Managing Underperformance: Capability Policy & Procedure
| Capability Policy & Procedure (.pdf) |
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| Capability Policy & Procedure Flowchart (.pdf) |
1. Scope and Policy Objectives
1.1 This policy applies to all groups of Aberystwyth University staff who have successfully completed their probation period and establishes guidelines for managers and staff in relation to the management of under-performance.
1.2 This policy is designed to ensure that cases of under-performance are dealt with similarly and fairly, with the prime objective of improving an individual's performance to the required level. Statute 9, Part III, which relates to the Discipline, Dismissal or Removal from Office of academic staff, will be followed in the later stages of this policy in the case of academic staff.
1.3 Aberystwyth University has a responsibility for setting realistic and measurable standards of performance, for explaining these standards carefully to members of staff and for supporting staff to achieve the standards set.
1.4 All new members of staff will have their job explained carefully to them on arrival at Aberystwyth University, will be given a copy of, or referred to, any written guidance that exists in relation to their area of work and will be given appropriate training and support to become familiar with it.
1.5 Staff must also be made aware of the standards expected of them and where expectations change and evolve over time; managers have a responsibility to inform staff of these changes.
1.6 All members of staff have a contractual responsibility to perform their duties to an acceptable standard and they should be given all reasonable support and encouragement to do so.
2. Informal Stage 1
2.1 When there is evidence that an individual is not performing at an acceptable level, the manager should investigate the circumstances without delay and endeavor to ascertain the reasons for the unsatisfactory performance. If, following this examination, the manager considers that the individual's performance is deficient in some material respect, an informal discussion with the member of staff will be arranged.
2.2 At this meeting the manager will:
2.2.1 Make clear the areas in which the individual's performance is below expectations (explaining the grounds / evidence for this view) with the aim of identifying any problems or reasons for the under-performance which could be resolved. Solutions to the problem could include additional training, providing a mentor, coaching or some other kind of ongoing support to the individual;
2.2.2 Give the individual the opportunity to explain their under-performance and to raise any concerns they may have about the job or the support and guidance they have been given to do it;
2.2.3 Bear in mind the provisions of the Disability Discrimination Act, in particular the obligation to make reasonable adjustments when dealing with disabled members of staff (see Aberystwyth University Equality Scheme);
2.2.4 Ensure that the member of staff is aware of the level of performance / productivity required in relation to each element of the duties about which there is a concern;
2.2.5 Set a reasonable time frame within which improvement is expected and arrange a further meeting at the end of this time to review the situation. When establishing “reasonable timescales” for improvement, managers must consider the complexity of the tasks involved in relation to the qualifications and experience of the individual.
2.3 The content and outcome of this meeting will be confirmed by the manager/supervisor in writing to the individual, including the type of improvement required, any additional support or training that will be provided, any other agreed actions and the timescale for improvement and review. This record is for departmental purposes only.
2.4 When discussing under-performance managers must be specific about their concerns and must demonstrate evidence and/or give examples to support their assertions.
3. Formal Stages
3.1 Stage 2
3.1.1 If there is continued unsatisfactory performance or where a first instance of unsatisfactory performance is sufficiently serious to warrant formal action (e.g. where health & safety is at risk or significant costs or other liabilities are involved) the member of staff should be invited to a formal interview to discuss the matter, Where requested by the line manager, a representative from HR will attend the meeting;
3.1.2 At this meeting the member of staff will be reminded of the earlier informal discussions (where these have happened) and the steps taken to support an improvement in their performance. They will be told, as precisely as possible, the reasons for the manager's continued concerns about their performance. The individual will then be given the opportunity to explain their unsatisfactory performance. If, having heard any explanations offered by the member of staff, the manager/supervisor remains concerned a FORMAL CAUTION will be given for unsatisfactory performance. This will be confirmed in writing to the individual;
3.1.3 This caution will be placed on the individual's HR file and will be disregarded after a period of 12 months if performance has improved to the standard required;
3.1.4 At this meeting further consideration should be given to any additional training or support that could reasonably be provided to the member of staff to enable them to reach the required standard of performance;
3.1.5 A reasonable time period will be set within which improvement is expected and a further meeting arranged at the end of this time to review the situation.
3.2 Stage 3
3.2.1 If there has been insufficient improvement in performance within the timescale following the formal caution a further formal interview will be held with the individual, Where requested by the line manager, a representative from HR will attend this meeting;
3.2.2 At this meeting the manager will review the history of the case, including the steps that have been taken to support the individual to achieve the required level of performance. If, having heard the explanation offered by the member of staff, the manager/supervisor remains concerned a FINAL CAUTION will be issued for unsatisfactory performance. This will be confirmed in writing. The member of staff will also be informed that their employment will be at risk if satisfactory performance levels cannot be achieved and subsequently maintained.;
3.2.3 This caution will be placed on the individual's HR file and will be disregarded after a period of 12 months if performance has improved to the standard required;
3.2.4 Further consideration should be given to any additional training or support that could reasonably be provided to the member of staff to enable them to reach the required standard of performance;
3.2.5 A review period will be set within which improvement is expected and a further meeting arranged at the end of this time to review the situation.
3.3. Stage 4
3.3.1 If there has been insufficient improvement in performance within the timescale following the final caution, a further formal interview with the member of staff will be held. A representative from the HR department must attend any meeting that takes place with the employee under this stage of the procedure.
3.3.2 At this interview the manager will review the history of the case, including the steps that have been taken to support the individual to achieve the required standard of performance. The individual's explanation will be heard and considered. A decision will then be taken to either dismiss the member of staff on the grounds of capability or to extend the final caution to allow further time for improvement and maintenance of any improvement. The manager will confirm this decision and the reasons for it in writing to the individual. The option of allowing further time for improvement may only be considered if there is evidence to persuade the manager that further time is likely to lead to the required improvement in performance.
3.3.3 In the case of academic staff, the Discipline, Dismissal or Removal from Office procedure enshrined in Statute 9, Part III will be followed at this point.
4. Ill-health / Poor Attendance
4.1 An individual's capability to carry out their role to the expected standard may be affected by their health and their attendance record. Managers must bear in mind the provisions of the Equality Act 2010, in particular the obligation to make reasonable adjustments when dealing with disabled members of staff (see Aberystwyth University Single Equality Scheme).
4.2 The procedure for managing long-term periods of sickness absence (four weeks or more) is set out in full in the Managing Sickness Absence Policy.
4.3 The early stages for managing repeated short-term absence is also set out in Aberystwyth University’s Managing Sickness Absence Policy. Where the second Sickness Absence Review meeting does not however produce the required improvement in attendance, the situation will then be managed through this policy commencing at Stage 3 of the procedure.
4.4 A Stage 3 formal meeting will be held at which any explanations offered by the individual will be discussed. A FINAL CAUTION may be given for unsatisfactory attendance if the manager/supervisor remains concerned and this will be confirmed in writing. The member of staff will be informed that their employment may be at risk if satisfactory attendance levels are not achieved and maintained.
5. Notification & Representation
5.1 A member of staff will receive 7 working days advanced notice in writing of any formal interview arranged under this policy (unless the employee agrees to less in writing). At all such interviews the member of staff has the right to be accompanied by a work colleague or trade union representative. Where witnesses are to be called by the manager/supervisor or the individual, prior notice of this should be given.
5.2 Where an individual's representative is unable to attend the meeting at the notified time, the meeting will be postponed and rescheduled to an alternative time within 5 working days.
6. Right of Appeal
6.1 An individual has the right to appeal against any formal action taken against them in line with this policy and must do so by writing to the Director of Human Resources, within 10 working days of the date of receipt of written confirmation of the action taken against them, stating their grounds for appeal. Appeals against a formal caution can only be submitted on procedural grounds or factual inaccuracies in the information upon which a decision has been made.
6.2 The procedures for dealing with appeals is as detailed in the appropriate policy and procedure for the relevant category of staff (Disciplinary & Dismissal Procedure for Allied Staff; Appeals for Academic or Academic Related Staff,both as found on the University Website and subject to the relevant Statutes and Ordinance(s)).
6.3 This policy does not remove the right of employees to invoke the relevant Grievance procedure in appropriate circumstances. However, once formal proceedings have been instigated under this procedure, any formal complaint or grievance against the University and/or named individuals will be temporarily suspended, pending the conclusion of the capability proceedings.
6.4 If an employee is successful in appealing against dismissal, they will be paid in line with their contract of employment in respect of the period from dismissal to reinstatement as if the dismissal had never taken place.
7. Responsibilities:
7.1 Managers are responsible for:
7.1.1 Setting standards of performance, and ensuring that these are communicated and understood. Standards of work performance should be outlined at the start of employment and then reinforced through the induction process and training, in performance appraisals or reviews and for any changes to the role;
7.1.2 Providing appropriate support and assistance to help staff reach and maintain the required standard of work;
7.1.3 Highlighting performance issues and taking appropriate action at the earliest possible opportunity – as per the informal stage of this policy;
7.1.4 Ensuring that matters relating to an individual’s work performance are dealt with sensitively whilst maintaining confidentiality and dignity;
7.1.5 Applying the policy in a consistent and diligent manner.
7.2 HR is responsible for:
7.2.1 Ensuring that managers (Heads of Department, line managers and supervisors) receive appropriate training and professional support for dealing with performance and capability related issues;
7.2.2 Monitoring compliance with the capability procedure across the University;
7.2.3 Helping provide consistency in the application of the policy;
7.2.4 Attending meetings as required and keeping formal records under stages 2 – 4 and at appeals.
7.3 Employees are responsible for:
7.3.1 Ensuring that they are aware of their responsibilities under the policy;
7.3.2 Performing their duties to a satisfactory level as set out by management in 4.1.1;
7.3.3 Bringing to the attention of their line-managers any work related problems or personal circumstances that may affect their performance at work;
7.3.4 Understanding that if their work performance falls below an acceptable level, managers will be obliged to address this;
7.3.5 Working together with their line-managers to identify how their performance could improve;
7.3.6 Responding to corrective measures that are identified in a timely and diligent manner;
8. Policy Review
8.1 This policy has been implemented following consultation with Senior Management and the respective Trade Unions representing employees at the University.
8.2 This policy will be reviewed at intervals of not less than 2 years, unless to comply with statutory changes or important case-law. All reviews will include consultation with the recognised Trade Unions and Senior Management of the University.
8.3 The University reserves the right to change the terms of this policy from time to time and to introduce a replacement procedure as may be required.
8.4 This Policy & the Procedure does not override or supplant in any form the provisions of the Charter & Statutes.
8.5 This policy will be equality impact assessed in line with such procedures for all policies.
