Capability procedure
Where the employee's performance does not improve to the required standard, the manager may move to the capability procedure.
During the capability procedure, the manager will:
- provide the necessary advice, coaching, guidance and support
- develop a performance improvement plan (PIP). This aims to help the individual attain and maintain the required standards of performance.
By moving to this procedure, the employee will understand that the manager has concerns about their performance in the role they undertake. A potential outcome of any formal capability meeting may be to take no further action. This will be by exception. We want to provide support to enable employees to improve their performance. We want them to carry out their roles to a good standard.
Stage one capability meeting
Where the manager cannot resolve an employee's performance issues through an informal approach they will then invite the employee to a stage one capability meeting.
The manager will write to the employee stating the concerns regarding their performance. They will provide the time and place of a capability meeting with at least five working days' notice. The manager will arrange for a note-taker to be present at the meeting.
The employee may bring a companion who is:
- a trade union representative
- a work colleague
- an official employed by a trade union
No other companions will be permitted to attend the meeting. The manager will look to make a reasonable adjustment for a disabled employee. They may permit an alternative companion. The employee should discuss this with the manager in advance.
The employee must tell the manager who their chosen companion is. They must do this at least 24 hours before the capability meeting.
If we do not know the trade union official, they must provide documentation. It must state that they are a union representative and authorised to represent employees.
If employed by us, we will allow the companion reasonable time off without loss of pay. No one is obliged to act as a companion if they do not wish to do so.
The employee can request to re-schedule a meeting if they or companion are unavailable. It must take place within the following five working days. Employees must not fail to attend the re-arranged hearing without justification. Managers can consider a case in an employee's absence based upon the written submissions.
The companion can:
- address the meeting to present and sum up the employee's case
- respond on behalf of the employee to any views expressed at the meeting
- confer with the employee during the meeting
The companion cannot:
- answer questions on the employee's behalf
- address the hearing if the employee does not wish it
- prevent the employer from explaining their case
The capability meeting will usually be the result of other discussions, such as:
- performance reviews
- one-to-ones
The discussion may refer to any notes from these prior meetings.
At the meeting, the manager will discuss the areas of concern and the improvements required. The employee will be able to outline their concerns and discuss any support they require. The manager will complete a PIP, which will detail:
- the improvements that they need to see
- timescale for improvements
- what training and support we can provide
- what monitoring and review will take place and to what frequency
The manager will set the recommended timescale for the required improvements. They must allow a reasonable time for the employee to improve. As a recommendation, timescales should allow the employee at least one month. It should generally not exceed three months.
Following the meeting, the manager will forward the PIP to the employee. They will include any actions and timescales agreed in writing.
The manager will monitor the employee's performance and provide feedback during the review period. They will do this by holding progress review meetings. They will record issues and improvements on the PIP.
If the employee makes improvements, as per the PIP, the manager may take no further action. They will advise the employee of this and follow it up in writing.
The manager will inform the employee of progress to a stage two capability meeting when:
- there is a failure to improve performance
- the improvements are not satisfactory
Stage two capability meeting
The manager will write to the employee stating the continuing concerns about their performance. They will provide the time and place of a stage two capability meeting with at least five working days' notice.
A second manager of an equivalent or more senior level will attend too. The manager will arrange for a note-taker to be present at the meeting.
The same rights for a companion apply as at stage one.
The manager will provide the employee with a copy of:
- the stage one letters
- improvement plan
- any notes from progress review meetings
- any other relevant documentation concerning performance
At the meeting, the manager will discuss the areas of concern and the improvements required. The employee will be able to outline their concerns and discuss any support they need. The manager will complete a PIP. This may be a new plan or a continuation of the one developed at stage one. It will detail:
- the improvements that they need to see
- timescale for improvements
- what training and support we can provide
- what monitoring and review will take place and to what frequency
The manager will set the recommended duration and timescales for the required improvements in performance. They must be reasonable to allow the employee the opportunity to improve. As a recommendation, timescales should allow at least one month for the employee to make improvements. It should generally not exceed three months.
Following the meeting, the manager will forward the PIP to the employee. They will include any actions and timescales agreed in writing.
The manager will monitor the employee's performance and provide feedback during the review period. They will do this by holding progress review meetings. They will record issues and improvements on the PIP.
If the employee makes improvements, as per the PIP, the manager may take no further action. They will advise the employee of this and follow it up in writing.
The manager will inform the employee of progress to a stage three capability meeting when:
- there is a failure to improve performance
- the improvements are not satisfactory
A possible outcome of this hearing could be dismissal.
Stage three capability hearing
If the employee's performance still fails to improve, we will hold a stage three capability hearing. A potential outcome of this may be dismissal.
For this stage, we will convene a capability panel of:
- two senior managers
- the chair (usually the head of service or someone at an equivalent or higher level)
- a second senior manager from the same or a different service area
- an HR representative to provide advice on policy and procedure
- a note-taker
The manager will notify the employee to attend a stage three hearing in writing. It will contain sufficient information about performance concerns. It will state that the outcome may be dismissal.
Both parties will provide copies of previous PIPs, notes of meetings and any evidence related to performance. It enables the employee to prepare to answer the case at the hearing. The hearing will rely on all documents submitted in advance to support or dispute the performance concerns.
The manager involved in the previous two stages of the procedure will attend the hearing. They will explain all steps taken in raising issues and in supporting the employee to improve their performance.
The notification will:
- provide ten working days' notice of the hearing
- confirm the details of the time and venue
- advise the employee of their right to be accompanied at the hearing