PP2: Performance Policy · PP2 Performance Policy – Page 2 Section 3: Our Values: Policies,...

PP2 Performance Policy – Page 1

PP2: Performance Policy People & Places (PP) > Performance (2)

Owner: Head of HR Review by: SMT

Version: 2012 First issue date: January 2012

Review cycle: Annual Last review date: February 2014

Last update date: February 2014

Summary of updates PP2a Appraisal updated

PP2h Universal Procedure Whistle Blowing updated

Section 1: Contents 1. Contents 2. Legislative context 3. Our Values 4. Policy Statement 5. What if it goes wrong 6. Keeping the policy up to date

Associated Procedures HS1c Universal Procedure: Safer Recruitment (see under HS1 Safeguarding Policy) PP2a Universal Procedure: Appraisal PP2b Universal Procedure: Learning & Development PP2c Universal Procedure: Code of Conduct PP2d Universal Procedure: Relationships at Work PP2e Universal Procedure: Disciplinary PP2f Universal Procedure: Capability PP2g Universal Procedure: Grievance PP2h Universal Procedure: Whistle Blowing IM4c Universal Procedure: Complaints

Section 2: Legislative Context

Equality Act 2010 Employment Rights Act 1996 ACAS Code of Practice on Disciplinary and Grievance Procedures Public Interest Disclosure Act 1998


Section 3: Our Values: Policies, guidance and procedures are clear and consistent, devolving responsibilities appropriately in the spirit of trust, empowerment, and collaboration through mutual respect. We recruit and develop the right people for the right role. We are all committed to personal learning and development to increase our overall confidence and good practice and are committed to our continued professional development and ensure that we are resourced and supported to operate safely. We believe everyone is entitled to the support they need to be the best that they can be, recognising that different people need different levels of support and that through excellent communication and caring environments we can all thrive and be happy. We maintain honest and purposeful relationships, remembering our professional boundaries. Where reality falls short of expectations we support each other in reflecting, learning and growing.

ISHAPE PACT Values Framework

Section 4: Policy Statement PACT regards employees as its greatest asset and recognises that the overall performance of its employees is an essential determinant of the organisation’s success. PACT therefore:

Ensures that individuals with the most appropriate skills and knowledge are recruited to achieve the aims of the organisation.

Recognises it is essential to continually enhance the skills and competencies of employees to promote beneficial change within the organization and optimize the quality of its service, simultaneously creating growth and job security.

Values the integrity of professional relationships between its employees but

believes it is necessary to distinguish between, and take account of, personal relationships which overlap with professional ones in order that PACT’s business is conducted in a professional manner.

Expects its employees to strive to meet its Code of Conduct, which endeavours to

specify the standards of professional conduct required of a PACT employee as they go about their daily work, reflecting existing good practice, and informing people using PACT’s services and the public about the standards of conduct they can expect from PACT employees.


Ensures that any problems relating to an individual’s performance are dealt with in a fair and transparent manner taking into account both the needs of the individual and that of the organisation.

Section 5: What if it goes wrong? All PACT’s policies and procedures are made available to everyone through induction, intranet, training, consultation and one to one supervision. It is the responsibility of the line manager to ensure that their teams are aware of procedures and where to access them. Should any of PACT’s procedures not be followed the following should be utilised to resolve any issues:

PP2e Universal Procedure: Disciplinary

PP2f Universal Procedure: Capability PP2g Universal Procedure: Grievance PP2h Universal Procedure: Whistle Blowing IM4c Universal Procedure: Complaints

Section 6: Keeping the policy and procedures up to date This document, as with all policies and procedures, is approved by the Board of Trustees and amendments to which are recommended by the Senior Management Team following any routine review and identification of new best practice. PACT’s Head of HR, will ensure changes to legislation are tracked and monitored through the relevant staff most closely involved with such policy areas. All senior managers, as with all colleagues, have clearly defined responsibilities with Job and Role descriptions to monitor changes in legislation for their area of responsibility and to adhere to organisational policy and procedures.

PP2a Universal Procedure: Appraisal – Page 1

PP2a: Universal Procedure Appraisal People & Places (PP) > Performance (2) > Appraisal (a) Owner: Head of HR Review by: SMT

Version: 2014 First issue date: September 2012



Summary of updates Updated to reflect latest process and forms

Related documents:

PP2 Performance Policy General background PACT is an organisation that strives towards excellence in all it does and believes in making a difference by motivating people to set and achieve its organisational aspirations. (I-Shape). PACT recognises that the performance of every individual contributes to its success and delivery of quality services. Therefore, it encourages employees to display initiative and commitment to reaching their individual goals and, therefore, PACT’s organisational goals. PACT supports individuals to achieve these aspirations by ensuring all employees have annual appraisals, regular supervision at one to one meetings and a clear set of objectives which cascade from, and are aligned to, PACT’s business plan. This approach demonstrates to stakeholders that PACT is committed to supporting and developing its workforce as well as supporting its accreditation as an Investors in People organisation. Performance appraisal is based upon the principle that employees are more engaged and effective in their role when they:

Have clearly defined objectives

Know how their performance is measured Understand what is important and how their work contributes to the

success of the organisation through alignment to business objectives

Are encouraged to communicate openly, positively and regularly about performance and development issues

Are able to track their performance throughout the year


Procedure 1. Performance Appraisal Process – Timeframe The timing of the Performance Appraisal process follows the Corporate Strategic Planning and Budgeting process. This will ensure that current business objectives are cascaded through the organisation to each individual.

Annual appraisals take place during March and April once the business plan for the coming year has been agreed by Trustees. Appraisals are recorded in a consistent form, using the agreed template Managers will agree dates for annual appraisals with their team members during December. Completion of this task will be reported to the January SMT meeting. The HR team will distribute the necessary paperwork for appraisals in February. Employees who are on probation at the point when appraisals are normally conducted (March – April) will have their progress monitored using the probation process and paperwork. Further guidance on probation periods is available at: OPPP2d - Probation periods.docx. At the end of the probationary period, probation reviews will be replaced by regular one to one meetings as part of the annual performance appraisal process. 2. The Annual Appraisal Review Process

The key to an effective and successful annual performance appraisal is to ensure that performance is reviewed continuously throughout the year, via regular support and supervision at one to one meetings. These regular one to one meetings will ensure that the annual appraisal is a summary of discussions that have taken place throughout the year (normally every 4-8 weeks is acceptable). Dates should be set in advance for these meetings by the line manager and ideally meetings for throughout the year should be planned at the beginning of the year so that the time is allocated in diaries. Changing or cancelling supervision should be avoided as it can indicate a lack of commitment to support and supervision. A typical agenda for a one to one meeting is:


1. Review and update on objectives (agreed at annual performance

review) and agreed actions

2. Review of training and development needs

3. General discussion areas e.g. workload, performance, health and

safety, safeguarding, annual leave/TOIL

4. Agree additional action points and support needed

A note of each one to one meeting should be recorded on the template form. 3. Roles and Responsibilities This section summarises the roles of those involved in the appraisal process. Trustees and SLT Are responsible for agreeing the strategic business plan for the organisation and its business goals for the coming year. Senior Managers Are responsible for agreeing operational business plans, individual objectives will cascade from these plans The Appraiser The role of the appraiser is to:

Ensure they have clearly communicated standards and expectations from the job role

Prepare for the review meeting Collect evidence/feedback to support the performance review Understand how the corporate plans/objectives will impact on their team

members objectives

Encourage two way communication Review the appraisee’s achievements against previously agreed objectives Agree dates for performance review meetings

Agree and set objectives for the next year Discuss and agree the appraisee’s development plan Agree content of the appraisal form, write it up and sign it Send a copy of the final signed off appraisal form to HR Hold Support and Supervision/One to One meetings throughout the year

The Appraisee The role of the appraisee is to:

Prepare for the Appraisal meeting using the Self-Appraisal Review form


Review past performance in terms of the results achieved against their objectives

Collect evidence/feedback to support their performance achievements Consider what they have learned during the period Highlight opportunities for further personal and organisational

Development

Be an active participant Be able to discuss performance, career aspirations and development areas

Prepare for the monthly/six weekly Support and Supervision/One to One meetings

Be prepared to give constructive feedback on their manager’s performance

The Head of HR The role of the Head of HR is to:

Provide advice, training and support to Line managers and individuals on all aspects of the appraisal process.

To keep a record of all appraisals completed and store copies Incorporate individual learning and development needs into the corporate

training plan

To review the “SMART-ness” of objectives set for individuals To launch the annual appraisal programme

PP2b Universal Procedure: Training & Development – Page 1

PP2b: Universal Procedure Learning & Development People & Places (PP) > Performance (2) > Training & Development (b) Owner: Head of HR Review by: SMT



Related documents:

PP2 Performance Policy General Background PACT fully endorses the role of learning and development as a crucial facilitator of organisational growth. Consequently, this procedure identifies the ways in which cost effective learning and development activities will be implemented throughout the organisation. Procedure The following principles should apply to all Learning and Development activities: Learning and development is an on-going process, applicable at every stage of an individual's career in PACT. PACT is fully committed to promotion from within, and to long term career development. Learning and Development activities should be planned and not remedial or reactive in nature, e.g. as individuals progress through the various stages of their career, they undertake structured skills programmes consistent with this aspect of their personal development. Career and job progression is a shared activity between PACT and the employee. Therefore, both PACT and the employee have ownership for the implementation of development activities. These activities, which provide clear added value to employees, are viewed by PACT as an investment in the future and not a cost to be borne. Responsibility for the Implementation of Learning and Development It is the responsibility of all managers to ensure the successful implementation of learning and development activities for their staff. Consequently, managers must ensure that they discuss the objectives and purpose of any learning with their staff and undertake a post-course debrief/evaluation so as to ensure that this investment can be maximised.


It is the responsibility of HR to provide the following services to managers:

Providing and co-ordinating a performance review system to annually analyse learning and development needs in line with business objectives.

Providing advice and assisting with the formulation of Development Plans developed outside of the annual performance review system.

Provision of advice to managers concerning succession planning.

Creation of bespoke development initiatives.

Organising and running in-house training courses. Learning and Development Methodologies PACT recognises that there are a variety of training needs which will require different solutions, for example:

In house courses Distance Learning/Computer Based learning systems External/Open Courses

On the job training Secondment/Job Rotation Performance Coaching Mentoring

Mechanisms to Support Learning & Development Learning and Development initiatives will only provide an optimal contribution to PACT’s business if they are successfully integrated. Accordingly, the timing of all these initiatives within the annual business cycle is critical. Performance Review PACT has a formal Performance Review system to deliver this Learning and Development policy. Development Plans It is essential that the return on investment is maximised. Accordingly, Development Plans provide a mechanism to:

Assess, with regard to the business, the requirement for, and timing of, Learning and development investments.

Prioritise, control and monitor Learning and development spend against objectives.


Improve the effectiveness of investment by integrating organisational development planning with the business planning process.

Link the different development activities (e.g. Staff Dialogue, Personal

Development Profiles, Recruitment, Management Development). Tuition Aid It is PACT’s policy to provide financial support for employees who, subject to managerial approval, wish to further their careers by obtaining qualifications that will prove mutually beneficial to PACT and the employee. Under this scheme, PACT will pay 25% of any tuition, registration and examination fees incurred by employees at the commencement of the course and the remaining 25% on successful completion. Other expenses such as travel to and from college, course books and ancillary materials are the responsibility of the individual employee. Exam dates will be treated as a working day and written evidence of the date and timings of the examination must be provided to the Line Manager in advance. Annual leave must be used for time taken in excess of the examination, e.g. if one day is taken off for a morning exam the morning would be treated as normal working hours and the afternoon would need to be taken as annual leave. Both the time spent actually taking the exam and travelling time will be treated as working time “allowable hours”. (Note travel expenses will not be paid). In addition, for part time staff, should the examination fall on a non-working day the allowable hours will be treated as working hours and compensatory time off can be taken on one of the normal working days in the same week. Any requests for staff to undertake personal development training outside of the above conditions must be discussed with their Line Manager and if the Line Manager supports their request, these are to be referred to the Senior Management Team for agreement. In the event of funding being lost or the course start date being missed before a Senior Management Team Meeting is held, then the Chief Executive can make a decision. It should be understood that PACT cannot guarantee a promotion, an alternative position or a salary increase to employees achieving success in their particular course. This scheme will apply to permanent employees. In the case of fixed term employees they can receive a proportion of this benefit as is reasonable taking into consideration the length of their contract.


Employees wishing to embark on a course of further education or training are advised to first discuss their intentions with their Manager in conjunction with the Head of HR. The form Application for Study should be completed in full, and approved in line with PACT rules. A new Application for Study Form should be completed for each year of study where a course runs over a number of academic years. A copy of this approved form will then be forwarded by the Head of HR to the employee as written confirmation of PACT's decision to provide sponsorship. If PACT sponsors a course of study, this will be subject to the employee entering into a learning agreement. Only then should course enrolment take place. A copy of the approved course invoice/receipt should be provided. The first 25% refund of fees can be claimed via an expenses claim. If employees terminate their employment with PACT, or discontinue their studies during the year before the successful completion of the course (of their own accord), they will not be eligible for refund of any outstanding fees. In addition, they will be liable to refund any fees paid to them in that year of study. This requirement will be confirmed in writing at the start of any course or programme. Employees will be required to provide written evidence of examination passes/attendance to the Head of HR prior to payment of the final 25% balance being made by PACT. Where employees are attending non-examination courses, they must request the appropriate college or establishment to provide end of term reports on their progress and attendance record. These will be used as a guideline for PACT in determining whether or not to provide the final payment.

PP2c Universal Procedure: Code of Conduct – Page 1

PP2c: Universal Procedure Code of Conduct People & Places (PP) > Performance (2) > Code of Conduct (c)

Owner: Guy Davies (Trustee) Review by: SMT



Related documents:

PP2 Performance Policy EE2a Universal Procedure: Equality & Diversity

General Background This document contains an agreed Code of Conduct for PACT employees, describing the code within which they should work. It is intended to help you understand what the code is for and what it will mean to you as an employee, or member of the public. The Code of Conduct is a list of statements that describe the standards of professional conduct required of a PACT employee as they go about their daily work. The intention is to confirm the standards required by PACT and ensure that workers know what standards of conduct PACT as an employer, colleague and people that use PACT’s services, as well as the public, can expect of you. As a PACT employee you will have criteria to guide your work and be clear about what standards of conduct you are expected to meet. You are encouraged to use the codes to examine your own practice and to look for areas in which you can improve. As a person using PACT’s services or member of the public the code will help you understand how a PACT employee should behave towards you. PACT expects its employees to strive to meet the following Code of Conduct and may take action if they fail to do so. Code of Conduct PACT employees should:

• Protect the rights and promote the interests of the families they work with.

• Strive to establish and maintain the trust and confidence with people that

use PACT services.


• Promote the empowerment of individuals while • protecting them as far as possible from danger or harm;

• Respect the rights of people that use PACT services whilst seeking to

ensure that their behaviour does not harm themselves or other people;

• Uphold public trust and confidence in PACT

• Be accountable for the quality of their work and take responsibility for maintaining and improving their knowledge and skills.

Specifically: 1. As a PACT employee, you must protect the rights and promote the

interests of people that use PACT services This includes:

• Treating each person as an individual

• Respecting and, where appropriate, promoting the individual views and wishes.

• Empowering individuals to take control of their lives and make informed

choices about the decisions they make

• Respecting and maintaining the dignity and privacy of the individuals that use PACT services

• Promoting equal opportunities

• Respecting diversity and different cultures and values.

2. As a PACT employee, you must strive to establish and maintain the

trust and confidence of the individuals and families you work with. This includes:

• Being honest and trustworthy;

• Communicating in an appropriate, open, accurate and straightforward way;


• Respecting confidential information and clearly explaining PACT’s policies about confidentiality.

• Being reliable and dependable;

• Honouring work commitments, agreements and arrangements and, when

it is not possible to do so, explaining why it is not possible to do so.

• Declaring issues that might create conflicts of interest and making sure that they do not influence your judgement or practice. Discuss them with your line manager who will strive to make an alternative arrangement.

• Adhering to policies and procedures about accepting gifts and money from

people that use PACT services. 3. As a PACT employee, you should promote independence while

protecting individuals as far as possible from danger or harm. This includes:

• Promoting independence and assisting people to understand and exercise their rights;

• Using established processes and procedures to challenge and report

dangerous, abusive, discriminatory or exploitative behaviour and practice;

• Following practice and procedures designed to keep you and other people safe from violent and abusive behaviour at work;

• Bringing to the attention of your employer or the appropriate authority

resource or operational difficulties that might get in the way of the delivery of safe care;

• Use the Whistle Blowing Procedure to inform PACT senior management

team of situations where the practice of colleagues may be unsafe.

• Complying with employers’ health and safety policies, including those relating to substance abuse;

• Take complaints seriously and responding to them or passing them to the

appropriate person.


4. As a PACT employee, you must respect the rights of people while seeking to ensure that their behaviour does not harm themselves or other people.

This includes:

• Recognising that individuals have the right to take risks and helping them to identify and manage potential and actual risks to themselves and others;

• Following risk assessment policies and procedures to assess whether the

behaviours represents a risk of harm to themselves or others;

• Take necessary steps to minimise the risks from doing actual or potential harm to themselves or other people; and

• Ensure that relevant colleagues and agencies are informed about the

outcomes and implications of risk assessments. 5. As a PACT employee, you must uphold public trust and confidence

in PACT. In particular you must not:

• Abuse, neglect or harm anyone

• Exploit anyone, in any way;

• Abuse the trust people or the access you have to personal information about them or to their property, home or workplace;

• Form inappropriate personal relationships with individuals that use PACT

services.

• Discriminate unlawfully or unjustifiably.

• Condone any unlawful or unjustifiable discrimination by individuals using PACT services or colleagues;

• Put yourself or other people at unnecessary risk.

• Behave in a way, in work or outside work, which would call into question

your suitability to work for PACT.


6. As an employee of PACT you must be accountable for the quality of your work and take responsibility for maintaining and improving your knowledge and skills.

This includes:

• Meeting all relevant standards and working in a lawful, safe and effective way.

• Maintaining clear and accurate records

• Informing your line manager about any personal difficulties that might

affect your ability to do your job competently and safely;

• Seeking assistance from your line manager if you do not feel able or adequately prepared to carry out any aspect of your work, or you are not sure about how to proceed in a work matter;

• Working openly and co-operatively with colleagues and treating them with

respect;

• Recognising and respecting the roles and expertise of workers from other agencies and working in partnership with them.

• Undertaking relevant training to maintain and improve your knowledge

and skills and contributing to the learning and development of others.

PP2d Universal Procedure: Relationships at Work – Page 1

PP2d: Universal Procedure Relationships at Work People & Places (PP) > Recruitment & Performance (2) > Relationships at Work (d)


Version: 2012-01 First issue date: January 2012


Related documents

PP2 Performance Policy EE2b(i) Universal Procedure: Harassment & Bullying in the Workplace PP2e Universal Procedure: Disciplinary PP2g Universal Procedure: Grievance

General Background This procedure covers all employees of PACT. It is intended to provide guidance in areas where personal relationships overlap with working relationships and is intended to ensure that individual members of staff are not open to allegations of impropriety, bias, abuse of authority or conflict of interest. It is also intended to set out employees’ rights and responsibilities to one another. In the context of this policy, a personal relationship is defined as:

• a family relationship; or • a sexual/romantic relationship

Procedure Both PACT and any employees who are in personal relationships with any other employee shall take all reasonable steps to ensure that personal relationships do not unfairly advantage or disadvantage those involved. If an employee becomes involved in a personal relationship with a fellow employee, it is the responsibility of both individuals to deal appropriately with any potential conflicts of interest. Ideally, such relationships should be reported, in confidence, to the Human Resources Manager or Chief Executive (whichever is the more appropriate for the particular case), particularly where the relationship is between a manager and his/her subordinate. Employees should take care that financial, familial or personal relationships entered into on a consensual basis do not unfairly advantage or disadvantage any member of staff or other individuals.


Employees involved in personal relationships should exercise due regard for the professional nature of the workplace and behave in a professional manner at all times, paying due consideration to colleagues, customers and clients. Where a personal relationship exists between employees who are in a line management or supervisory relationship at work, they must not be involved in recruitment, selection, appraisal, promotion or in any other management activity or process involving the other party whereby there may be a conflict of interest or perceived conflict of interest as a result of the personal relationship. In such circumstances the relevant manager, senior manager or director should be informed and will, where appropriate, make alternative arrangements and confirm them in writing. The relevant manager, senior manager or director must treat these matters in confidence. If there is any inequality or perceived inequality in the relationship, extra care should be taken and employees’ attention is drawn to the sexual harassment policy. Sexual harassment is defined as “any form of unwanted verbal, non-verbal or physical conduct of a sexual nature which occurs with the purpose or effect of violating the dignity of a person, in particular when creating an intimidating, hostile, degrading, humiliating or offensive environment”. Employees involved in personal relationships at work should ensure that any such relationships are fully consensual, and are not and cannot be perceived as an exploitation of one party’s position in relation to another. Any employee who is, or who has been, involved in a sexual/romantic relationship with another member of staff, and who does not consider their involvement to be truly consensual, will have the right to complain under either EE2b Universal Procedure: Harassment & Bullying in the Workplace or PP2g Universal Procedure: Grievance. Applicants for employment within PACT will be asked to declare whether they are in a personal relationship with any existing employee of PACT. The existence of a relationship between an applicant and an employee will not bar anyone from applying to PACT for employment, but relationships must be declared at the outset. External and internal applicants for posts will be asked to declare relevant personal relationships when applying for the post to ensure that the member of staff they are related to/in a relationship with, has no involvement in the application process. Managers and staff who are uncertain about whether they should take action regarding a personal relationship (whether their own or someone else’s


relationship that is affecting them) are invited to seek guidance in confidence from the Human Resources Manager. Employee should be aware that a breach of this policy could lead to disciplinary action being taken, see PP2d(i) Universal Procedure: Disciplinary

PP2e Universal Procedure: Disciplinary – Page 1

PP2e: Universal Procedure Disciplinary People & Places (PP) > Recruitment & Performance (2) > Disciplinary (e)

Owner: Frank Harper (Trustee) Review by:

Version: 2012-02 First issue date: May 2007


Related documents:

PP2 Performance Policy PP2f Universal Procedure: Capability

General Background The aims of PACT’s disciplinary procedure are:

To ensure that all employees comply with PACT’s rules and procedures.

To ensure a fair and consistent approach when dealing with disciplinary issues.

To bring unsatisfactory conduct or performance to your attention.

To resolve problems of conduct or performance and wherever possible to avoid dismissal.

Procedure PACT’s disciplinary procedure is used to deal with issues of misconduct and gross misconduct. PACT’s disciplinary procedure has three clear stages as follows:

Investigation by PACT Your contract of employment will continue whilst PACT considers the allegations made against you. It might be necessary to suspend you from your employment during the period of investigation. Suspension will normally be on full pay. If you are suspended, your contract of employment will continue but you will not be allowed to enter PACT’s premises or contact any of your fellow employees or any of PACT’s customers/clients without prior permission. You will only be suspended if the allegations made against you are very serious. PACT will endeavour to complete its investigations as soon as possible.


Disciplinary Hearings PACT will hold a formal disciplinary hearing. Before the hearing you will be given details of those allegations made against you. At the hearing you will have an opportunity to respond to those allegations and (if appropriate) to call and question any relevant witnesses. You have a right to be accompanied at disciplinary hearings by either a work colleague or trade union representative. The decision of the disciplining officer will be confirmed to you in writing as soon as possible following the disciplinary hearing.

Appeals You have the right to appeal at any stage of the disciplinary procedure. You can exercise your right to appeal by writing to the person named in the letter confirming the outcome of the disciplinary hearing within 5 working days of receiving written notification of the disciplinary sanction. Your letter should state the grounds upon which you are lodging your appeal. If your appeal is against dismissal the dismissal decision will stand unless or until the appeal officer decides otherwise. The decision of the appeal officer will be notified to you in writing and will be final and binding

At all stages of the formal disciplinary procedure you will:

Be given the opportunity to reply to all and any allegations made against you before any decision or disciplinary action is taken.

Have the opportunity to be accompanied by a work colleague or Trade Union representative.

Have the most appropriate level of management hear any disciplinary

matter or appeal. Where the manager in question was directly involved in the issues in dispute or under review, an alternative person with appropriate seniority will deal with the matter.

Informal action will be considered, where appropriate to resolve problems. Disciplinary action may take one of the following forms:

Written Warning one copy of which will be retained by you and one enclosed within your personnel file.

Final Written Warning advising you that a further offence or continued shortcoming will render you liable to dismissal. One copy of this will be retained by you and one enclosed within your personnel file.


Dismissal, with or without notice. If appropriate PACT might give consideration to enforcing some other disciplinary sanction such as suspension without pay, demotion, transfers to some other place or type of work or loss of privileges. All warnings lapse following the expiry of the period specified by the disciplining or appeal officer at the time of issuing the warning. If no period is specified the default period is 12 months. The following acts are examples of Gross Misconduct and as such may render employees liable to Summary Dismissal (i.e. dismissal without notice). This list is not exhaustive:

Theft

Falsification of reports, accounts, expense claims, time recording, self- certification forms or any other PACT document

Refusal to carry out duties or reasonable instructions

Serious insubordination or the use of aggressive behaviour or excessive bad language on PACT’s or client’s or customer’s premises

Serious incapability or the potential for serious incapability whilst on duty brought on by alcohol or illegal drugs

Serious negligence which causes or might cause unacceptable loss, damage or injury

Serious breach or repeated breaches after warning or any material persistent breach of your contract of employment or PACT rules

Unauthorised possession or disposal of or wilful damage to PACT’s property or that of clients, customers or other employees

Any serious breach of PACT’s Health and Safety, Harassment, Data Protection or Email/Internet Policies

Fighting, physical assault, dangerous horseplay, actual or threatened violence including bullying

Abuse of confidential information or its release to unauthorised persons or any breach of the duty of confidentiality save for any disclosure or whistle blowing under the Public Interest Disclosure Act 1998;

Failure to report to PACT any driving disqualification when you are required to use a vehicle as an essential part of your duties.

Any action or omission which would bring PACT into serious disrepute whether during or outside of your normal working hours.

Failure to report, to an appropriate person, an incident of abuse, or suspected abuse of a child.

Discrimination (including harassment) on grounds of sex, sexual orientation, race, religious or similar philosophical belief, disability, age or any other act which fundamentally breaches the dignity of people at work.


Use or occupation of PACT’s premises outside of working hours without prior consent of a member of the Senior Management team.

Making or receiving calls on a mobile phone, whether hand held or hands free, whilst driving on PACT business.

Any other matter which in the reasonable opinion of PACT that constitutes gross misconduct.

PP2f Universal Procedure: Capability – Page 1

PP2f: Universal Procedure Capability People & Places (PP) > Recruitment & Performance (2) > Capability (f)




Related documents:

PP2 Performance Policy PP2e Universal Procedure: Disciplinary PP1b Universal Procedure: Absence PP2b Universal Procedure: Training & Development

General Background It is intended that this procedure provide a fair and effective procedure for resolving situations where employees fail to meet minimum job performance standards. This procedure applies to all employees within the PACT Group. Where, through lack of capability, employees fail to maintain satisfactory overall job performance standards, a timely and effective solution will be determined and implemented though PACT’s capability procedure. Procedure The capability procedure consists of three elements:

Preliminary Investigation. A Performance Counselling Interview. A Performance Improvement Action Plan

Wherever reasonably practicable, the capability procedure will be used to achieve the required job performance standards by helping to improve the jobholder’s capability, for example, through better training, supervision or coaching. If this is not possible within a reasonable period of time, and at reasonable cost to PACT, the capability procedure will be used to determine and implement alternative solutions, e.g. displacement, transfer or dismissal. Written records of all Performance Counselling Interviews will be provided to the employees concerned and, for inclusion in the relevant personnel files.


In all cases Managers should take appropriate advice from the HR function before using the capability procedure to deal with sub-standard performance. Note: Where the required job performance standard is not maintained due to misconduct e.g. gross negligence, PACT’s disciplinary policy and procedures must be used see PP2d(i) Universal Procedure: Disciplinary. In addition, separate procedures are used when the required job performance standards are not maintained as a result of long term / frequent sickness or absence, see PP1b Universal Procedure: Absence from work – Sickness. Appraisals in relation to the capability procedure PACT has established an appraisal system in which managers and their employees meet to formally review performance achievements and requirements as well as to determine training and development needs, see PP2b Universal Procedure: Training & Development. This is PACT’s primary performance appraisal system, and managers should use it regularly in line with established practice. It is not a part of the following rules and procedures, and it does not need to be applied before invoking the capability procedure. However, if a manager is considering using the capability procedure he should be aware of the “appraisal history” of the employee concerned. The Capability Procedure is as follows: Preliminary Investigation The purpose of the Preliminary Investigation is to find out why an employee’s performance is sub-standard and determine what to do about it. There can be many causes, some of which are unrelated to lack of capability and which require solutions other than the use of this capability procedure; for example:

• the changing nature of the job. • raised the job standards. • lack of job training. • unclear objectives.

However, if the cause is shown to be lack of capability, the Preliminary Investigation should also identify:

• the areas (ways) in which performance is sub-standard.


• the degree of shortfall against established job performance standards. • how seriously the sub-standard performance affects the department /

company. • how long the employee can reasonably be given (with company

assistance) to achieve the minimum required job performance standard. Performance Counselling Interviews The Performance Counselling Interview is used:

• to decide upon the correct solution to achieve satisfactory job performance.

• to define the necessary action plan to achieve satisfactory job performance.

• to ensure that the employee is fully aware of the action plan, the job standards required and the time scale for the required improvement.

The employee will be advised of the nature of the complaint against him or her and will have the right to be accompanied by a trade union representative, or work colleague. First explain that the purpose of the interview is to consider what action should be taken in order to achieve the required job performance standards and give the employee the opportunity to put his point of view, ask questions and present evidence. At the end of the interview (following an adjournment) summarise the discussions and inform the employee as to how you intend to deal with the lack of capability. The outcome of the Performance Counselling Interview should normally be to define and establish a Performance Improvement Action Plan. This may be in the nature of training, job re-design or some other form of assistance. The details of the Performance Improvement Action Plan should be confirmed in writing to the employee within 5 working days of the Performance Counselling Interview, through a Performance Counselling letter. This should confirm:

• the main points of the discussion, including (especially) any points of agreement / disagreement which emerged during the interview.

• an explanation of the ways in which performance is sub-standard. • a statement of the required performance improvements. • the period within which the required job standards must be achieved. • the likely consequences of failure to achieve standard, especially if

employment is at risk.


• details of training or other company assistance to be provided. • details of the performance monitoring process to be carried out.

Performance Improvement Action Plans Performance Improvement Action Plans follow the Performance Counselling Interview and are a systematic way of implementing the improvement actions decided upon. They consist of three elements:

A Performance Improvement Period. Improvement Actions. A Further Performance Counselling Interviews.

Performance Improvement Period This is the period given to the jobholder to achieve satisfactory job performance following the Performance Counselling Interview. During this period the employee’s performance is closely monitored by his/her line manager and regular performance counselling meetings take place to help to improve performance. Its duration is not standard for all cases since that must be determined by the individual merits of each case, for example: From PACT’s point of view:

• are there any critical marketing, cost, quality, customer service, IT, safety, or manufacturing risks.

• will training be extremely expensive and time consuming. • are personal relationships in work being severely disrupted.

From the jobholder’s point of view:

• does the employee have long service. • have the required job standards been raised without warning. • has there been lack of training. • has there been ineffective supervision or unclear objectives.

The key requirement is that the duration of the monitoring period must be a reasonable balance between PACT’s need to have satisfactory job performance at the earliest possible moment and the jobholder’s need to be given a fair chance to improve. Improvement Actions


Prompt action should be taken to implement any improvement actions determined as necessary via the Performance Counselling Interview; for example special training, supervision or other support as needed. Further Performance Counselling Interviews Additional Performance Counselling Interviews should take place as often as necessary during the Performance Improvement Period. At all additional Performance Counselling Interviews the employee should be advised of the nature of the complaint against him or her and will have the right to be accompanied by a trade union representative, or work colleague. They should warn the employee of any additional actions that become necessary to improve performance. In every case the results of further Performance Counselling Interviews should be confirmed in writing within five working days of the interviews via Performance Counselling letters. These letters must clearly explain:

• the main points of discussion, including any areas of agreement or disagreement.

• progress achieved to date, If any. • progress still to be made. • further actions required to be taken. • any risk to the employees continued employment.

If the employee shows little sign of improvement, subsequent Performance Counselling letters will place greater stress on the increasing risk of dismissal on ground of capability. If needed, a Final Performance Review Meeting is held, towards the latter part of the Performance Improvement Period, but only if it has become clear that the employee is unlikely to achieve an acceptable job performance standard within the Improvement Period. The Final Performance Review Meeting must be attended by the Head of HR. The employee will have the right to be accompanied by a trade union representative, or work colleague. The purpose of the Final Performance Review Meeting is to:

• remind the employee of the period given for improvement.


• explain that, despite the previous counselling interviews and any assistance provided by PACT, he/she is still failing in certain areas to achieve the required performance standard.

• warn the employee that, unless an acceptable performance standard is achieved by the end of the Improvement Period, the employee will be removed from the current job and, unless and alternative job can be found, perhaps following displacement or transfer etc, the employee will be dismissed on ground of capability.

The discussions and the decision of a Final Performance Review Meeting must be confirmed in writing to the employee within 5 working days using a Final Performance Counselling letter. If dismissal action is decided upon, it must be carried out in accordance with the requirements and the principles of PACT’s disciplinary rules and procedures related to dismissal see PP2d(i) Universal Procedure: Disciplinary. The employee has a right of appeal against the imposition of any performance counselling letter/warning/final written warning/dismissal under this procedure and all such appeals should be directed to the Head of HR. The employee will have the right to be accompanied at any such appeal hearing by a work colleague or Trade Union Representative. In relation to any appeal under this procedure the employee should set out in writing the grounds of their appeal prior to the appeal hearing. Accountabilities Managers are accountable for:

• the maintenance of satisfactory performance standards by all employees in their area.

• the effective application of the capability procedure where satisfactory performance standards are not maintained.

The HR Department is accountable for:

• advice to managers on all aspects of performance counselling. • the maintenance of performance counselling documentation within the

employee’s personnel file.

PP2g Universal Procedure: Grievance – Page 1

PP2g: Universal Procedure Grievance People & Places (PP) > Recruitment & Performance (2) > Capability (g)

Owner: Sue Booys (Trustee) Review by: SMT



Related documents:

IM1 Communication Policy PP2h Universal Procedure: Whistle Blowing IM4cd Universal Procedure: Complaints PP2e Universal Procedure: Disciplinary

General Background

PACT believes that difficulties, which could escalate to become a formal

grievance, should be settled as quickly as possible.

Where members of the PACT workforce feel aggrieved, it is suggested that this is first raised informally with their line manager. Every effort should be made to resolve such issues at this stage. The line manager should endeavor to deal with this matter within 5 working days. If the complainant is not satisfied with the outcome, or wishes to make a formal grievance, then this should be raised in writing with the Human Resources Manager. Procedure

PACT’s formal grievance procedure has three clear stages as follows:-

Investigation by PACT. PACT will carry out such reasonable investigation as

necessary so that it can properly deal with the grievance.

Grievance hearing. PACT will hold a grievance hearing at which it will

carefully consider the complaints made. The complainant will have an

opportunity to state their case and question any witnesses. The decision of the

investigating officer will be confirmed in writing to the complainant.

Appeals. Complainants have the right of appeal if they are not satisfied with

the outcome of the grievance hearing. This appeal should be in writing to the

person who confirmed the outcome of the grievance hearing, and should be

made within 5 working days of being notified of the outcome. This letter

PP2g Universal Procedure: Grievance – Page 2

should clearly state the grounds upon which the appeal is lodged. A further

hearing will then be arranged in order to consider the appeal. The decision of

the appeal officer will be notified to the complainant in writing, and will be final

and binding.

At all stages of the grievance procedure the complainant will:-

Be given the opportunity to respond to all information and evidence

produced by PACT.

Have the opportunity to be accompanied by a work colleague or trade

union representative.

Have the most appropriate level of management deal with the hearing

or appeal, and where the manager in question was directly involved in

the issues in dispute or under review an alternative person with

appropriate seniority will deal with the matter.

PP2h Universal Procedure: Whistle Blowing – Page 1

PP2h: Universal Procedure Whistle Blowing People & Places (PP) > Recruitment & Performance (2) > Capability (h)

Owner: Tim Edge (Trustee) Review by: SMT




Summary of updates Details about protection for Whistleblowers and

Responsibility for Success added, plus other minor changes

Related documents

IM1 Communication Policy PP2g Universal Procedure: Grievance (for members of the workforce)

IM1d Universal Procedure: Complaints (for Service Users) PP2e Universal Procedure: Disciplinary

General Background This procedure is endorsed by PACT’s senior management and will be reviewed regularly. If a worker, volunteer, student or service user has a serious concern relating to one of the areas listed below the matter can be reported, in the manner set out in this procedure, without fear of reprisal. This policy does not form part of any employee's contract of employment and it may be amended at any time. Procedure The purpose of this procedure is to enable PACT to investigate and deal properly and sensitively with allegations of wrongdoing raised by workers, volunteers, students or service users. This procedure should only be used by workers, volunteers, students or service users who wish to report or raise concerns about wrongdoing of the nature listed below. It is not intended to replace, for those workers covered by it, PP2g Universal Procedure: Grievance which continues to be the appropriate way for staff to raise personal issues relating to their specific job or employment. Those that genuinely believe that PACT, or any worker of PACT has taken, is intending or has failed to take action which is reasonably believed will lead or amount to:


a criminal offence; a failure to comply with any legal obligations; a miscarriage of justice; danger to the health and for safety of any individual; damage to the environment;

or the deliberate concealment of information relating to any of the matters listed above,

can disclose this information orally or in writing to the Head of HR; the Chief Executive; or the Chair of the Board of Trustees, care of PACT, 7 Southern Court, South Street, Reading, Berkshire, RG1 4QS – telephone Number 01189 387600. Those making such a disclosure should provide full details and, where possible, supporting evidence. It is important that these types of issues are dealt with sensitively and quickly. Anonymous disclosures are strongly discouraged as they are likely to hinder effective investigation. However, the identity of those disclosing information, in so far as it is reasonably practicable, will be kept confidential. Nevertheless, the evidence itself may lead to the source of disclosure being identified. PACT will promptly investigate the allegations made and will take whatever action is considered appropriate. All matters reported under this procedure will be notified to the appropriate committee of the Board of Trustees. If required, PACT will arrange a meeting with the person making the disclosure as soon as possible to discuss their concerns. That person may bring a colleague or union representative to any meetings under this policy, and any chosen companion must respect the confidentiality of the disclosure and any subsequent investigation. PACT will take down a written summary of the individuals concerns and provide them with a copy after the meeting. PACT will also aim to give an indication of how it proposes to deal with the matter. Each allegation will be addressed seriously, and where possible the parties involved will be informed of the outcome of the investigation as soon as practicable. External Disclosures The aim of this policy is to provide an internal mechanism for reporting, investigating and remedying any wrongdoing in the workplace. In most cases, it should not be necessary to alert anyone externally. The law recognises that in some circumstances it may be appropriate for concerns to be reported to an external body such as a regulator. It will very


rarely, if ever, be appropriate to alert the media. PACT strongly encourages individuals to seek advice before reporting a concern to anyone external. Protection for Whistleblowers Where concerns relating to the areas set out are disclosed to the appropriate person under this procedure and the person making the disclosure reasonably believes that the subject matter is in the public interest, PACT will seek to ensure that they do not receive any detrimental treatment as a result of raising a concern. Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable treatment connected with raising a concern. Any individual who believes that they have suffered any such treatment should inform the Head of HR immediately. If the matter is not remedied, the PP2g Universal Procedure: Grievance should be used. PACT will take appropriate action against any worker found to be victimising another worker for using this procedure; or deterring any worker from reporting genuine concerns under it. For those people employed directly by PACT, there may be disciplinary action, see PP2e Universal Procedure: Disciplinary, including steps which may lead to dismissal. Responsibility for the Success of this Policy The Board of Trustees has overall responsibility for this policy, and for reviewing the effectiveness of actions taken in response to concerns raised under this policy. The Chief Executive has day-to-day operational responsibility for this policy, and must ensure that all managers and other staff who may deal with concerns or investigations under this policy receive regular and appropriate training. All staff are responsible for the success of this policy and should ensure that they use it to disclose any suspected danger or wrongdoing. Staff are invited to comment on this policy and suggest ways in which it might be improved. Comments, suggestions and queries should be addressed to the Head of HR.

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