Capability Guidance
This guidance supports staff and institutions in implementing the Capability Policy and provides information on good practice. It is not University policy and does not form part of employees' terms and conditions of employment.
1.Content
2. Defining Capability
Capability refers to an employee's ability to perform the work expected of them to the required standards. This may be assessed by reference to an employee's skill, aptitude, health or any other physical or mental quality in relation to the job that they are employed to do.
A lack of capability (also defined in this guidance as underperformance) exists where an employee is not performing the job to the standard required. The Capability Policy provides a framework to address underperformance where this appears to be due to an employee's capability to do their job rather than conduct or behaviour i.e. in broad terms the employee ‘can't’ rather than ‘won't’ do something.
It should be recognised that capability problems may be outside the employee's direct control and may be symptomatic of underlying work problems or other personal issues. Very few employees choose to perform their work badly, make mistakes or fail to complete tasks. Consequently in the event that an employee is underperforming, a manager should examine the circumstances to identify underlying causes and give support to the employee to help them to improve to the required standard of performance. Particular care should be taken when disability or health issues are involved and advice should be sought from the Occupational Health Service and HR Division as appropriate.
Appropriate action should be taken promptly as soon as it is noticed that an employee is not performing certain aspects of their job satisfactorily. Delaying or doing nothing may cause the performance problem to escalate and cause delay in providing the necessary support to the individual.
3. Other University Procedures to Support Performance
Managing performance effectively is not just about having the appropriate procedures in place to deal with underperformance. It is also about ensuring that employees receive the support, recognition, training and development they require to build and maintain their capability to perform successfully in their roles.
Recruitment
An effective recruitment and selection process is fundamental to performance management. Appointing those candidates most capable of performing the tasks and responsibilities of the role will reduce the chances of performance problems arising later.
Induction
It is important that the foundations for good working practices are established at the outset of the individual's time in their new role. All new employees should have their job explained to them carefully on arrival, be given a copy of their job description (PD33), be referred to any written guidance that exists in relation to their area of work, and be given appropriate training and support. In the first few months it is also important to monitor performance more frequently, to identify and discuss areas where improvement may be needed and to facilitate learning and improvement (see Probation below).
Probation
There are responsibilities for both the employee and the manager during the probationary period. New employees need to demonstrate that they have the capability to undertake the duties of the role. Institutions in turn, need to be proactive in setting out the requirements of the job, monitoring progress, identifying areas where further training and development is needed, and ensuring its provision within an appropriate timescale. The HR Division provides written guidance on the framework for conducting regular reviews during the probationary period. The Capability Policy will not be invoked during any probationary period.
On-going employment
It is not enough to simply make new employees aware of expected standards of performance at the start of their new role. Performance should be reviewed regularly so that the employee knows if they are performing their job to an acceptable standard and if this is not the case they should be given the opportunity to improve and reach the standard required. Where expectations change and evolve over time, managers have a responsibility to inform staff of these changes.
The University has in place a range of good practice initiatives for supporting staff performance during employment, including:
- Staff Review and Development Scheme and associated training
- Career pathways
- University steering groups on stress, wellbeing and sickness absence
4. Selecting the appropriate procedure
Identifying underperformance
It is important to identify the correct procedure for managing performance issues as early as possible so that appropriate support can be offered to the employee.
Whether performance concerns should be managed under the disciplinary or capability procedure will depend on the nature of the performance issues. This can normally be determined by holding an initial discussion with the employee and gathering further information. Generally a manager will know whether an individual simply does not have the skill, knowledge or ability to carry out their role and therefore needs assistance, training or support to improve, as opposed to where an individual is perfectly capable of doing their job (i.e. they know how to do their job and have the skills to carry it out) but they deliberately do something wrong or are careless or idle.
Advice should be sought from the HR Division if managers are unsure which procedure is appropriate or believe they may need to follow a different procedure. If, in the course of investigating an employee's underperformance it becomes clear that it would be more appropriate to continue under a different procedure, this should be discussed with the employee and confirmed in writing.
Disciplinary
In deciding whether the Capability or the relevant Disciplinary Policy will apply, it is important to recognise the difference between a:
- Deliberate failure on the part of the employee to perform to the standards of which they are capable (e.g. carelessness, negligence or lack of effort which is under the employee's control), in which case the relevant Disciplinary procedure will be appropriate; and a
- Case of incapability, where an employee is lacking in knowledge, skill or ability, which is outside of the employee's direct control, and so is unable to carry out their duties to the standard required, in which case the Capability Policy will apply to support and improve performance.
Ill health
In deciding whether the Capability or the Health and Attendance Policy will apply, consideration should be given to how the ill health is affecting the employee's ability to carry out their job to the required standard. If the issue is primarily that the individual has unacceptable levels of absence from work, then the Health and Attendance Policy will apply. If the individual is largely attending work but their performance of their work is affected due to ill health, the Capability Policy will apply. For advice and guidance on managing cases related to ill health, please contact the relevant HR School team and the Occupational Health Service.
Disability
Consideration must be given to whether underperformance may be caused or exacerbated by a disability under the Equality Act. Disability is defined under the Act as a physical or mental impairment that has a ‘substantial’ and ‘long-term’ negative effect on an individual's ability to do normal daily activities. Where this is the case, care should be taken to avoid discrimination arising from the disability. In practice, this means that any action taken in response to the particular performance concerns will need to be proportionate and appropriate in relation to the performance objectives set. Consideration must also be given to whether there are reasonable adjustments which could be made to the employee's working arrangements, including changing duties or providing additional training, as well as making adjustments to the application of the Capability Policy itself where appropriate. Details of further information are provided below:
5. Roles and responsibilities
The Manager
Will normally be the employee’s line manager or a more senior manager and is responsible for ensuring that the employee is informed of standards of performance required. The manager should address underperformance issues when they become known and seek to resolve these at the earliest opportunity. The manager will collate the necessary information and may consult with HR to establish the nature and extent of the underperformance concerns. The manager will lead and direct informal and formal stage one and two capability meetings, and will work with the employee to develop a performance improvement plan, explain the standards set and support the employee in achieving them. The manager will review the evidence gathered to assess if further action is required and what this should be in accordance with the policy.
The Head of Institution (or nominated deputy)
Will lead and direct formal stage three capability meetings.
The Employee
Has a duty to perform their duties to an acceptable standard and to seek to improve where their performance falls below the standards required, including meeting the standards required under any performance improvement plan that is set. The employee will answer concerns raised under the Capability procedure. They will be provided with the opportunity to bring forward information and share their views at any meetings or appeal.
The Human Resources Representative
Will provide advice and guidance on the application of the Capability Policy and procedure. They will support the manager in the process of making an informed, fair and reasonable decision. They will ask questions at meetings and challenge evidence as required.
The Trade Union Representative or work colleague
May support and advise the employee, and may ask questions or make representations on behalf of the employee. They may not answer questions on behalf of the employee.
Witnesses
If Witnesses are called they may be asked to:
- Provide a written statement in their own words of what they personally witnessed or had involvement with.
- Attend a meeting and answer questions.
- Describe any particular incidents that are relevant to the performance issue raised.
- Specify any other persons who may have witnessed the particular incidents raised.
Witnesses must treat as confidential any information communicated to them in connection with a matter which is subject to a capability procedure.
A Note Taker
Will take notes at the meeting(s). These will be notes of key points and will not be a verbatim record. The notes will be provided to both parties who will have the opportunity to submit their comments. Where possible the note taker will be someone who is not involved in the case but will usually be from the HR Division. Meetings cannot be recorded by either side and recordings will not be admissible as evidence even where they exist.
6. Support for staff and managers
Support for staff
Consideration should be given to the wide range of support available to assist employees in improving and enhancing their performance. This may be in house or provided by external providers. Examples include training, mentoring, coaching, work-shadowing, re-training, job rotation and secondment. Consideration should also be given to advice and guidance that can be offered by managers and peers, including reading lists and professional sources of information and advice.
Training
Training can be delivered in a number of ways, it can be offered on a one to one basis or delivered in a group setting and it can take place at the place of work or away from it. Facilities should be provided where possible for employees to undertake training, such as access to a computer and a quiet room to undertake training.
On-the-job training
On-the-job training typically involves learning through observing and/or being assisted by a colleague with more experience of performing a task. It should be planned, structured and a defined period of time allocated to it with an emphasis on learning rather than work output. It is usually delivered on a one to one basis at the learner's place of work.
On-the-job training is useful as it is immediately relevant to basic job needs and can be delivered by the manager or a peer. When delivering on-the-job training it is important to ensure that trainees are able to practice what they have learned immediately so that they remember what they have been taught, that instructions are paced to avoid information overload and that positive feedback is given for encouragement.
Off-the-job training
- Personal and Professional Development (PPD) provide a centrally organised programme of staff development courses and activities.
- University Information Services (UIS) provide a wide range of training courses for all staff.
- The University Language Centre offers staff language-learning and teaching services for work-related language learning needs.
Re-training
Employees may wish to consider re-training opportunities, particularly where this would assist them in meeting the requirements of a new position or a potential redeployment opportunity. Consideration may be given to reasonable requests for re-training, taking into account the benefits to the employee and University and considering the length and cost of the training. Advice can be sought from PPD, the Careers Service or the HR Division.
Coaching and mentoring
Coaching and mentoring are development techniques based on the use of one-to-one discussions to enhance an individual's skills, knowledge, competencies or work performance, often for the current job, but also to support career transitions.
Coaching
Coaching is a teaching or training process in which an individual receives support while learning to achieve a specific professional goal. It is designed to help facilitate professional and personal development to the point of individual growth and improved performance.
Coaching focuses on improving performance at work and on developing specific skills and achieving goals, although it may also have an impact on an individual's personal attributes (such as social interaction or confidence). Coaching can be undertaken by a trained manager, colleague, external coach or more senior member of staff; the process typically lasts for a relatively short period.
The following are some general principles of coaching at work:
- It focuses on improving performance and developing an individual's skills.
- Personal issues may be discussed but the emphasis is on performance at work.
- Coaching activities have both organisational and individual goals.
- It provides people with feedback on both their strengths and their weaknesses.
- It is a skilled activity, which should be delivered by people who are trained to do so. However, this can be managers and others trained in basic coaching skills.
- It is normally a non-directive form of development.
Mentoring
Mentoring is typically a professional relationship in which an experienced person (the mentor) assists another (the mentee) in developing specific skills and knowledge that will enhance the mentee's professional and personal growth. The mentor is often a more senior employee from a different part of the organisation to the mentee. Mentoring relationships tend to be longer term than coaching arrangements and are most effective when there is a learning opportunity for both parties.
A mentor can be someone outside the normal working hierarchy, usually more senior, and chosen because of their breadth and depth of experience, network of contacts, and the support and guidance they can offer for career development. More recently peer mentoring is becoming more widely used; this involves colleagues on a similar level providing mutual support and guidance to each other to assist with personal growth and development.
Job rotation, secondment and shadowing
Secondment is the temporary loan of an employee to another department or role (or, sometimes, to an external organisation). The learning associated with the experience of secondment is recognised as being valuable for both employee development and organisational development. Job rotation and shadowing are similarly useful forms of development, particularly in supporting employees in developing the skills and competencies required for moves to new or higher-level roles. Further information and advice can be sought from the HR Schools teams or PPD.
Self-assessment and reflection
By asking themselves a series of open questions, an individual can discover their own strengths, mistakes, learning needs and successes. This kind of analysis and self-reflection can assist individuals in reviewing and improving their own performance without the need for management intervention. Examples of the types of questions that individuals may wish to ask themselves, to prompt learning, are listed in the toolkit. Advice on receiving and using feedback effectively is also provided in the toolkit.
University support services
There are also a range of support services for employees including:
Advice for managers supporting staff
A number of supporting documents are available in the capability toolkit to assist managers (and staff), including:
Section A: Managing capability
- Template Performance Improvement Plan.
- Self-review of performance and development.
- Key principles for capability meetings.
- Giving feedback.
- Receiving feedback.
- Handling challenging conversations including stages of a meeting.
- Dealing with emotions.
Section B: Further relevant information
- Management styles.
- Learning styles and development activities.
- Setting performance standards.
- Setting objectives.
7. Informal resolution
Performance problems are most effectively managed as early as possible. In most cases informal discussions between the manager and the employee will resolve the issues. A summary of the informal procedure is provided in the policy flowcharts.
Whilst employees only have the right to be accompanied at formal capability meetings by a trade union representative or work colleague, by agreement with all parties, the request to be accompanied may be extended to the informal stage where this is deemed to be in the interests of an early resolution and where there are particular circumstances where an employee needs additional support. In such cases an independent note taker may also be present.
During an informal discussion the employee should be advised of any performance issues. Feedback should be constructive with the emphasis being placed on finding ways to improve and sustain improvement. The employee should be made aware of:
- The standards required.
- How their performance will be reviewed.
- Over what period their performance will be reviewed.
- The Capability Policy and associated guidance.
Consideration should be given to reasons behind issues, sources of support and other options. The employee should also be given the opportunity to provide such feedback and to respond.
If a review period is set, regular review discussions should be held with the employee. A Performance Improvement Plan should be used to record any actions decided and taken and progress during the review period. At the end of the review period, the employee's progress will be reviewed to assess whether or not any further action or support is required. If the employee's performance has not improved to an acceptable standard, consideration will be given to a more formal approach under the Capability Policy.
8. Formal resolution
If informal action has not succeeded in addressing and resolving the underperformance or if the problem is more serious and a more structured, formal approach is needed, consideration will be given to whether there are grounds for undertaking formal action under the Capability Policy (see the Procedure and flowcharts). The assessment required will depend on the circumstances but may involve:
- Reviewing the employee's personnel file.
- Gathering relevant documents.
- Monitoring the employee's work.
- Interviewing the employee and/or other individuals confidentially regarding the employee's work, as appropriate.
Where there are grounds for undertaking formal action of the underperformance concerns, a staged approach will be adopted as detailed in the Capability Policy. The Capability Policy will seek to establish:
- The performance gap.
- The causes.
- The impact the poor performance is having.
- The actions to be taken.
- Who has responsibility for the actions.
- The performance standards that are required.
- The support to be given to the employee.
- A timetable to review the agreed objectives.
The focus of the formal procedure will be to give an employee support to help them to achieve the expected performance standards.
Where a review period is set, regular review meetings should be held with the employee. A Performance Improvement Plan should be used to record action taken and progress during the review period. At the end of the review period, the employee's progress will be reviewed to assess if any further action and /or support is required. If the employee's performance has not improved to an acceptable standard, consideration will be given to the next stage of the formal Capability procedure.
At any stage of the formal procedure a manager may consider a range of other options including:
- Reverting to an informal approach.
- Taking action under an alternative University procedure.
- Providing appropriate training or development opportunities.
- Extending a review period.
- By agreement investigating the possibility of alternative available roles.
This list is not exhaustive.
Right to be accompanied and attendance
All employees have the right to be accompanied at formal capability meetings by a trade union representative or work colleague.
Employees are responsible for co-operating with their manager in improving their performance and attending capability meetings. Where the employee is unable to attend a capability meeting on the date scheduled they should inform their manager at the earliest opportunity. In the first instance the meeting will usually be rearranged for an alternative time. Where an employee fails to attend a rearranged meeting without good cause, a decision may be made to go ahead with the meeting in the employee's absence, and a decision will be reached based on the evidence available. The employee will be informed where this is the case.
If an employee's companion or trade union representative cannot attend on a proposed date, the employee can suggest another date so long as it is reasonable and is not more than five working days after the date originally proposed. Whilst every effort will be made to find a time that is suitable for all parties, if the companion is not available at the rearranged time the University can insist that the employee choose a different companion, or attend the meeting unaccompanied.
Where an employee is unable to attend a capability meeting due to ill health, consideration will be given to making reasonable adjustments, such as holding the meeting at a different location or allowing the employee to make written representations.
Witnesses
The employee and the presenting manager may call witnesses under the formal stages of the Capability procedure. In accordance with the ACAS Code an employee should be given a reasonable opportunity to ask questions, present evidence and call relevant witnesses. They should also be given an opportunity to raise points about any information provided by witnesses. The employee is also responsible for making arrangements for their witnesses to attend. They must provide the names of any witnesses they wish to call to the manager conducting the meeting at least three working days prior to the meeting, with a written explanation of the relevance of the witness evidence where requested. Employees will be allowed appropriate time off where they are asked to attend a capability meeting as a witness.
Authority to act
Meetings under stages one and two of the formal procedure are conducted by the employee's manager or a more senior manager, as appropriate. Meetings under stage three of the formal procedure are conducted by the Head of Institution or nominated deputy. The Head of Institution may select a nominee to act on their behalf. The nominee will be agreed in conjunction with HR and will be a senior colleague.
There may be exceptional circumstances where it would not be appropriate for the Head of Institution to act in a case e.g. the Head of Institution is required to act as a witness or is compromised in some substantial way. In such circumstances the case will be referred to the Director of HR who may refer the case to an alternative Head of Institution or senior Officer of the University.
Formal meetings
Formal meeting stages one and two
At the meeting the manager (who will be accompanied by a member of the HR team) will outline the performance issues that have led to the meeting and will review the circumstances of the case and the actions taken to date. The employee will be given the opportunity to state their case and raise any factors they wish to have considered. The manager should identify if there are measures, such as additional training or supervision, which may help improve performance and where appropriate, discuss targets for improvement and a timescale of review. Please see the Capability Policy for further information on stages one and two.
If as a result of the meeting and the evidence presented, the employee's performance is considered to be satisfactory and no further action is required, this will be confirmed to the employee in writing within five working days.
If as a result of the meeting and the evidence presented, the employee's performance is considered to be unsatisfactory the manager will write to the employee issuing an Improvement Notice. The Improvement Notice will state the improvement in performance required, targets for improvement, the timescale for improvement, any support to be provided and the consequence of not meeting the performance targets within the review period. It will also set out the employee's right of appeal.
Please see below for further guidance on conducting formal meetings and section 6.2 of the Capability Toolkit.
Formal meeting stage three
If the employee's performance does not improve as specified in the Improvement Notice issued under the formal stage one or formal stage two meeting above, or where serious performance issues arise (see the Procedure), the employee shall be invited to a formal stage three meeting.
The meeting will be conducted by the Head of Institution or nominated deputy who will be accompanied by a member of the HR Division.
a) Preparation
The employee will be notified in writing and will be given at least five working days notice of the meeting.
The invite letter will:
- Explain the purpose of the meeting.
- Provide details of the underperformance concerns and the reasons for those concerns.
- Explain that one possible consequence of the meeting may be the termination of employment.
- Specify the manager/head of institution who will conduct the meeting and identify others any others who will be attending.
- Invite the employee to make any written submissions to that person and/or bring forward witnesses.
- Advise the employee of their right to be accompanied.
Where there is additional information to provide to the employee this should be sent with the letter and may include:
- A summary of relevant information gathered as part of any review/assessment.
- A copy of relevant documents which will be used at the capability meeting.
- A copy of relevant witness statements (except where a witness' identity is to be kept confidential, in which case the employee will be given as much information as possible whilst maintaining confidentiality).
Prior to a formal capability meeting the employee must inform the manager conducting the meeting of:
- The names of any nominated witnesses they wish to call.
- Written submissions they wish to have considered.
- Documentary evidence they intend to rely on at the meeting, and
- An explanation of the relevance of both their own and any witness evidence.
The employee should provide this information as soon as reasonably practicable and at least three days before the formal meeting.
b) Introductions
At the start of the meeting the person conducting the meeting will introduce those present and explain the purpose of the meeting and the process that will be undertaken, encouraging those present to speak openly. If a witness is called by either the manager or the employee, they will be invited to attend at an appropriate time.
c) Presentation of the case
The presenting manager (normally the manager who has dealt with the case up to this point) will present the details of the underperformance and any steps taken to address these. If appropriate they may present the findings of any investigation, may call witnesses, and question them and the employee in relation to the alleged underperformance. The presenting manager should:
- Set out the required standards which it is considered the employee may have failed to meet.
- State clearly the areas of concern.
- Outline the case by going through the evidence that has been gathered.
- Set out any steps which have already been taken to address performance shortfalls.
- Call witnesses if appropriate.
- Answer questions that relate to the case.
d) The employee's response
The employee or their representative (in accordance with Roles and responsibilities) should:
- State their case and respond to any performance issues raised.
- Ask questions and present any evidence in support of their case.
- Respond to any information given by a witness.
- Call witnesses if appropriate.
e) Consideration by the manager conducting the meeting
The Head of Institution or nominated deputy conducting and hearing the case should:
- Go through any relevant evidence gathered including, where relevant, the findings of any investigation/review, and the questioning of any witnesses or parties in relation to the alleged performance issues.
- Use questions to clarify the issues and to check that what has been said is understood.
- Encourage the employee to speak freely to establish all the facts.
- Establish if there is any explanation for the alleged performance shortfalls.
- If dismissal is a possibility, establish whether there is any likelihood of a significant improvement being made within a reasonable time and whether there is any practical alternative to dismissal, such as redeployment.
- Summarise the main points of the discussion after questioning is completed.
- Ensure all evidence and points for all parties have been put forward, including if there are any special circumstances to be taken into account.
- Ask the employee if they have anything further to say or to be taken into account.
The person conducting the meeting will be able to question all those involved. They will consider all representations before deciding if the concerns are well founded and if so what outcome, including and up to dismissal is appropriate.
f) Adjournment
If new facts have emerged or there is any dispute over facts that haven't been properly investigated, it may be necessary to adjourn the meeting in order to investigate them and reconvene the meeting at a later date. Any new evidence should be shared with both parties prior to reconvening the meeting. Requests for an adjournment by either side should be made to the manager leading the meeting.
g) Meeting Outcome
The employee will be informed of the decision in writing within five working days of the meeting.
If as a result of the meeting and the evidence presented, the employee's performance is considered to be satisfactory and no further action is required, this will be confirmed to the employee in writing.
If as a result of the meeting and the evidence presented, the employee's performance is considered to be unsatisfactory, further appropriate action will be considered, as detailed in the procedure. Further advice should be sought from the HR Division particularly if dismissal on grounds of incapability is under consideration.
The correspondence shall also notify the employee of their right to appeal against any sanction. In the event that the decision is taken to dismiss the employee, the correspondence will include the reasons for dismissal and the date that their employment will terminate, together with details of any notice arrangements and right of appeal. Dismissal will always be a last resort after consideration of all other options.
This guidance should be read in conjunction with the Capability Policy. Please contact the HR Division if there are any further queries.
Improvement Notices
If as a result of a formal stage one or two meeting the employee's performance is found to be unsatisfactory the manager will write to the employee, issuing an Improvement Notice. The Improvement Notice will state the improvement in performance required, targets for improvement, the timescale for improvement (‘the review period’), any support to be provided and the consequence of not meeting the performance targets within the review period. It will also set out the employee's right of appeal.
The manager may develop a Performance Improvement Plan, with input from the employee, to help the employee to attain the required level of performance. A template is provided in the toolkit section.
The manager will monitor the employee's performance during the review period and will hold regular review meetings. A Performance Improvement Plan should be used to record action taken and progress during the review period. On completion of the review period the manager will write to the employee to inform them of the outcome.
An Improvement Notice will remain active for a specified period. This will usually be six months for a First Improvement Notice and one year for a Final Improvement Notice, after which time it will remain on file for reference purposes but will be disregarded when making a decision on future capability proceedings.
Other options to consider under the capability procedure
Redeployment
Where underperformance continues despite support and assistance, alternative employment may be considered. However, an employee cannot be redeployed to another role without their express agreement and cannot be forced to move. Redeployment would have to be a decision agreed between employer and employee. Employees who wish to be considered for redeployment will be offered advice and assistance in preparing job applications, updating CVs, writing cover letters and interview preparation over a reasonable period of time. If the employee has moved from another position in the University, consideration may be given to transferring the employee back to their old position if appropriate, subject to agreement with all parties and the position remaining vacant.
- Redeployment guidance and process
- Guidance for searching for jobs, updating a CV and interview techniques
Internal Promotion
Where an employee is promoted or appointed to a higher graded post, the consequences of failing to meet the necessary standards of performance for the new post should be clearly and fully explained to the employee at the time the promotion is offered. In most cases, the employee will be promoted on the basis of a probationary period/appointment support period in the new job.
Suspension
If the underperformance or capability issue is considered sufficiently serious, suspension may be considered. Suspension is not a penalty and should be considered a neutral act which does not imply wrongdoing on the part of the employee and is therefore on full pay. It will be unusual for suspension to be appropriate in managing capability concerns, except where these may amount to serious incapability or gross negligence. Suspension may for example be considered if a case involves a serious neglect of duty, to provide an opportunity to fully investigate, where there are concerns the employee may interfere with the investigation/review, or if the employee is considered to be a risk to themselves or others. Any decision to suspend will be taken by the Head of Institution in consultation with the relevant HR Business Manager and confirmed in writing within five working days. The letter will provide details of the circumstances of the suspension. A manager will be appointed to keep in contact with the employee during the period of suspension and to regularly review the arrangements and reasons for continued suspension. The employee will be offered sources of support and advice.
Timescales
Timescales at all stages of the formal and informal Capability Procedure should be appropriate and reasonable.
Informal
Once an underperformance issue is identified, it should be addressed at the earliest opportunity, ideally within a few days.
When setting timescales for performance improvement and review, agreement should be sought at the outset with the employee that the timescales set are reasonable. Timescales for improvement will vary depending upon the nature of the role and the issues involved. When setting review timescales, the following factors should be taken into consideration:
- The nature of the work and the underperformance.
- How often the task or type of work under review arises eg if it involves examination administration this may not reoccur for another academic term or year.
- Ensuring reasonable time for the individual to undertake training, absorb, practice and apply it.
- Urgency of the task or area of work under review.
- Consequences of further underperformance.
- In all circumstances the period of time to improve must be reasonable.
Formal
The formal stages of the Capability procedure specify the following timeframes:
- The employee should receive at least five working days written notice of a formal capability meeting, allowing the employee reasonable time to prepare for the meeting.
- At least three working days prior to a formal capability meeting the employee must inform the manager conducting the meeting of the names of any nominated witnesses they wish to call, any written submissions they wish to have considered, any documentary evidence they intend to rely on at the meeting and, if requested, an explanation of the relevance of both their own and any witness evidence. If the employee is concerned about meeting this timescale they should discuss this with their HR School team to explore whether alternative arrangements can be agreed.
- The employee will be informed in writing of the outcome of a formal capability meeting and the reasons for it, within five working days.
- Any decision to suspend will be taken by the Head of Institution in consultation with the relevant HR Business Manager and confirmed in writing within five working days.
- Under the formal stages of the procedure, guidelines are provided on appropriate periods during which an Improvement Notice will remain active. This will usually be six months for a First or Final Improvement Notice and one year for a Final Improvement Notice. Institutions are advised to discuss review periods with the relevant HR School teams to ensure they are consistent and proportionate.
9. Appeals
Appeals against warnings or other sanctions
An appeal against the outcome of any formal stage should be made in writing under the appeal procedure for the relevant staff category. The purpose of the appeal hearing is to establish if the outcome of the procedure was appropriate and procedurally correct.
10. Capability Toolkit
A capability toolkit has been developed. This aims to be helpful both to managers in supporting the performance of their direct reports and to all employees wishing to improve their performance at work. It has been developed as a resource to dip in to and out of so may not be relevant to all situations or individuals at all times.