Capability procedure

(Updated 01.11.15)

The County Council is committed to developing the skills of its workforce.  Managers within the organisation should encourage and support employees to acquire basic literacy and numeracy skills and work towards their first full Level 2 qualification.  Developing these basic skills will not only assist employees in meeting the needs of the business but will also support their future employability.

1. Purpose

The Capability Procedure is intended to encourage employees to achieve and maintain a satisfactory standard of performance.
 
The Capability Procedure provides a process for dealing with ongoing unacceptable performance standards where informal forms of management support and intervention have not produced the desired results.

2. Scope

The procedure applies to all employees of the County Council excluding:

  • Teachers, whose pay is determined by reference to the School Teachers Pay and Conditions Document
  • Non teaching employees in schools
  • Employees subject to a probationary period
  • Employees who have been transferred to Lancashire County Council in accordance with TUPE regulations and who, therefore, retain different terms and conditions
  • The Chief Executive, Corporate Directors, the Monitoring Officer, Chief Financial Officer and Director of Public Health.

3. Procedure

An employee has the right to be accompanied throughout this formal process by a fellow worker, a trade union representative or an official employed by a trade union.
 
No action under this procedure will be taken against a Trade Union representative until the circumstances of the case have been discussed with a full time official of the Union concerned after obtaining the employee's agreement.
 
Where an employee is unable or unwilling to attend a meeting or hearing, that meeting or hearing may nevertheless proceed and in the case of a hearing, a decision will be made on the basis of evidence available. 

Stage 1 Performance Meeting

The employee will be invited to attend a Performance Meeting to discuss the standards of performance required and where the employee falls short of achieving these standards.   The employee will have the opportunity to give an explanation or comment on their performance.

A review period will be set and support measures put in place (where appropriate) to help the employee achieve the required standard.

The outcome from this Performance Meeting will be formally recorded in writing and a copy provided to the employee.  This letter will include:

  • details of realistic measurable targets to be achieved and standards of performance to be attained;
  • arrangements for support/training, etc;
  • timescales for improvement and review period;
  • cautionary advice that failure to improve to the standard of performance required could lead to dismissal. 

Stage 2 Review Meeting

At the end of the review period, a Review Meeting will be held with the employee to discuss overall performance during the review period and any support measures that were put in place. The outcome of the Review Meeting will be confirmed in writing to the employee.

Standard achieved

If the required improvement has been achieved during the review period this will be confirmed to the employee and followed up in writing.

If at any time within a 12 month working period of this confirmation performance again falls below an acceptable standard, the formal procedure will re-commence at the Review Meeting.

Standard not achieved

The manager will determine a course of action which could include:

  • extending the review period, with defined targets and support mechanisms;
  • considering a mutually agreed re-assignment to another post which may be at a lower grade;
  • progressing the matter directly to a Capability Hearing.

Stage 3 Capability Hearing 

The final stage of the Capability Procedure is the Capability Hearing and its purpose is to decide upon a course of action, taking into account the management case and the employee's response. The hearing will be chaired by a Senior Designated Officer who will be advised at the hearing by a representative of the Human Resources Service and/or Legal. Heads of Service, or managers at Grade 12 and above on the Lancashire Pay Spine who have been authorised to issue HR sanctions up to and including dismissal by their respective Head of Service, are Senior Designated Officers for this purpose.

The employee will be formally written to invite him/her to attend the hearing giving a minimum of 5 working days’ notice. The letter will:

  • contain details of the areas of concern which are to be considered;
  • inform the employee that a possible outcome of the hearing could be dismissal or action short of dismissal;
  • clarify the rights of representation.

The outcome of the hearing will be notified to the employee in writing without unreasonable delay.

In the event of dismissal or a formal sanction short of dismissal, the employee will have a formal right of appeal.

Right of Appeal 

If exercising the right of appeal, the employee must inform the employing service, in writing, stating their grounds for appeal, within 5 working days of receipt of the formal notification of the outcome of the hearing. An appeal against a decision of a Senior Designated Officer must be submitted to the relevant Director.
 
All appeals will be by way of review to consider whether the original decision was reasonable in all circumstances of the case and taking account of any relevant new information not available at the time of the original decision.
 
An appeal against a dismissal or formal sanction short of dismissal will be heard by a senior manager (a Director or Executive Director) who will be supported at the appeal hearing by a representative of the Human Resources Service and/or Legal.
 
The appeal will take place without unreasonable delay from the date of receipt of the formal notification of appeal. 
 
The decision of the senior manager hearing the appeal is final. There is no further right of appeal.

See Appeals Procedure.