Report on HR Policies Annex 1 Capability Policy (PDF)

Capability Policy and Procedures
1.0 Purpose and Scope
1.1 These procedures are designed to help and encourage all employees
to achieve and maintain standards of job performance that will, in turn,
help the Lake District National Park Authority achieve its objectives and
to perform in an exemplary way. The procedures are designed to
support both management and employees in handling problems
concerning below standard work and unsatisfactory performance, and
provide guidance on how to encourage improvement. Note that, for the
purposes of this policy and related procedures, capability relates to the
ability or qualification of the employee to do the job and not to the
employee’s disability status.
2.0 Principles
2.1 Employees have a contractual responsibility to achieve a satisfactory
level of performance and will be given help and encouragement to
reach it.
2.2 Role profiles will be kept up to date and, when prepared, should
accurately convey the main purpose and scope of each job and the
tasks involved.
2.3 The standard of work required will be explained to each employee.
Special attention should be paid to ensuring that employees whose
English is limited and persons with little experience of working life
understand the standards expected of them.
2.4 The consequence of any failure to meet the required standards will be
explained to all employees.
2.5 At all stages in the formal procedure an employee will have the right to
be represented by a trade union representative or a work colleague.
2.6 Any remedial action proposed at any stage in the procedures will be
explained in detail and conveyed to the employee in writing.
2.7 Employees should not normally be dismissed because of unsatisfactory
performance unless warning and a chance to improve have been
given, with additional training provided if necessary.
2.8 Managers will be provided with training support and guidance to ensure
that they are adequately equipped to recognise and resolve capability
problems.
Issued: May 2008
Date of review: as required
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2.9 Assessment criteria used in the review of job performance and in the
application of these procedures must be non-discriminatory and
relevant to the job. They should be applied irrespective of racial group,
age, sex, marital status, disability, sexual orientation or religion or
belief.
2.10 The policy and procedures do not apply to new employees during their
probationary period, during which time performance will be monitored
and reviewed using regular performance management arrangements.
2.11 It could be anticipated that minor improvements should be managed
within a period of one month whilst major improvements in performance
may take longer, and that up to a three month period may be required.
3.0 Capability Procedures – unsatisfactory standard of work
3.1 A flowchart outlining the processes and stages is attached as Appendix
4.0 Informal Stage
4.1 Where an employee’s capability is in question, the line manager should
arrange to meet with the employee to ascertain the root of the problem.
Regular discussion with employees about performance, either formally
or informally, will help to identify any problem areas and allow remedial
action to be taken promptly. Guidelines in Chart 1 of Appendix 1 set out
the procedures to be followed at the informal stage.
4.2 Under performance, particularly during a probation period, should be
identified as quickly as possible, so that appropriate remedial action
can be taken in a timescale that balances the needs of management to
have the work performed to the required standard, the time taken to
achieve a satisfactory level of performance and the length of the
probationary period.
4.3 The employee should be reminded of the standards required and
asked for an explanation and given the opportunity to identify any areas
of concern in relation to training, support, instructions and the duties
and responsibilities undertaken.
4.4 Where the reason for under performance is the lack of required skills,
the employee should, wherever practicable, be assisted through
training and instruction, and/or any other reasonable support necessary
to enable them to undertake the work to the required standard.
Supervision and guidance will be provided as well as a reasonable
timescale in which to improve and reach the required standard. A note
should be issued that confirms the required standards and a date for a
future review.
Issued: May 2008
Date of review: as required
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5.0 Formal Stage
5.1 A number of options may be considered to address the issues.
Improvement Note
5.2 Should there be insufficient improvement at the end of the prescribed
period (or before if performance continues to go down during the
period), and despite encouragement and ongoing assistance the
employee’s performance is still below requirements, the employee will
be formally interviewed by the line manager. At this and each stage of
the formal procedures a Trade Union or work representative may
accompany the employee.
5.3 If the line manager is dissatisfied with the rate of improvement, then an
improvement note may be issued. This is the first stage of a formal
procedure and the employee will be advised that failure to improve
could lead to a final written warning and, ultimately, dismissal. Details
of the process to be followed are included as Chart 2 of Appendix 1.
5.4 The improvement note will provide details of the performance problem;
the improvement that is required; the timescale for achieving this
improvement; a review date; and, any support the line manager will
provide to assist the employee. A copy of the note should be kept and
used as the basis for monitoring and reviewing performance over a
specified period.
5.5 During the review period, an interim review stage should be included in
order to assess progress. If there has been some improvement during
this period, however, additional effort is still required to bring
performance up to the required standard, this should be acknowledged.
The outstanding issues should be detailed in writing and an additional
review period agreed.
Redeployment Register
5.6 If after the prescribed period there is insufficient or no improvement
following the issue of the improvement note and the interim review, the
employee will be invited to a further meeting with a senior manager and
if there is clear evidence that the employee is unable to meet the
required standards, consideration should be given to placing the
employee on the Redeployment Register in order to find them suitable
alternative work. This may be, if necessary, on a different grade or in
another Directorate. Such an arrangement will only be made by mutual
consent with the employee and the Directorate where the vacancy has
arisen.
5.7 If a suitable alternative post is available and in discussion with the
prospective line manager, an offer of employment will be made in
writing. An employee’s details will normally be retained on the
Redeployment Register for a maximum period of three months.
Issued: May 2008
Date of review: as required
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5.8 If an employee is successful in gaining an alternative post through
these arrangements, the salary for the post will apply.
Final Written Warning
5.9 If no suitable alternative post is available, or the employee
unreasonably refuses such an offer a final written warning will be
issued. This warning should indicate clearly that dismissal might follow
if, within a reasonable period of time, they have still not achieved the
necessary standard of performance.
Dismissal
5.10 If after the prescribed period, and following these warnings, the
employee is still unable to achieve a satisfactory level of performance
even after an opportunity to improve, and with training assistance, and
alternative work has not provided an alternative solution, then the
situation should be explained to the employee sympathetically before
dismissal action is taken. Such interviews should only take place after
consultation with and in the presence of a senior HR representative.
5.11 This action will be confirmed in writing, detailing the reasons why this
course of action has been taken. The letter will state the grounds for
the action taken and confirm the employee’s right of appeal along with
details of how this can be done. Chart 3 of Appendix 1 outlines these
final stages of the formal procedures.
Redundancy
5.12 If the main cause of the unsatisfactory performance is the changing
nature of the job, advice should be sought from a senior HR
representative as to whether the situation may properly be treated as
redundancy rather than as a capability or disciplinary situation.
Negligence
5.13 Negligence usually involves a measure of personal blame or failure in
accountability arising, for example, from lack of motivation or
inattention. Examples could include failure to comply with health and
safely regulations. Some form of disciplinary action will normally be
appropriate in these circumstances. Where action is required to be
taken to show the Authority’s disapproval of the behaviours displayed,
recourse should be made through the application of the disciplinary
policy and procedures
Lack of Ability
5.14 Lack of ability is due to lack of skill, experience or knowledge, and may
point to poor recruitment procedures or inadequate training. Where
skills have become outmoded by new technology, employers should
Issued: May 2008
Date of review: as required
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consider whether new skills could be achieved through training. Only in
the event of the failure of the employee to achieve the standard
required should consideration be given to the application of the
capability or disciplinary procedures.
6.0 Appeals
6.1 Where formal ‘warnings’ have been given employees will have
recourse to the Appeals procedures outlined at section 3.2.9 of the
LDNPA Disciplinary Policy and Procedures.
7.0 Records
7.1 All records should be kept in line with the Data Protection Act 1998.
This will include minutes of meetings, emails, attendance notes, notes
of telephone calls, copies of correspondence etc. Records will be
treated as confidential. Copies of meeting records will be given to the
employee although in certain circumstances (for example to protect a
witness) some information may be withheld. Copies of spent warnings
will be removed from the employees’ file, although details will be
retained centrally within Human Resources.
8.0 Roles and Responsibilities
8.1 Information on the roles and responsibilities, as well as legislation that
impacts on these procedures is contained within Appendix 2 to this
document.
8.2 A scheme of delegation which identifies who can take action is
attached as Appendix 3.
Issued: May 2008
Date of review: as required
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Appendix 2
Capability Policy and Procedure
Roles and Responsibilities
To whom do the policy and procedures apply?
• All employees, irrespective of their length of service, status or number of
hours worked, with the exception of new employees on a fixed
probationary period.
What are the policy and procedures about?
• Helping and encouraging all employees to achieve and maintain standards
of conduct, attendance and job performance
• Assisting the organisation to operate effectively.
• Ensuring consistent and fair treatment for all within the standards and rules
set by the Authority.
What are the Authority’s responsibilities?
The Authority has responsibilities to ensure that:
• All employees are aware of the standards and rules that apply
• Performance management procedures are carried out regularly and
routinely to underpin the capability procedures
• Managers know and explore the options open to them before considering
applying capability and/or disciplinary procedures
• Statutory procedures are applied in appropriate circumstances
• Internal procedures are complied with
• Employees are treated fairly and consistently
• Proper investigations are carried out before action is considered
• Decisions made are reasonable
• Those involved in disciplinary procedures are appropriately trained
What are the managers’ responsibilities?
Managers have responsibilities to:
• Familiarise themselves with these procedures and ensure that they
understand their role before taking action within them
• Ensure that role profiles are kept up to date and, when prepared, should
accurately convey the main purpose and scope of each job and the tasks
involved
• Explain to each employee the standard of work that is required
• Explain to each employee the consequence of any failure to meet the
required standards
• Explain any remedial action required and confirm this in writing
• Ensure that assessment criteria used in the review of job performance and
the application of these procedures are non-discriminatory and relevant to
Issued: May 2008
Date of review: as required

the job and apply these irrespective of racial group, age, sex, marital
status, disability, sexual orientation or religion or belief.
What are the employees’ responsibilities?
Employees have a duty to:
• Make themselves aware of the rules and policies that apply within the
Authority and to comply with these
• Take part in the Authority’s performance management processes as an
enabler of performance
• Participate in training activities that will support their performance
• Make themselves aware of the standards that are expected of them and to
work diligently in their application.
• Cooperate with the employer as far as is necessary to enable the
employer to comply with the requirements of legislation.
What are Human Resources’ responsibilities?
Human Resources are available to:
• Advise on procedures
• Encourage management to act in a fair and consistent manner
• Provide access to training on best practice and legislation that impacts on
employment
What will happen if the policy is not followed?
Should the Authority fail to address capability issues and to comply with the
policy, this could result in inefficiencies in delivering the service that it is
charged to promote. The Authority could also be vulnerable to claims through
Employment Tribunals and damage to its reputation as an exemplar
employer.
Key legislation
Most of the provisions governing capability and discipline at work are currently
to be found in the Employment Act 2002 and the detailed regulations made to
implement the provisions of that Act namely the Employment Act 2002
(Dispute Resolution) Regulations 2004.
Other pieces of legislation cross-refer to capability and discipline. These
include:
• Employment Rights Act 1996 as amended
• Employment Rights Dispute Resolution Act 1998
• Employment Relations Act 1999
• Employment Rights Act 2004
• Human Rights Act 1998
• Data Protection Act 1998
• Disability Discrimination Act 1995
The Authority procedures will be reviewed regularly in line with any
subsequent changes to the legislation and in the light of best practice.
Issued: May 2008
Date of review: as required

Other relevant policies
This policy should be used, in particular, in conjunction with the Authority’s
policies on:
• Discipline
• Performance Management
• Training and Development
• Absence
• Alcohol and substance misuse
• Dignity at Work
• Equality and Diversity
• Health and Safety
Some of these policies are currently being drafted or reviewed. Advice should
be sought from a senior HR Representative, if feasible before taking action to
implement the procedures.
Useful websites
www.acas.org.uk
www.dataprotection.gov.uk
Policy owners
• Chief Executive
• Head of Human Resources
Alternative formats
Alternative formats for policies and toolkits are available from the Human
Resources and Learning and Development Assistant on 01539 792703.
Issued: May 2008
Date of review: as required

Capability Scheme of Delegation of Authority
Appendix 3
Level of warning
Seniority
level
within
Authority
the
First stage
warning
Formal Stage
including
Improvement
Note /
application to
join the
Redeployment
Register/Final
Written
Warning
Dismissal
or other
sanction
Appeal
All staff below
Head of
Service level
Line
Manager*
Head
Service
of
Director
Director from
other
Service
Department
Head
Service
of
Director Director Director Other
Service
Department
Director or
Chief
Executive
Director
& Statutory
Officers
(excluding
Chief
Executive)
Chief
Executive
Chief
Executive
Committee
of
3
members**
Chief Executive
Committee of
3
members**
Chief
Executive
Authority **
Committee
of
3 members
Committee
of
3 members
not
previously
involved and
including the
Chair*
Notes
*Should it become apparent that the nature of the complaint is very serious
then any hearing may be suspended and a decision made regarding how the
matter is taken forward.
** Full cognisance will be taken of the procedures set out within the Joint
Negotiating Committee for Chief Executives of Local Authorities.
Issued: May 2008
Date of review: as required