Policy Scope:

This policy affects all members of police staff, other than temporary agency workers, staff in their probationary period or staff subject to disciplinary proceedings. 

Agency Staff

Issues relating to agency workers should be dealt with through the agency to which they are affiliated.

Probationary Period

This procedure will not be implemented against employees, during the probationary period.  If performance is significantly below standard during probation and corrective measures have failed, dismissal during or at the end of the probationary period can take place without recourse to the formalities of this procedure.  For further details please refer to policy Managing the Induction and Probationary Period - Police Staff  D51453.

Relation with Disciplinary Action

The capability policy will not apply where failure to perform to a satisfactory standard is due to wilful misconduct.  If at any point during the capability proceedings it becomes apparent that the unsatisfactory performance is due to misconduct rather than capability, then the issue will be dealt with under the disciplinary procedure. Please refer to Police Staff Disciplinary Instructions D51333.

Staff with Disabilities

The organisation has a duty to make reasonable adjustments to working arrangements to facilitate the continued employment of staff who are recognised as having a disability under the Disability Discrimination Act.  However, where all reasonable adjustments have been made and the employee's performance continues to fall below the standards required by the organisation, then the capability procedure may be implemented. In such cases, it is essential that line managers liaise with the local HR Manager to ensure that all appropriate action has been taken.

Policy Aims and Objectives:

South Yorkshire Police needs to utilise its employees’ skills in appropriate roles, and managers will ensure that all employees receive adequate training and support to that end. Most aspects of poor performance can be addressed and corrected through the PDJ system and action planning to bring performance to a satisfactory level. However, where managers identify continuing concerns about an employee’s under-performance which have not been remedied following such action, this policy should be implemented.

Associated Procedural Instructions:

This policy is supported by the following procedural instructions:

1. Managing Performance

All individuals employed by South Yorkshire Police are required to perform their duties effectively and to the required standard.  Any performance issues must be dealt with promptly and consistently through the provision of adequate training and support.

2. Line Manager's Responsibility

Line managers will ensure that all employees are fully trained to carry out their duties and that they receive adequate supervision and support. The performance of employees should be monitored through the PDJ/PDR process, and the line manager should address any issues or problems identified at an early stage.

It is important that managers are able to evidence in writing, by PDJ entries, file notes, welfare reports, etc, all actions taken in trying to address issues of incapability, both prior to implementing the capability procedure, and throughout the stages of the procedure. Line managers should seek the advice of the local Human Resources Manager before implementing the capability policy to ensure that steps taken prior to implementing the policy are adequate, and to ensure consistency of standards.

3. Employee’s Responsibility

In addition to the usual standard terms and conditions of employment, and the implied issue of trust and confidence, employees are expected to perform their duties and responsibilities in an efficient and timely manner, and contribute to meeting the local and organisational targets and objectives. Employees are encouraged to raise any work-related problems or difficulties with their line manager so that efforts can be made to resolve them.

4. Human Resources Manager’s Responsibility

The local Human Resources Manager will offer advice and assistance to managers and employees within their district/department who are dealing with issues of capability either prior to, or within the formal procedure, and attend the second stage meeting to offer advice and assistance. Advice and guidance may be sought from HR Advisory throughout the process.

5. Right to be Accompanied

At all stages in the formal procedure, the employee has the right to be accompanied by either a Trade Union representative, or by a work colleague.

Where the person accompanying the employee is unable to attend on the proposed date, the employee may suggest an alternative time and date so long as it is reasonable and it is not normally more than five working days after the original date.  Requests to delay the process will be considered on their individual merit;  however the process will not be unreasonably delayed to accommodate this.  If an employee does not attend an arranged meeting without justifiable reason, the meeting may proceed in his/her absence.

6. The Procedure

The capability procedure is a formal three-stage process which provides a mechanism through which managers can deal with persistent problems of unsatisfactory performance due to capability which have not been remedied by the provision of all reasonable support and assistance. Stages 1 and 2 will be dealt with locally, whilst stage 3 will be heard by the ACC, Corporate Relations or other member of SCT. The procedure will lead ultimately to dismissal of employees who are unable to improve their performance to a satisfactory level.

In implementing the procedure, if the employee is genuinely unable to attend any meeting, for example due to iollness, another reasonable date must be offered. When illness could become prtracted, a referral to OHU will be considered to determine whether or not the employee is fit to continue with the process.

6.1 Stage 1

A formal meeting will be arranged between the line manager and the employee. Written notice (ADM 54)of no less than three working days and no more than seven working days will be given of the meeting. The notice will include details of the inadequate performance, the nature of the proposed discussion and the right to be accompanied, along with the date, time and venue of the meeting. The employee should also be provided with a copy of this procedure.

The notice will include details of the inadequate performance, the nature of the proposed discussion and the right to be accompanied.  The employee should also be provided with a copy of this procedure and any documentation which will be used at the meeting as evidence.

6.1.1 Stage 1 Meeting Procedure

At the meeting, the line manager will outline in clear and unambiguous terms the nature of the problem and explore why previous action to address the problem has failed. The employee will be given the opportunity to put forward his/her point of view and to raise any issues which may have a bearing on performance.

Where medical problems which have not previously been identified and considered are raised as contributing to underperformance, the line manager must consider whether it is appropriate to adjourn proceedings and refer the matter to the Occupational Health Unit (OHU), through the OHU referral process (ADM39), for advice. Depending on the advice received, the line manager should either reinstate the proceedings, or if considered appropriate, deal with the issue in an alternative way.

Where the line manager is satisfied that the issue is one of capability, he/she will identify to the employee what action is required to improve performance to an acceptable level. A set of professional objectives will be identified (PDR 1e 2006), and a skills development action plan (PDR 1d) will be drawn up in consultation with the employee, to assist and support the employee to acheive the professional objectives.  This will identify:

• the areas for improvement,
• how these areas are to be developed
• the measurement
• the target date for achievement, (normally no more than 12 weeks)
• the monitoring and review arrangements

The line manager should make clear to the employee the consequences of failing to improve performance to the required level within the timescales set. The line manager will provide the employee with written confirmation of the discussions, and details of the right to appeal (ADM 55).  Objectives and action plans will be documented and copies of all documents will be forwarded to the relevant local HR Unit to be scanned and recorded on the employee’s personal file.

6.1.2 Review Period

Progress will be reviewed  by the line manager, at no less than weekly intervals throughout the 12 week improvement period, with modifications to the action plan made where necessary. Feedback will be provided to the employee throughout the process on their performance against the action plan.

In exceptional circumstances (for example, a delay in availability of training) the line manager may agree an extension of the review period, and provide the employee with written confirmation of the terms of the extension.

After the final meeting at the end of the review period, the line manager will meet with the local HR Manager to discuss the employee's progress and agree whether the required standard has been achieved.

6.1.3  Standard Acheived

The employee will be informed in writing (template letter) that he/she has achieved the required standard, and that, provided that the required standards are maintained over the next twelve months, then no further action will be taken.  However, should performance fall below the required standard within that timescale, the next stage of the procedure will be invoked.

6.1.4  Standard not Achieved

Where the HR Manager and line manager agree that there is insufficient improvement during the improvement period, or at the end of any extension granted, the procedure will move to Stage 2.  In exeptional circumstances, and only following consultation with the Human Resources Manager, it may be apprpriate for the process to move straight to Stage 3.

6.2 Stage 2

A formal meeting between the line manager and the employee will be arranged.  Written notice of no less than five days and no more than nine days will be given of a stage 2 capability meeting (ADM 54).  The local HR Manager will attend to advise the line manager.

6.2.1  Stage 2 Meeting Procedure 

The line manager will inform the employee of the continuing deficiencies in performance and give the employee the opportunity to comment or raise any issues he/she considers are affecting his/her ability to improve performance. The employee must be advised that he/she will be given a final chance to improve performance to a satisfactory level, and of the consequences of failing to do so. A maximum of eight weeks will be given for this process. The line manager will provide the employee with written confirmation of the discussions (ADM 55), Objectives and action plans will be documented and copies of all documents will be forwarded to the relevant local HR Unit to be scanned and recorded on the employee’s personal file.

6.2.2  Review Period

Progress will be reviewed by the line manager, at no less than weekly intervals, throughout the 8-week improvement period, with modifications to the action plan made where necessary. Feedback will be provided to the employee throughout the process.

In exceptional circumstances (such as delay in availability of training for example) the line manager may consider an extension of the improvement programme initiated in Stage 2 and provide the employee with written confirmation of the terms of the extension.

After the final meeting at the end of the review period, the line manager will meet with the local HR Manager to discuss the employee's progress and agree whether the required standard has been achieved.  

6.2.3 Standard Acheived

If performance has improved to an acceptable standard, then the employee will be informed in writing (template letter to follow) that no further action will be taken provided that the satisfactory level of performance is maintained during the following 12 months. Should the level of performance fall below acceptable standards during that period, the final stage of the procedure will be invoked.

6.2.4  Standard not Achieved

Where there is insufficient improvement during the improvement programme or the end of any extension granted, the local HR Manager will refer the case to HR Advisory to consider whether to move to Stage 3 or if it is appropriate to consider alternative employment. 

6.2.5    Alternative Employment

Staff who are subject to the capability procedure will not be eligible for redeployment.  However, where a member of staff is failing to perform following a change in role, whether at the same or a higher pay band, and has evidence of previous good performance in another role, then prior to a stage 3 hearing HR Advisory will explore alternative employment. It is possible that this may be at a lower grade and will be without protection of pay and allowances, and disturbance allowance will not be paid where any offered post is at another location.   Only one post which meets the identified skills of the employee will be offered (providing a suitable post is available), and should there be no suitable post available, then a stage 3 hearing will be held.

6.3 Stage 3

The employee will be required to attend a hearing with a member of the Senior Command Team to whom the Chief Constable has delegated the function. A representative of Corporate HR will attend to advise the officer hearing the case. The employee will be given 14 days' written notice of the hearing.  The notice will include details of the reasons for the hearing along with any evidence to be submitted.  It will also advise the employee of the potential sanctions, including dismissal.  The employee is required to disclose any documentation which is to be presented at the hearing, including an outline of their response to the allegations, to the officer advising no later than 7 days before the date of the hearing.  The employee must also provide details of witnesses (if any) that they wish to call.  The employee will be strongly advised to take advantage of the right to be accompanied by a trade union representative or a work colleague.

6.3.1 Stage 3 Hearing Procedure

At the hearing the line manager will outline the capability issue, the evidence upon which this is based and the actions taken to date to remedy the situation. The employee will be given an opportunity to respond and to offer any evidence in support of his/her position. Witnesses may be called by either side where they have a relevant contribution to make to the consideration of the case. Both parties and the officer hearing the case may ask questions of the witness who will then withdraw.

When the evidence of both parties has been heard, the hearing will adjourn for the officer hearing the case to consider the evidence presented and reach a decision. He/she may decide that the incapability issue has not been established; that the capability issue has been established but recommend further actions for improvement; or that capability issue has been established and that the employee should be dismissed.

The officer hearing the case will notify the employee and his/her representative of the outcome of the hearing personally. The decision will then be confirmed in writing at the earliest possible opportunity by the officer advising. The letter will also provide details of the right of appeal against the decision and will be either delivered by hand or sent to the employee’s home address by first class post.

Dismissal for reasons of capability will be with notice or paid in lieu of notice as determined by the Head of HR Advisory.

7. Right of Appeal

The employee has the right of appeal at each stage of the process. At Stages 1 and 2, the employee should inform the local Human Resources Manager in writing within 14 days of being notified of the outcome of the meeting that he/she wishes to appeal. It is important that the employee identifies the grounds on which the appeal is based.  The employee must identify why he/she considers the original decision to be wrong, or if appropriate, provide evidence of which the line manager was not aware when making the decision.  Action plans will not be delayed awaiting the outcome of the appeal.

Stage 1 and 2 appeals should be heard by the next appropriate management level above that of the line manager carrying out the capability procedure (ADM56).  The outcome of the appeal should be confirmed in writing to the employee (ADM57).

At Stage 3, the employee has the right of appeal against dismissal to the Appeals Panel of the Police Authority. The appeal must be notified in writing to the Clerk and Treasurer of the Police Authority within 14 days of the date of the termination letter.

8. Records

Where action is taken against an employee under the capability procedures, records of the proceedings will remain live on the individual’s personal file for a period of 12 months. Further instances of unsatisfactory performance within 12 months of the employee being notified that they have achieved a satisfactory level of performance will result in further action being taken at the next stage within the procedure. After 12 months has elapsed, previous proceedings will be disregarded for capability purposes.

9. Disciplinary Procedures

Where at any point in the proceedings it becomes apparent that the unsatisfactory performance is due to misconduct rather than incapability, then the issue will be dealt with under the disciplinary procedure.

10. Monitoring

Human Resources Managers will notify HR Advisory of all instances where the formal capability procedure is implemented, and the stage at which the performance issues are resolved.

11.  Sickness

The capability procedure will not necessarily be delayed/suspended for reasons of sickness absence.

However, where an individual is absent from work for reasons of protracted sickness, during any review period/s under the capability procedure, consideration may be given by the Head of HR Advisory to extending any such review period/s in order that improvement plans can be addressed.

The circumstance/reason for individuals' protracted sickness absence will be assessed before considering an extension to any review period.  

Protracted sickness absence will be referred to the Force Medical Advisor.  For further details on attendance management please refer to policy D50141.