Performance Management Policy

Milton Keynes Primary Care (NHS) Trust

Staff Performance Management Policy

This Policy supports the Trust’s ability to deliver a quality service by providing a framework for managers to help individuals achieve and maintain expected standards of performance.

We welcome feedback on this policy and the way it operates. We are interested to know of any possible or actual adverse impact that this policy/procedure may have on any groups in respect of gender or marital status, race, disability, sexual orientation, religion or belief, age or other characteristics.

Version Date Last review Review date Equality Author/ approved impact contact person assessment 1 24/03/2010 N/A 31st May 2012 Yes Sian Aylett, 23/03/2010 HR Manager

For use in (area) Trust wide For use by (staff group/s) All staff groups except for (Medical & Dental) For use for (staff/patients/public) All staff groups Document owner (Director) Human Resources Document status (draft/approved) Approved

Draft version Date Author Reason 1 March 2010 Sian Aylett Update policy in line HR Manager 243599 with best practice.

Performance Management Policy Page 1/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust

Performance Management Policy

Contents Page No. 1.0 Introduction 1.1 Policy Statement & Aim 4 1.2 Objective 4 1.3 Scope 4 1.4 Roles & Responsibilities 4 1.5 How This Document Is Structured 5 1.6 General Principles 5 1.61 Supporting Processes 5 1.62 When to use Appraisal/PDR/Supervision or this Policy 6 1.63 Capability or Negligence 6 1.64 Incapability due to a Health Condition or Disability 7 1.65 Overview of Process 8 1.66 Reporting Cases & HR Advice 8 2.0 Flow Chart of Stages Procedure 9 3.0 Informal Monitoring & Review 10 3.1 Preparation 10 3.2 Review Meeting 10 4.0 Formal Monitoring & Review 12 4.1 Stage One & Stage Two 12 4.11 Review Meeting 12 4.12 Possible Outcomes 13 4.2 Stage Three 14 4.21 Review Meeting 14 4.22 Possible Outcomes 15 5.0 Appeals Process 15 5.1 Stages One & Two 16 5.2 Stage Three 16 6.0 Supporting Considerations 17 6.1 Serious/Gross Incompetence 17 6.2 Alternative Action to Dismissal 17 6.3 Early Retirement 17 6.4 Additional Procedures 18 6.5 Sickness Absence During Process 18 6.6 Staff Working Unsocial Hours 18 6.7 Employee Records 18 7.0 Statutory Regulating Bodies 19 8.0 Audit & Monitoring Criteria 19 9.0 Equality Impact Assessment 19 10.0 Standards for Better Health 19 11.0 Statement of evidence/references 20 12.0 Dissemination of document 20 13.0 Overall responsibility for document 20 14.0 Attachments 21 Appendix 1 – Guidance For Managers on Reasonableness 22 Appendix 2 – Performance Management Record 24 Appendix 3 – Performance Improvement Plan PIP 25 Appendix 4 – Letter 1 Informal Review Meeting 26 Performance Management Policy Page 2/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust - Meeting Template 27 – Letter 2 Informal Review – Outcome NFA 29 – Letter 3 Stage 1 Formal Review Meeting Invite 30 - Letter 4 Stage 1 - Outcome NFA 31 - Letter 5 Stage 1 – Outcome Extend 32 - Letter 6 Stage 1 – Outcome Written Warning 33 - Letter 7 Stage 2 Formal Review Meeting Invite 35 - Letter 8 Stage 2 – Outcome NFA 36 - Letter 9 Stage 2 – Outcome Extend 37 - Letter 10 Stage 2 – Outcome Final Warning 38 - Letter 11 Stage 3 Formal Review Invite 40 - Letter 12 Stage 3 – Outcome No Further Action 42 - Letter 13 Stage 3 – Outcome Extend 43 - Letter 14 Stage 3 – Outcome Dismissal 44

1.0 Introduction

1.1 Policy Statement & Aim

This document details the policy and procedure which will be followed by the Trust’s managers when dealing with members of staff whose capability to perform the duties of their post satisfactorily, is brought into question. The procedure has been written in accordance with current employment legislation, ACAS guidelines and best practice.

The purpose of this procedure is to help employees achieve and maintain acceptable standards of performance and through this maximise our effectiveness and delivery of quality care and service. To achieve this aim it is vital that a culture exists within the organisation whereby employees know and understand what is expected of them and that concerns about performance are addressed promptly and effectively.

1.2 Objective

Application of this policy and procedure will help managers ensure consistency across the Trust, where employees whose work performance is unsatisfactory, are treated fairly and reasonably, whilst preserving the interests of the Trust.

It will give staff the opportunity to improve their work performance to an acceptable standard by providing a structure for;

 review of performance against clear standards,  support mechanisms to be considered,  the means to be advised formally of the effects and potential consequences for continued employment should there be no significant improvement.

1.3 Scope

This procedure applies to all members of staff in the Trust from Provider and Commissioner organisations, with the exception of medical and dental staff, for whom there is a separate policy and procedure.

1.4 Roles & Responsibilities

1.41 Employees have a continuing responsibility;

 to be familiar with the requirements of their job description  seek clarification where they are unclear,  to perform to a satisfactory level and recognise when their performance is falling below the standard required,  inform their manager of any reason which stops them performing to the standard required (whether this is personal or related to an issue or process at work),  to request and attend training, supervision, support in order to be able to meet the standard required, including their continuing professional development and maintaining professional registration (where applicable),  to engage in this process and to contribute to the development of a suitable action plan for improving work performance.

Performance Management Policy Page 4/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust 1.42 The Trust through its Managers, who are defined here, as any person who has responsibility for other staff, is responsible for the implementation of this policy.

They should ensure that employees are aware of this policy and have a responsibility to monitor and manage performance on a day to day basis.

Managers are responsible for; application of this policy where concerns arise, to investigate the reasons why an individual’s performance has fallen short of an acceptable standard, to provide support and encouragement, to make the most of opportunities for improvement and to provide realistic and measurable standards for performance.

Managers Responsibilities;

 Ensure employees receive the training, development, supervision and support required for their role and that appropriate records are maintained,  Discuss the job description with the employee and keep this updated to reflect the requirements of the job and any training needs,  Ensure that employees receive appraisal/Performance Development Review’s in line with the PDR policy,  Attend training on the application of this policy,  Apply this policy where concerns arise and ensure that the member of staff is communicated with and is informed of the policy & process at every stage,  Record and evidence employees performance including specific examples as defined in this policy,  To make any reasonable adjustments and provide appropriate support for staff to ensure equality and diversity are maintained.

1.43 Human Resources are responsible for the monitoring and review of this policy in respect of legal requirements and best practice. Formal action taken under this policy will be monitored by Human Resources which will include consideration of its application in terms of equal opportunities; this will be reported annually in the HR Annual Report.

1.5 How This Document Is Structured

The first section of the policy has been written to provide an understanding of the principles by which this policy should be applied and there is guidance for managers around the reasonableness of management action, in appendix one.

The next section explains how a case may move from being managed via a ‘day to day’ process (i.e. development plans, supervision), into the performance management policy.

A flow chart gives an overview of the whole process followed by a narrative of the sequence of events that may be encountered by a manager and employee when they are using the policy. There are supporting template documents in the appendices; monitoring form, draft letters and meeting plans. Use of these particular documents is not mandatory but managers need to ensure adequate processes are in place to substitute the principle of these templates.

1.6 General Principles

1.61 Supporting Processes

The Trust recognises that the instances of poor performance can be reduced by the use of effective recruitment, selection, induction, training & development, appraisal/PDR and supervision processes. Performance Management Policy Page 6/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust

Line Managers have a responsibility to provide monitoring and support to staff and to be aware of departmental and individual workload pressures (please refer to Appendix 1 – Guidance to Reasonableness).

Regular line management contact and supervision should be used to identify and acknowledge good performance, achievement and improvements. This normal framework of line management supervision and appraisal/PDR are also the settings for discussing concerns about an employee’s level of performance at the earliest possible stage.

1.62 When to Use Appraisal / PDR / Supervision or Performance Management

In cases where the required improvement in performance is not achieved through the processes described above or these concerns are of significance, it will be the responsibility of the line manager to conduct informal and formal meetings held under this procedure. To help distinguish the difference between the appraisal/PDR/supervision development and the use of this policy the following diagram has been designed;

Yes, but needs Address gap to develop this via Supervision skill/knowledge Appraisal PDR further. If not successful

Manager identifies Given this gap, is the acceptable performance a gap in an individuals individual working to an ability. Could be from acceptable level in the unacceptable performance e.g. observation, role ? incident.

No, it is a fundamental requirement of the role & a plan needs to be put in place.

Address the gap via informal or formal stages of the Performance management Policy.

Basically, the deciding factor is whether the individual is performing to an acceptable level in the role, taking into account the gap that has been identified. If they are, then this should be managed as part of the normal management processes for development i.e. through supervision or PDR. However, if they are not, then this should be managed through the Performance Management Policy at an informal or formal stage, depending upon the nature of the gap identified.

1.63 Capability or Negligence

A clear distinction should be made between poor work performance which is due to negligence, and that which is due to a lack of capability i.e. due to lack of skill, knowledge, experience or aptitude. Poor performance which is due to a genuine lack of capability should be managed through this policy. Performance Management Policy Page 7/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust

Negligence will normally involve some degree of personal blame in that the employee is capable of doing the job, but the level of performance is inadequate, due to lack of motivation or attention. Such issues can be considered as wilful negligence or misconduct and should therefore be addressed using the Disciplinary Procedure, as the employee has the ability to perform to the required standard but is not doing so.

1.64 Incapability Due To a Health Condition or Disability

Where an individual is unable to achieve the required standard of work and this may be due to a health condition that is recognised under the Disability Discrimination Act, or not. Consideration needs to be given as to whether this policy is the appropriate one to manage their performance capability or if the “Policy & Procedure on Sickness Absence Management”, should be applied. To help understand the basis of this decision the manager will need to explore the nature of the issues that are affecting the individual’s performance with the employee.

Where an underlying health condition is not impacting on performance, then the concern for the employee’s performance should be managed through this policy. However, where the concern around performance could be directly related to an underlying health condition, this may be more appropriately managed through the “Policy & Procedure On Sickness Absence Management”.

Use of this policy or the Sickness Absence Management one, will depend upon the specific nature of the circumstances involved and determination of which is the most appropriate in consideration of these. For example, the impact of the condition may not include absence from work and the ongoing health of the employee may not be affected, therefore in this scenario the Performance Management policy may be more appropriate.

If managers are unclear as to which is the most appropriate policy to apply they may seek advice from their HR advisor.

Whichever policy is used as the framework for managing the performance capability, there must be appropriate consideration of reasonable adjustments and their impact upon performance. The Disability Discrimination Act (1995) makes it unlawful to discriminate against people with disabilities by dismissing them or subjecting them to any detriment which cannot be justified. Managers must ensure that any action is justified, and that the reason for issuing a formal review or dismissal is not one that can be removed by a reasonable adjustment.

Adjustments to the contracted post or working environment

The employee or manager may identify adjustments for consideration which could be to the working environment e.g. a piece of equipment or they could be related to the post e.g. revision to tasks or a different work pattern.

A manager will be expected to apply such adjustments where possible, taking into account; the ability of the Trust to do so, in relation to the organisations’ size and resources available. If adjustments are refused by the Trust management, there must be objective reasons for this, which are stated and factually based,. If a recommendation(s) are/is deemed to be unreasonable, the Trust is required to justify this conclusion through Performance Management Policy Page 8/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust consideration of the following areas: -

 Effectiveness  Need  Practicability  Financial / cost.

If recommended adjustment(s) are seen as being unreasonable the associated facts and the decision making process must be provided in writing to the employee. This will provide a record and enable scrutiny. If adjustments are not able to be implemented, consideration as to the continued employment of the employee is required, or examination of alternative employment.

Where an individual’s performance is affected by an alcohol or drug misuse problem, support will be provided in line with the Substance Abuse Policy.

1.65 Overview of Process

 Informal Review between employee & line manager (Informal monitoring with Performance Improvement Plan)  Formal Stage One Meeting & Written Warning (8 wks review period)  Formal Stage Two Meeting & Final Written Warning (8 wks review period)  Formal Stage Three Meeting & Potential Dismissal  Formal Stage Four Appeal Meeting

A flow chart follows overleaf to depict this process, followed by narrative to explain each stage of the process.

1.66 Reporting Cases & HR Advice

In the normal sequence of events, a member of the Human Resources team will only become involved in a case at Stage 2. This policy has been designed to allow the line manager and the individual concerned the opportunity to work through the issues locally in the first instance. However, cases need to be recorded and monitored and therefore the line manager needs to formally advise HR of any cases which reach Stage 1 and seek advice in support of this stage if necessary.

If a case should reach Stage 2 of the procedure, a member of the HR team may attend the review meeting in support of the line manager and to advise of policy and process.

At any stage in the procedure, the Trust may seek to involve an appropriate external advisor to assist in the determination of appropriate standards and actions plans and in these cases the employee concerned will be consulted and involved in this process.

2.0 Flow Chart of Procedure

‘Day to Day ‘ management supervision and appraisal /PDR review process

Unsatisfactory Performance

Informal Meeting & Review (within 8 weeks) Line manager & member of staff

Satisfactory Partial improvement Unsatisfactory Performance or restricted opportunity Performance Extend review period (4-8wks)

Informal Meeting to confirm Formal Procedure acceptable standards achieved. Stage One Line Manager Formal Review Meeting Written Warning

Appeal - Employee can Review (within 8 wks) appeal in writing within 7 calendar days of receiving the warning.

Stage Two Line Manager & HR Review Meeting Final Written Warning

Appeal - Employee can Review (within 8 wks) appeal in writing within 7 calendar days of receiving the warning.

Stage Three Senior Line Mgr/ Director & HR Review Meeting Dismissal / Other Action

Appeal Meeting with Executive Directors Employee can appeal in writing within 7 calendar days of receiving notification of action.

3.0 Informal Review & Monitoring

There will be occasions when a manager has to raise concerns about standards of work performance with member of staff and this should be brought to the attention of the individual concerned in as constructive way as possible. However before they do, they first need to determine the issue of concern in more detail and to prepare for the meeting.

3.1 Preparation

The manager will need to gather evidence to discuss this with the individual. This could be from a range of performance indicators such as; individual not achieving objectives set as part of their role, audit results, failure to perform to the KSF outline for the job or poor standards of work. In addition to these managerial observations, there may have been complaints or criticisms from colleagues, patients, carers or members of the public.

It is important that managers discuss any problems at the earliest opportunity with staff either within their normal supervision arrangements or as a separate informal meeting, since they are more likely to be resolved if picked up quickly. Although this procedure should be used in conjunction with the Appraisal/PDR process, this should not be relied upon alone. Leaving problems to build up over a period of time, without discussing them when they arise, will not be fair to the employee and builds up the individuals belief that their performance is acceptable.

3.2 Review Meeting

The line manager should arrange to meet with the individual concerned as soon as practical. The purpose of this meeting is to clarify the standards of performance required and to encourage improvement. Although the manager should advise the individual of the policy and procedure, they should clarify that it is not a formal meeting and that it is part of the informal stage in this process. It is necessary to advise the individual about the policy so that they can understand the whole process and what might happen should they move to further stages.

At this meeting the manager needs to clarify the standards and expectations of the individual’s role utilising the job description and other relevant documents. Then using the specific examples prepared, demonstrate where the issue(s) of concern regarding their performance, have occurred and the impact that this has made on the service and/or colleagues.

They must ask the individual if they know of any reasons why their work performance has been impaired. The reason(s) could be because of poor working conditions, interpersonal conflicts at work, domestic problems, lack of support, lack of clarity of standards or work objectives or unreasonably high performance standards, or ill health. Consideration should be given as to whether the individual has asked for/or been offered support regarding any issues and what, if any, action was taken.

If managerial, organisational or environmental factors are affecting the individual’s performance then the manager needs to investigate and consider the impact of these when setting an appropriate standard.

If domestic problems or an underlying health condition are the cause for impaired

Performance Management Policy Page 13/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust capability, then the manager needs to consider if the application of another Trust procedure is appropriate e.g. Flexible Working Policy / Sickness Absence Management.

Managers need to remind employees of the range of services that are available for them to access for support at any time during this process eg. Occupational Health or Employee Assistance Provider, for services like counselling.

It is important that the manager explores the reasons with the individual to determine the most appropriate next steps. Depending upon the specific nature of the issues in a particular case, the manager should discuss and develop a Performance Improvement Plan PIP (Draft PIP in Appendix 3) for the individual and this could include specific interventions or mechanisms of support. Any reasonable support should be given to enable the individual to improve their performance and this may include increased clinical supervision, flexible working, mentoring or training.

Expectations for the review period should be clarified with clear, achievable objectives for performance that have measurable outcomes. Along with a process for monitoring and recording the work performance during the review, so that this is clear and understood. It should be explained that at the end of this review period there will be a formal meeting to review performance to decide upon the next appropriate steps.

The length of the review period will depend upon the nature of the role and an appropriate time frame within which improved performance could be demonstrated, taking into account of providing opportunity for any training or support interventions. As a general guide managers should consider a period of between 4-8 weeks (8 weeks maximum) and this should be discussed and agreed as part of this meeting.

The individual should be made aware that if their performance has not improved to a satisfactory level by the end of the review period, the potential outcome could involve application of the formal stages of the procedure and receipt of a written warning. That ultimately by the continuation of this process it could lead to their dismissal.

In summary at this informal stage managers should;

 State the purpose of the meeting i.e. discuss the concerns with employees performance, its impact and seek measures to improve this,  Clarify the required standards of work performance  Enquire about the reasons for the impaired performance  Determine if any support is needed (e.g. training & development, Employee Assistance Provider (EAP), Occupational Health) or application of another Trust Policy.  Inform the member of staff that they are being informally monitored & provide them with a copy of the Performance Management Policy.  Develop a Performance Improvement Plan with clear standards and expectations, with SMART objectives (specific, measurable, achievable and realistic with a clear timeframe e.g. max 8 weeks)  Plan an end of Review Meeting and explain the importance of this process and that if performance does not improve to an acceptable level, this may lead to the application of the formal procedure and ultimately through further application of this procedure to their dismissal.  Provide written confirmation of the outcome to the meeting (Appendix 4)

The aim is that these steps will be enough to restore the standard of performance to an Performance Management Policy Page 14/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust acceptable level and the manager should arrange to meet with the individual at the end of the review period to confirm this and that there will be no application of the formal stages of the procedure. However, noting that should performance deteriorate again

within the next 12 months Stage 1 will apply. The outcome to this meeting should be confirmed in writing to the individual (Appendix 4)

If however, performance has not improved to an acceptable standard after applying this stage of the procedure; the manager should consider applying the formal procedure.

4.0 Formal Monitoring & Review

There are up to 3 formal stages to the procedure, each stage comprises of a monitoring period and a meeting to review the performance. The formal stages of the procedure will normally be applied sequentially; however there may be occasions where it would clearly be inappropriate to follow each stage. In such circumstances the individual may be given just one opportunity to improve performance, or dismissal (including summary dismissal where appropriate) on the grounds of serious or gross incompetence or a serious failure in performance, may be considered e.g. in cases where the capability issue is considered to be so serious as to pose an immediate danger to other employees or members of the general public or resulting in loss of confidence in the ability of the employee to perform to the required standards.

During each stage the individual will be working to their PIP and have a clear standard of expectation pending their next review meeting. Whilst this review period is ongoing, should the individual’s performance deteriorate further, despite measures of support being put into place, it may be appropriate for the line manager to consider bringing the end of the review period forward.

At each stage of the formal procedure the member of staff will have the right to be accompanied by a member of their trades union (as recognised by the Trust), a work colleague or a friend.

Employees must take reasonable steps to attend review meetings and where they cannot attend they should inform the relevant manager in advance whenever possible. If the employee fails to attend due to circumstances outside of their control and unforeseeable at the time, the meeting may be re-arranged. A decision can be taken in an employee’s absence if they fail to attend the re-arranged meeting without a reason that is satisfactory to the Trust.

4.1 Stage One & Stage Two

4.11 Formal Review Meeting

After consultation with HR, the line manager will write to the individual to detail arrangements for a Formal Review Meeting, identifying which Stage of the process they are at and giving 7 calendar days notice (Draft Letters – Appendix 5). A signed copy of this letter should be placed in the personnel file. The Line Manager leading this meeting will be supported by an HR Advisor.

The manager will prepare and conduct the meeting using the same principles of record and evidence as detailed in the informal stage. As a basis for discussion, the manager will use the PIP and specific examples of unsatisfactory work performance from the Performance Management Policy Page 15/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust monitoring period. They should review the standard expected and the impact of their performance upon the patients’ service and/or colleagues. The individual will be given the opportunity to comment and explain their perspective of the situation including any mitigating factors which may have contributed to their performance.

Taking these facts into consideration they will assess if there has been an improvement to the individual’s performance to an acceptable standard, or otherwise.

4.12 Possible Outcomes

The outcome to this meeting will be recorded in the form of a letter from the manager to the individual and copied to their personnel file. Draft examples for each possible outcome are contained in Appendix 4.

Satisfactory Improvement After reviewing the facts of the situation in this structured meeting, the manager may decide that the individual has achieved the desired improvement and this may bring the current application of the formal procedure to an end. However, this improvement needs to be sustained and the manager will need to continue to monitor the individual’s performance for a further period of 6 months or the length of any current warning, whichever is greater. This process of monitoring could be through the use of appropriate planned reviews or supervision meetings. If during this time the individual’s performance becomes an issue again, then the process will resume at this same stage.

Extend Review Period In some cases there may be exceptional circumstances that deem an extension to the review appropriate e.g. there were other factors at play which influenced the individual’s ability to demonstrate the required performance during the monitoring period. In these instances the manager should set a further review period (e.g. 4 weeks) and adjourn this meeting until this process is complete.

Unsatisfactory Performance If the individuals’ performance continues to fall short of the standard expected then the manager may issue a formal warning (Stage 1 Written Warning, Stage 2 Final Written Warning) and management of the individual’s performance will move to the next Stage of the procedure. A warning will remain live for 12 months, after which time it will expire and not be considered in any future management action or reference.

The individual may appeal this decision with another Trust manager and this will be detailed in the outcome letter (Appendix 4 & section 5.0 Appeals Process).

The same process and checklist for establishing clear expectations, of standards, appropriate support mechanisms, review of a PIP and monitoring process should be used as per the previous stage(s). A timeframe for the review period should be set and a review planned for its conclusion.

As part of this meeting the manager must outline the range of possible outcomes for the end of the review period; from no further action to a final written warning and ultimately through application of further stages of the procedure to dismissal.

Following this meeting the manager will write to the individual to confirm the details raised in the meeting and of the outcomes including; the issues of concern, the standard

Performance Management Policy Page 16/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust of expectation for the review period, a copy of the action plan and the possible next steps in the process.

Redeployment Redeployment will usually be considered as an alternative to dismissal during a later stage of the procedure, however it may be considered earlier in the process when

appropriate. The type of circumstances when this may apply, will be where either; the extent of the PIP or the timescale needed to provide the opportunity to develop, are unreasonable. With the agreement of the individual concerned if may be considered appropriate to provide the opportunity to redeploy. (Please see section 6.2 for the process however, the time frame for supporting the individual whilst seeking an alternative post may be more flexible at this earlier stage up to a maximum of 12 weeks).

In summary, at the Formal Review the managers should;

 State the purpose of the meeting i.e. discuss the concerns with employees performances and seek measures to improve this,  Clarify the requirements of the role and the standards expected,  Discuss the measures put in place during the informal stage e.g. development plan & monitoring, and why it has been necessary to move to this formal stage,  Allow the individual to comment upon the managers views and to advise of any information relevant to understanding or improving this situation,  Determine if any support is needed (e.g. training & development, EAP, Occupational Health) or application of another Trust Policy.  Set a further monitoring period with clear standards and expectations, with SMART objectives (specific, measurable, achievable and realistic with a clear timeframe e.g. max 8 weeks)  Discuss the potential outcome of this review period and that if performance does not improve to an acceptable or sustainable level, that this could lead to a warning/final warning and ultimately through further application of the process it could lead to their dismissal.  Provide written confirmation of the outcome to the meeting (Appendix 5)

4.2 Stage Three

4.21 Review Meeting

At this stage of the procedure the outcome could be the individual’s dismissal on the grounds of capability and therefore an appropriate level of manager and panel are required to review the case. A Senior Manager/Director who has authority to dismiss will chair the meeting and they will be supported by an independent senior manager/Director and an HR Advisor.

The Chair of the meeting will write to the individual to advise them of the arrangements for the Stage Three Meeting. The letter detailing these arrangements should be sent to the individual concerned at least 7 calendar days prior to the meeting, informing them that this meeting may lead to their dismissal and a draft letter is provided in Appendix 7.

The Line Manager responsible for the monitoring and recording of the individual’s performance during the previous stages of the procedure will attend to present their case and will be accompanied by their HR Advisor. The panel members and the

Performance Management Policy Page 17/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust employee/their representative, will then have the opportunity to ask questions.

The employee or their representative will provide their response to this presentation and similarly, the panel members and presenting manager will have opportunity to ask questions. A representative may carry out the functions on behalf of the employee, apart from answering questions on their behalf.

Either party may call upon witnesses but they will only attend whilst giving evidence.

The purpose of this meeting is to review the individuals’ standard of performance from the previous monitoring periods, using specific examples of unsatisfactory work performance. In considering the case the panel should satisfy themselves that the;

- standards set and monitored through the process were reasonable and achievable, - review the records of performance during this period, - appropriate support mechanisms have been applied, - process followed is compliant with procedure and each stage has been applied fairly,

On reflection of these factors and in consideration of any mitigating factors presented by the individual concerned, the panel will decide upon an appropriate outcome.

4.22 Possible Outcomes

Satisfactory Improvement Where the individual’s performance has improved to the standard required the panel should review this with the individual using specific examples from the monitoring period. This may bring the current application of the formal procedure to an end. However, this improvement needs to be sustained and the manager will continue to monitor the individual’s performance for a further period of 6 months or the length of any current warning, whichever is greater. If during this time the individual’s performance becomes an issue again, then the process will resume at this same stage.

Extend Review Period In some cases where there are factors which have impact upon the individuals’ opportunity to demonstrate improvement during the review period or where there are significant mitigating factors that deem this appropriate, the manager may decide to extend the review period. In these instances the manager should set a further period for review and adjourn this meeting till that process is complete.

Unsatisfactory Performance Where the individuals performance continues to fall short of the standard this could mean that the individual is dismissed on grounds of capability. In this case the individual will be advised of the date that this dismissal will become effective, taking into account their period of notice or pay in lieu of notice, if this is applicable. They will also inform the individual of their right of appeal and the process for this.

There are alternative outcomes to dismissal that may be considered appropriate including; demotion, redeployment and early retirement (please refer to section 6.2).

The decision of the panel must be confirmed in writing within 7 calendar days following the meeting and a copy placed in the personnel file. An example letter is included in Appendix 7 with the necessary details. The outcome letter will provide a formal record of

Performance Management Policy Page 18/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust the meeting and minutes may be taken..

5.0 Appeals Process

An individual issued with a formal warning or dismissal under this procedure, is entitled to a right of appeal. They may exercise this at any of the formal stages in the form of a letter

to the respective HR advisor named in the outcome letter. This letter should be received by the HR advisor within 7 calendar days of the individual’s receipt of written notification

of the action taken. This letter should state the grounds for the appeal, which must be

based upon at least one of the following;

 The severity of action given the circumstances of the case; and/or  A failure to adhere to agreed procedure; and/or  The conclusions of the review meeting on a point of fact, including new evidence that has come to light which was previously not available at the hearing.

An appeal will be heard by the next level of line management to the manager who has led the case and this will be someone who has not been directly involved in the case. Where there is an appeal against a dismissal, this will be made to a Director or member of the Trust Board.

5.1 Stages One & Two

For appeals against decisions taken at Stages One and Two of the Procedure the process of review will be conducted by a Senior Manager in conjunction with a member of the HR team, both of whom have not been directly involved in the case previously. They will review the information available leading to the decisions taken and inform the individual of the outcome in writing within 28 calendar days of the receipt of the appeal. The review period will continue whilst an appeal is pending but may need to be extended to accommodate fair opportunity for the individual to develop.

5.2 Stage Three

For appeals against decisions taken at Stage Three of the procedure there will be a formal meeting. There will be a panel of two Executive/Operational Directors, one of whom must be from the Directorate concerned, unless there are good reasons contra- indicating this, plus a Non-Executive Director and accompanied by a HR Advisor not previously involved in the case. In cases where the appellant is a nurse, the panel must include a member of this profession. Exceptionally, specialist advice may be needed by the panel and this would normally be obtained from within the Trust if this will not prejudice the hearing. The panel will select the Chairperson.

As far as is reasonably practicable, the appeal meeting will be convened within two to three weeks of being registered. A draft letter is attached as Appendix 6. Papers in support of the employee and management case should be exchanged 7 calendar days prior to the meeting via the HR Advisor concerned, along with notification of any witnesses to be called.

Performance Management Policy Page 19/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust The member of staff will have the right to be accompanied by a member of their trades union (as recognised by the Trust), a work colleague or a friend. The manager responsible for the action relating to the appeal will also attend with their HR advisor to present their case.

Based on the grounds notified for the appeal, the purpose of an appeal is to consider whether the action taken by management was fair and reasonable at the time that the action was taken, and whether the correct procedure was applied in deciding on the action. The appeal must take account of any evidence that has emerged since the initial meeting. The panel will not re-hear the original case or evidence that was presented during the Stage 3 Meeting.

The appeal may review and reduce (but not increase) any action. There are three possible outcomes;

 Management case upheld  Appellants case upheld  Management case upheld but action inappropriate and the panel will impose more appropriate action.

The decision of the appeal at any stage is final. If practicable, the decision on appeal should be announced at the end of the meeting, and confirmed in writing to the individual within 7 days of the appeal meeting (example in Appendix 8). This letter should be copied to the Line Manager and personnel file.

6.0 Supporting Considerations

This section provides some guidance of how to deal with factors which may arise that influence the way in which a particular case is managed through either this policy or directed to another policy.

6.1 Serious/Gross Incompetence

An employee should not normally be dismissed because of failure to perform to the required standard unless they have been managed and supported through a process of review with opportunity for them to improve. However, where an employee commits a single error due to negligence and the actual or potential consequences of that error are, or could be, extremely serious, a formal review may not be appropriate and action will be taken in accordance with stage three of this Policy (see also section 4.0).

6.2 Alternative Action to Dismissal

It may be appropriate, as an alternative to dismissal, to make recommendations for other action which could include demotion, redeployment, retraining, amendment of the duties of the current role, early retirement or a change of working hours/pattern etc.

When making such a recommendation there will need to be consideration of the availability of a suitable alternative position or post with the required modifications since there will be no requirement for the Trust to create a post. However, there will be support in the form of an 8 week period whilst the individual conducts a search for such a post within the Trust. Regrettably, if this search is not successful after this time has elapsed the decision to dismiss will be revisited by the manager concerned.

Performance Management Policy Page 20/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Where an appointment to a lower banded post becomes the outcome to this process, the individual will assume the rate of pay and terms and conditions of that post. This move will be affected in line with Agenda For Change terms and conditions.

The option of alternative action may arise earlier in the process in some cases, particularly if the individual concerned were to request redeployment. In such instances the manager should support the individual with their search for a suitable position.

6.3 Early Retirement in the interests of the efficiency of the service (IOE)

It may be possible for individuals to be considered to retire in accordance with the National Health Service (Pension Scheme and Compensation for Premature Retirement); Regulations 2006, and Health Service Guidance contained in HSG 95(25). The Regulations and the guidance make provision for the retirement of NHS employees in the

interests of the efficiency of the service where those employees have given valuable NHS service in the past but are no longer capable of doing so, and

-after appropriate remedial action has been taken, is considered unlikely to improve. -consideration must first have been given to resolving the situation through measures such as remedial training, flexible working patterns, transfer to other duties, suitable alternative employment or more effective supervision.

This option will require the approval of the Chief Executive and may also require approval from Milton Keynes PCT Remuneration Committee and ‘grandparent’ approval from South Central Strategic Health Authority.

6.4 Additional Procedures

If the employee should invoke an alternative procedure during this process e.g. Grievance Procedure, as a result of the manager attempting to tackle the poor performance, it would be appropriate to suspend this procedure for a short period whilst this complaint is considered. Consideration could also be given, where appropriate/possible, for another manager to continue the capability issue.

6.5 Sickness or Absence from Work during the Process

Where an employee is sick for a significant period during the process, there may need to be a re-adjustment to the monitoring period to accommodate fair opportunity for the individual to demonstrate an improvement.

It may also be appropriate to seek advice from Occupational Health to assess the impact of any ongoing condition upon the individual’s capability and whether it is more appropriate for this process be suspended whilst the sickness absence management policy, reviews and manages the individuals capability in relation to their health.

6.6 Staff Working Unsocial Hours

Where staff normally work nights or weekends the meetings should be organised at mutually convenient times. If the individual attends at a time when they would not otherwise have been on duty, consideration should be given to appropriate Performance Management Policy Page 21/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust compensation for the time off or expenses incurred.

The manager monitoring the case should also consider the impact of this upon the supervision and training during the process, to ensure that every opportunity is given for the individual to improve and that this is adequately monitored. For example it may be necessary to move a permanent night worker onto days pending further training and supervision.

6.7 Employee Records

Whilst the procedure is being applied and any warnings are ongoing, documentation relating to the case may be held in the individual’s personnel file. After a warning has expired and application of the procedure ceases, these records will be removed to an appropriate archive until the appropriate timescale has elapsed for their secure disposal.

7.0 Statutory Regulating Bodies

The Trust reserves the right to report matters of a serious nature that may impact on the Trust’s duty of care towards service users, to the individual’s statutory regulating body where appropriate. The employee will be notified of this action.

8.0 Audit Monitoring Criteria

Application of the formal stages of this policy and procedure will be recorded on a database by the HR Department on an ongoing basis. This data will be reviewed twice annually by the HR Department and reported annually in the HR Annual/Workforce Report.

Through the HR Annual/ Workforce Report this information will be submitted for both internal and external scrutiny. Internally the report will be presented to the Trust Board, Clinical Governance Committee, Staff Representative Forum (JNCC). This document will also published on the Intranet and Internet for wider review by Trust Stakeholders. This document will also form the basis for evidence to the Care Quality Commission audit.

Document Audit & Monitoring Table Monitoring Requirements a) Application of the formal stages of the policy will be recorded and monitored by the HR Departments. b) Equal Opportunities data will be recorded and monitored by HR regarding the individuals who are being seen in accordance with the formal stages of the policy. Method of Monitoring a) Each instance of application of the formal stages of the policy will be recorded on an excel spreadsheet and monitored on an ongoing basis with formal reporting on a 6 monthly basis to the appropriate committees. Monitoring Recorded By HR Advisors. The HR advisor supporting the case at the current formal stage is responsible for updating the excel spreadsheet. Monitoring Presented To Committee/ Group Frequency Provider LMT / Executive Team Trust Management Team Clinical Governance Care Quality Commission

9.0 Equality Impact Assessment

This document has been Equality Impact Assessed in accordance with Trust Procedure.

10.0 Standards for Better Health Assessment

Domain Definition Safety The implementation of this policy will support the health & safety of staff. It will aim to provide a safe working environment, which will prevent or reduce the risk of harm to patients and the public. Governance The implementation of this policy will support the health & safety of staff. It will aim to provide a safe working environment, which will prevent or reduce the risk of harm to patients and the public. It will support the development of a quality service. Care Environment The implementation of this policy will support the health and safety of staff. and It will aim to provide a safe and secure working environment, which will protect Amenities patients, staff, and visitors and promote patient and staff well-being, meeting patient’s needs and preferences and staff concerns.

11.0 Statement of References & Consultation

This policy has been developed with reference to the following documents;  Trade Union & Labour Relations (Consolidation) Act 1992  ACAS Code of Practice,  A selection of 7 NHS Trust Policies For Performance Management,  Milton Keynes Council Capability Policy

In developing this document there has been consultation with the following bodies;  Trust Management Committees JTMT, PTMT & Commissioners  PCT Managers  Joint Negotiating Consultation Committee  Milton Keynes Disability Advisory Group

12.0 Dissemination

This Policy and Procedure will be placed on the Trust’s Intranet site. It can be accessed via the following route:  Homepage of the Trust’s Intranet  Department Managers  Human Resources Department  Policies Database

13.0 Overall Responsibility for the Document

The Director of Human Resources has overall responsibility for the review and update of the policy.

Appendices

Performance Management Policy Page 25/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 1

Guidance For Managers - Reasonableness Before entering the informal process you should consider how reasonable it is to apply the Performance Management procedure in a particular case. You should ask yourself the following questions:

Has the employee got a good understanding of the role ? - You should explore whether the individual has the correct version of their job description and what their interpretation of the roles and responsibilities are and if these are in line with the expectations of the Trust.

Has the employee’s job/role changed? -You must consider whether his/her apparent lack of capability is due to the changing nature of the job, which may now require skills/abilities/experience that the employee does not have and did not need when he/she first started in the role. -If this is the case, you should discuss with your HR Adviser whether in fact this is a potential redundancy situation rather than a work performance issue.

Has the employee had relevant training and assistance? -You cannot expect an individual to be fully competent at a task if he/she has not received the appropriate training, e.g. a finance officer who has not been trained in the use of the Council’s financial computer packages.

Are my standards/expectations of performance realistic? -The standards that you set must be reasonable and achievable by the ‘average’ employee, e.g. you cannot expect a worker in a post requiring an RSA1 (or equivalent qualification) to type documents at a speed that someone with RSA3 (or equivalent) could achieve. -You must not judge or compare an employee’s performance against that of an exceptional worker. It is not fair or reasonable to expect everyone to reach the standards set by someone who consistently performs well above average in his/her role.

Is the employee genuinely unable to cope with the role or is he/she choosing to perform below par? -You must make a judgment based on your knowledge of the individual concerned: does he/she lack the appropriate skills/abilities/experience to perform effectively, or has he/she made a conscious decision not to perform to the required standard? Is it the case that he/she ‘won’t’ perform a task rather than ‘can’t’ perform it? -If you believe that the individual is capable but not applying himself/ herself, it may be more appropriate to deal with this as a disciplinary issue.

Are there external factors causing the poor performance that needs addressing first? -This may be particularly relevant where an individual has always performed satisfactorily in the past and suddenly begins to under-achieve. -Is the employee suffering from stress due to workload/personal/financial/ domestic difficulties? Is there any assistance or support that you can offer, e.g. Counseling Scheme.

Is there a health reason for the poor performance? -If the employee has a medical condition that affects his/her work performance, it may be more appropriate to deal with this as an ill health issue via the Sickness Absence Management procedure.

How long has the employee performed below par? Performance Management Policy Page 26/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust -Is it the case that you are a new manager and the previous manager accepted the employee’s standard of performance? It will be difficult to change an individual’s pattern of working if it has been allowed to persist for any length of time. You may need to spend more time in the day- today management of this individual, explaining carefully the reasons why you have different expectations/standards than the previous manager, before you consider action under the Work Performance procedure. -Has the employee under-achieved in a particular area for a long time, but the importance (or weighting) given to that element of his/her role has not been significant enough to warrant action under the Work Performance procedure? What has changed? Is that part of the job more significant now? Why? You will need to be able to answer these questions in order to justify any action that you may take under the Work Performance procedure.

Have I considered all the options? -Is there any other action that you, as a manager should consider? Would a change in working methods or a temporary change in working hours, or a period of unpaid leave help the employee? If so, remember that the employee must agree to any change.

Have I been clear about my expectations? -As a manager it is your responsibility to ensure that your employees are clear about, and understand, the work performance standards expected from them, e.g. you cannot expect someone to produce a piece of work by a certain date if you have not made him/her aware of the deadline. Have SMART targets been agreed and have these been written down, signed off and monitored at regular intervals for progress ?

Is there anyone else performing at this level? -If the answer is yes then you must treat all these employees the same – it is not fair or reasonable to apply the Performance Management procedure to only one of them.

Performance Management Policy Page 27/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 2

Performance Management Record

Name of Employee ;………………………………………Title ; ……………………………………………..

Line Manager ; …………………………………………………………………………………………......

1. Informal Monitoring

Date of Meeting ;…………………………. Action Plan Agreed ; Yes / No (copy attached)

Review Date ;……………………………... Outcome ;………………………………………………….

2. Stage One – Review

Date of Meeting ;………………………… Action Plan Agreed ; Yes / No (copy attached)

Review Date ;……………………………. Written Warning Issued ; Yes / No

Other Outcome ;………………………………..… Outcome letter sent ;…………………………….

Appeal ; Yes / No Appeal Outcome ……………………………………………………………

3. Stage Two – Review

Date of Meeting ;…………….………….. Action Plan Agreed ; Yes / No (copy attached)

Review Date ;………………..…………… Final Warning Issued ; Yes / No

Other Outcome ;……………………….… Outcome letter sent ;……………………………………

Appeal ; Yes / No Appeal Outcome …………………………………………………………...

3. Stage Three – Review

Reviewing Managers ;……………………………………………………………………………………

Date of Meeting ;……………………… … Dismissal ; Yes / No

Other Outcome ;………………………….. Outcome letter sent ;…………………………………..

Appeal ; Yes / No

4. Stage Four - Appeal

Names of Review Panel ;……………………………… Date of Meeting ;………………………….

Upheld / Not Upheld Outcome ;……………………………… Letter sent ;………………………

APPENDIX 3

Performance Improvement Plan

Area of Concern Standard Supporting Who is Date to be Next Review Comment From Required Action Responsible For Achieved Date Review This Action

Eg.Quality and 10 letters a day 1) IT training Manager 10th June x Training postponed till volume of letters 2) Establish library Individual 10th June 11th produced currently of template letters 6 per day Good level of 1) Develop quality Individual spelling & of letters with grammar colleagues equivalent to 2)Attend letter Individual to book GCSE level writing course

APPENDIX 4 Letter 1 – Informal Review Meeting Letter PIP

Date Logo

Managers Name Address Line 1 Address Line 2 Address Line 3 Postcode

Personal & Confidential Tel No ; Recipients Name Address Line 1 Address Line 2 Address Line 3 Postcode

Dear Name

Ref : Work Performance Review Period; Informal Stage

Further to our meeting on (date) I am writing to enclose your copy of the Performance Improvement Plan PIP that we have developed and agreed. Please do not hesitate to contact me if you have any further ideas or suggestions that we could consider to support you during this review period or if there are any points on which you would like further clarification.

We have agreed a timeframe of (within 8 weeks) for the review period and I will contact you nearer the time to make arrangements for a review meeting. However, during this period I will endeavour to meet with you regularly to see if there are any ongoing issues that we need to discuss or take action upon. Similarly, please do not wait until the end of the period if you have any queries or concerns, contact me as soon as possible.

Whilst this is an informal review, I have enclosed a copy of the Performance Management Policy so that you can understand the process in full and how this process fits into the procedure.

May I take this opportunity to remind you of our Employee Assistance Provide, ICAS who are available for independent and confidential support 24hrs a day on 0 .

Thank you for your contribution to the PIP since I appreciate that this is a challenging process. I hope that we can use this opportunity to work together and make the improvements that are needed.

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. Performance Management Policy Page 30/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Personnel File

Performance Management Policy Page 31/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Meeting Template

After introductions, check the details of those present and why they are attending. If at a formal stage, is the individual accompanied and if not, clarify why and consider if you need to consider adjourning.

Check the individual has received their letter /details about the meeting and confirm their understanding of the purpose of the meeting i.e. discuss your concerns with the employees performance, its impact and seek measures to improve this.

Clarify that this meeting is being held as part of the Performance management policy and the stage they are currently at.

Clarify expected standards of work performance using the JD / KSF or other documentation. Check if this is the individual shares the same understanding.

Using examples that you can evidence, discuss the areas of work that are not meeting this expectation.

Enquire about the reasons for the impaired performance and if the individual is aware of this gap in their performance.

Determine if any support is needed (eg training & development, ICAS, Occupational Health) or application of another Trust Policy.

Consider appropriate next steps. Advise the member of staff that they will be informally/formally monitored & provide a them with a copy of the Performance Management Policy.

Performance Management Policy Page 32/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Develop/revisit (depending upon the stage) Performance Improvement Plan with clear standards and expectations, with SMART objectives (specific, measurable, achievable and realistic with a clear timeframe e.g. 4-8 weeks – within 8 weeks)

Plan an end of Review Meeting and explain that if performance does not improve to an acceptable level, this may lead to the application of the next stage of the procedure and ultimately through further application of this procedure to their dismissal.

Confirm how this meeting will be recorded and provide them with a copy of the PIP.

Performance Management Policy Page 33/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 2 – Informal Review – Outcome NFA

Date Logo

Personal & Confidential Tel No ;

Recipients Name Address Line 1 Address Line 2 Address Line 3 Postcode

Dear Name

Ref : Work Performance Review Period : Informal Stage

Further to our meeting on (date) I am pleased to confirm that the above review period came to an end on (date) and that it has been concluded that you have achieved the expected standards/level of work performance. Therefore, the matter will not be referred to a formal Stage 1 Review Meeting.

I would like to acknowledge the commitment and effort that you have shown in achieving the targets set during the review period; however it is important that you continue to sustain these efforts and your current level of work performance consistently. You should be aware that if your level of work performance falls below the required standard in the next 12 months, for whatever reason, the issue will be referred directly to a Stage 1 Review Meeting, in accordance with the Performance Management Policy.

However, I am confident that having successfully achieved the required standard/level of work performance, you are committed to sustaining these improvements.

If you have any queries or concerns about the contents of this letter or you need further clarification, please do not hesitate to contact me.

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. HR Adviser Personnel File

APPENDIX 4 Letter 3 – Stage One Formal Review Invite

Date Logo

Dear Name

Ref : Performance Management Review Meeting – Stage One

I am writing to request your attendance to the above, which has been arranged for (Insert details.)

The meeting is being arranged in line with Trusts Performance Management Policy in relation to concerns about your work performance. These issues were first raised with you on (date of informal review meeting) where a Performance Improvement Plan was developed and standards set for a review period of (within 8 weeks).

The purpose of this meeting is to review your progress through this review period and to understand the factors influencing and impacting upon your performance. You will be asked to contribute to this discussion before I decide upon appropriate next steps.

This is a formal meeting and which could have a range of outcomes from; no further action, to you receiving a written warning and further monitoring at Stage 2 of the procedure. Therefore you are encouraged to be accompanied by a friend, colleague or represented by a trade union representative.

May I take this opportunity to remind you of our Employee Assistance Provide, ICAS who are available for independent and confidential support 24hrs a day on 0

If you are unable to attend could you contact me as soon as possible so as to make alternative arrangements and please do not hesitate to contact me if you have any queries or concerns.

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. Performance Management Policy Page 35/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust HR Adviser Personnel File APPENDIX 4 Letter 4 – Stage One Formal – Outcome NFA

Date Logo

Dear Name

Ref : Performance Management Review Meeting – Stage One

Further to our meeting Stage 1 Review Meeting held on (date) I am writing to confirm the outcome.

I am pleased to confirm that during the informal review period you have achieved and demonstrated the expected standards/level of work performance. Therefore, this will conclude the formal review process and the matter will not be referred to Stage 2.

I would like to acknowledge the commitment and effort that you have shown in achieving the targets set during the review period; however it is important that you continue to sustain these efforts and your current level of work performance consistently. You should be aware that if your level of work performance falls below the required standard in the next (insert length of warning left or 6 months – whichever is greater ) for whatever reason, the issue will be referred directly to a Stage 1 Review Meeting, in accordance with the Performance Management Policy.

Yours sincerely,

Line Manager Title

Performance Management Policy Page 36/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 5 – Stage One Formal – Outcome Extend

Date Logo

Managers Name Address Line 1 Address Line 2 Postcode Personal & Confidential Recipients Name Address Line 1 Address Line 2 Postcode

Dear Name

Ref : Performance Management Review Extension – Stage One

At the meeting we were able to identify factors insert details which had influenced or impacted upon your ability to demonstrate improved performance to the standard required. Therefore, after consideration of these factors I have decided to extend the current informal monitoring period by a period of (4 weeks).

This meeting is therefore adjourned, pending this review period and will reconvene on (date) at (insert details).

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. HR Adviser Performance Management Policy Page 37/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Personnel File APPENDIX 4 Letter 6 – Stage One Formal – Written Warning

Date Logo

Dear Name

Ref : Performance Management Review – Stage One Written Warning

Further to our Stage 1 Review Meeting held on (date) I am writing to confirm the outcome.

The meeting was held in accordance with the Trust’s Performance Management Policy to consider whether you had achieved the required standards as set out in your informal review and monitoring period. Also, in attendance were (insert details).

During the meeting the records of work from the monitoring period were discussed and you were provided with the opportunity to comment upon these. We also explored why you felt that your performance had become impaired and if there were any factors influencing your performance that should be considered in the review.

I believe that the evidence presented from your monitoring period did not demonstrate the improvements required and therefore I have considered that your work performance has not met the standards expected. We have revisited your Performance Improvement Plan and the expectations for the standard of your work during a second period of formal review as Stage 2 of the procedure. A copy of this plan is attached for your reference.

A timescale of (within 8 weeks) has been set for this review period and I will contact you nearer the time to make arrangements for the Stage 2 Review meeting. However, during this period I will endeavour to meet with you regularly to see if there are any ongoing issues that we need to discuss or take action upon. Similarly, please do not wait until the end of the period if you have any queries or concerns, contact me as soon as possible.

This is a serious matter and this letter signifies a written warning that your work performance is not to the standard required and if you are not able to demonstrate sustainable improvements to the standard required, you may receive a final warning and ultimately through further application of this process it could lead to your dismissal. This warning is for a period of 12 months from the date of this letter.

You may appeal this decision in writing within 7 days of receipt of this letter, please address this to the (HR Advisor & Address) stating the grounds for your appeal. Please refer to the Performance Management Policy for information regarding the grounds that you may state and the appeals process. Performance Management Policy Page 38/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust

Yours sincerely,

Line Manager Title

Performance Management Policy Page 39/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 7 – Stage Two Formal Review Invite

Date Logo

Dear Name

Ref : Performance Management Review Meeting – Stage Two

I am writing to request your attendance to the above, which has been arranged for (Insert details).

The meeting is being arranged in line with Trusts Performance Management Policy in relation to concerns about your work performance and further to your Stage One Review Meeting on (date) where a Performance Improvement Plan was developed and standards set for a review period of (within 8 weeks).

This is a formal meeting and which could have a range of outcomes from; no further action, to you receiving a final written warning and further monitoring at Stage 3 of the procedure. Therefore you are encouraged to be accompanied by a friend, colleague or represented by a trade union representative.

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. HR Adviser Performance Management Policy Page 40/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Personnel File APPENDIX 4 Letter 8 – Stage Two Formal – Outcome NFA

Date Logo

Dear Name

Ref : Performance Management Review Meeting – Stage Two

I am pleased to confirm that during the informal review period you have achieved and demonstrated the expected standards/level of work performance. Therefore, this will conclude the formal review process and the matter will not be referred to Stage 3.

I would like to acknowledge the commitment and effort that you have shown in achieving the targets set during the review period; however it is important that you continue to sustain these efforts and your current level of work performance consistently. You should be aware that if your level of work performance falls below the required standard in the next (insert length of warning left or 6 months – whichever is greater ), for whatever reason, the issue will be referred directly to a Stage 2 Review Meeting, in accordance with the Performance Management Policy.

Yours sincerely,

Line Manager Title

Performance Management Policy Page 41/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 9 – Stage One Formal – Outcome Extend

Date Logo

Dear Name

Ref : Performance Management Review Extension – Stage Two

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. HR Adviser Performance Management Policy Page 42/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Personnel File APPENDIX 4 Letter 10 – Stage Two Formal – Final Written Warning

Date Logo

Dear Name

Ref : Performance Management Review – Stage Two Final Written Warning

Further to our Stage 2 Review Meeting held on (date) I am writing to confirm the outcome.

The meeting was held in accordance with the Trust’s Performance Management Policy to consider whether you had achieved the required standards as set out in your informal review and monitoring period.

During the meeting the records of work from the monitoring period(s) were discussed and you were provided with the opportunity to comment upon these. We also explored why you felt that your performance had become impaired and if there were any factors influencing your performance that should be considered in the review.

I believe that the evidence presented from your monitoring period did not demonstrate the improvements required and therefore I have considered that your work performance has not met the standards expected. We have revisited your Performance Improvement Plan and the expectations for the standard of your work during a third period of formal review as Stage 3 of the procedure. A copy of this plan is attached for your reference.

A timescale of (within 8 weeks) has been set for this review period and I will contact you nearer the time to make arrangements for the Stage 3 Review meeting. However, during this period I will endeavour to meet with you regularly to see if there are any ongoing issues that we need to discuss or take action upon. Similarly, please do not wait until the end of the period if you have any queries or concerns; contact me as soon as possible.

This is a serious matter and this letter signifies a final written warning that your work performance is not to the standard required and that if you are not able to demonstrate sustainable, improvements to the standard required of you, that you may receive a final warning and ultimately through further application of this process it could lead to your dismissal. This warning is for a period of 12 months from the date of this letter.

You may appeal this decision in writing within 7 days of receipt of this letter, please address this to the (HR Advisor & Address) stating the grounds for your appeal. Please refer to the Performance Management Policy for information regarding the grounds that you may state and the appeals process.

Yours sincerely,

Line Manager Title

Performance Management Policy Page 44/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 11 – Stage Three Formal Review Invite

Date Logo

Dear Name

Ref : Performance Management Review Meeting – Stage Three

I am writing to request your attendance to the above, which has been arranged for (Insert details).

In addition, you will have access to a room for your own use from (time). Please report to reception and ask for (name).

The meeting is being arranged in line with Stage 3 of the Trusts Performance Management Policy (copy enclosed) in relation to concerns about your work performance and follows your Stage 2 Review Meeting on (insert date) where you received a final written warning. At this meeting standards were set for your; work performance, monitoring and a review period of (within 8 weeks).

The purpose of this meeting is to review your work performance during the review period and also, as the final stage to this procedure, to consider your performance during the whole process and procedure that has been applied.

This is a serious matter and although there are a range of possible outcomes (please refer to the policy), one of these could be your dismissal from our employment. Therefore you are encouraged to be accompanied by a friend, colleague or represented by a trade union representative.

A copy of the management case including records of monitoring are provided in accordance with Trust policy. In addition, the following witness has been made available: -  LIST IF APPLICABLE – name and job title

If you wish to submit any documentation in advance of the hearing this can be distributed from my office, providing there is sufficient time for this to be assessed by the panel. In view of the timescales involved, the preferred deadline is 1 working day before the meeting although I appreciate this may not always be possible.

During the course of the hearing, the management case will be presented by (insert name) with support from (insert name of HR Advisor).

The panel hearing the case will include me, as chair (list panel members and titles) .

May I take this opportunity to remind you of our Employee Assistance Provider, ICAS who are available for independent and confidential support 24hrs a day on (insert number).

Yours sincerely,

Line Manager Title

Enc. Management Case cc. HR Adviser Personnel File

Performance Management Policy Page 46/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 12 – Stage Three Formal – Outcome NFA

Date Logo

Dear Name

Ref : Performance Management Review Meeting – Stage Three

I am pleased to confirm that during the informal review period you have achieved and demonstrated the expected standards/level of work performance. Therefore, this will conclude the formal review process.

I would like to acknowledge the commitment and effort that you have shown in achieving the targets set during the review period; however it is important that you continue to sustain these efforts and your current level of work performance consistently. You should be aware that if your level of work performance falls below the required standard in the next ( insert length of warning left or 6 months – whichever is greater) , for whatever reason, the issue will be referred directly to a Stage 3 Review Meeting, in accordance with the Performance Management Policy.

Yours sincerely,

Line Manager Title

Performance Management Policy Page 47/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust APPENDIX 4 Letter 13 – Stage Three Formal – Outcome Extend

Date Logo

Dear Name

Ref : Performance Management Review Extension – Stage Three

This is a serious matter and although there are a range of possible outcomes (please refer to the policy), one of these could be your dismissal from our employment. Therefore you are encouraged to be accompanied by a friend, colleague or represented by a trade union representative.

Yours sincerely,

Line Manager Title

Enc. Performance Improvement Plan cc. HR Adviser Performance Management Policy Page 48/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust Personnel File APPENDIX 4 Letter 14 – Stage Three Formal – Outcome Dismissal

Date Logo

Dear Name

Ref :Outcome of Stage Three Performance Management Review Meeting

The meeting was held in accordance with the Trust’s Performance Management Policy and present at the meeting were:

Following introductions, I outlined the reason for the meeting, which was to review your work performance during the process that has been applied in respect of the Performance Management Policy.

You confirmed that you had received all the relevant papers and that you fully understood why you were present. It was also noted that you had submitted a paper prior to the hearing and that this had been distributed amongst the panel and management side.

I then explained the format of the meeting and that there would be a process of presentation and question, you confirmed that you understood this process and everyone was in agreement to continue with the meeting.

It was noted that Management would be presenting x witnesses as detailed in their paper and noted in the letter. It was also noted that you would be / not be (delete as appropriate) calling any witnesses.

(insert name) presented the management case as exchanged and emphasis and examination was placed on the following key facts: 

An opportunity was then given to you, followed by the panel members to clarify and examine facts and matters presented in the management case. Discussion centered around the following items:

1. ….. Performance Management Policy Page 49/50 24th March 2010 Milton Keynes Primary Care (NHS) Trust

You were then invited to present your response to the management case which was done so on your behalf by your representative (insert name) raising the following key points;

1… An opportunity was then given to Management followed by the panel members to clarify the detail in your response. Discussion centered around the following items: 1….. An opportunity was then provided for you and management to present a final summary of your case before the panel adjourned to consider the outcome. (insert any relevant details from summary)

After consideration the panel explained that they were satisfied that that the policy and procedure had been fairly and reasonably applied in the circumstances; due process had been followed and that everyone has had the opportunity to express their views. The panel concluded that in relation to the concerns regarding your work performance and capability, that there was sufficient evidence to support that your work performance is not to the standard required or that you are not able to demonstrate sustainable, improvements to the standard required of you (delete as appropriate). The panel considered the possible outcomes in accordance with the policy (insert detail of their summary) and the merit of their application.

In conclusion, the decision was therefore taken that you be dismissed from the Trust’s employment. Your last date of employment will be (insert date & details of payment in lieu of notice). Finally, I must inform you that you have the right to appeal against this decision and details about this process are in the Policy. Your request to lodge an appeal must be made in writing within 7 calendar days of receipt of this letter. You should write to, Director of Human Resources, Milton Keynes Primary Care Trust, Trust Headquarters, Standing Way, Eaglestone, Milton Keynes. MK6 5NG.

Yours sincerely,

Panel Chair Details

Enc. Policy cc. Personnel File

Performance Management Policy Page 50/50 24th March 2010