15 Equality Statement has been moved to the beginning of the Policy. Management of Unsatisfactory Work Performance Policy Page 1 of 42
ASSISTANCE WITH THE APPLICATION OF THIS POLICY AND UPDATES This policy has been prepared so as to reflect the law as at 1 June 2015. The policy will require periodic review to reflect subsequent changes to the law. Changes to employment law have generally been made on 1 February, 1 April and 1 October in any given year. For advice and assistance in relation to the application of this policy and to obtain updates please contact: Your line manager in the first instance or Arden & GEM Human Resources Business Partners. This policy has been prepared by Erewash Clinical Commissioning Group in partnership with Beachcroft LLP and Arden & GEM Human Resources Business Partners. Management of Unsatisfactory Work Performance Policy Page 2 of 42
CONTENTS PAGE NO 1. EQUALITY STATEMENT. 5 2. POLICY STATEMENT.. 5 3. WHO IS COVERED BY THE POLICY?. 6 4. WHAT IS COVERED BY THE POLICY? 6 7 5. ROLES. 7 8 6. IDENTIFYING PERFORMANCE ISSUES. 8 10 7. DISABILITIES. 10 8. CONFIDENTIALITY.. 10 11 9. NOTIFICATION OF A PERFORMANCE HEARING 11 10. RIGHT TO BE ACCOMPANIED AT HEARINGS. 11 12 11. PROCEDURE AT PERFORMANCE HEARINGS 12 13 12. STAGE 1 HEARING: FIRST WRITTEN WARNING. 13 14 13. STAGE 2 HEARING: FINAL WRITTEN WARNING. 15 16 14. STAGE 3 HEARING: DISMISSAL OR REDEPLOYMENT. 16 17 15. APPEALS AGAINST ACTION FOR POOR PERFORMANCE.. 18 19 16. DUE REGARD 19 17. HELP AND ADVICE.. 19 18. APPENDIX 1 MAPPING THE CAPABILITY PROCEDURE 20 21 Management of Unsatisfactory Work Performance Policy Page 3 of 42
CONTENTS (Continued) PAGE NO 19. APPENDIX 2 PERFORMANCE MATTERS DIAGNOSTIC TOOL EMPLOYEE. 22-27 20. APPENDIX 3 PERFORMANCE MATTERS DIAGNOSTIC TOOL LINE MANAGER.. 28-29 21. APPENDIX 4 GUIDANCE NOTES FOR OBJECTIVE SETTING AND REVIEW FORM.. 30 31 22. APPENDIX 5 EXAMPLE OBJECTIVES SETTING FORM. 32 35 23. APPENDIX 6 OBJECTIVE SETTING FORM TEMPLATE. 36 39 24. APPENDIX 7 SETTING OBJECTIVES. 40 42 Management of Unsatisfactory Work Performance Policy Page 4 of 42
1. EQUALITY STATEMENT 1.1 Erewash Clinical Commissioning Group (CCG) aims to design and implement policy documents that meet the diverse needs of our services, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account current UK legislative requirements, including the Equality Act 2010 and the Human Rights Act 1998, and promotes equal opportunities for all. This document has been designed to ensure that no-one receives less favourable treatment due to their protected characteristics of their age, disability, sex (gender), gender reassignment, sexual orientation, marriage and civil partnership, race, religion or belief, pregnancy and maternity. Appropriate consideration has also been given to gender identity, socioeconomic status, immigration status and the principles of the Human Rights Act. 1.2 In carrying out its function, Erewash CCG must have due regard to the Public Sector Equality Duty (PSED). This applies to all activities for which Erewash CCG is responsible, including policy development, review and implementation. 2. POLICY STATEMENT 2.1 The primary aim of this policy is to provide a framework within which managers can work with employees to maintain satisfactory performance standards and to encourage improvement where necessary. 2.2 It is our policy to ensure that concerns over performance are dealt with fairly and that steps are taken to establish the facts and to give employees the opportunity to respond at a hearing before any formal action is taken. 2.3 This policy has been agreed and implemented following consultation with the members of the CCG Joint Partnership Working Forum. 2.4 This policy does not form part of the employees contract of employment and it may be amended at any time. The CCG may also vary any parts of this policy, including any time limits, as appropriate in any case. All proposed changes will be implemented following the agreed consultation process. Management of Unsatisfactory Work Performance Policy Page 5 of 42
3. WHO IS COVERED BY THE POLICY? 3.1 This procedure applies to all employees regardless of length of service. It does not apply to agency workers or self-employed contractors. 4. WHAT IS COVERED BY THE POLICY? 4.1 This policy is used to deal with poor performance. Performance related issues are defined under the Employment Rights Act 1996, s. 98(3) (a) as capability assessed by reference to skill, aptitude, health, or any other physical or mental quality. Put simply, capability relates to the capacity and ability of an employee to do the work they are employed to do. 4.2 Performance issues may arise due to a number of reasons such as, not having the skills, knowledge or ability to achieve the required standard of work. However, they may also arise as a result of poor management, personal problems, health issues, inadequate systems and/or lack of training. 4.3 Poor performance can include, but is not limited to, any of the following: slow work; work of inadequate quality; accuracy of work; poor punctuality and unexplained absences; behaviours or attitude problems; failure to meet objectives; or failure to carry out the role effectively. 4.4 The policy does not apply to cases involving genuine sickness absence, proposed redundancies or misconduct. In those cases, reference should be made to the Management of Unsatisfactory Work Performance Policy Page 6 of 42
appropriate policy or procedure. A copy of these can be obtained from Arden & GEM HR Business Partner. Please refer to Appendix 1. 5. ROLES 5.1 The employee role The employee responsibilities are to: (a) (b) (c) (d) (e) (f) speak to their line manager if they are not sure about any part of their role or if they have concerns about undertaking a task; if they do not feel comfortable discussing this with their direct line manager they can discuss any concerns with the next tier of management; if they need to meet with their line manager to discuss any concerns they should endeavour to make themselves available. However, if they are unable to meet at the suggested time they should suggest an alternative within a reasonable time period (5 working days); they should keep an open dialogue with their line manager so that if any issues occur, these can be addressed sooner rather than later; they should fully participate in the appraisal process; and they should commit to meeting the standards required and strive to maintain and improve these standards wherever possible. 5.2 The line manager role It is the role of the manager to: (a) (b) the line manager s fundamental role is to encourage, support and develop the employee; they have the duty to ensure that this policy is consistently and fairly implemented within their areas of responsibility; Management of Unsatisfactory Work Performance Policy Page 7 of 42
(c) (d) (e) (f) (g) (h) (i) (j) (k) (l) they should make any issues relating to their employee a priority. If they need to meet with the employee to discuss any concerns, they should make this a priority. If the initial suggested date needs to be rearranged they should try and make themselves available to meet within a reasonable time period (5 working days); if an issue arises with an employee s performance, they should try and identify why this issue has occurred; provide the resources to allow the employee to effectively fulfil their role; provide access to appropriate learning and development opportunities which will help the employee to fulfil their role effectively; provide and keep up to date a copy of the job description for the employee which should be openly discussed so that both parties are aware of what is required; ensure that all new employees receive a comprehensive induction into their new role and work area, as well as the CCG; if any concerns arise with an employee they should ensure that the employee concerned is aware as soon as reasonably possible. This should be done in a supportive, confidential and helpful manner; provide clear guidance to each employee on their responsibilities, along with any deadlines that might apply and what standard is required; ensure each employee has an annual appraisal; and consult with employees about any changes to the role or the department. 6. IDENTIFYING PERFORMANCE ISSUES 6.1 In the first instance, performance issues should normally be dealt with informally between the employee and their line manager as part of day-to-day management. Where appropriate, a note of any such informal discussions may be placed on the employee s personnel file. The formal procedure should be used for more serious Management of Unsatisfactory Work Performance Policy Page 8 of 42
cases, or in any case where an earlier informal discussion has not resulted in a satisfactory improvement (Appendix 2 and 3). Informal discussions may help: (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) review and clarify the job description; clarify the required standards; allow the employee to discuss whether the standards are realistic and reasonable; identify areas of concern; establish the likely causes of poor performance and agree any gap ; identify any training needs and any other remedial action; establish what support the organisation can provide for the employee to enable them to reach the required standard(s); identify any health issues; set targets for improvement and a time-scale for review; confirm the consequences of the required standards not being met by the time of the review; and a record of the discussion including the agreed action plan and timescale will be sent to the employee for him/her to sign. This will include the realistic setting of SMART targets (Appendix 7). 6.2 Employees will not normally be dismissed for performance reasons without previous warnings. However, in serious cases of gross negligence, dismissal without previous warnings may be appropriate. 6.3 If the CCG has concerns about an employee s performance, the CCG will undertake an assessment to decide if there are grounds for taking formal action under this procedure. The procedure involved will depend on the circumstances but may involve reviewing the employee s personnel file including any appraisal records, gathering any Management of Unsatisfactory Work Performance Policy Page 9 of 42
relevant documents, monitoring their work and, if appropriate, interviewing the employee and/or other individuals confidentially regarding their work. 6.4 During the informal stage an employee does not have the statutory right to be accompanied by a trade union representative or work colleague. 6.5 Following the end of the agreed time-scale a review meeting will take place. The outcomes might be: (a) (b) no further action, other than normal follow-up or Personal Development Plan is necessary; or start of the formal procedure. 7. DISABILITIES 7.1 Consideration will be given to whether poor performance may be related to a disability and, if so, whether there are reasonable adjustments that could be made to the employee s working arrangements, including changing their duties or providing additional equipment or training. The CCG may also consider making adjustments to this policy in appropriate cases. 7.2 If the employee wishes to discuss this or inform the CCG of any medical condition they consider relevant, they should contact their line manager or a member of the Arden & GEM HR Business Partner Team. 8. CONFIDENTIALITY 8.1 The CCG aims is to deal with performance matters sensitively and with due respect for the privacy of any individuals involved. All employees must treat as confidential any information communicated to them in connection with a matter which is subject to this performance procedure. 8.2 The employee, and anyone accompanying them (including witnesses), must not make electronic recordings of any meetings or hearings conducted under this policy. Management of Unsatisfactory Work Performance Policy Page 10 of 42
8.3 The employee will normally be told the names of any witnesses whose evidence is relevant to their performance hearing, unless the CCG believes that a witness's identity should remain confidential. 9. NOTIFICATION OF A PERFORMANCE HEARING 9.1 If the CCG considers that there are grounds for taking formal action over alleged poor performance, the employee will be required to attend a performance hearing. The CCG will notify the employee in writing of the CCG concerns over their performance, the reasons for those concerns, and the likely outcome if the CCG decides after the hearing that the employee performance has been unsatisfactory. The CCG will also include the following where appropriate: (a) (b) (c) a summary of relevant information gathered as part of any investigation; a copy of any relevant documents which will be used at the capability hearing; and a copy of any relevant witness statements, except where a witness' identity is to be kept confidential, in which case we will give you as much information as possible while maintaining the confidentiality. 9.2 The CCG will give the employee written notice of the date, time and place of the capability hearing. The hearing will be held as soon as reasonably practicable, although the employee will be given at least 10 working days to prepare their case based on the information the CCG has given the employee. 10. RIGHT TO BE ACCOMPANIED AT HEARINGS 10.1 The employee may bring a companion to any performance hearing or appeal hearing under this policy. The companion may be either a trade union representative or a work colleague. The employee must tell the manager conducting the hearing who their chosen companion is, 5 working days before the hearing. 10.2 A companion is allowed reasonable time off from duties without loss of pay but no-one is obliged to act as a companion if they do not wish to do so. Management of Unsatisfactory Work Performance Policy Page 11 of 42
10.3 If the employee s choice of companion is unreasonable the CCG may require the employee to choose someone else, for example: (a) if the employee s companion is unavailable at the time a hearing is scheduled and will not be available for more than five working days within the date of the scheduled hearing. 10.4 If the employee or their companion cannot attend the hearing they should inform the CCG immediately and we will arrange an alternative time. The employee must make every effort to attend the hearing, and failure to attend without good reason may be treated as misconduct in itself. If the employee fails to attend without good reason on two or more occasions the hearing may proceed in their absence and the CCG may also take a decision in their absence, based on the evidence available at the time. 11. PROCEDURE AT PERFORMANCE HEARINGS 11.1 The hearing will be held by the employee s line manager or a more senior manager and will also be attended by a member of the Arden & GEM HR Business Partner Team. The employee may bring a companion with them to the hearing (see paragraph 10). The employee s companion may make representations, ask questions, and sum up the case on behalf of the employee, but will not be allowed to answer questions on the employee s behalf. The employee may confer privately with their companion at any time during the hearing. 11.2 The employee may ask relevant witnesses to appear at the hearing, providing the employee gives the CCG no less than 5 working days advance notice to arrange their attendance. The employee will be given the opportunity to respond to any information given by a witness. However, the employee will not normally be permitted to crossexamine witnesses unless, in exceptional circumstances, the CCG decides that a fair hearing could not be held otherwise. 11.3 The aims of a performance hearing will usually include: (a) setting out the required standards that the CCG believe the employee may have failed to meet, and going through any relevant evidence that the CCG has gathered; Management of Unsatisfactory Work Performance Policy Page 12 of 42
(b) (c) (d) (e) (f) allowing the employee to ask questions, present evidence, call witnesses, respond to evidence and make representations; establishing the likely causes of poor performance including any reasons why any measures taken so far have not led to the required improvement; identifying whether there are further measures, such as additional training or supervision, which may improve performance; where appropriate, discussing targets for improvement and a time-scale for review; and if dismissal is a possibility, establishing whether there is any likelihood of a significant improvement being made within a reasonable time and whether there is any practical alternative to dismissal, such as redeployment. 11.4 A hearing may be adjourned if the CCG needs to gather any further information or give consideration to matters discussed at the hearing. The employee will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened. 11.5 The CCG will inform the employee in writing of the decision and the reasons for it, usually within 10 working days of the performance hearing. Where possible the CCG will also explain this information to the employee in person. Please refer to Appendix 2, 3, 4, 5 and 6. 12. STAGE 1 HEARING: FIRST WRITTEN WARNING 12.1 Following a Stage 1 performance hearing, if the CCG decides that the employee s performance is unsatisfactory, a first written warning will be given, setting out: (a) (b) the areas in which the employee has not met the required performance standards; targets for improvement; Management of Unsatisfactory Work Performance Policy Page 13 of 42
(c) (d) (e) any measures, such as additional training or supervision, which will be taken with a view to improving performance; a period for review, which will last between one to two months depending on the complexity of areas requiring improvement; and the consequences of failing to improve within the review period, or of further unsatisfactory performance. 12.2 The warning will normally remain active for six months from the date of the letter confirming the decision to the employee. A copy of this warning will be placed on the employee s personnel file. 12.3 There will be either weekly or fortnight meetings (depending on the complexity of areas requiring improvement) between the employee and their line manager where the employee s performance will be monitored during the agreed review period (either one or two months). After the conclusion of this review period, the CCG will inform the employee of the outcome: (a) (b) (c) (d) If the employee s line manager is satisfied with their performance, no further action will be taken; however, if there is further evidence of poor performance within the next three months following expiration of the employee s first written warning, the employee might be invited to a further Stage 1 performance hearing; if the employee s line manager is not satisfied that their performance has been acceptable, the matter may be progressed to a Stage 2 performance hearing; or if the employee s line manager feels that there has been a substantial but insufficient improvement, the review period may be extended which will be at the employee s line manager s discretion. If this is the case a review meeting will be arranged to discuss; and the employee s line manager will send the employee the appropriate outcome letter. 12.4 If a first written warning is not issued but concerns still remain regarding performance the line manager will manage in line with the informal procedure. Management of Unsatisfactory Work Performance Policy Page 14 of 42
13. STAGE 2 HEARING: FINAL WRITTEN WARNING 13.1 If the employee s performance does not improve within the review period set out in the first written warning, or if there is further evidence of poor performance while the employee first written warning is still active, the CCG may decide to hold a Stage 2 performance hearing. The CCG will send the employee written notification as set out in paragraph 9. 13.2 Following a Stage 2 performance hearing, if the CCG decides that the employee s performance is unsatisfactory, the CCG will give the employee a final written warning, setting out: (a) (b) (c) (d) (e) the areas in which the employee has not met the required performance standards; targets for improvement; any measures, such as additional training or supervision, which will be taken with a view to improving performance; a period for review, which will last between one to two months depending on the complexity of areas requiring improvement; and the consequences of failing to improve within the review period, or of further unsatisfactory performance. 13.3 A final written warning will normally remain active for 12 months from the date of the letter confirming the decision to the employee. A copy of this warning will be placed on the employee s personnel file. 13.4 There will be either weekly or fortnight monthly meetings (depending on the complexity of areas requiring improvement) between the employee and their line manager where their performance will be monitored during the agreed review period (either one or two months). After the conclusion of this review period, the CCG will inform the employee of the outcome: (a) If the employee s line manager is satisfied with their performance, no further action will be taken; however, if there is further evidence of poor performance Management of Unsatisfactory Work Performance Policy Page 15 of 42
within the next three months following expiration of the employee s final written warning, the employee may be invited to a further Stage 2 performance hearing; (b) (c) (d) if the employee s line manager is not satisfied, the matter may be progressed to a Stage 3 performance hearing; or if the employee s line manager feels that there has been a substantial but insufficient improvement, the review period may be extended which will be at the employee s line manager s discretion. If this is the case a review meeting will be arranged to discuss; and the employee s line manager will send the employee the appropriate outcome letter. 13.5 If a final written warning is not issued but there are still concerns regarding performance the line manager will extend the first review period up to a maximum of three months. 14 STAGE 3 HEARING: DISMISSAL OR REDEPLOYMENT 14.1 The CCG may decide to hold a Stage 3 performance hearing if they have reason to believe: (a) (b) (c) the employee s performance has not improved sufficiently within the review period set out in a final written warning; the employee s performance is unsatisfactory while a final written warning is still active; or the employee s performance has been grossly negligent such as to warrant summary dismissal without the need for either a first or final written warning. The CCG will send the employee written notification of the hearing as set out in paragraph 9. Authority to dismiss under this policy is as per the schedule in the CCG s Disciplinary Policy. 14.2 Following the hearing, if the CCG find that the employee s performance is unsatisfactory, the CCG may consider a range of options including: Management of Unsatisfactory Work Performance Policy Page 16 of 42
(a) (b) (c) (d) (e) dismissing the employee; redeploying the employee into another suitable job at the same or a lower grade; extending an active final written warning and setting a further review period (in exceptional cases where the CCG believes a substantial improvement is likely within the review period); or giving a final written warning (where no final written warning is currently active); and the hearing manager will send the employee the appropriate outcome letter. A copy of this letter will be placed on the employee s personnel file. 14.3 Dismissal will normally be with full notice or payment in lieu of notice, unless the employee performance has been so negligent as to amount to gross misconduct, in which case the CCG may dismiss the employee without notice or any pay in lieu. 14.4 Redeployment will be made on the following basis: (a) (b) (c) (d) a trial basis of not less than four weeks; subject to agreed monitoring and review periods; a clear indication of the consequences if the employee fails to perform to the required standards; and that pay protection will not apply. Should the employee refuses such an offer of appropriate redeployment, or where such a position is not available, or where there is a continuing failure to perform at the required standards in the new post, then termination on the grounds of capability will be considered. 15. APPEALS AGAINST ACTION FOR POOR PERFORMANCE 15.1 If the employee feels that a decision about poor performance under this procedure is wrong the employee may appeal in writing, stating their full grounds of appeal Management of Unsatisfactory Work Performance Policy Page 17 of 42
(enclosing any relevant documents), to a member of the Senior Management Team within 5 working days of the date of the written decision. Appeals against dismissal should be made to the Chair. Appeals may only be made on the basis of a failure to follow the proper procedure or where new evidence becomes available that could not reasonably have been available at the original hearing. 15.2 If the employee is appealing against dismissal, the date on which dismissal takes effect will not be delayed pending the outcome of the appeal. However, if the employee appeal is successful they will be reinstated with no loss of continuity or pay. 15.3 If the employee raises any new matters in their appeal, the CCG may need to carry out further investigation. If any new information comes to light the CCG will provide the employee with a summary including, where appropriate, copies of additional relevant documents and witness statements. The employee will have a reasonable opportunity to consider this information before the hearing. 15.4 The CCG will give the employee written notice of the date, time and place of the appeal hearing. This will normally be within 10 working days after the CCG receives the employee full grounds of appeal in writing. 15.5 The employee may ask relevant witnesses to appear at the appeal hearing, providing the employee gives the CCG no less than 5 working days advance notice to arrange their attendance. 15.6 Where possible, the appeal hearing will be conducted by a more senior manager who has not been previously involved in the case. A member of the Arden & GEM Human Resources Department AND/OR the manager who conducted the performance hearing will also usually be present. The employee may bring a companion with them to the appeal hearing (see paragraph 10). 15.7 A hearing may be adjourned if the CCG needs to gather any further information or give consideration to matters discussed at the hearing. The employee will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened. 15.8 Following the appeal hearing the CCG may: (a) confirm the original decision; Management of Unsatisfactory Work Performance Policy Page 18 of 42
(b) (c) revoke the original decision; or substitute a different penalty. 15.9 The CCG will inform the employee in writing of our final decision as soon as possible, usually within 10 working days of the appeal hearing. Where possible the CCG will also explain this to the employee in person. 15.10The decision taken at the appeal hearing will be final and the employee will have no further right of appeal. 16. DUE REGARD 16.1 This policy has been reviewed in relation to having due regard to the Public Sector Equality Duty (PSED) of the Equality Act 2010 to eliminate discrimination; harassment; victimisation; to advance equality of opportunity; and foster good relations between the protected groups. 17. HELP AND ADVICE 17.1 If the employee needs more information about this performance management policy they should ask their line manager or Arden & GEM Human Resources Business Partner who will be pleased to help. Management of Unsatisfactory Work Performance Policy Page 19 of 42
APPENDIX 1 MAPPING THE CAPABILITY PROCEDURE The following flowchart sets out the stages of the Management of Unsatisfactory Work Performance procedure. In the majority of cases, when an employee s performance is unsatisfactory, it will be dealt with informally, and in a supportive manner by the line manager/supervisor. Where the problem remains following the agreed period of review, the formal stages will be invoked as detailed below: INFORMAL STAGE Performance problems first become apparent. Targets for improvement set through dialogue between line manager and employee. Review period agreed (no longer than 2 months). STAGE ONE FIRST WRITTEN WARNING Unsatisfactory performance raised by the Manager with the employee. Employee has right to representation. Action plan for improvement set and monitoring period agreed (usually 1 to 2 months). Required Improvement achieved? No Yes Required Improvement achieved? No Yes No further action required. Return to normal performance management methods. No further action required. Return to normal performance management methods. Warning to remain on file for 6 months if performance is not maintained during this period the matter will proceed immediately to stage 2. STAGE TWO FINAL WRITTEN WARNING Unsatisfactory performance raised by the Manager with the employee. Employee has right to representation. Action plan for improvement set and monitoring period agreed (usually 1 to 2 months). STAGE THREE DISMISSAL OR REDEPLOYMENT Required Improvement achieved? No Yes No further action required. Return to normal performance management methods. Warning to remain on file for 12 months if performance is not maintained during this period the matter will proceed immediately to stage 3. Please see below page Management of Unsatisfactory Work Performance Policy Page 20 of 42
STAGE THREE DISMISSAL OR REDEPLOYMENT Appropriate senior manager to arrange hearing to review the evidence, explore the options available and make a decision about the employee s employment based on their performance. APPEAL Where dismissal has occurred and the employee has appealed, a panel will hear the appeal. At all other formal stages the next level of management will hear the appeal. The appeal is not a rehearing but to review the decision arrived at by the earlier panel and determine whether this has been done fairly and reasonably. If appeal is successful the panel/manager with HR support will decide what further action is required. Is Outcome Dismissal? Yes No It may be appropriate as an alternative to dismissal to make recommendations for other action, which could include redeployment, downgrading, making adjustments to working hours etc. Where a move to another post, downgrading, or change of hours is agreed there will be no protection of salary or terms and conditions. The decision of the appeal panel is final. Management of Unsatisfactory Work Performance Policy Page 21 of 42
Appendix 2 Performance Matters Diagnostic Tool - Employee The purpose of this Tool is to help you and your line manager identify any areas, which may be impacting on your performance so that appropriate support can be identified for you. It is your choice to complete this Tool and for how much information you share with your line manager. However, to ensure that you are offered sufficient support it is important that you do share certain information with your line manager so that they know how best they can help you. If you do not complete this Tool your line manager may not be able to help you sufficiently to reach the desire standard. The information you provide will be treated confidentially and sensitively. Identified area(s) of concern: Line Manager s view of areas of concern Areas for consideration: 1. Knowledge, skills and behaviour 1.1 Are there all the skills and knowledge in place for these competencies or are there areas where extra help/support is necessary? If yes, please give brief details and suggested support: Management of Unsatisfactory Work Performance Policy Page 22 of 42
1.2 Did you receive appropriate and sufficient induction? If no, please give details of any deficiencies: 1.3 Do you know what the appropriate and expected behaviour in the work place is? Have there been any changes in appropriate and expected behaviour? If so, please give brief details and suggested support: 1.4 Are these new issues or have they been discussed before? If these issues have been discussed before please give details: 1.5 Have there been any changes in technology or working practices? If yes, please give brief details and suggested support: Management of Unsatisfactory Work Performance Policy Page 23 of 42
2 Health and other factors 2.1 Are you suffering from ill health, if so may this be impacting on your work? If yes, please give brief details and suggested support: 2.2 Have you experienced a major life event that may have affected your work? If yes, please give brief details and suggested support: 3 The Role 3.1 Are you sure of the boundaries around your role; when your responsibilities stop and other peoples start? If no, please give brief details and suggested support: Management of Unsatisfactory Work Performance Policy Page 24 of 42
3.2 Have you got an up to date job description? If no, please give brief details and suggested support: 3.3 Have you had an appraisal in the last 12 months? If no, please give brief details and suggested support: 3.4 Do you receive regular feedback from your supervisor e.g. 1 to 1 s? If no, please give brief details and suggested support: 4. Work Environment 4.1 How are relationships in your team; is there anything affecting your work in particular? Please give brief details and suggested support: Management of Unsatisfactory Work Performance Policy Page 25 of 42
4.2 Have there been any major organisation changes that may have impacted on your work? If yes, please give brief details and suggested support: 4.3 Do your colleagues support your role and your work? If no, please give brief details and suggested support: 4.4. Could bullying and harassment be a problem? If yes, please give brief details and suggested support: 4.5 Do the systems/infrastructure support your work? If no, please give brief details and suggest any changes that might be required Management of Unsatisfactory Work Performance Policy Page 26 of 42
5 Other support 5.1 Are there any issues that you feel you haven t been able to address but would like to mention or any that you would feel more comfortable discussing with a senior manager? If yes, please give brief details and suggested support: Employee: Date: Manager: Date: Management of Unsatisfactory Work Performance Policy Page 27 of 42
Appendix 3 Performance Matters Diagnostic Tool Line Manager To be completed by the employee's manager where the employee is not reaching the required standards and there is cause for concern. The form will be used at an informal meeting with the employee to discuss performance. Employee s Name: Job Title: Length of service in current role: Name of reviewer: Disciplinary record in last 12 months (state sanction and reason): Details of performance issue(s) and objective(s) not being met Provide summary and examples, insert dates where possible. Attach documents as examples. If improvement plan set indicate how performance has met target and objectives set: Resulting impact on role Perceived causes of problem Management of Unsatisfactory Work Performance Policy Page 28 of 42
Individual s awareness of problem Is employee aware of problem, if so how? When was the last time the issue was raised? If so by whom, when and what was said? [attach document if complaint in writing] Please give a brief summary of agreed action and support Signed by Employee Signed by Manager Dated Dated Management of Unsatisfactory Work Performance Policy Page 29 of 42
Appendix 4 Guidance Notes for Objective Setting and Review Form Please note that this recording process should be followed for the informal and formal procedures. Section A Objective Setting Identify performance issues and then identify the key development areas. Ensure that the employee is clear about the reasons for the concerns and is aware that improvement is needed in those areas. Set clear and concise objectives in relation to each development area. (See Appendix 7 on Setting Smart Objectives). Agree and set down the performance measures that you will use to assess the employee s progress against the objectives. Ensure that these measures are clear and easy to understand. Note down any support or training that will be provided. Ensure that you make clear to the employee and on the form what support you are offering, who they need to deal with to access that support, and how they will access it. (Ensure that any contact details are included here and/or passed to the employee). Put in place the timescales for objectives to be met. Ensure that these are reasonable and functional. You want to have a reasonable period which is not too long but not so short that the individual does not have time to improve and/or change behaviours in the required manner. 1 to 2 months is a suggested period but if it is reasonable to expect an improvement to have been made within a shorter timescale then use a shorter period. Ensure that the employee fully understands the expectations that have been put in place and make sure that they sign and date the form to confirm this. Ensure that you insert the date for the interim review and that this is agreed upon with all parties involved. It is also important to make the employee aware, when relevant, that failure to improve in key areas may result in a stoppage of pay progression in line with KSF requirements. Management of Unsatisfactory Work Performance Policy Page 30 of 42
Section B Interim Review Form List agreed Objectives and Performance Measures and input information on progress against the timescales. If any objectives need amending or have become irrelevant to the employee s performance then please either remove objectives or set amended or new objectives in the lower half of the form. Complete the overall summary giving evidence of achievements and development actions. Rate the employee s progress using the 4 point scale. This rating is based on the employee s performance at the time of the interim review. If further development is needed this needs to be made clear. Ensure that the employee understands and agrees with the comments made and that they sign the form. Ensure that you agree with them a date for the next review. Section C Formal Review List objectives and measures and input information on progress against timescales. State whether or not the objective has been met. Give an overall summary, drawing from evidence of achievement against the objectives set, and rate the employee accordingly. Taking into account the achievements made, decide on what outcome is appropriate. If the review process is to be extended then ensure that objectives are set again or reviewed and the employee is clear about the areas for improvement. If no progress has been made, then progress to the next stage and begin the form filling process again Management of Unsatisfactory Work Performance Policy Page 31 of 42
Example Objective Setting Form Section A Objective Setting Name: Mr Joe Bloggs Department: Administration Appendix 5 Job Title: Administration Assistant Review Period: From: 24.03.08 To: 24.05.08 Training and development actions (To be listed in order of priority) Key development areas identified - Development needed in relation to clerical errors on all documentation - Development needed in relation to the time taken to complete routine administrative tasks. This needs to be in accordance with set KPIs. Objectives (To be listed in order of priority) Objectives/Tasks Performance Measures Support Timescale Improvement over a period of 6 Immediate months up to 95% accuracy on average (monthly average) at the end of the 6 months period. - To attain a standard of 95% accuracy within all KPI specified administrative tasks undertaken. - To achieve all necessary tasks within the specified agreed KPI. Signed by employee: Date: Agreed date for Interim Review: 24.04.08 Achievement of all necessary tasks within the specified time limits. - Clarification of expected accuracy targets at the outset. - Reduced monthly targets with build up to 95% accuracy planned after 6 months. - Support to be provided from colleagues to constructively feedback on any errors. - Further development to be offered in the form of typing and administration training. - Clarification of time limits and expectations in relation to KPI. - Again to include a structured build-up of speed. - Buddy to be identified to support with any queries or questions which may result in slower output. Signed by line manager: Date: Review after 1 month. First target at 80%. Ongoing from outset. To begin as soon as can be arranged. Immediate Review after 3 months. Immediate this has been agreed by management and employee. Management of Unsatisfactory Work Performance Policy Page 32 of 42
Section B Interim Review (1 month) Name: Mr Joe Bloggs Department: Administration Job Title: Administration Assistant Review Period: From: 24.03.08 To: 24.09.08 Performance against objectives set at Review To be listed in order of priority Agreed objective Performance measures Progress against timescales Improvement over a period of 1 month up to 95% Joe has made a marked improvement in the accuracy of accuracy on average at the end of the 2 months his work over the first month but further development is period. needed to reach the required standard of 95%. - To attain a standard of 95% accuracy within all KPI specified administrative tasks undertaken. - To achieve all necessary tasks within the specified agreed KPI. Amendments/changes to objective since set Achievement of all necessary tasks within the specified time limits. Again further development needed but speed of service has improved to a good degree. Agreed objective Performance measures Agreed outcome and timescales - No changes required/identified Overall performance summary Specific evidence should be given in terms of overall performance against job responsibilities, achievement of objectives and development actions and how the person has worked to achieve these. Accuracy has improved and has been monitored throughout. Target of 90% has been achieved although this is not continuous so further maintenance of targets and further improvement is needed over the next month. Speed of work has also increased although Joe is aware that there is further need to develop this to ensure that KPI targets are met in relation to all areas. Rating VG Very good G Good D Development required X SD Significant development required Signed by employee: Date: Agreed date for Review: 24.05.08 Signed by line manager: Date: Management of Unsatisfactory Work Performance Policy Page 33 of 42
Section C Formal Review (2 months) Name: Mr Joe Bloggs Department: Administration Job Title: Administration Assistant Review Period: From: 24.03.08 To: 24.05.08 Performance against objectives set at review To be listed in order of priority Agreed Objective Performance measures Progress against timescales Objective - To attain a standard of 95% accuracy within all KPI specified administrative tasks undertaken. - To achieve all necessary tasks within the specified agreed KPI. Improvement over a period of 2 months up to 95% accuracy on average at the end of the 2 months period. Achievement of all necessary tasks within the specified time limits. Progress has been made and the required 95% has been achieved (and maintained for the last month). Again progress has been made in relation to this. Tasks are completed within the required timescales and Joe has become much better at prioritising and organising work in order to comply with the KPI targets. Met YES/NO Overall performance summary Specific evidence should be given in terms of overall performance against job responsibilities, achievement of objectives and development actions and how the person has worked to achieve these. Joe has managed to achieve both set targets over the 6 month period. He has worked well with colleagues and welcomed support from others as well as undertaking further training relevant to the objectives. He will need to ensure that he maintains these standards over the coming months and that if issues begin to arise again that he seeks further support. Rating VG Very good G Good X D Development required SD Significant development required YES YES Management of Unsatisfactory Work Performance Policy Page 34 of 42
Agreed Review Outcome 1. Standard achieved & maintained significant improvement no further action required Tick X 2. Significant improvement but required standard not yet achieved - extend review process 3. Standard not achieved, no significant improvement progress to next stage Signed by employee: Signed by line manager: Date: Agreed date for Review: No further review other than annual appraisal Date: Management of Unsatisfactory Work Performance Policy Page 35 of 42
Objective Setting Form Template Appendix 6 Section A Objective Setting Name: Department: Job Title: Review Period: From: To: Training and development actions To be listed in order of priority Key development areas identified Objectives To be listed in order of priority Objectives/Tasks Performance Measures Support Timescale Signed by employee: Date: Agreed date for Interim Review: Signed by line manager: Date: Management of Unsatisfactory Work Performance Policy Page 36 of 42
Section B Name: Interim Review (1 month) Department: Job Title: Review Period: From: To: Performance against objectives set at Review. To be listed in order of priority Agreed objective Performance measures Progress against timescales Amendments/changes to objective since set Agreed objective Performance measures Agreed outcome and timescales Overall performance summary Specific evidence should be given in terms of overall performance against job responsibilities, achievement of objectives and development actions and how the person has worked to achieve these. Rating VG Very good G - Good D Development required SD Significant development required Signed by employee: Date: Agreed date for Review: Signed by line manager: Date: Management of Unsatisfactory Work Performance Policy Page 37 of 42
Section C Name: Formal Review (2 months) Department: Job Title: Review Period: From: To: Performance against objectives set at review To be listed in order of priority Agreed Objective Performance measures Progress against timescales Objective Met YES/NO Overall performance summary Specific evidence should be given in terms of overall performance against job responsibilities, achievement of objectives and development actions and how the person has worked to achieve these. Rating VG Very good G Good D Development required SD Significant development required Management of Unsatisfactory Work Performance Policy Page 38 of 42
Agreed Review Outcome Tick 4. Standard achieved & maintained significant improvement no further action required 5. Significant improvement but required standard not yet achieved - extend review process 6. Standard not achieved, no significant improvement progress to next stage Signed by employee: Date: Agreed date for Review: Signed by line manager: Date: Management of Unsatisfactory Work Performance Policy Page 39 of 42
Appendix 7 Setting Objectives In order for managers and organisations to get the most out of their employees the CCG needs to ensure that all employees are clear on what they should be achieving, how they should be achieving that and within what time restraints. Employees will feel more engaged and productive if they are provided with a clear framework to work within and given clear goals to aspire to. In order to facilitate this, it is important to set some clear objectives from the outset. Where performance issues have arisen this may be partly due to a lack of clarity around roles, responsibilities or methods of working and therefore if this is the case there is a real need for objectives to be developed with members of staff. There are various ways to set objectives with staff and each situation will be different. What is key is that the objectives that have been set meet the requirements of the organisation and the employee s manager as well as encouraging and supporting the employee to achieve at a high level. A valuable tool when setting objectives is using the SMART acronym. This can help to pin down objectives and provide clarity. Specific Measurable Always ensure that the objectives that you set are straightforward and comprehensive. They should be focussed towards that individual working within their current environment. They should be detailed and all points should be relevant to the employee completing their job to their best ability. Ensure that it is possible to monitor the objectives you have set. If they are ambiguous then you will not be able to see clearly where progress has or has not been made. Consider comparisons against norms, average employee targets or statistics (for example around absence) or simply look at translating the output of the employee onto some kind of scale for comparison (poor, average, good, excellent). Management of Unsatisfactory Work Performance Policy Page 40 of 42
Achievable Realistic Timely There is no point in setting unachievable objectives as this will cause de-motivation and disengagement in staff. Objectives need to be specific to the individual; so what may be an achievable standard for one person in a certain role may simply not be attainable for another person in the same role and whilst managers need to ensure that business needs are being achieved, they must also take these differences into account. Some people may excel in a role whereas others may not excel but may still be able to reach an acceptable standard. You need to be realistic in what you are asking of people given their skills, knowledge, experience and current environment. If an employee knows that they have all the tools and access to all the right information in order to be successful then they will be much more likely to achieve their targets. Time scales should be realistic and, where necessary, flexible. Ensure that you set timeframes for objectives to be met so that employees know what is expected of them and can pace themselves and gauge the level of detail and/or planning needed for certain tasks. Be reasonable if it is not possible to get something done within a certain time frame then attempting to put this pressure onto employees will simply result in de-motivation and will be likely to cause unwarranted tension within teams. Remember to consider the environment in which the employee you are working with is functioning. The things that can be achieved by an individual can vary widely depending on where they work and with whom and what resources are available to them. Ensure that your objectives have support offers and suggestions built into them in case the employee comes up against issues and that there is scope for review if situations change and objectives become irrelevant or unnecessary or timescales alter. It is always good to remember that the best objectives, whilst detailed, are simple. WHAT do you want to achieve? WHY is this important? Management of Unsatisfactory Work Performance Policy Page 41 of 42
WHO will be involved/affected? WHEN does this need to be completed by and when will it be reviewed? HOW will this be achieved? What tools, resources and/or contacts will be needed and are these available? HOW WILL I KNOW? Ensure that measures are in place to enable you to assess progress. Management of Unsatisfactory Work Performance Policy Page 42 of 42