NUT MODEL CAPABILITY
PROCEDURE FOR TEACHERS GUIDANCE NOTES
The NUT’s policy is that initial support to teachers experiencing professional
difficulties should be provided as part of the appraisal process, prior to any
consideration of use of capability procedures. This reflects the fact that successful
outcomes may be more likely to achieved through initial informal support and the
requirement to report use of formal capability procedures to other employers on
request.
For that reason the NUT model capability procedure has two alternative
formulations:

The default model, for use when the appraisal policy provides for informal
support within appraisal in line with NUT policy

The alternative model, for use when the appraisal policy does not contain this
assurance and cases may consequently immediately come under the terms of
the capability procedure without support within appraisal.
Default model
This assumes that, in line with NUT policy and the ATL / NAHT / NUT joint model
appraisal policy, the school’s appraisal policy states that informal support will be
provided within the appraisal process as a matter of course.
For that reason, the model provides that initial support will in all cases be provided
within appraisal - and that use of the capability procedure will not be considered
unless such support has been provided and concerns remain (section 2.8).
Given that initial support will be provided within appraisal, the model then provides
for a single formal stage of further support, monitoring and review within the
capability procedure (Stage 1) before consideration is given to a formal capability
hearing (Stage 2).
The model also provides that the initial Stage 1 meeting to consider use of the
capability procedure may decide that support should instead continue to be
provided within appraisal (section 3.3.); and that the review meeting at the end of
Stage 1 may decide that support under this stage may be extended, instead of
moving immediately to a Stage 2 capability hearing (section 3.8).
Alternative model
This assumes that the school’s appraisal policy does not state that informal support
will be provided within the appraisal process as a matter of course.
For that reason, the model provides for two formal stages of support, monitoring
and review within the capability procedure (Stages 1 and 2) before consideration is
given to a formal capability hearing (Stage 3). At the end of the first period of
support, monitoring and review under Stage 1 of the procedure, there will in all
cases be a further such period under Stage 2 of the procedure.
The model nevertheless provides for a decision that support should be provided
within appraisal as an alternative to considering use of the capability procedure
(para 2.8); that the initial Stage 1 meeting may decide that support should be
provided within appraisal (section 3.3.); and that the review meeting at the end of
Stage 2 may decide that support under this stage may be extended, instead of
moving immediately to a Stage 3 capability hearing (section 4.5).
National Union of Teachers
March 2015