Policies and Staff Governance

• Discussions should take place between employee and current manager before an application for secondment is made.
• Secondments vary in length but usually last between 3 months and 2 years.
• A secondment agreement, signed by the relevant parties, should be in place prior to the secondment commencing.
• Employees and their substantive manager are mutually responsible for ensuring they keep in touch during the secondment.

Clear arrangements for return at the end of secondment should be set out and detailed in the secondment agreement.

• Board Secondments Policy.
• If you have any questions in relation to this policy please contact the HR Support and Advice Unit.

What is a Secondment?

A secondment is a “temporary loan of an employee to another organisation, or to a different part/post of the same organisation, for a specific purpose and for a specific time, to the mutual benefit of employees and NHS Scotland generally.”

Who is entitled to request a Secondment?

All employees within NHSGGC will have equal access to the Secondment Policy in compliance with relevant legislation and no application for secondment will be unreasonably refused.

Are there different types of Secondment?

There are a number of different types of secondment which are as follows:

• Internal secondment within NHSGGC
• Internal secondment within NHSScotland
• External secondment (e.g. to Scottish Government, local authority, trade unions, professional organisations and the voluntary sector).

How do I apply for a Secondment?

Secondment opportunities may arise through a variety of circumstances, but should ordinarily be advertised in line with the normal recruitment process. Employees must ensure that authorisation has been provided by their Accountable Manager prior to accepting a secondment opportunity.

How long can I request a Secondment for?

Secondments vary in length, usually between three months and two years, depending upon the circumstances.

What is a Secondment Agreement?

If the request for secondment has been agreed the approving manager will ensure that, prior to commencement of a secondment, the appropriate secondment agreement has been completed which will take into account the main following points:

• Clear reasons for the secondment.
• Clear agreement on the start and finish dates.
• If employee’s substantive role may be unavailable for their return, then this must be understood and agreed prior to the commencement of the secondment, or at the time of any subsequent proposed extension or at the time of organisational change.
• That the employee fully understands any terms and conditions implications.
• Training needs during and following a period of secondment.
• Arrangements for appraisal/PDP&R completion during the secondment.
• Relevant statutory requirements for maintenance of professional registration.
• Arrangements to keep in touch with the Secondee on a regular basis and to consult them on any proposed changes to their substantive post during the term of the secondment.
• Clear arrangements for return of the Secondee to their substantive post or a suitable alternative.

Please refer to the full Secondment Policy for details on terms and conditions, and roles and responsibilities of a secondment.

Keeping records up to date

We need to know when you’re at work and when you have any type of time off. This is important to make sure we pay you correctly too.

All managers should ensure that SSTS is updated correctly and payroll is informed, where SSTS is not available.

The HR Support and Advice Unit can be contacted on 0141 278 2700 if you have any further questions or need advice on this policy area.

If the request for secondment has been agreed, the approving manager will ensure that, prior to commencement of a secondment, the appropriate secondment agreement has been completed which will take into account the main following points:

• Clear reasons for the secondment.
• Clear agreement on the start and finish dates.
• If employee’s substantive role may be unavailable for their return, then this must be understood and agreed prior to the commencement of the secondment, or at the time of any subsequent proposed extension or at the time of organisational change.
• That the employee fully understands any terms and conditions implications.
• Training needs during and following a period of secondment.
• Arrangements for appraisal/PDP&R completion during the secondment.
• Relevant statutory requirements for maintenance of professional registration.
• Arrangements to keep in touch with the Secondee on a regular basis and to consult them on any proposed changes to their substantive post during the term of the secondment.
• Clear arrangements for return of the Secondee to their substantive post or a suitable alternative.

External secondment agreements can be more complex and therefore if required, managers should seek advice from their local People and Change Manager. Refer to contact list.

Secondment Template Letters

• Internal Secondment Agreement
• Secondment Agreement – To Another Organisation
• Secondment Extension

What is a fixed term contract?

A fixed-term contract of employment is defined as a contract of employment which: has a definite start and end date, or terminates automatically when a particular task is completed, or terminates after a specific event or project is concluded. NHS Greater Glasgow and Clyde is committed to using permanent contracts of employment as the norm, with fixed-term contracts only being used where necessary and appropriate. Furthermore, NHS Greater Glasgow and Clyde is committed to treating those employed on fixed-term contracts no less favourably than its permanent employees (unless this can be objectively justified).

Who does the Fixed Term Contract Policy apply to?

The policy applies to all individuals who work under a fixed term contract of employment (i.e. for a specific time that is fixed in advance; or terminates on the completion of a particular task; or terminates on upon the occurrence or non-occurrence of any other specified event).

When should Fixed Term Contracts be used?

In certain exceptional circumstances, fixed-term contracts may be a valuable tool to enable managers to cover short-term gaps in essential services, enabling consistent standards of service to be maintained. Fixed Term Contracts should only be used for a time limited, short term option of less than 2 years (unless objectively justified). Examples of where Fixed Term Contracts may be used are:

• Protecting posts for staff due to organisational change
• Covering leave (e.g. sickness, maternity leave)
• Project or research posts
• Posts which are not funded on a recurring basis
• Backfill for short-term secondment

Useful information when advertising for a Fixed Term Contract

The duration of the contract must be clearly defined and the reason for the fixed-term nature of the post.The fixed-term nature of the post should be clearly evident in the advertisement, job information pack, letter offering employment and subsequent contract of employment. It should also be discussed at interview.

Where existing permanent employees apply for a fixed-term contract, and where NHS GG&C does permit such an appointment, it must be made clear (in writing) to the employee that in doing so their existing permanent contract has come to an end, and their new contract is fixed-term.

Where there is a need to make the post permanent

Where there is a requirement to make the post permanent the post should be advertised in the normal way. Where successive fixed-term contacts apply staff may be automatically appointed to the post in line with the criteria in Section 6.2 of the policy.

Process to be followed for non-renewals of Fixed Term Contracts

Where it is known that an employee’s fixed term contract will not be renewed upon expiry, the relevant manager with the authority to dismiss must meet with the employee, ideally three months prior to the expiry date of the contract to discuss the following:

• Confirm that the fixed term contract will not be renewed and to confirm the grounds for non renewal
• To serve the employee with notice in line with their contract of employment and that their contract will be terminated on its expiry date
• To advise the employee that they will be placed on the redeployment register, and to discuss the redeployment process. The employee should be advised that they will remain on the register until date of the fixed-term contract
• To confirm where appropriate, any redundancy payment which will apply should suitable alternative employment not be obtained.
• To discuss any other matters in preparation for the termination date.
• For those with service under 2 years, or where it is known that the contract will not be renewed within 3 months of the date achieving 2 years service, if the employee had not secured an alternative post prior to the end of their notice period, their employment will be terminated at the end of their contract period.
• Employees in excess of 2 years service (with successive Fixed Term Contracts) will be appointed onto a permanent contract where the following criteria is met in full:
• The employee has held fixed term contracts consecutively which were used to protect posts for permanent staff due to planned organisational change, service reconfiguration or redeployment, and
• The member of staff has been employed for more than 2 years, and
• Recurring funds for the post beyond the two-year period exist, which can be used to retain the member of staff, or a positive risk assessment has been carried out to establish the impact on the organisation should it be non-recurring funding.
• (In situations where an employee achieves two years’ service, and it is known that the contract will not be renewed within three months of the date of achieving two years’ service, the individual’s contract of employment will remain fixed term).

The material contained in this section is management guidance, rather than guidance that has been agreed in partnership.

The HR Support and Advice Unit can be contacted on 0141 278 2700 if you have any further questions or need advice on this policy area.

To support the application of the use of Fixed Term Contacts a number of templates are available. Please contact the HR Support and Advice Unit who will guide you accordingly.

We would like to welcome all students who have started or are about to start employment with NHSGGC. You will find a number of FAQ’s below that will hopefully be helpful to you in the initial stages of joining NHS GGC as an employee. For more general information about your terms and conditions, including the NHS Scotland Workforce Polices, you will find this on HR Connect.

Please take the time to review the following documents and our frequently asked questions.

Preparing to start as a clinical Health Care Support Worker Document

• Phased Retiral Policy.

Employees are entitled to Phased Retiral if they are applying for their State Pension or Occupational Pension (SPPA) and terminating their employment with the Organisation

A gradual reduction in hours may be introduced three months before retiring, for example:

Third month before retiral: work 4 days per week

Second month: work 3 days p/w

Last month: work 2 days p/w

* Pro-rata for part time staff

Employees will have the opportunity to attend a pre-retirement course to prepare them for their retirement.

For employees with 20 years or more continuous service with NHS GG&C, line managers can apply for a Retiral Gift Voucher.

Please contact the HR Support and Advice Unit if you have any questions in relation to this policy.

Employees are entitled to Phased Retiral is they are applying for their State Pension or Occupational Pension (SPPA) and terminating their employment with the Organisation.

How does Phased Retiral work?

For a full time employee working 5 days per week for example, a gradual reduction in hours would be as follows:

• Third month before retiral: 4 days per week
• Two months before retiral: 3 days per week
• One month before retiral: 2 days per week

For part time staff, this is calculated on a pro rata basis. 

Will I receive my normal pay during a phased retiral?

Yes. Employees will receive their normal pay during a phased retiral – this being their standard hours. This does not include unearned overtime or on-call payments out with standard hours.

How do I arrange a phased retiral?

Employees should inform their line manager of their intentions to retire and whether they wish a phased retiral at the earliest opportunity in order to benefit from this. They should then agree a phased retiral plan with their line manager. A retiral plan can be drawn up and should take into account any annual leave remaining to be used on leading up to retirement. 

For employees who are members of the SPPA pension scheme:

• Pension applications and notification of termination should be completed 4-6 months before the date of retiral in order to ensure that pensions are paid timeously. Pension application forms can be downloaded here.
• Termination forms should be completed by line managers.
• Completed applications and termination forms should be and returned to Payroll:

NHSGG&C Payroll Department
Caledonia House
140 Fifty Pitches Road
Cardonald Park
Glasgow
G51 4ED

If you require advice on completing your pension application form, please contact the SPPA directly on 01896 893 000

Retiral Gift Voucher

Employees with more than 20 years continuous service with NHS Greater Glasgow and Clyde will be entitled to a Retiral Gift Voucher as detailed below:

• With more than 20 years continuous service with NHSGGC but less than 30 years: £100
• With 30 or more years continuous service with NHSGGC but less than 40 years: £150
• With 40 or more years continuous service with NHSGGC: £250

Line Managers must take responsibility to make arrangements for employees’ long service to be recognised by completing the Retiral Gift Voucher form.

Pre-Retirement Courses

Employees have the opportunity to attend a pre-retirement course where they will have access to a wide range of information to help them prepare for their retirement.

Course information and booking forms are available from Learning and Education.

Health check from Occupational Health

To encourage a long and healthy retiral, employees will have access to a health check and advice from the Occupational Health Service. To arrange a health check contact OH on 0141 201 0600.

The HR Support and Advice Unit can be contacted on 0141 278 2700 if you have any further questions or need advice on this policy area.

Application Process

Line managers complete all sections of the Retiral Gift Voucher Application, including providing (or obtaining) a relevant management signature for Section D.

Endowments cannot process any application sent directly to them before it has been countersigned by HR. In order for HR do the requisite checks and countersign the form, line managers can send it to the HR Support and Advice Unit by either of the following methods:

• HR.Support@ggc.scot.nhs.uk (the original form can then be placed in the employee’s personal file); or                           
• HR Support and Advice Unit, 2nd Floor, West Glasgow ACH, Dalnair Street, Glasgow G3 8SJ  (advisable to scan or photocopy for future reference before sending originals by internal mail or post).

Completed forms will then be checked, counter-signed and automatically sent by HR straight to Endowments on the line manager’s behalf. If there is any issue with the processing the application HR will contact the manager first to discuss.

Endowments Section process vouchers and contact the line manager to arrange collection from Endowments Section, Finance Department, Caledonia House 140 Fifty Pitches Road, Cardonald Glasgow G51 4ED for presentation to the employee.

Should the employee choose not to have a presentation, the line manager must arrange for the vouchers to be delivered to the employee before the retirement date accompanied by a suitable letter.

For more information please see Board Retiral Gift Guidance. 

Scottish Public Pensions Agency – Changes to our retirement application forms February 2022

Based on feedback from you, we have made some changes to our retirement forms, modifying the NHS RET form into two separate forms, one for Practitioner members called the PRAC:RET and one for all other NHS workers called the NHS:RET.

This process will make things simpler for you, allowing a smoother process from application to calculation.

PRAC:RET Form

The new Practitioner retirement form should be used by any member that has held Practitioner service at any time during their career.

The PRAC:RET form has undergone cosmetic changes and the priority of the Practitioner elements have been re-ordered. Further explanations have been added regarding Practitioner terminology, to make filling in the form easier.

There are no changes to the retirement process for our Practitioner members or employers, this form simply replaces the old one.

NHS:RET Form

Members who have only had their service reported as Officer service will continue to use the standard retirement form, NHS:RET

The NHS:RET form has undergone cosmetic changes including the removal of the Practitioner sections.

What you need to do

Please start using the new forms. We realise there may be members who are actively filling in the older form or have an older version saved to complete at a later date. Please continue to complete this form, we expect to see a gradual transition to the use of the new forms.

You can access the new forms here.

If you or any of your colleagues have any questions regarding this change, please contact us at sppacontactus@gov.scot and we will try our best to help.

SPPA Guidance for Active Members:

http://www.sppa.gov.uk/index.php?option=com_content&view=article&id=36&Itemid=19

NHS Greater Glasgow and Clyde values diversity and recognises the significant experience and knowledge that our staff with long service contribute to NHS Greater Glasgow and Clyde. The Board works within a changing demography and as the population grows older, NHS Greater Glasgow and Clyde’s employment practices need to adapt to reflect the increasing age of our workforce and provide staff with flexibility in managing their financial future by creating options to work post retirement.

Therefore, the following guidance is aimed at all staff who decide to retire but expresses a desire to return to work on a part or full time basis. This guidance provides information on how this may be applied fairly and consistently.

Guidance on Voluntary Retirement and Re-Employment 

It is important to note, there is no automatic right for an employee to return to work following retirement. Any decision to return as a result of a service requirement and in line with this guidance requires the agreement of the relevant senior manager and considered on a case by case basis. 

In the first instance please discuss the options with your line manager and you may also wish to contact SPPA on 01896 893000 (if a member) to establish and understand impact on pension benefits and obtain an Application Form.

If you would like like to discuss any part of the guidance in more detail, please contact the HR Support and Advice Enquiry Team on 0141 278 2700 option 2. 

The UK Coronavirus Act 2020 (“the 2020 Act”) temporarily suspends a number of provisions in the NHS Pension Scheme (Scotland) (NHSPS[S]) relating to abatement for staff who retire and become re-employed in the NHS, including:

• the ‘16-hour rule’, which prevents members who return to work after retirement from the 1995 scheme from working more than 16 hours per week in the first calendar month after retirement;
• abatement for special class status holders in the 1995 Scheme; and,
• draw down abatement in the 2008 Section and 2015 Scheme

 The Act will expire on 25 March 2022, the temporary suspensions will end and the regulations around abatement will automatically come back into force.

 These suspensions have given valuable additional capacity that retired staff are currently providing to NHS Scotland as it continues to tackle the pandemic, deliver the vaccination programme and implement the Covid recovery plan. As occupational pensions policy is reserved to the UK government, any changes to extend the suspension of abatement provisions requires the consent of HM Treasury (HMT).

 The Cabinet Secretary wrote to the Chief Secretary to the Treasury on 6 January 2022 to convey the importance of extending the suspended provisions and to urge HMT to provide their consent, and we can confirm that HMT have agreed to extend the suspension of pension abatement until 31 October 2022.

 The extension of these provisions will be achieved via temporary changes to the NHSPS(S) regulations, rather than through an extension to the 2020 Act.

 SPPA officials will shortly issue a circular to all employers and staff confirming that the abatement regulations will remain suspended until 31 October 2022 and will introduce time limited changes to the statutory scheme rules via an amending regulations.

 The regulations will be introduced on 1^st April 2022 but will have retrospective effect to 25 March 2022 to ensure a seamless continuation of the suspensions.

Introduction

The Capability Policy is designed to deal with those cases where the employee is lacking in some area of knowledge, skill or ability resulting in a failure to be able to carry out the required duties to an acceptable standard.  The expectation is that where this standard is not met, this will be addressed through a supportive, two way framework where employees will be offered support, encouragement, guidance and training to improve their work performance.

The policy should not be applied in the issues of conduct and a distinction must be drawn between a genuine lack of capability and unsatisfactory performance that is attributable to a wilful refusal on the part of the employee to perform to the standards of which they are capable.  This should be dealt with under the Board’s Disciplinary Procedures.

This policy should not be applied in the cases of issues of capability related to ill health impacting on attendance.  However, it does apply in the case of issues of capability related to ill health where such issues impact on performance (as opposed to attendance).

General Principals

All employees must be made aware of the standards of performance required and of the need to perform acceptably to such standards.

Issues of capability must be addressed at the earliest opportunity and (except in more serious cases) on an informal basis in the first instance before resorting to the formal procedures.

Issues of capability must be addressed fairly, consistently and confidentially, irrespective of the position/level within the Board of employees with whom such matters arise.

A failure to deal with such concerns may adversely affect colleagues and standards of patient care and ultimately the efficiency and quality of the service.

Issues of capability must be addressed in a supportive manner with every opportunity to improve within the current role being offered, and where such improvement is not achievable and sustainable, considering exploration of suitable alternative employment opportunities.  Termination of employment on the grounds of capability must only be a last resort

Identifying a Performance Issue

The key questions to determine whether there is a capability issue are:

• What are the indications that the employee is not meeting the requirements of the job?
• Are there factual grounds to indicate inadequate performance, such as not meeting objectives or failure to deliver the requirements of the job?

Some of the common indicators may include:-

• Complaints about, or criticism of, the employee’s work from colleagues, patients or visitors.
• There may be factual grounds to indicate unsatisfactory performances such as poor results.
• The manager’s own observations of the employee’s performance may give rise to concerns.
• The employee requesting help to overcome a problem.

 The main factors that can affect performance include:- 

• Lack of awareness/understanding of the standards or performance required.
• ill health
• Difficulties in personal circumstances
• Organisational Change
• Bullying or harassment
• Inappropriate or ineffective recruitment and selection processes

A combination of more than one of the above factors.

On the basis of the issues or concerns identified, it may be necessary to put in place additional supervision in order to mitigate risk, whilst any necessary investigation is undertaken and in advance of agreeing a supported improvement plan.  It may ultimately be necessary to place an employee on a short period of paid leave until such times as a supported improvement plan can be agreed and implemented. 

This should be as a last alternative and for as short a period as possible, all effort being made to identify alternatives which will allow the employee to remain at work (through the use of alternative duties or additional supervision).

Information Discussion

Prior to any consideration in terms of the Capability Policy, early intervention is encouraged when poor performance is identified, enabling a supportive approach to be taken.  This can involve short informal discussions between the manager and employee to discuss shortfalls in performance as they arise, identifying solutions and support to ensure that the employee is provided with every opportunity to improve their performance.

Early intervention should ensure that every effort is made to assist the employee and encourage their improvement.

Informal Meeting

Where a potential performance/capability issue is identified, the manager should arrange to meet with the member of staff (verbally) for an informal, private one to one discussion, offering advice and guidance on expected future performance and to support the employee in achieving the required standards.  The employee should be clear on the purpose of the meeting and the issues to be discussed.

Whilst there is no requirement to have a staff side representative in attendance at this informal stage, the employee should be provided with adequate notice to allow them to arrange a representative if they so wish.

The key issues to be discussed at this meeting should be:-

• The standards of performance expected in the role.
• The particular performance concerns and whether the employee acknowledges and understands that there is a problem. 
• Possible contributing factors as detailed in Section 3.
• Possible solutions or a range of solutions
• Agree a supported improvement plan with specified time limits.

The discussion requires to be sensitively handled, free from interruptions in an atmosphere of trust and open discussion.  Employees must be encouraged to be entirely open and honest in exploring these issues.  Managers must bear in mind that the aim is to assist the employee to improve their work performance to an acceptable standard.

It is imperative that the problem(s), as perceived by the manager and employee, are fully explored and established and the issues are understood by all.

Outcome of Informal Meeting

The outcome of the meeting should be confirmed by the manager in writing to the employee, normally within 5 working days, and should include the following:-

• Details of the issues discussed
• The agreements reached
• A copy of the supported improvement plan (if completed)
• The timescales during which satisfactory improvement is expected to be reached and maintained.
• The employee should also be advised of the possibility of progression to the formal stages of the policy should there be an inadequate improvement within the agreed timescales.
• A copy of NHS Greater Glasgow and Clyde’s Capability Policy

 Two copies of the letter should be issued to the employee, along with an acknowledgement slip.  The employee should sign and return the acknowledgement slip along with one copy of the letter, to be retained in their personal file.  They should retain the other copy for their own information.

Supported Improvement Plan / Action Plan

A key outcome of the informal discussion, either during the meeting or after the meeting, should be the development of an appropriate plan to support the individual in improving their performance.

The Supported Improvement Plan should contain the following:-

• The nature and extent of the unsatisfactory performance.
• The standards of performance required.
• How reaching and maintaining such standards is expected to be evidenced.
• Support mechanisms which have been put in place (whether solely for the supported improvement process or as permanent arrangements).
• Who will be mentoring/supporting the employee?
• The timescales during which satisfactory improvement is expected to be reached and maintained.

It may be necessary during a Supported Improvement Plan to amend the employee’s duties to enable a focus on certain duties or to ensure a greater degree of supervision.  However, it should be made clear that successful completion of the Supported Improvement Plan will require the employee to reach and maintain the required standards across their full range of work duties and without the need for an increased level of supervision.  Any supports identified as ‘reasonable adjustments’ under the Equalities Act should be identified as sustainable during the course of the employee’s employment as appropriate.

The Supported Improvement Plan should be signed and dated by the manager and employee to confirm their agreement.  However, a failure by the employee to agree the contents of the plan does not prevent its implementation.

The mentor/manager should meet with the employee, at least on a weekly basis, during the period of supported improvement in order to discuss progress and provide any additional support.  The Monitoring Framework documentation provides appropriate mechanism to facilitate this process.

These meetings, including the details discussed and any additional support provided should be clearly documented in the log within the Monitoring Framework and should be signed by both the mentor/manager and the employee.

NOTE: The template provided for the Supported Improvement Plan/Action Plan can be used at all stages of the Capability Process.

Monitoring and Review

The timescales for monitoring and review would normally be agreed to take place over a four to twelve week period.  The length of this will depend on a number of variable factors and these must be fully considered before determining the timescales:-

• The nature of the performance issue.
• How long it will take to complete the Supported Improvement Plan.
• The availability of the Mentor.
• Any planned periods of annual leave

A similar process for monitoring and review can be adopted for all stages of the Capability Process.

Informal Stage – Interim Review Meeting

It may also be appropriate to consider a Mid-Review meeting to take place during the Supported Improvement Plan.  This will provide a defined period for the manager and employee to review and discuss progress, make any amendments to the plan, introduce additional support and potentially consider the extension of the timescales if appropriate.

Final Informal Review Meeting

The final review meeting will take place on completion of the agreed timescale and the employee should be verbally notified of the date and time of the meeting and should be clear on the matters to be discussed. 

The following areas should be discussed:

• The objective review of the employee’s progress against the Supported Improvement Plan.
• Feedback from the employee in terms of their progress and also examples/evidence of those improvements.
• Discussion and a decision on the next step to be taken.

Possible outcomes will include:

• The employee has improved their performance and no further action requires to be taken.  Normal supervision and performance management processes will continue.
• The employee has improved to an extent and the Supported Improvement Plan should be extended to provide the opportunity for further improvement. The amended timescales should be highlighted to the employee, along with the outstanding objectives to be addressed.
• The employee has been unable to improve their performance in line with the required standard and should progress to the formal stage of the capability process.

Outcome of Final Review Meeting

The outcome of the meeting should be confirmed by the manager in writing to the employee, normally within 5 working days, and should include the following details:-

• Details of the issues discussed
• The employee’s position in terms of completion of the Supported Improvement Plan.
• The employee should also be advised clearly of the decision taken at the meeting as detailed above.

Two copies of the letter should be issued to the employee, along with an acknowledgement slip.  The employee should sign and return the acknowledgement slip along with one copy of the letter, to be retained in their personal file.  They should retain the other copy for their own information.

Escalation to Formal Stage 1 will take place when the informal stage has not resulted in the required improvement in performance despite having being given initial, informal guidance and support.  This stage may also be used in more serious circumstances when a more formal approach is required. 

Matters should not be progressed to the formal stages if it is established that the employee has not had the necessary training, guidance and support required to undertake the job. 

The process for undertaking Formal Stage 1 of the Capability Policy is noted below:

Arrange Formal Capability Meeting – Stage 1

A meeting will be arranged with the employee and at least five working days’ notice should be provided of the meeting.

The letter inviting the employee to the meeting should include the following information:

• The date, time and location of meeting
• The stage of the Capability Policy being used
• Clear details of performance concerns
• All necessary supporting documentation (including details of any informal approach already undertaken)
• Who will be attending the meeting
• The employee’s right to be represented
• An indication of the possible outcomes of the meeting.

The letter should also highlight that the NHS Greater Glasgow and Clyde Capability Policy is available on HR Connect.

Preparation for Formal Capability Meeting – Stage 1

Preparation is crucial to a successful capability meeting, including gathering all relevant information and documentation relating to the areas of the employee’s work performance that require improvement.  It may also be helpful to consider how these areas of concern relate to the employee’s Knowledge & Skills Framework outline for the post they are undertaking and how these may be addressed.

Format of Capability Stage 1 Meeting

The following areas should be discussed and agreed at the meeting:

• The employee should be told clearly and precisely the areas identified in which there are concerns over their performance and the improvement in work standard which is required.
• The employee should be given an opportunity to respond to the points made and to explain any difficulties which may be impacting on their performance.
• There should be a discussion about the ways and means by which the desired improvement may be achieved.
• A Supported Improvement Plan (detailed at Section 4.3) should be agreed that details the improvement required, what support mechanisms will be introduced to aid this process and realistic timescales should be set.
• Consideration should also be given as to whether mentoring, training or coaching would be appropriate and included as part of the Supported Improvement Plan.
• Discuss whether there are any underlying health issues or personal problems that may have affected performance.
• The date when the employee’s performance will be reviewed again (a formal review meeting should take place mid-way and at the end of the agreed timescale set).
• Possible outcomes if the required improvement is not achieved within the agreed timescales.

As with the Informal Stage Meeting, the discussion requires to be sensitively handled, free from interruptions in an atmosphere of trust and open discussion.  Employees must be encouraged to be entirely open and honest in exploring these issues.  Managers must bear in mind that that the aim is to assist the employee to improve their work performance to an acceptable standard.

It is imperative that the problem(s), as perceived by the manager and employee, are fully explored and established and the issues are understood by all.

Outcome from Capability Formal Stage 1 Meeting

The outcome from this meeting should be formally recorded in a letter to the employee within 5 working days of the meeting including a copy of the agreed action plan, either signed at the meeting or to be signed.

The letter will include the following:

• Clear details of the performance concerns
• The improvement(s) required
• An agreed Supported Improvement Plan to achieve improvement
• Details of how the plan is going to be monitored, providing dates for review meetings if agreed
• Confirmation of the timescales
• Potential outcomes including escalation to Stage 2 of the process.

Two copies of the letter should be issued to the employee, along with an acknowledgement slip.  The employee should sign and return the acknowledgement slip along with one copy of the letter, to be retained in their personal file.  They should retain the other copy for their own information.

Monitoring and Reviewing – Formal Stage 1

The timescales for the process of monitoring and review can vary from case to case, but in all formal cases it is important to arrange a mid-way formal meeting to review and assess the progress of the employee at an early stage.

Formal Stage – Mid-Way Formal Review Meeting

The employee should be formally invited to this meeting and provided with at least 5 working days’ notice.

The letter should include the following information:

1. The date, time and location of meeting
2. Who will be in attendance (the manager may wish to consider asking the mentor to be in attendance if one was identified)
3. The right to be represented at the meeting
4. Confirmation that the purpose of the meeting is to review the current Supported Improvement Plan/Action Plan in place and whether any adjustments are required at this point in time

At this meeting the manager should review the employee’s performance to date and constructive feedback should be given. The employee will also be provided with the opportunity to give feedback on the benefits of any support mechanisms provided. Management and the employee should consider whether any further supports or adjustments are required to be made to the Supported Improvement Plan/Action Plan. It should be reiterated to the employee what the next steps may be if they do not meet all objectives within their agreed Supported Improvement Plan/Action Plan at the end of their review period.

The outcome from the Formal Mid-way Review Meeting should be formally recorded in a letter to the employee within 5 working days of the meeting.

Final Formal Review Meeting – Stage 1

A letter should be sent to the employee formally inviting them to this meeting and providing at least 5 working days’ notice.

The letter should include the following information:

• The date, time and location of meeting
• Who will be in attendance (the manager may wish to consider asking the mentor to be in attendance if one was identified)
• The right to be represented at the meeting
• Confirmation that the purpose of the meeting is to review the current Supported Improvement Plan/Action Plan.

At the Final Capability Formal Stage 1 Review Meeting the manager is required to identify whether the desired improvement has been achieved by the employee. The manager will review the Supported Improvement Plan/Action Plan and consider the information provided by the mentor (if one had been identified) and feedback from the employee to allow them to make this decision.

At this meeting the employee will then be advised of the following potential outcomes:

• The employee has improved their performance and no further action requires to be taken.  Normal supervision and performance management processes will continue.
• The employee has improved to an extent and the Supported Improvement Plan should be extended to provide the opportunity for further improvement.  The amended timescales should be highlighted to the employee, along with the outstanding objectives to be addressed.
• The employee has been unable to improve their performance in line with the required standard and should progress to Formal Stage 2 of the capability process.

The outcome from the Final Capability Formal Stage 1 Review Meeting should be formally recorded in a letter to the employee within 5 working days of the meeting.

The letter should include the following:

• Details of the issues discussed
• Confirmation of the employee’s position in terms of completion of the Supported Improvement Plan.
• Details of the outcome – performance has improved, performance has improved to an extent or performance has not improved to the extent required, therefore referred to Stage 2.

 Two copies of the letter should be issued to the employee, along with an acknowledgement slip.  The employee should sign and return the acknowledgement slip along with one copy of the letter, to be retained in their personal file.  They should retain the other copy for their own information.

Please note that if the outcome is that the necessary improvement has been achieved, then the manager should ensure that all capability documentation is removed from the employee’s file 6 months after the date of the outcome letter as long as there have been no further cause for concerns. It is best practice for the manager to inform the employee when such paperwork has been removed.

Formal Stage 2 of the capability process should be used if the desired improvement has not been achieved by the employee at Formal Stage 1. This stage can also be used where evidence exists that there is a genuine factor which renders an employee incapable of carrying out their current role, and all parties are in agreement that redeployment is the only option.

Escalation to Formal Stage 2 will take place when Formal Stage 1 has not resulted in the required improvement in performance despite having been given guidance and support.  This stage may also be used in more serious circumstances when a more formal approach is required. 

Arrange Formal Capability Meeting – Stage 2

A meeting will be arranged with the employee and at least five working days’ notice should be provided of the meeting.

The letter inviting the employee to the meeting should include the following information:

• The date, time and location of meeting
• The stage of the Capability Policy being used
• Clear details of performance concerns
• All necessary supporting documentation (including details of the full capability process to date)
• Who will be attending the meeting
• The employee’s right to be represented
• An indication of the possible outcomes of the meeting.

The letter should also highlight that the NHS Greater Glasgow and Clyde Capability Policy is available on HR Connect.

Preparation for Formal Capability Meeting – Stage 2

Preparation is crucial to a successful capability meeting, including gathering all relevant information and documentation relating to the areas of the employee’s work performance that require improvement.  It may also be helpful to consider how these areas of concern relate to the employee’s Knowledge & Skills Framework outline for the post they are undertaking and how these may be addressed.

Format of Capability Meeting – Stage 2

The meeting should be chaired by the identified manager and the following areas should be covered at the meeting:

• The employee should be told clearly and precisely the areas identified in which their performance is still unsatisfactory and the improvement in work standard required
• Previously identified support measures from Stage 1 should be reviewed and a discussion should take place as to whether they should continue or if any additional measures should be added to the Supported Improvement Plan.
• The employee should be given an opportunity to respond to the points made and provide any other relevant information.
• The Supported Improvement Plan should be reviewed and agreed with clear details of the improvement required, what support mechanisms will be introduced to aid this process, and realistic timescales should be set
• Consideration should also be given as to whether additional mentoring, training or coaching would be appropriate and included as part of the Supported Improvement Plan.
• Discuss whether there are any underlying health issues or personal problems that may have affected performance
• The date when the employee’s performance will be reviewed again (a formal review meeting should take place mid-way and at the end of the agreed timescale set)
• Advise the employee of likely outcomes if they fail to improve to the required standard, including the possibility of disciplinary action and potentially dismissal.

The discussion requires to be sensitively handled, free from interruptions in an atmosphere of trust and open discussion.  Employees must be encouraged to be entirely open and honest in exploring these issues.  Managers must bear in mind that that the aim is to assist the employee to improve their work performance to an acceptable standard.

It is imperative that the problem(s), as perceived by the manager and employee, are fully explored and established and the issues are understood by all.

Outcome from Capability Formal Meeting – Stage 2

The outcome from this meeting should be formally recorded in a letter to the employee within 5 working days of the meeting including a copy of the agreed action plan, either signed at the meeting or to be signed.

The letter will include the following:

• Clear details of the performance concerns
• The improvement(s) required
• An agreed Supported Improvement Plan to achieve improvement
• Details of how the plan is going to be monitored, providing dates for review meetings if agreed
• Confirmation of the timescales
• Potential outcome of failing to reach and maintain the required standards, including the potential for referral for consideration under the Board’s Disciplinary Policy.

Two copies of the letter should be issued to the employee, along with an acknowledgement slip.  The employee should sign and return the acknowledgement slip along with one copy of the letter, to be retained in their personal file.  They should retain the other copy for their own information.

Monitoring and Reviewing – Formal Stage 2

The timescales for the process of monitoring and review can vary from case to case, but in all formal cases it is important to arrange a mid-way formal meeting to review and assess the progress of the employee at an early stage.

Formal Stage – Mid-Way Formal Review Meeting

The employee should be formally invited to this meeting and provided with at least 5 working days’ notice.

The letter should include the following information:

• The date, time and location of meeting
• Who will be in attendance (the manager may wish to consider asking the mentor to be in attendance if one was identified)
• The right to be represented at the meeting
• Confirmation that the purpose of the meeting is to review the current Supported Improvement Plan/Action Plan in place and whether any adjustments are required at this point in time

At this meeting the manager should review the employee’s performance to date and constructive feedback should be given. The employee will also be provided with the opportunity to give feedback on the benefits of any support mechanisms provided. Management and the employee should consider whether any further supports or adjustments are required to be made to the Supported Improvement Plan/Action Plan. It should be reiterated to the employee what the next steps may be if they do not meet all objectives within their agreed Supported Improvement Plan/Action Plan at the end of their review period.

The outcome from the Formal Mid-way Review Meeting should be formally recorded in a letter to the employee within 5 working days of the meeting.

Final Formal Review Meeting – Stage 2  

A letter should be sent out to the employee inviting them into the above meeting. The employee should be given at least 5 working days’ notice.

The invite letter should include the following information:

• The date, time and location of meeting
• Who will be in attendance (the manager may wish to consider asking the mentor to be in attendance if one was identified)
• The right to be represented at the meeting
• Confirmation that the purpose of the meeting is to review the current Supported Improvement Plan/Action Plan in place and confirm whether the desired improvement has been achieved or whether further action is required under NHS Greater Glasgow and Clyde’s Disciplinary Policy

At this meeting the manager is required to identify whether the desired improvement has been achieved by the employee. The manager will review the Supported Improvement Plan/Action Plan and consider the information provided by the mentor (if one had been identified) and feedback from the employee to allow them to make this decision.

The employee will then be advised of the following potential outcomes:

• The employee has improved their performance and no further action requires to be taken.  Normal supervision and performance management processes will continue.
• The employee has improved to an extent and the Supported Improvement Plan should be extended to provide the opportunity for further improvement.  The amended timescales should be highlighted to the employee, along with the outstanding objectives to be addressed.
• That the necessary improvement has not been achieved therefore the employee will be advised that further action will be required under NHS Greater Glasgow and Clyde Disciplinary Policy and Procedure

The outcome from the Final Capability Formal Stage 2 Review Meeting should be formally recorded in a letter to the employee within 5 working days of the meeting.

The letter should include the following:

• Details of the issues discussed
• Confirmation of the employee’s position in terms of completion of the supported improvement plan.
• Details of the outcome – either performance has improved or performance has not improved so further action is required under the NHS Greater Glasgow and Clyde Disciplinary Policy.

Two copies of the letter should be issued to the employee, along with an acknowledgement slip.  The employee should sign and return the acknowledgement slip along with one copy of the letter, to be retained in their personal file.  They should retain the other copy for their own information.

Please note that if the outcome is that the necessary improvement has been achieved, then the manager should ensure that all capability documentation is removed from the employee’s file 6 months after the date of the outcome letter as long as there have been no further cause for concerns. It is best practice for the manager to inform the employee when such paperwork has been removed.

Referral to be Considered under the disciplinary policy and procedure

A management statement of case should be prepared, summarising the full details of the employee’s progress through the informal and formal Capability process.  This should include:-

• Background of employment history
• Initial discussions and concerns
• Details of the informal process, including support, training, guidance offered and the Supported Improvement Plan agreed.
• Details of the Stage 1 process, including support, training, guidance offered and the Supported Improvement Plan agreed.
• Details of the Stage 2 process, including support, training, guidance offered and the Supported Improvement Plan agreed.
• Any alternative considerations including redeployment to a lower graded post.

Occupational Health

At any point during the process where an employee discloses a health issue that may impact on their performance, the employee must be referred to the Occupational Health Department. Managers are advised to suspend the process whilst waiting for a response from Occupational Health, which should assist in determining the most appropriate way to move forward.

It would also be normal practice for any employee commencing long term sickness during the capability process to be referred to Occupational Health.  The Capability Process is likely to be adjourned during the absence and recommence when the employee resumes to their normal contractual hours.

Non-Engagement In the Process

The Capability Process should be a supportive two way process, aimed at supporting the employee to develop and improve to attain the required standards of performance.

However, if the employee is repeatedly unable or unwilling to attend meetings  then due consideration of all of the facts in relation to this matter should be considered.  These should include:-

–       Normal processes for failing to attend meetings.

–       The seriousness of the issue being considered.

–       The employee’s general work record, work experience, position and length of service.

–       Medical opinion on whether the employee is fit to attend.

On the basis of these considerations, it should be determined whether it is reasonable to proceed in the employee’s absence based on the information available.

Continued failure by the employee to accept the issues raised and to fully engage in the Capability process may also result in the matter being considered as a Conduct issue and progressed through the Disciplinary Policy and Procedure.

The Use of a Mentor

It can be beneficial to nominate a mentor to assist and support the employee throughout the Supported Improvement Plan.  It would be expected that the mentor will be a member of staff with significant experience and understanding of the areas of improvement identified in the Supported Improvement Plan.

The mentor should meet with the employee on a regular basis throughout the Supported Improvement Plan, at least on a weekly basis, during the period of supported improvement in order to discuss progress and provide any additional support.

These meetings should be open and honest discussions reviewing the employee’s progress and should be clearly documented in the log within the Supported Improvement Plan, including details of the employee’s progress, areas which continue to require improvement and any additional support or assistance offered.

These logs should be signed by both the mentor and the employee after each meeting.

Documentation & Record Keeping

It is imperative that all discussions in relation to performance issues are clearly documented, including initial discussions during the process of Supported Improvement, highlighting the areas of improvement and the support and assistance offered.

Clear and concise documentation is also an integral part of the informal and formal process and use of the standard documentation within this guidance should assist in ensuring that appropriate documentation is utilised.

Guidance QuickView

• 01.Outcome of Initial Informal Meeting
• 02.Outcome of Informal Review Meeting
• 03.Invitation to Formal Stage 1 Meeting
• 04.Outcome of Initial formal Stage 1 Meeting
• 05.Invitation to Formal Stage 1 Mid/Final Review Meeting
• 06.Outcome of Formal Stage 1 Mid Review Meeting
• 07.Outcome of Formal Stage 1 Final Review Meeting
• 08. Invitation to Formal Stage 2 Meeting
• 09.Outcome of Initial Formal Stage 2 Meeting
• 10. Invitation to Formal Stage 2 Mid/Final Review Meeting
• 11.Outcome of Formal Stage 2 Mid Review Meeting
• 12.Outcome of Formal Stage 2 Final Review Meeting
• 13.Adjourn pending OHS Referral
• A. Supported Improvement Plan
• B.Mentor Monitoring Framework
• 01.Outcome of Initial Informal Meeting
• 02.Outcome of Informal Review Meeting
• 03.Invitation to Formal Stage 1 Meeting
• 04.Outcome of Initial formal Stage 1 Meeting
• 05.Invitation to Formal Stage 1 Mid/Final Review Meeting
• 06.Outcome of Formal Stage 1 Mid Review Meeting
• 07.Outcome of Formal Stage 1 Final Review Meeting
• 08. Invitation to Formal Stage 2 Meeting
• 09.Outcome of Initial Formal Stage 2 Meeting
• 10. Invitation to Formal Stage 2 Mid/Final Review Meeting
• 11.Outcome of Formal Stage 2 Mid Review Meeting
• 12.Outcome of Formal Stage 2 Final Review Meeting
• 13.Adjourn pending OHS Referral
• A. Supported Improvement Plan
• B.Mentor Monitoring Framework