Capability Policies and Procedures (Updated)

Purpose and Scope:

The overall aim is to assist employees in reaching required performance standards through improvement and training, with termination as a last resort.

Key Elements:

• Informal Counselling: Initial phase where managers conduct meetings to discuss performance issues and set targets for improvement

• Formal Capability Procedure: If informal measures fail,a formal procedure with three stages initiates, including first and final warnings, followed by potential dismissal

• Monitoring and Review: Performance is continually monitored during the formal procedure, with chances for removal if standards are met

• Appeal Procedure: Employees can appeal against warnings or dismissal discussions within 5 working days

Informal Counselling:

• If your performance is causing concern, your manager will normally have an informal counselling meeting with you. The aim of which is to ensure that you are aware of your manager’s concerns regarding performance and to discuss ways of trying to resolve the problem without the necessity for the formal procedure.

• Informal counselling may occur during the Performance Appraisal process or at a separate meeting held to discuss the standards expected.

• The aim of the informal counselling session is to make sure that you understand what is required and to identify any training and development needs or personal circumstances which could be contributing to the poor performance. Appropriate solutions will be discussed with you and you will be given targets and timescales for improvement.

• A note of what was discussed and what was agreed will be kept on your personnel file.

• If after one or more informal counselling sessions you fail to make a reasonable improvement to your performance the decision may be taken to progress the matter using the formal capability procedure.

Mediation:

We want to resolve conflict at the earliest possible stage in order to ease discomfort for both parties, so that good working relationships can be restored and maintained.

Mediation is one of a range of methods that can be used to achieve this, along with other informal methods, such as discussions with your Line Manager.

Before considering mediation you should try to personally resolve any issues you have and discuss these with your Line Manager.

Mediation is a process where an impartial person, the mediator, works with people who have a difficulty or conflict at work.  They work with both parties to come to an agreed resolution so that good working relationships can be restored. The process is entirely voluntary and is morally rather than legally binding.  It allows each person to talk and discuss their views in a confidential and supportive environment.  It does this by offering a process which:

• Explores participants’ issues and concerns;

• Rebuilds relationships through a process of joint problem solving;

• Allows both parties to understand each other’s views;

• Helps participants develop skills to resolve workplace differences for themselves;

• Encourages communication and helps people to find their own solutions.

The mediator doesn’t take sides.  The mediator’s role is to assist both parties to come to a mutual agreement by managing the decision in a fair and impartial way.  Mediation does not decide the rights and wrongs of an issue or disagreement.

Using Mediation: Mediation shouldn’t be used as a first resort – people should speak to their Line Manager first and can be used at any stage. However, it is likely to be more successful the earlier it is used. Any employee can use the mediation scheme.  The conflict may involve colleagues working at a similar level in the same team or a different team, or those at different levels of seniority.  It can also be used between a manager and groups of staff.

Mediation can be used in a variety of situations including:

• Breakdowns in working relationships;

• Communication difficulties between colleagues;

• Disagreements over the way that work is being done.

Mediation should not be used to deal with:

• Disciplinary cases

• Cases of poor performance

• Confidentiality

Mediation is a confidential process. This means that any information shared as part of the process remains confidential between the parties and the mediator, and only the final agreement is shared with others who need to know its contents either for daily working reasons, or to enable it to be implemented. However, there are exceptions when these boundaries of confidentiality may be breached, including disclosure of abuse, disclosure of gross misconduct and disclosure of criminal activity.  If issues of this nature arise it is the responsibility of the mediator to suspend the mediation and report it to the Company.

Other points relating to conduct and capability:

• High levels of sickness absence, where this does not relate to an underlying health condition or potential disability, will usually be managed under the Disciplinary Policy.

• Sometimes a failure to meet the required standards may be a combination of capability and conduct. In these situations, the Company will adopt what it considers to be the most appropriate procedure.

• There may be occasions where a first instance of unsatisfactory performance or a serious act of incompetence is sufficiently serious to issue a move directly to a final written warning or dismissal. This might occur where your actions have had, or are liable to have, a serious impact on the Company.

Formal Capability Procedure:

The formal capability procedure is appropriate when:

• Targets set at an informal meeting have not been met

• Targets set at informal meeting have been met but the level of improvement and performance has not been sustained

• There has been a significant failure in performance which warrants entry into the formal procedure without any previous informal warning.

• The formal procedure consists of 3 stages. Employees will normally enter the formal procedure at Stage 1 although the process can be entered into at any Stage depending on the seriousness of the poor performance.

[Normally a representative of HR will be present at all formal meetings]

Monitoring and Review:

• Your performance will be monitored throughout the formal procedure and review meetings will be held with you after a reasonable period of time has been given for you to demonstrate an improvement, following a Stage 1 or Stage 2 meeting.

• If you have reached an acceptable level of performance the decision will normally be taken to remove you from the capability procedure. Alternatively, the Company may extend the review period where there has been some improvement and the indication is that the standards will be achieved in the very near future. If standards have not been achieved the decision will be taken to escalate the matter to the next stage of the capability procedure.

Stage 1 – First Formal Warning:

If it is considered that formal action is appropriate, you will be notified in writing of the nature of the complaint against you. You will be provided with details of any supporting evidence which may be available and you will be invited to attend a capability meeting. You will be advised that disciplinary action may be taken as a result of this meeting and of your statutory right to be accompanied at this meeting by a colleague or a trade union representative.

• This meeting will be conducted by [              ]. [The Company may also have someone present at the meeting to take notes]

• At the meeting your performance will be reviewed against the required standards and you will have an opportunity to discuss any training needs or personal circumstances which could be contributing to the poor performance.

• You will be issued with a FIRST FORMAL WARNING, and will be informed of the period for which the warning will remain in place. The warning will confirm the improvement that is expected and the timescales for improvement. You will be notified of the consequences of a continued failure to improve and of your right to appeal against the warning.

• A copy of the warning will be kept on your personnel file. If your job performance has reached an acceptable level after the specified period, the warning will be disregarded for disciplinary purposes, but will remain on your personnel file.

Stage 2 – Final Written Warning:

If the breach of company standards is more serious, or there is still no improvement in your job performance you will be notified in writing of the nature of the complaint against you. You will be provided with details of any supporting evidence which may be available and will be invited to attend a capability meeting. You will be advised that disciplinary action may be taken as a result of this meeting and of your statutory right to be accompanied at this meeting by a colleague or a trade union representative.

• This meeting will be conducted by [              ].  [The Company may also have someone present at the meeting to take notes.]

• At the meeting your performance will be reviewed against the required standards and you will have an opportunity to discuss any training needs or personal circumstances which could be contributing to the poor performance.

• You will be issued with a FINAL WRITTEN WARNING. This will include the reason for the warning, giving details of how you should improve, and remind you that if there is no improvement within the specified period, you may be DISMISSED.

• A copy of the warning will be kept on your personnel file. If your job performance has reached an acceptable level after the specified period, the warning will be disregarded for disciplinary purposes, but will remain on your personnel file.

Stage 3 – Dismissal:

If the breach of company standards is very serious, or there is still no improvement in your job performance you will be invited to a capability meeting and will be informed in writing of the grounds for the meeting and advised that this may result in DISMISSAL. You will be advised of your statutory right to be accompanied at this meeting by a colleague or a trade union representative.

• The meeting will be conducted by [a senior manager] who, wherever possible will have had no other involvement in the case. The senior manager will review your level of performance against the agreed standards and will also review the support which the Company has given you.

• If, after careful consideration of all the facts, it is decided that you are unable or unlikely to meet a satisfactory standard of performance, or that the consequences of your poor performance warrants termination, dismissal notice will normally be applied.

[The Company may consider alternatives to dismissal, for example transfer to another position which may be more suitable to your level of skill and ability. Redeployment will be dependent on the circumstances and the opportunities available and your current level of pay and benefits could be affected.]

• You will be informed in writing of the decision, given details of the reason for the dismissal, or an offer of suitable alternative employment, your termination date (if relevant), the appropriate period of notice or amount of pay in lieu of notice, your right of appeal and details of the appeal process.

• If you are dismissed under this policy your employment will terminate on the date specified in writing. Your employment will NOT be suspended pending the outcome of any appeal procedure. Should an appeal reverse the decision to dismiss you, you will be reinstated with no break in service and any monies owing to you will be paid.

Procedures to appeal:

You can appeal against any level of WARNING or against the Company’s decision to DISMISS [or redeploy] you.

• If you wish to appeal, your appeal must be made in writing to [                  ] within [5] working days of the decision being communicated to you in writing and you should detail your reason(s) for appealing against the Company’s decision.

• Your appeal will be considered by [a senior manager], [who, when practicable, will not have had any previous involvement in your case], within [5] working days of receiving your appeal. If it is anticipated that the appeal process will take longer than [5] working days from receipt of your appeal you will be informed of this and of the expected timescale.

• You will be notified of your statutory right to be accompanied at the appeal meeting by a colleague or a trade union representative. If additional issues or new evidence arise during this meeting, an adjournment may take place to allow for these to be investigated.

• After considering your appeal, a decision may be taken to uphold the dismissal or other disciplinary action or to overturn the Company’s earlier decision. You will be informed of the outcome of the appeal and the reasons for the decision in writing, as soon as possible. The decision which is reached is final.