2.12 Capability Procedure

Contents

1. Introduction                                      
2. The Process                                       
3. Stage One                                         
4. Stage Two                                         
5. Stage Three – Final Stage Before Dismissal        
6. Ill Health                                              
7. Return to Work Interviews                         
8. Appeals Procedure                                 

1. Introduction

If an employee’s work is not satisfactory, the reasons must be clearly identified.  It should be established whether the poor performance is deliberate, in which case it constitutes misconduct and the disciplinary procedure should be used, or whether it is due to lack of capability.

In many poor performance cases, improvement can be achieved by additional training or a period of direct supervision, but in others the problem mat relate to ill health or problems outside the work place.  This procedure covers all instances.  It is therefore essential that the employee is clear about the requirement of their job in terms of responsibilities, standards and objectives.

2. The Process

The formal capability procedure is a three staged process.  The individual may be accompanied by a work colleague at any stage.  The responsibility for identifying and dealing with the problem lies with the line manager.

Before the formal procedure is instigated, The Director of Care Director/Area Manager should undertake an informal discussion with the member of staff concerned to establish the reasons for the poor performance and agree steps to resolve the problem.  Should this discussion result in a decision that the established standards are not reasonable attainable, the standards will be reviewed.  Should this discussion reveal that the problems are related to the individual’s personal life, counselling and support will be provided.

Line managers must record the fact that the discussion, no matter how informal, has taken place.  Employees, can if they wish, involve a work colleague at any stage in the discussion.

3. Stage One

If a problem has not been resolved through the informal discussion, the line manager should undertake a formal discussion with the member of staff concerned, informing them that this is part of the formal capability procedure.  The Director of Care Director/Area Manager should also be informed at this stage.  The member of staff should be told that they can be accompanied by a work colleague if they so wish.

The aim of the formal discussion will be to:

1. Identify the cause(s) of the poor performance and to determine what, if any, remedial treatment can be given, (e.g. training, re-training, support, re-deployment.)
2. Explain clearly the shortfall between the individual’s performance and the required standard.
3. Obtain the individual’s commitment to reaching that standard.
4. Set a reasonable period for the individual to reach the standard and agree on a monitoring system during that period.
5. Tell the individual what will happen if that standard is not met.

The outcome of this interview will be recorded in writing and a copy will be given to the individual and representative.

At the end of the review period, a further formal interview will be held with the line manager.  the Director of Care Director/Area Manager will also be present.

If there has been an improvement in performance and it now reaches the required standard, then no further action is necessary.

4. Stage Two

If no improvement has occurred, the Home Manager should arrange a formal discussion with the member of staff, informing then that the interview is part of the formal Capability Procedure.  The immediate line manager and the Director of Care Director/Area Manager should be present at the interview.

The member of staff should be asked to explain why their performance has not improved.  If the Director of Care Director/Area Manager are not happy with the reasons given, they should warn the employee that if there is no further improvement, it could lead to discipline with the potential to dismiss.

A further review period should be set, including dates for feedback of performance during that period.  A written record of the interview should be taken and a copy given to the member of staff, including the review dates.  A copy of the review should be sent to the Director of Care Director/Area Manager and a copy to the employee’s representative involved.

There is an obligation on the line manager to consult their senior manager and review the support mechanisms in place, to ensure that they are adequate.

If there has been an improvement in performance and it now reaches the required standard, then no further action is necessary.

5. Stage Three – Final Stage Before Dismissal

If at the end of the review period there has been no improvement, then a formal interview will take place.  Present at the interview should be the line manager, Director of Care Director/Area Manager and the individual concerned, with their representative if they so wish.  The individual should be asked to give a further explanation as to the reason that their work performance has not improved.  The interview panel will discuss the case and decide on the action to be taken.

It is the responsibility of the interview panel to decide on the action to be taken.

Consideration will be given to whether there are alternative vacancies which the individual would be competent to fill.  If there are, the individual will be given the option of accepting such a vacancy or being dismissed.

If such vacancies are available, the individual will be given full details of such vacancies, in writing, before being required to make a decision.  In the absence of suitable alternative work, the individual will be told that the employer has no alternative but to dismiss.  The individual will be invited to give his/her views on this before the final decision is taken.

6. Ill Health

6.1   Prolonged Absence (14 weeks or more).

The line manager must maintain regular contact with the employee and keep up to date with the apparent state of health and inform the Director of Care Director/Area Manager of the evolving situation.

The line manager will arrange a home visit after six weeks and thereafter every twelve weeks.  The line manager will inform the individual if their employment is likely to be at risk.  However, each case will be considered on its own merit.

The individual will be asked to give their consent under Access to Medical Records Act 1988, for their GP to be contacted for medical information about the possibility of the individual returning to work and any limitations on the work that could be done.  Individuals will be informed of their rights under the Act.

The company reserves the right to ask for a second opinion.

On the basis of the medical information available and taking into account the employee’s work record to date, the line manager, in conjunction with the Director of Care Director/Area Manager, will decide on what future action to take.  The action will be one of the following: Wait for the employee to return to work, offer alternative work if available, return to work on a part-time basis for an agreed period of time, dismissal or retirement on the grounds of ill health.

(Refer to the Disciplinary Procedure for the level of authority required to dismiss an employee).

6.2   Persistent Short-term Absence.

Once a pattern of absence has been identified, the line manager should establish the cause.  If the problem is not resolved, then the Capability Procedure should be applied.

7. Return to Work Interviews

If any employee has been absent for more than fourteen weeks, a return to work interview will be conducted by the line manager, where the focus of the interview is to inform the individual of:

1. Any change in working practices.
2. Organisational change.
3. Key individual and team priorities/objectives.
4. Any training/re-training that may be required.

The line manager will need to ascertain whether the individual has any “special needs” following their period of ill health.

8. Appeals Procedure

The employee has a right of appeal against the outcome of the Capability Procedure.  The appeal must be submitted in writing to the Area Manager who will consult the Director of Care.

The appeal will be heard within 10 working days of receipt and the result will be confirmed in writing.  Any decision made at appeal will be final.

See Disciplinary Procedure, Section 7, Right of Appeal

End