Capability

Procedure

1. Application and scope

  1. 1.1 The success of the University depends upon effective contributions from all employees. The University recognises that the vast majority of its employees meet or exceed the demands of their respective roles, however performance problems can and do arise. This procedure provides a framework for dealing with cases of poor performance in a fair, supportive and consistent way.
  2. 1.2 The procedure applies to all employees employed by the University of York under a contract of employment except that only paragraph 5.2 applies to those who are within a probationary period of service and subject to a specific probation procedure 1.
  3. 1.3 Capability refers to an individual employee's ability to perform the work expected of him/her to the required standards. This may be assessed by reference to skill, aptitude, health or any other physical or mental quality 2. Lack of qualifications may also in certain circumstances be considered under this heading.

2. General principles

    The following principles will apply to the application of this procedure:-

  1. 2.1 Informal resolution - University managers are responsible for addressing performance issues as early as possible and for taking appropriate action. Where appropriate, steps will be taken to resolve issues on an informal basis without recourse to the formal procedure. In all cases consideration will be given to providing support to enable the individual employee to meet the standards required.
  2. 2.2 First instance of poor performance - In most cases an employee should not be dismissed because of a failure to perform to the required standard unless warnings and an opportunity to improve have been given. However, where an employee commits a single significant error, or a number of substantial errors which are attributable to incompetence or inability to meet the required standards of the job and the actual or potential consequences of that error are, or could be, extremely serious, warnings may not be appropriate. This procedure allows for an employee in this situation to be suspended and the earlier stages of the procedure to be omitted.
  3. 2.3 Suspension - At any stage in the procedure, if appropriate, an employee may be suspended. Suspension is not a penalty and there is therefore a presumption that suspension will be on full pay. The decision to suspend will be taken by a Head of Department (academic Departmental Head, Head of, or Director of Support Service Department) or a member of the University Executive Board.
  4. 2.4 Right to be accompanied - All employees who are the subject of this procedure have the right to be accompanied at any formal meeting held under the procedure by a trade union representative or work colleague.
  5. 2.5 Equality and Diversity - To ensure fair treatment and, where appropriate, provision of support by the University in the application of this procedure, employees should be invited to provide information about any equality or diversity issues which may be relevant.
  6. 2.6 Confidentiality - All parties involved in these procedures must ensure that they maintain, as appropriate, the confidentiality of the process within and outside the University.
  7. 2.7 Involvement of Human Resources - A member of the human resources team will be consulted and will advise on the formal process, including suspension.
  8. 2.8 Appeals against Sanctions including dismissal - Sanctions or warnings issued as a result of procedures will remain in force pending the outcome of any appeal.
  9. 2.9 Timescales - Whilst every endeavour will be made to comply with timescales, due to the complexity and or specific circumstances of a case, timescales may be extended. In such circumstances the employee will be advised of the reasons for any delay.

3. Informal procedure

  1. 3.1 The informal approach is aimed at bringing concerns to the attention of the employee, exploring causes, identifying responsibilities and agreeing actions to be taken.
  2. 3.2 Where there are concerns about an employee's performance, his/her manager will meet with him/her to reflect those concerns and explore ways of addressing them. The manager may issue advice and guidance to the employee or provide coaching or take other informal action.
  3. 3.3 It is advisable to confirm the outcomes of any discussions in writing to the employee. The manager should retain any notes of these informal discussions or meetings.
  4. 3.4 Following a satisfactory outcome to the use of the informal procedure, the matter will be considered resolved.

4. Formal procedure

  1. 4.1 Level 1 - Formal Meeting (Written Warning)
    1. 4.1.1 If performance does not meet acceptable standards, and coaching or other informal action is not considered appropriate or has not succeeded in addressing the problem, the manager will meet with the employee to discuss the issues. The manager will outline the performance issues that have led to the meeting and the employee will be given the opportunity to state his/her case and raise any factors s/he wishes to have considered. If, in the view of the manager, the employee is unable to provide a satisfactory explanation for the performance shortfall, s/he will be advised of:
      • The improvement in performance required
      • The timescale for improvement
      • Any support to be received
      • The consequence of not meeting the performance targets
    2. 4.1.2 A written warning will in that case be issued and the above will be confirmed in writing to the employee normally within five working days. The employee will also be advised of his/her right of appeal. A copy of the letter will be retained on the employee's personal file for a period of twelve months.
  2. 4.2 Level 2 - Formal Meeting (Final Written Warning)
    1. 4.2.1 If the problem is more serious, or if there has been a failure to meet the performance targets set at the first formal meeting, the employee shall be invited in writing to a level two formal meeting, normally with at least ten working days' notice. The letter inviting the employee to the meeting shall set out the issues to be considered. The meeting will be conducted by the manager (who will be accompanied by a member of the HR team). The manager 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 his/her case and raise any factors s/he wishes to have considered.
    2. 4.2.2 If no satisfactory explanation is given for the failure to meet the required standard of performance, the manager will write to the employee with a final written warning normally within five working days. The letter will indicate:
      • The improvement in performance required
      • The timescale for improvement
      • Any support to be received
      • The consequence of not meeting the performance targets i.e. that the employee may be dismissed if no acceptable improvement in performance is achieved within the given timescale
      • The employee's right of appeal.
    3. 4.2.3 A copy of the letter will be retained on the employee's personal file for a period of twenty-four months.
  3. 4.3 Level 3 - Formal Meeting (Dismissal)
    1. 4.3.1 If the employee does not improve as specified in the final written warning issued under level two above, or where serious performance issues arise or gross negligence is alleged (and after such investigation as is appropriate in the circumstances), the employee shall be invited to a formal dismissal hearing with the Head of Department or, where that is not appropriate, another Senior Manager. The employee shall be advised in writing of the grounds that have led to the hearing being called, including full details of the alleged performance issues. S/he will also be advised that one consequence of the hearing may be the termination of employment.
    2. 4.3.2 The meeting will take the form of a hearing conducted by the Head of Department who will be accompanied by a member of the HR team.
  4. 4.4 A letter will be sent to the employee, normally ten working days before a level three hearing, detailing the purpose of the meeting, and the circumstances that have led the University to consider dismissing the employee. The employee will be invited to make any written submissions. Prior to the hearing s/he will be provided with copies of papers that will be considered at the meeting.
  5. 4.5 At the level three hearing, the employee will be advised of the performance issues that have led to the meeting. The employee will be given an opportunity to present his/her case and raise any issues s/he wishes to have considered.
  6. 4.6 The manager conducting and hearing the case will consider the facts of the case and any representations made. On the basis of the information presented that manager may decide on the following outcomes:
    • That there are insufficient grounds to dismiss the employee under this procedure;
    • On the imposition, extension or renewal of a warning or final written warning issued under this procedure;
    • To withhold an increment of salary
    • On the removal of any title or office held in addition to the substantive appointment
    • That the employee should be dismissed on grounds of capability (with appropriate notice);
    • On the transfer of an employee to an alternative post within the University3
    • That matters should be considered under an alternative procedure.

    The above list is not exhaustive and the outcome may be varied according to the circumstances of the case.

  7. 4.7 The decision may be given verbally at the hearing and will in any event be conveyed or confirmed in writing within five working days of the hearing. The correspondence shall also notify the employee of his/her right to appeal against any sanction. In the event that the decision at a level three hearing is taken to dismiss the employee, the correspondence will include the reasons for dismissal and the date that his/her employment will terminate together with details of any notice arrangements.

5. Appeals

  1. 5.1 Appeals against warnings, sanctions or actions less than dismissal
    1. 5.1.1 The employee has the right to appeal against a decision to issue a warning or sanction, less than dismissal, under this procedure. Any appeal should be sent to the Director of HR within ten working days of the employee receiving the written decision. The appeal must state the grounds for appeal.
    2. 5.1.2 The appeal will be heard by a manager that is senior to the manager who has made the decision to issue a warning, sanction or action and who has had no prior involvement in the case. The appeal hearing will be a review of the decision. The person conducting and hearing the case may substitute a different penalty from that appealed against.
    3. 5.1.3 The decision may be given verbally at the appeal hearing and will in any event be conveyed or confirmed in writing within ten working days of the hearing.
    4. 5.1.4 The decision following the appeal shall be final and there will be no further internal right of appeal.
  2. 5.2 Appeals against dismissal
    1. 5.2.1 The employee has the right of appeal against a decision to terminate his/her employment under this procedure. Any appeal should be sent to the Director of HR within ten working days of the employee receiving the written decision to dismiss. The appeal must state the grounds for appeal.
    2. 5.2.2 The appeal will be heard by an appeal panel consisting of three senior managers of the University appointed by the Vice-Chancellor and will include academic representation where appropriate. The appeal panel will have had no prior involvement with the case and the appeal hearing will be a review of the decision to dismiss.
    3. 5.2.3 The decision may be given verbally at the appeal hearing and will, in any event, be conveyed or confirmed in writing within ten working days of the hearing.
    4. 5.2.4 The decision following the appeal shall be final and there will be no further internal right of appeal.

This procedure will be reviewed periodically to ensure compliance with changes in employment law and equality and diversity legislation.

Guidelines are available and should be referred to in the application of this procedure.

Notes

  1. A separate procedure exists for dealing with employees during their probationary period.
  2. A separate procedure exists for dealing with issues related to health.
  3. By agreement with the individual concerned as an alternative to dismissal

Appendix A: Levels for action

This table shows the level of manager required at each stage of the procedure. It is illustrative and not exhaustive.

Level of manager Informal, Level 1 and Level 2 Level 3 Appeal against warning Appeal against dismissal
If manager is not HoD Line manager Head of Department Senior manager Three senior managers
If manager is HoD HoD Senior manager Senior manager Three senior managers
If manager is Head of Support Services Directorate Line manager Registrar and Secretary Senior manager Three senior managers

The decision to suspend (should that be considered appropriate) will be taken by a Head of Department (academic Departmental Head, Heads of, or Directors of Support Service Departments) or a member of the University Executive Board after consultation with a HR Partner.

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  • Last reviewed: 2 May 2011