Capability Procedure Flowchart

Informal
Procedure
Manager invites employee to
an informal meeting to
jointly find a solution to the
Manager to take notes of performance issue.
meeting discussion to include:
• Key issue(s) of concern;
• Any comments received
from other managers
regarding work
Informal meeting takes
performed;
place to discuss the issue of
• Seeks employee input
concern and agree a way
and mitigation;
forward
• Confirms and clarifies
the expectations of the
role and the standards
required,
• Identifies support and
training required to
meet said standards; Manager invites employee
• Agree action plan and to an informal review
SMART performance meeting to assess
targets; performance against the
• Agree review date (4-6 agreed action plan.
weeks)

If the agreed action If the action plan has Where the employee
plan has been been met in part and an fails to meet the action
achieved to a extension is agreed, this plan, and the
satisfactory standard, will be documented and explanation for this is
no further action will a further informal not reasonable and/or
be required. Nothing review will be arranged. acceptable, then the
will be placed on the employee will be
employee file. advised that the formal
procedure will be
invoked.

Refer to Stage 1 of
the Formal Procedure

1
 Capability Procedure Flowchart

Stage 1 – Formal Procedure

Manager will ensure the employee is: Manager invites employee to
• Given a minimum of 5 days notice; a formal meeting to jointly
• Informed of their right to be find a solution to the
accompanied by a work colleague or TU performance issue.
rep.
• Advised of the range of outcomes open
to the manager.

HR to take notes of meeting discussion to 1st formal meeting

include: Meeting takes place with
• Key issue(s) of concern regarding manager and employee to
employees performance which has discuss the issue of concern
still not met the required standard; and agree a way forward.
• Seeks employee input and mitigation; HR will be in attendance
• Reviews potential solutions;
• Where a finding is made that the
employee is not performing at the
required standard, a formal warning
will be issued and placed on file;
Employee advised by letter
• Agree a formal action plan with
of warning (if issued) and
SMART objectives
provided with copy of
• Agree review date (4-6 weeks) and
formal action plan and
interim weekly reviews;
review periods. Employee
informed of right to appeal.

Manager invites employee

to a formal review meeting
to review performance
against the agreed action
plan.

If the action plan has

If the agreed action been met in part and an Where the employee
plan has been extension is agreed, this fails to meet the action
achieved to a will be documented and plan, and the
satisfactory standard, a further formal review explanation for this is
no further action will will be arranged. not reasonable and/or
be required unless acceptable, then the
future performance employee will be
issues arise during the advised that a second
warning period formal meeting will be
Letter sent to employee
arranged.
to confirm revised
action plan, targets for
improvement and
timescales for
achievement.

2
 Capability Procedure Flowchart

Stage 2 - 2nd Formal Meeting

Manager will ensure the employee is:
• Given a minimum of 5 days notice;
• Informed of their right to be Manager invites employee to
accompanied by a work colleague or a 2nd formal meeting to
TU rep. discuss the issues of concern
• Advised of the range of outcomes
open to the manager.

2nd formal meeting

HR to take notes of meeting discussion
Meeting takes place with
to include:
manager and employee to
• Key issue(s) of concern regarding
discuss the issue of concern
employees performance which
and agree a way forward.
has still not met the required
HR will be in attendance
standard;
• Seeks employee input and
mitigation;
• Reviews potential solutions;
• Where a finding is made that the
Employee advised by letter
employee is not performing at the
of the final written warning
required standard, a final written
(if issued) and provided
warning will be issued and placed
with copy of 2nd
on file;
improvement plan and
• Agree a 2nd improvement plan
review periods, and advised
with SMART objectives
of right to appeal.
• Agree review date (4-6 weeks)
and interim weekly reviews;

Manager invites employee

to a formal review meeting
to review performance
against the 2nd
improvement plan.

If the agreed Where the employee

improvement plan has fails to meet the action
been achieved to a plan, and the
satisfactory standard, If the action plan has explanation for this is
no further action will been met in part and an not reasonable and/or
be required unless extension is agreed, this acceptable, then the
future performance will be documented and employee will be
issues arise during the a further formal review advised that a final
final warning period. will be arranged. formal meeting will be
arranged.

3
 Capability Procedure Flowchart

Stage 3 – 3rd Formal Meeting

Manager will ensure the employee is: Manager invites employee to

• Given a minimum of 5 days notice; a 3rd/Final formal
• Informed of their right to be meeting to discuss the
accompanied by a work colleague or issues of concern
TU rep.
• Advised of the range of outcomes
open to the manager.

HR to take notes of meeting discussion 3rd / Final formal

to include: meeting
• Key issue(s) of concern regarding Meeting takes place with
employees performance which manager and employee to
has still not met the required discuss the performance
standard; against the improvement
• Seeks employee input and plan and objectives which
mitigation; remain below expectations
• Reviews potential solutions
alternative to dismissal, these
may include:
 Revising current job
description and grade;
 Suitable alternative
employment; Employee advised in writing
 Redeployment to another of outcome and next steps.
vacant post which may be Where offered alternative
on a lower grade; employment the employee
 Referring the employee has 10 working days to
for suspension; consider the offer and
 Arranging a disciplinary & respond in writing with a
decision.
dismissals Hearing if there
is no alternative.

Where a Disciplinary &

Dismissals Procedure Hearing
is convened, all formal
paperwork will be shared with
the Hearing officer. At the
review a decision will be
taken as to whether dismissal
is an appropriate sanction.
Details of the right to appeal for staff in
grades 6 and above may be found at:
http://www.aber.ac.uk/en/governance/char
ter-statutes/

Details of the right to appeal for staff in

grades 1-5 may be found at:
http://www.aber.ac.uk/en/hr/pandp/discipli
nary/appeals/