Human Resources Policy No. HR06
Maintaining High Standards of Performance
Additionally refer to:
HR10 Employee Appraisal/Development Review
HR44 Knowledge and Skills Framework
HR36 Disciplinary Procedure
HR63 Managing Poor Performance
Sponsor:
Head of Human Resources in conjunction with Director of Corporate Affairs
Date agreed by TNCC:
December 2009
Date agreed by Board:
January 2010
Date of next review:
30 July 2015
Version:
3
The original expiry date of this policy has been extended in agreement with staff side as we
transition into a new policy consultation process.
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Policy Number HR06
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Contents
Page Number
Section 1
Introduction
3
Section 2
Scope
3
Section 3
Setting Standards of Performance
3
Section 4
Performance Review and Development
5
Section 5
Performance Improvement Plans (PIPs)
6
Section 6
Alternative Employment
7
Appendix A
Performance Improvement Plan Proforma
8
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1.
INTRODUCTION
1.1
This policy sets out how managers should handle issues concerning declining or
substandard performance and provides guidance on how to encourage improvement. It
also provides a mechanism by which staff who have concerns about their own performance
or ability to carry out their duties may self-report these to managers, and so be supported
towards improvement.
1.2
The Trust is committed to encouraging and supporting staff to perform to the best of
their ability. This includes encouraging staff to self-report if they have concerns about their
own performance or ability to carry out their duties. Therefore, in managing poor
performance, the emphasis must be on supporting the individual to achieve satisfactory
standards.
1.3
This policy is not designed to be used where an individual’s performance on an occasion is
so serious as to warrant immediate formal action under the Disciplinary Procedure.
2.
SCOPE
2.1
This policy applies to all staff other than doctors and dentists, for whom separate
procedures apply.
2.2
In implementing this policy, managers must ensure that all staff are treated fairly and within
the provisions and spirit of the Trust’s Equal Opportunities Policy. Special attention should
be paid to ensuring the policy is understood when using it for staff new to the NHS or Trust,
by staff whose literacy or use of English is weak or for persons with little experience of
working life.
3.
SETTING STANDARDS OF PERFORMANCE
3.1
The Trust requires that all staff perform to at least the minimum standards required by the
role for which they are employed. Employees have a responsibility to achieve a satisfactory
level of performance.
3.1
Managing the performance of staff is crucial to the effectiveness of any unit. Managers
have a responsibility to support and encourage good performance and also to tackle
declining or substandard performance. The responsibility for determining the standards
required for any role also rests with Managers.
3.2
Standards of performance provide a means of judging what is acceptable to the Trust.
They should be specific, realistic, measurable and appropriate to the role.
3.3
Required standards of performance may be specified in a range of written documents (eg:
job descriptions, KSF Outlines, Contracts of Employment, Codes of Conduct, Procedures,
Protocols etc) or be unwritten implicit standards (eg being polite to patients, relatives and
colleagues).
3.4
Managers are also responsible for ensuring employees are competent to undertake the
duties and tasks required of them. Any shortfall in performance should be pointed out to
the employee concerned and consideration given as to whether this is due to inadequate
instruction, training, supervision or some other failing outside the employee’s control.
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3.5
Employees are responsible for notifying managers of any concerns they have regarding
their ability to undertake the duties and tasks required of them.
3.6
Where an individual fails to reach the required performance standard, the prime
responsibility for addressing the problem lies with the line manager, although day to day
supervision and monitoring of performance will often be delegated.
3.7
Where performance fails to meet the required standard, or where an individual self-refers
concerns about his/her own performance or ability to carry out his/her duties,
managers/supervisors should meet with the individual without delay, clarify in what way
current performance fails to meet the required standard and explain the standards required.
In all cases, the cause of the poor performance should be investigated, with the individual
being asked for an explanation and any explanation checked. The manager/supervisor
should also consider whether any shortfall is due to unreasonable expectation or lack of
proper explanation on their part and whether performance might be improved by suitable
development, training or improved supervision.
3.8
Where the reason for the poor performance is a lack of the required skills, the employee
should be assisted by the provision of appropriate development, training or guidance and
given reasonable time to reach the required standard. In some cases this may involve the
individual temporarily changing their working rota in order to facilitate the development,
training or supervision.
3.9
Informal Action
In most cases, it is expected that shortfalls in performance will be temporary and that
informal corrective action (as set out above) by the immediate supervisor or manager will
be sufficient to enable the individual to attain and maintain the required standards. The
approach will, therefore, be one of support and constructive criticism, with a focus on
development. Managers and staff may wish to consider the use of such support
mechanism as mentors or refresher training where this is appropriate.
3.10
Formal action
3.10.1 Where initial action fails to result in the required improvement, or where the failure is
sufficiently serious, the manager should meet formally with the individual and set out the
following, which should be confirmed in writing after the meeting:
the performance problem(s)
the improvement that is required/standard to be achieved
the timescale for achieving this improvement
a review date
the support to be provided to enable the individual to improve
the consequences for the individual if they fail to meet the required standard within
the specified timescale (i.e. that the matter will be handled in accordance with policy
HR63 Managing Poor Performance and may ultimately result in termination of
employment).
At this stage the manager may wish to use a Performance Improvement Plan to set out
what is required (see below).
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3.10.2 A Human Resources representative should be consulted before any formal action is taken
in accordance with this procedure. The role of Human Resources includes advice and
assistance to managers on matters relating to performance management and to ensure
reasonable action is taken. A Human Resources representative may be present at this
formal meeting.
3.10.3 Where the matter is to be put on to a formal footing the individual should be advised prior to
the meeting of their right to be accompanied at the meeting by their Trade
Union/Professional organisation representative or by a colleague from within the Trust.
Where the person is to be represented it is their responsibility to arrange this for the
required time and the representative will be given reasonable time off to be briefed on
issues and to represent the employee.
3.11
Where an individual shows the required improvement, the manager should confirm this
positively to the individual, both orally and in writing. The need for continued, but lighter,
support should also be assessed and agreed so as to enable the improved performance to
be maintained.
3.12
Where the individual fails to meet the required standard the manager may decide to extend
the existing arrangements (e.g. by providing further support or training) or may decide to
handle the matter under policy HR63 Managing Poor Performance.
3.13
New Entrants to the Team
When an individual joins the team, whether on initial recruitment to the Trust or following an
internal transfer or promotion, the line manager should explain the standard of work
required in the new role and clearly set out their expectations of the individual as part of the
individual’s induction to the team. Special attention should be paid to ensuring that these
standards are understood by those new to the NHS or Trust, by staff whose literacy or use
of English is weak and by persons with little experience of working life.
3.14
Job descriptions should accurately and fairly reflect the main purpose and key
responsibilities of each job, but should not be viewed as being an exhaustive list of the
duties or tasks to be undertaken by the jobholder. All staff may be required to carry out
other duties that are within their competence, according to the needs of the service.
3.15
The Knowledge and Skills Framework outline for the post should be complete, up to date,
and reflect the range of knowledge and skills required by the posthholder to carry out the
requirements of the job description. Appraisals/Development Reviews and Personal
Development Plans will be based on the KSF Outline.
3.16
Staff should not be required to perform duties for which they are not competent, other than
when working with appropriate supervision or when under training. Good practice in
recruitment and selection will minimise the risk of poor performance from new entrants to
the team. Similarly, good practice in appraisal and personal/professional development will
minimise the risk of poor performance arising in established staff.
4.
PERFORMANCE REVIEW AND DEVELOPMENT
4.1
The Trust’s appraisal system provides a systematic method of regularly reviewing an
individual’s performance in a job and assesses their training and development needs within
the role. It is essential that this process be carried out regularly and in a fair and objective
manner.
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4.2
The assessment criteria used in appraisal should be non-discriminatory and must be
applied within the provisions and spirit of the Trust’s Equal Opportunities Policy. Criteria
should be reasonable, relevant to the requirements of the job and measurable.
4.3
Appraisers should be aware of the dangers of stereotyping and of making assumptions
based on inadequate knowledge. The Trust’s internal training programme for appraisers
will cover this issue and the need to assess performance based on reliable evidence.
5.
PERFORMANCE IMPROVEMENT PLANS (“PIPs”)
5.1
A PIP is a tool which can be used in any case where a performance problem is identified.
Sub-standard performance can be dealt with on an informal or formal basis and PIPs can
be used in both situations. A PIP pro-forma is attached at Appendix A.
5.2
The use of a PIP provides an effective process for the monitoring of under-performance.
The PIP provides a mechanism for clarifying performance expectations but also for
demonstrating that the Trust has acted reasonably in the way it is managing the
performance problem.
5.3
A PIP outlines a number of specific, required actions designed to help the individual attain
the required standards. It should normally be agreed with the individual with feedback on
the individual’s current performance being provided via review meetings at fortnightly
intervals (or other agreed review period).
5.4
The period of time taken to implement a PIP will depend on the nature of the underperformance and the training required, but should normally take no longer than three
months. For employees with less than one year’s service with the Trust, the PIP should
normally be implemented over a one month period.
5.5
Where a manager wishes to address the performance problem informally, they should
advise the individual that their performance is less than satisfactory as soon as possible. A
PIP may be used at the informal stage of this procedure to assist the individual in improving
their performance.
5.6
Where a manager wishes to address the performance problem on a more formal basis, a
PIP may be used ahead of any formal action under policy HR63 Managing Poor
Performance procedure or in support of that action.
5.7
PIPs are an obvious tool to use following a poor appraisal or where an individual fails to
achieve the standard required to pass through a KSF gateway (use in accordance with
HR44 Knowledge and Skills Framework). In such cases it is essential that the individual’s
performance be regularly monitored and the PIP period should not necessarily be restricted
to quarterly formal monitoring. A formal review could be initiated at any time with prior
notice to the individual concerned.
5.8
If the individual fails to respond to the formal PIP, the performance problem should then be
handled in accordance with policy HR63: Managing Poor Performance.
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6.
ALTERNATIVE EMPLOYMENT
6.1
In some cases, the individual may request a move to an alternative role. The line manager
should refer such requests to the relevant Divisional General Manager or Head of Service,
who will review the alternatives that may be available.
If the request is for a move to another role at the same band, any resulting transfer will
be on the basis of a competitive interview against the requirements of the new role and
alongside any other candidates; the performance improvement requirement will be
carried forward into the new role.
If the request is for a move to a lower band, the Divisional General Manager/Head of
Service has discretion to offer the individual a transfer into a suitable alternative
position without the need for competitive interview; such cases should be referred to
HR for guidance.
6.2
Where the poor or deteriorating performance is identified as possibly being the result of ill
health or declining health, the manager should refer the matter to HR for guidance. The
matter should then be handled in accordance with the appropriate HR policy (HR31
Managing Sickness Absence, HR32 Ill Health Retirement or HR40 Employment of People
with Disabilities). In such cases an Occupational Health assessment will be sought ahead of
any decision, and alternatives may include making reasonable adjustments to the current
role or redeployment into a suitable alternative position.
6.3
Where an individual is redeployed at their request into an alternative role, the individual will
move to the terms and conditions applicable to the new role.
7.
MONITOR AND REVIEW
7.1
The Trust will regularly monitor and review activity under this policy and its effectiveness in
resolving concerns about performance.
7.2
Measures will include:



Number of cases being referred to HR Advisors/Managers for support.
Number of appeals against decisions taken under this procedure.
On-going discussions with TNCC representatives.
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PERSONAL IMPROVEMENT PLAN
Appendix A
Name of Employee Standards Required (refer to KSF)
KSF
ref
Area of Work
Specific Activity
Standard Required
Support Provided
Employee Action
1
2
3
4
5
/Continued
Signed …………………………………..…………………………… (Line Manager)
Date ………………………………………………….
Signed …………………………………..…………………………… (Employee)
Date ………………………………………………….
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REVIEW OF PERSONAL IMPROVEMENT PLAN
Review 1
Review 2
Review 3
Review 4
Review 5
1
2
3
4
5
Date
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Final Review