Capability Policy & Procedure - June 2026

In this section

1. Introduction
2. Scope
3. General Principles
4. Roles and Responsibilities
5. Procedure
6. Actions and Support
7. Failure to attend a meeting
8. Grievances raised during a capability case
9. Trade Union Officials

4. Roles and Responsibilities

Every manager has a responsibility to ensure that their employees are supported, encouraged, properly supervised and trained to do their job. Open communication channels and regular and effective performance appraisal is key to effective staff management and ensures employees and managers have opportunities to raise concerns and/or problems at an early stage. This policy and procedure aims to provide a framework for dealing with cases where performance does not improve or is serious enough to be dealt with formally.

4.1 Human Resources (HR)

To ensure consistency, the HR Team will provide advice at every stage of the procedure and will monitor and report on the application of the Policy. The HR Team will also be responsible for ensuring that written records are retained on personal files for the appropriate period and following the principles of the Data Protection legislation.

4.2 Line Managers

Responsibility for the effective performance of those they supervise. Under this policy and procedure, line managers are responsible for:

setting up informal and formal performance monitoring meetings, and for advising employees of their rights under the Capability Policy.
keeping detailed performance records and making these available to employees at any meetings convened.
meeting and discussing performance issues with employees and agreeing possible solutions.
writing to the employee to confirm the outcome and agreed actions arising from any performance/improvement meeting.
monitoring performance and setting realistic target dates.

4.3 Heads of Service

Responsibility for ensuring the consistent application of this policy/procedure and for hearing appeals at stage 1 and 2.

4.4 Directors

Responsibility for ensuring that managers are appropriately trained to deal with performance issues and for managing and/or overseeing stage 3 of the procedure.

BEFORE EMBARKING ON THIS PROCEDURE, YOU SHOULD BE SATISFIED THAT YOUR EMPLOYEE HAS:

Completed their probationary period.
Received an appropriate induction to their job (whether they are new to the Authority or new to the job).
Up to date qualifications and skills to do the job or has received appropriate training to keep him/her up to date.
The appropriate level of resources (e.g., IT equipment) to enable them to do the job.
Had regular appraisals and that any agreed support has been put in place.