Capability Policy

In this document

1.1 Beckfoot Trust is committed to providing high quality teaching and learning. Through our workforce we aim to provide opportunities for all our pupils, whatever their ability. Each employee will therefore be given support to ensure they are able to develop the skills they need to carry out their role, to help them continually improve their performance and develop to their full potential, which will in turn help improve outcomes for our young people.

1.2 Having an effective performance management process in place is one of the ways we can support our employees and deal with performance matters as they arise. This involves effective day-to-day supervision, carrying out appraisals, providing development opportunities and operating a fair and reasonable capability process.

1.3 This policy sets out the arrangements that will apply when an employee falls below the levels of competence and performance that are expected of them and there is serious underperformance which informal support (including a structured action plan) and the Appraisal Policy has been unable to address.

1.4 This policy has been designed to comply with current legislation and the ACAS Code of Practice on Disciplinary and Grievance Procedures.

1.5 The policy has been implemented following consultation with recognised trade unions. It has been formally adopted by the Trust Board. This policy does not form part of any employee’s contract of employment and may be amended at any time.

2.1 The purpose of this policy is to provide a framework within which Beckfoot Trust can work with employees to improve and maintain satisfactory standards of performance where serious concerns have been raised.

2.2 This policy will be applied where there is underperformance, and informal support as set out in the Appraisal Policy has been provided and the required improvement has not been made.

2.3 This policy applies to all employees of the Trust, including headteachers, teachers and support staff. It does not apply to agency workers.

The capability process will be treated confidentially. However, it needs to be recognised that, in supporting employees through this process, some degree of information sharing is likely to be necessary to quality-assure the operation and effectiveness of the process.

Beckfoot Trust is committed to ensuring consistency of treatment and fairness. It will abide by all relevant equality legislation, including the duty to make reasonable adjustments for disabled employees.

Where a member of staff raises a grievance during the capability procedure the capability procedure may be temporarily suspended in order to deal with the grievance. Where the grievance and capability cases are related it may be appropriate to deal with both issues concurrently, and at the same meeting.

4.1.1 An employee will be given at least five working days’ written notice if required to attend any formal meetings under this procedure.

4.1.2 The written notification will also contain:

• Sufficient information about the performance concerns and possible consequences (including the possibility of issuing a warning or dismissal) to enable an employee to prepare to respond to the case at the formal meeting.
• Copies of any written evidence
• Copies of witness statements and details of witnesses attending (if appropriate)
• Details of the time and place of the meeting
• Details of the right to be accompanied (see 4.1.4)

4.1.3 Formal meetings will be conducted by the Headteacher, or other senior employee delegated this responsibility by the Headteacher or Executive Leader.

4.1.4 An employee has the right to be accompanied to any formal meeting under this procedure by a companion, who may be a colleague or a trade union representative. Employees are entitled to request an alternative date which is within five days of the original date if their representative is unable to attend the meeting.

4.1.5 The employee’s line manager/appraiser may attend the meeting to present the management case. Relevant witnesses may be called by the employee. Such a request should be provided in writing (at least two days prior to the meeting) with details of why such a witness should be called. The person conducting the meeting shall determine who shall be called as a witness and may request a written statement is provided instead of attendance.

4.1.6 A formal meeting under this procedure will:

• Identify performance shortcomings, including which of the standards expected not being met.
• Allow the employee to respond to those concerns, ask questions and make any relevant representations which may provide new information or a different context to the evidence already collected.
• Find out if there are any issues (both in and outside of work) that are affecting their performance that need to be considered.
• Identify what action (including support provided) has been taken to date and what the outcome was.
• Give clear guidance on the improved standard of performance needed to ensure the employee can be removed from the formal capability procedure.
• Where appropriate, identify and explain any support that will be available to help the employee improve performance.
• Where appropriate, warn the employee formally that failure to improve within the set period could lead to dismissal or other serious implications such as no pay progression; and
• Confirm the timescales for the monitoring and review period which will follow a formal meeting where a warning is issued. The timetable will depend on the circumstances of the individual case, but the period will be reasonable and proportionate ensuring that the arrangements minimise the impact on workload for all parties involved and should provide sufficient opportunity for an improvement to be made. Formal monitoring, evaluation, guidance and support will continue during this period.

4.1.7 The person conducting the meeting may adjourn the meeting, for example for further investigation or to consider if additional information is required.

4.1.8 If at any stage the person conducting the meeting is satisfied that there are insufficient grounds for perusing the capability issue or after a review period the employee has made sufficient improvement, the capability procedure will cease, and the appraisal process will re-start.

4.1.9 Following a formal meeting, the matters covered in 4.1.6 and any other relevant points will be confirmed in writing. Where a warning has been issued the letter will set out the length of the monitoring and review period and the procedure and time limits for appealing against the warning. If under performance occurs again shortly after the end of the live period of the warning, we reserve the right to deal with the matter at the same stage of the procedure and not return to earlier stage (including not returning to the Appraisal policy).

4.1.10 Minutes will be taken of all formal meetings, and employees will be sent a copy following the meeting.

4.2.1 If we consider that there are serious performance concerns, an employee will be invited to a formal capability meeting to establish the facts and give the employee the opportunity to respond before formal action is taken.

4.2.2 Where a warning is issued at Stage 1, this will usually be a first written warning. However, in very serious cases or in cases where performance issues have been dealt with previously under the formal capability procedure and there are still concerns, this could be a final written warning. The implications in relation to pay progression will be set out in writing.

4.2.3 The warning will normally remain active for 12 months from the end of the monitoring and review period. During this time any further performance concerns will be considered at the next stage of the process (stage 2). After the active period, the warning will remain on personnel file but will be disregarded in deciding the outcome of any future capability proceedings, subject to the provision of 4.1.9 above (not returning to earlier stage).

4.3.1 The standard set length of the monitoring and review period following the formal capability meeting in this Trust is normally six weeks. However, in some cases it may be appropriate for a shorter period of four weeks to be set. In exceptional circumstances, this period can be extended up to a maximum of ten weeks.

4.3.2 At the end of the monitoring and review period you will be invited to a formal review meeting unless the employee were issued with a final written warning in which case they will be invited to a decision meeting.

4.4.1 If the person conducting the formal review meeting decides that sufficient progress and improvement has been made, then the capability procedure will cease, and the appraisal process will continue.

4.4.2 If the person conducting the formal review meeting decides that some progress has been made and there is confidence that more is likely, it may be appropriate to extend the monitoring and review period up to a maximum of six additional weeks.

4.4.3 If no, or insufficient improvement has been made during the monitoring and review period, the employee will receive a final written warning. A further monitoring and review period will follow in accordance with 4.3.

4.4.4 The warning will normally remain active for 12 months from the end of the further monitoring and review period. During this time any further performance concerns will be addressed at the next stage of the process (stage 3). After the active period the warning will remain on your personnel file but will be disregarded in deciding the outcome of any future capability proceedings, subject to the provision of 4.1.9 above (not returning to earlier stage).

4.5.1 At the end of the further monitoring and review period, the employee will be invited to a decision meeting.

4.5.2 At this stage and by agreement with the employee, instead of progressing to a decision meeting it may be appropriate to consider whether there is a vacant post that may be more suited to your capabilities. If there is a vacant post which we agree with the employee is suitable, this would be a permanent change in role and if the alternative post is at a lower salary level, the substantive lower salary would apply. The capability procedure would cease on commencing in the new post and the appraisal process would re-start.

4.6.1 The decision meeting will usually be conducted by the Headteacher if they have not previously been involved with an Executive Head or the CEO if not previously involved in the case. Dismissal is a possible outcome of a decision meeting. If the Executive Head or the CEO have previously been involved, a panel of Trustees will be convened.

4.6.2 If an acceptable standard of performance has been achieved during the further monitoring and review period, the capability procedure will end, and the appraisal process will re-start.

4.6.3 If performance is deemed to have improved but not reached the required standard, a further monitoring and review period can be imposed. There will be a further decision meeting at the end of that extended monitoring and review period.

4.6.4 If performance is deemed to have improved but not reached the required standard a further monitoring and review period can be imposed. There will be a further decision meeting at the end of that extended monitoring and review period.

4.6.5 If performance remains unsatisfactory and of serious concern, a decision will be made that the employee should be dismissed. Normal delegation rules apply to the power of dismissal.

OR

4.6.6 If performance remains unsatisfactory and of serious concern, a decision will be made that the employee should cease working at the school/trust. They will be informed in writing as soon as possible of the dismissal, the reasons for the dismissal, the date on which the employment contract will end, the appropriate period of notice and your right of appeal.

4.7.1 If the employee feels that the decision to dismiss you or other action taken against them (including warnings) is wrong or unjust, they may appeal. They should appeal in writing to the chair of the panel, setting out the grounds for appeal within five working days of the decision.

4.7.2 Appeals will be heard without unreasonable delay and, where possible, at an agreed time and place. The same arrangements for notification and right to be accompanied by a companion will apply as set out in section 4.1.4.

4.7.3 The appeal will be dealt with impartially and, wherever possible, by a panel of three who have not previously been involved in the case. The employee will be informed in writing of the results of the appeal hearing as soon as possible.

4.7.4 If the employee is appealing against dismissal, the date on which dismissal takes effect will not be delayed pending the outcome of the appeal. However, if your appeal is successful, they will be reinstated with no loss of continuity or pay.

4.7.5 The employee will be informed in writing of the results of the appeal hearing as soon as possible. Following the appeal hearing the panel may: (a) confirm the original decision; (b) revoke the original decision; or (c) substitute a different penalty.

4.7.6 There is no further right of appeal against the sanction or dismissal within Beckfoot Trust

4.8.1 If at any stage of this procedure, long term sickness absence appears to have been triggered, the case will be dealt with in accordance with the attendance management policy.

4.8.2 The employee will be referred immediately to the occupational health service to assess their health and fitness for continued employment and the appropriateness or otherwise of continuing with monitoring or formal procedures. In some cases, it may be appropriate for monitoring and/or formal procedures to continue during a period of sickness absence.

5.1 All written records are retained in a secure place. As part of the application of this policy, we may collect, process and store personal data in accordance with our data protection policy. We will comply with the requirements of Data Protection Legislation (being the UK General Data Protection Regulation and Data Protection Act 2018) and any implementing laws, regulations and secondary legislation, as amended or updated from time to time. Records will be kept in accordance with our Workforce Privacy Notice, our Retention and Destruction Procedure and in line with the requirements of the Data Protection Legislation.

6.1 This policy is reviewed every two years and where appropriate amended. Where significant changes are made, consultation with the recognised trade unions will take place. We will monitor the application and outcomes of this policy to ensure it is working effectively