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CAPABILITY POLICY AND PROCEDURE
NOTE: THE HUMAN RESOURCES TEAM SHOULD BE INVOLVED AT THE
INITIAL STAGE OF ANY CAPABILITY PROCEEDINGS.
1.
POLICY STATEMENT
1.1
The purpose of this policy and procedure is to help employees whose
performance has fallen below achieving an acceptable standard, within a
workable timescale. The emphasis is on encouragement, training and
support to make the necessary improvement. However, it is recognised
that it may be necessary, in some cases, to take further action where
improvements to performance are not achieved or sustained for a reasonable
period.
2.
DEFINITIONS
2.1
“Capability”, in relation to an employee, means his/her capability assessed by
reference to skill, aptitude, qualification, health or another physical or mental
quality. Prior to instigating this procedure, please be aware of any reasonable
adjustments which need to be made to the post to take account of any healthrelated/ disability issues, in accordance with the Equality Act.
2.2
“Qualifications”, in relation to an employee, means any academic, technical,
vocational or professional qualification relevant to the position which he/she
holds.
2.3
“Acceptable Standards”, in relation to employee behaviour/performance will
vary depending on the individual circumstances and the post that the
employee occupies. As a guide, line managers may take into account the
following standards/documents when assessing an individual’s capability:
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Employee’s job description
Corporate values
Code of Conduct Policy
Core competencies (assessed through the appraisal process)
3.
SCOPE
3.1
This procedure applies to all employees, with the exception of the Head of
Paid Service (Chief Executive), Section 151 Officer (Chief Finance Officer),
and Monitoring Officer, where the procedure set out in Part 4 of the
Constitution (Officer Employment Procedure Rules) must be followed.
3.2
This policy and procedure addresses the underperformance of an employee
for reasons relating to the capability of the employee. If at any time it is found
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
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that underperformance is wilful the council has the right to move to an
appropriate stage of the Disciplinary and Dismissal Policy and Procedure.
3.3
This policy will be applied and monitored in accordance with the council’s
Equality and Diversity in Employment Policy.
3.4
If performance issues arise during the first year of an individual’s employment
with the council, the New Starter Performance Improvement Procedure should
be followed.
3.5
If performance issues arise due to health or medical reasons, these will be
dealt with in the first instance under the Sickness Absence Policy and
Procedure. However, once the appropriate action has been taken in
accordance with the Sickness Absence Policy, for example, a referral to
Occupational Health, the completion of a phased return or adjustments to the
individual's post, any continued underperformance caused by ill health may be
dealt with under the Capability Policy and Procedure.
3.6
Where an employee commits an error and the actual or potential
consequences of that error are, or could be extremely serious, this procedure
may not be appropriate. In this case action under the final stage of the
Disciplinary and Dismissal Policy and Procedure may be invoked, which could
lead to dismissal, subject to the right of appeal.
4.
PROCEDURE
4.1
It is both an employee’s and a line manager’s responsibility to ensure good
performance. General discussions should take place regarding performance
during regular one-to-one meetings between the employee and their line
manager. Performance should also be discussed as part of the employee’s
appraisal meetings. Any underperformance must be dealt with at the earliest
opportunity.
4.2
If a line manager continues to be concerned about an employee’s
performance, he/she will arrange a meeting with the individual concerned to
discuss the issues in question. At this stage, all contributory factors, including
ill health issues, should be taken into account. If, after taking into
consideration any mitigating factors which the employee raises, the line
manager feels that further action is necessary under this policy, the following
procedure will be initiated.
5.
INFORMAL ACTION
5.1
A meeting will be arranged by the line manager to discuss how the employee’s
performance needs to improve to meet required standards, and also to
establish any training, support or adjustments needed to help achieve this.
The employee will be told in advance by their line manager that the purpose of
the meeting is to discuss their underperformance. A plan with SMART
(Specific, Measureable, Attainable, Realistic and Timely) actions will be written
to reflect this meeting (See Appendix 1).
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
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5.2
This is an opportunity for the employee to explain any difficulties he/she is
experiencing or the reasons for the underperformance. The employee and
line manager will discuss what changes are required and a monitoring period
in which the standards agreed must be reached and sustained. The
monitoring period will be for an appropriate period of time to allow the changes
to take effect, but will be for a minimum of six weeks following the completion
of all training, support or adjustment identified.
5.3
Possible issues to consider as potential reasons for unsatisfactory
performance include:
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training needs where these have been identified but not been met due to
employee’s lack of action,
behavioural issues (e.g. needs to be more assertive),
the type and quality of support available and whether this has been
sufficient
workload issues
whether the job description reflects what is being asked of the employee
adjustments required in accordance with the Equality Act
other issues which could affect performance include issues outside of work
5.4
It is essential that the line manager, with the employee, properly identifies all
potential causes for underperformance so that these can be discussed and
addressed as required. Examples or evidence of poor performance must be
shared to ensure that the individual fully understands the concerns and
expectations required.
5.5
It is important at this stage for the line manager to state:
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that the meeting is being conducted under the informal stage of the
Capability Procedure
the expected standards/level of performance the individual has failed to
achieve and the impact this has had on the organisation. Define the
improvement sought and how performance will be monitored
any support, assistance or adjustment to be afforded to the employee to
achieve and maintain the defined standards.
5.6
It is essential that the line manager make notes of all meetings in relation to
capability proceedings and asks the employee to sign a copy of these as an
accurate record of the discussion. An Improvement Action Plan template is
attached as Appendix 1 as a guide.
5.7
If the employee’s performance improves and the standards are met and
sustained throughout the monitoring period, the Capability Procedure will end
and the employee will be advised accordingly in writing. A record of the
informal capability proceedings will be retained on the individual’s HR file in
perpetuity in accordance with the Data Protection Act. These records will not
form part of the employee’s disciplinary record.
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
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5.8
If the employee’s performance meets the required standard but is not
sustained for a reasonable period following expiry of the monitoring period, the
line manager may re-instigate the Capability Procedure at the formal stages.
6.
RIGHT TO BE ACCOMPANIED
6.1
Employees may be accompanied by a fellow worker or trade union official at
any formal meetings that are held to discuss a failure to meet or sustain the
required standards of performance. This includes attendance at any appeal
meetings. In exceptional circumstances the council will consider a request
from an employee to be accompanied by a person other than a Trade Union
official or fellow worker.
6.2
It is not usually the case that employees will be represented at the informal
stage of the procedure. However, if requested by the employee this will not be
unreasonably refused, provided it does not delay the discussion.
7.
FORMAL ACTION
7.1
If despite support the employee is unable to reach or sustain the required
standard of performance, a formal review meeting will be convened. The
employee will be formally asked to attend in writing, no less than three working
days prior to the meeting.
7.2
The meeting will be chaired by a manager of an equal or more senior level
than the employee’s line manager. The same manager may chair each
meeting under the formal stages of the process, unless the employee explicitly
requests a different manager as chair. If, however, a possible outcome of the
review meeting is a decision to dismiss, the meeting will be chaired by a Head
of Service. If the employee concerned is a Head of Service or Project
Director, the hearing will be chaired by an Executive Director. For an Executive
Director, the hearing will be chaired by the Chief Executive. The line manager
will present evidence of the capability issues, monitoring documentation, and
any other relevant information. Copies of all documentation will be made
available to the employee and their representative in advance of the meeting.
7.3
In preparing for the hearing, provision must be made for any reasonable
adjustments to accommodate the needs of a person with disabilities, or for
anyone who requests additional support because English is not their first
language.
7.4
The employee will have the opportunity to put forward their explanation of
events, detailing any mitigating circumstances and presenting any of their own
evidence.
7.5
Should formal action be taken against the employee, a further monitoring
period would be applied at each stage of the formal process and, where
appropriate, objectives/standards will be defined by the chair (following
consultation with the line manager). Whilst each case will be dealt with on its
own merits, it is generally expected that the employee’s performance will be
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
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monitored for a minimum of four weeks at each stage of the formal Capability
Procedure.
7.6
An employee who is currently undergoing the Capability Procedure will not be
entitled to receive an annual increment. This must be applied in accordance
with the Pay Policy Statement and appraisal process.
8.
CONSEQUENCES
8.1
If it is determined by the chair that there has been insufficient improvement, the
consequences will be communicated to the employee in person and in writing.
8.2
This will take one of the following forms:
8.3
Written Warning
8.3.1 The employee will be informed fully of the precise nature of the poor
performance, the level of improvement required and the time limit for achieving
that improvement, review periods during the currency of the warning,
consequences of failure to achieve or maintain the improvement, and the
length of time the warning will remain live on the employee’s file.
8.3.2 It is important that any further support requirements are discussed and agreed
at this stage and are detailed within the improvement action plan.
8.4
Final Written Warning
8.4.1 If as a result of a further performance review meeting it is determined that
there has been insufficient improvement after a written warning has been
issued, the employee will be given a final written warning setting out the
details as outlined above in point 8.3.1. This warning will also include a
statement that a failure to improve to the required standards is likely to result
in dismissal.
8.5
Dismissal
8.5.1 If as a result of a formal performance review meeting it is determined there
has been insufficient improvement, the employee may be dismissed and this
dismissal will normally be with notice. However, before such action is taken,
redeployment and demotion opportunities may be considered.
9.
LENGTH OF TIME WARNINGS WILL REMAIN “LIVE”
9.1
A first written warning will have a time limit of normally six months, while the
time limit for a final written warning will be normally 12 months. After the
relevant period of time, the warning will no longer be live, but a record will be
retained on the employee’s HR file. In each case the time limit of a warning
will be specified in writing.
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
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9.2
The employee will not be eligible to receive an annual increment within the first
12 months of a warning being issued.
9.3
Following a performance review meeting, a decision may be taken by the line
manager and the chair of the previous capability hearing to extend, in
exceptional circumstances, the time period of an existing warning but that
would never be for more than a further six months for a first written warning or
12 months for a final written warning. This will always be communicated to the
employee by their line manager and followed up in writing.
10.
APPEAL
10.1
Appeals must be made in writing to the Head of Human Resources and
Organisational Development within five working days after receiving the
written confirmation of the warning imposed or dismissal. This timescale can
be extended by mutual agreement.
10.2
Employees may appeal:
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to their Head of Service against written warnings unless he/she has
been involved in the decision to give the warning, in which case the
appeal should be made to an alternative Head of Service
to their Executive Director against dismissals
10.3
If the individual is a Head of Service or Project Director, they may appeal to
the Chief Executive.
10.4
Executive Directors may appeal to the HR Committee Members’ Appeals
Panel.
10.5
Appeals must clearly state the basis on which the appeal is made (i.e. whether
the appeal is against the penalty or warning issued based on the evidence
submitted or whether there is further evidence which should be considered).
10.6
Upon receipt of an appeal, a meeting will be convened to hear the details of
the appeal. The appeal hearing will normally be held within 15 working days
after the receipt of the written appeal. If the employee is unable, for good
reason, to attend the appeal hearing, the council is obliged to re-schedule the
meeting once. This meeting will normally take place within five working days
of the original hearing date.
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
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APPENDIX 1
CONFIDENTIAL
IMPROVEMENT ACTION PLAN
The purpose of the Improvement Action Plan is to identify specific areas that need improvement and establish a detailed plan to
improve performance. The plan should be discussed and the line manager should provide the employee with expected outcomes and
follow up review dates.
SECTION 1 - PERSONAL INFORMATION
Name ……………………………………………………………….
Team …………..…………………………………………………………
Job Title ……………………………………………………………….
Line Manager …..………………………………………………………..
SECTION 2 - PLAN FOR IMPROVEMENT
Date of Improvement Action Plan ……………………………………………………………………………………………………………………
Describe the
performance, skill or
behaviour that must be
improved. Be specific
and give examples.
Explain what impact
(potential or actually)
the issues of concern
could have on the
council.
Explain specifically the
actions to be taken to achieve
the improvement required.
List specific actions that the
employee must take to correct
performance.
Confirm support /
resources /
adjustments the
line manager or
council will
provide.
Give a completion
date for each action.
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed and Revised September 2013
Next Review September 2015 or sooner to comply with legislation
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SECTION 3 - FOLLOW UP REVIEW
Review Dates
a) ………………………….. b) ………………………….. c) ………………………….. d) …………………………..
Follow up reviews should be completed and documented at least once a month once the plan has been established. Failure to
achieve and maintain the improvement plan may lead to further action.
Employee’s Signature …………………………………………………….
Line Manager’s Signature …………………...…………………
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018
9
CAPABILITY PROCEDURE FLOW CHART
Line manager concerned about employee’s performance
Line manager meets with employee to discuss the performance issues and
circumstances (please see 4.2 of the Capability Policy and Procedure)
If line manager considers further action is required
Informal Action (section 5)
Line manager meets with employee to
- discuss changes required
- define improvement sought and how
performance will be monitored
Outcome documented within Improvement
Action Plan (Appendix 1)
If performance improves and
standards are met
Procedure ends
If employee unable to reach or sustain the
required standard of performance
Formal Action (section 7)
Review meeting with manager of an equal
or more senior level, employee (and
representative)
If the Chair determines that there has been
insufficient improvement
Written Warning (8.3)
Includes
- level of improvement required
- time limits and review periods
Appeal (section 10)
If performance improves and
standards are met
Procedure ends
If insufficient improvement
Final Written Warning (8.4)
As above, also includes
- warning of potential dismissal
Appeal (section 10)
If performance improves and
standards are met
Procedure ends
If insufficient improvement
Dismissal (8.5)
Appeal (section 10)
Owner: Human Resources
CAPABILITY POLICY AND PROCEDURE
Reviewed February 2016
Next review date February 2018