Capability Procedure

1. Introduction

1.1 The purpose of this procedure, which complements the Sickness Absence Policy and Procedure, is to ensure that where lack of capability is a consequence of:

i. frequent short-term absence;

ii. long-term absence;

iii. the development of a condition which affects performance in a particular post but which does not necessarily affect attendance at work; or

iv. alcohol, drug and substance misuse

Appropriate steps are taken to enable the member of staff, wherever possible, to improve his/her level of attendance and/or performance to the standard required to carry out in a satisfactory manner the duties and responsibilities of the post to which he/she was appointed. Recognising that it will not always be possible to achieve this, the procedure will provide a fair means of resolving these issues and the guidance in the Codes of Practice issued by ACAS will be followed.

1.2 It is the Head of Department's responsibility to create a working environment conducive to attendance within his/her team by effective management and by reviewing issues such as job design, workload, levels of staff motivation, work relationships, communication, the effective management of change, and physical/ergonomic requirements. Heads of Departments should be aware that impaired performance through sickness or alcohol, drugs or substance misuse may create additional health and safety risks both to the individual and to others, and should take account of this when considering the duties that the individual is assigned to carry out.

2. General provisions

2.1 Where a member of staff's attendance record is unsatisfactory during his/her probationary period, the provisions of the Probationary Procedure will apply.

2.2 The following sections lay down systematic guidelines. It is important to note, however, that prior to implementing any part of the formal procedure, full account will be taken of the circumstances of the individual and the department.

2.3 Where reference is made to Head of Department this should be deemed to include "or nominated representative".

2.4 Prior to all formal stages of the procedure the appropriate Human Resource Manager must be consulted.

2.5 The member of staff will be given reasonable notice of the date for the investigatory interview to enable him/her to prepare.

2.6 At all stages of this procedure, the member of staff has the right to be accompanied/represented by an officer of a trade union or by a fellow worker of the University. The representative will be allowed to put the member of staff's case across, sum up that case, and respond on the member of staff's behalf to any view expressed at the meeting. The representative will be permitted to confer with the member of staff during the meeting, and the management side may permit the representative to respond to any questions on the member of staff's behalf in agreed circumstances.

2.7 At all levels of the process, the member of staff will be given the opportunity to state his/her case.

2.8 If at any stage of the formal procedure, in the Head of Department's opinion the member of staff's capability improves to the extent that his/her ability to carry out the work which he/she is employed to undertake is no longer in question, he/she will be advised accordingly and the procedure will be terminated.

2.9 A formal warning will not be issued to an officially recognised trade union representative until the circumstances of the case have been discussed with a full-time official. The Branch Chair/Secretary should also be notified.

2.10 Any member of staff who has been issued with a formal warning in relation to capability or who has been dismissed on the grounds of capability will be notified of the right of appeal (Appeals Process - see Appendix). He/she will also be informed that an appeal may result in the original outcome being confirmed, reduced or revoked.

2.11 Time Limits: A note of any oral warning or a copy of any written warning will be retained on the member of staff's file held by Human Resources Department for all time. However, provided the member of staff has received no other warning during that period:

an oral warning will normally lapse 6 months after issue
a written warning will normally lapse 9 months after issue
a final written warning will normally lapse 12 months after issue

3. Frequent short-term absence

Informal investigatory interview

3.1 In circumstances where a member of staff's attendance record is unsatisfactory as a consequent of frequent short-term absence, the Head of Department, having gathered all the relevant information, will arrange to have an informal investigatory interview with the member of staff concerned and will draw the attendance record to his/her attention, offering him/her the opportunity to state his/her views.

3.2 Where appropriate, medical advice may be sought from Occupational Health, who may wish to obtain medical information from the member of staff's GP/Consultant in accordance with the statutory obligations, ie. Access to Medical Records Act 1988. Under the member of staff has the right to withhold his/her consent to a confidential report being provided. However, should consent be withheld, decisions may be taken related to the member of staff's sickness absence based on information which may not be current in relation to his/her state of health.

3.3 Where appropriate, and depending on the circumstances, consideration may be given and assistance offered involving a change on a temporary or permanent basis to working hours, duties or post.

3.4 A view will then be taken on how to apply the Capability Procedure in the particular circumstances. This may include, where appropriate, the member of staff receiving a recorded oral warning advising that the level of absence is putting his/her employment at risk. The member of staff will be informed in writing of the required improvement in attendance, the period over which the improvement is expected to take place and the likely consequences of a failure to achieve the required level of improvement. Attendance will be monitored, during which support and encouragement will be provided by the University to enable the member of staff to improve without the need for further management action. A review will be conducted at the end of the assessment period.

4. First formal interview

4.1 If the attendance record has not improved by the end of the assessment period the member of staff will be invited to a first formal interview with his/her Head of Department. Details of the lack of improvement in the member of staff's attendance, together with any other relevant information will be discussed and the member of staff invited to give his/her views.

4.2 Medical advice may be sought in accordance with the Sickness Absence Policy.

4.3 A view will then be taken on how to apply the Capability Procedure in the particular circumstances. This may include, where appropriate, the member of staff receiving a written warning advising that his/her level of absence continues to put his/her employment at risk. The member of staff will be informed in writing of the improvement in attendance required, the period over which the improvement is expected to take place and the likely consequences of a failure to achieve the required level of improvement. Attendance will be monitored, during which support and encouragement will be provided by the University to enable the individual to improve without the need for further management action. A further review will be conducted at the end of the assessment period.

5. Second formal interview

5.1 Insufficient improvement in the attendance record at the end of the assessment period will result in the member of staff being invited to a second formal interview with his/her Head of Department. Details of the lack of improvement in the member of staff's attendance, together with any other relevant information will be discussed and the member of staff invited to give his/her views.

5.2 Medical advice may be sought in accordance with the Sickness Absence Policy.

5.3 A view will then be taken on how to apply the Capability Procedure in the particular circumstances. This may include, where appropriate, the member of staff receiving a final written warning advising that his/her level of absence continues to put his/her employment at risk. The member of staff will be informed in writing of the improvement in attendance required, the period over which the improvement is expected to take place and the likely consequences of a failure to achieve the required level of improvement. Attendance will be monitored, during which support and encouragement will be provided by the University to enable the individual to improve without the need for further management action. A further review will be conducted at the end of the assessment period.

6. Third formal interview

6.1 Insufficient improvement in the attendance at the end of the assessment period will result in the member of staff being invited to a third formal interview with the Head of Department. The member of staff will be given written notification of the interview which will set out in detail the circumstances giving rise to the meeting. The Human Resource Manager will be present to ensure fairness and consistency and advise accordingly. The Head of Department will provide details of the lack of the required improvement in the member of staff's attendance, together with any other relevant information.

6.2 The facts of the situation will be discussed with the member of staff concerned. The member of staff will be invited to present his/her views or an explanation. Medical advice may be sought in accordance with the Sickness Absence Policy.

6.3 The Head of Department, in consultation with the Human Resources Manager, and having taken into consideration the facts surrounding the situation, may then decide to terminate (with appropriate notice) the member of staff's employment on the grounds of capability. The member of staff will be notified of the decision in writing.

7. Prolonged, long term ill-health

7.1 In cases of prolonged, long term ill-health, the Head of Department will maintain contact with the member of staff concerned at regular intervals. Where appropriate, his/her Head of Department may request a meeting with the member of staff, when the absence extends beyond twenty working days. This may, by mutual agreement, be at the normal place of work or at another agreed location. The purpose of the meeting will be to offer support, ascertain progress, and to assess the member of staff's expectations relative to his/her ability to return to work. If appropriate, further meetings may be arranged at regular intervals.

7.2 At any stage the University may seek a medical report from an Occupational Health Service practitioner which will require the member of staff to attend the University Health Service for a medical review.

7.3 Where there is unlikely to be a return to work within a reasonable period, on or before the exhaustion of University sick pay entitlement, the advice of the Occupational Health Service practitioner may be sought, and a medical report may be requested from the member of staff's GP/Consultant in accordance with statutory obligations. The Occupational Health report will be considered by the Head of Department, in conjunction with all other known facts, including the anticipated recovery period and the business needs of the University.

7.4 Where the medical report intimates that the member of staff should be enabled to return to work, the Occupational Health Service practitioner, in conjunction with the Head of Department, may recommend, where appropriate, a temporary adjustment, eg. to duties and responsibilities, working hours, location, or physical/ergonomic aspects of the workstation as this may facilitate an earlier return to work.

7.5 Where the member of staff is deemed unfit to return to his/her post, the Head of Department, in consultation with the appropriate Human Resources Manager and the member of staff concerned, will consider, where appropriate and if possible, a permanent change to working hours, duties and responsibilities or redeployment to a different post. Alternatively, where appropriate, the member of staff may apply for early retirement on the grounds of ill-health in accordance with the regulations of the appropriate Superannuation Scheme.

7.6 In the event that there is not a satisfactory resolution, the Head of Department, in consultation with the appropriate Human Resources Manager, having taken into consideration the relevant facts, including medical reports where available, will advise the member of staff that there appear to be grounds to justify the termination of his/her employment on the grounds of capability. The Head of Department may request a meeting with the member of staff and the appropriate Human Resources Manager. This meeting may, by mutual agreement, be at the normal place of work or at another agreed location. The member of staff will be invited to respond and raise any factors which he/she wishes to have considered. If a meeting is not appropriate due to the health of the member of staff this consultation may take place by telephone or by written correspondence.

7.7 The Head of Department, having taken into consideration any factors raised by the member of staff may, if appropriate, and in consultation with the Human Resources Manager, make a decision to terminate the member of staff's employment. The member of staff will be notified of the decision in writing.

8. Development of a condition which affects performance in a particular post but which does not, necessarily, affect attendance at work

8.1 It is the policy of the University to ensure that discrimination does not occur on the grounds of disability, in circumstances where a member of staff develops a condition which affects performance in a particular post but which does not, necessarily, affect attendance at work (refer to Disability Policy and Procedures).

8.2 Following discussions between the Head of Department and the member of staff, a review period will be agreed, which will not normally exceed three months. During this time both parties can explore possible options available to raise the standard of performance to an acceptable level.

8.3 Should no improvement have occurred at the end of the review period, medical advice from an Occupational Health Service practitioner will be sought in accordance with the Sickness Absence Policy. The resulting report will be considered in conjunction with all other known facts, including the anticipated rate of recovery and the business needs of the University. Where appropriate, the member of staff may apply for early retirement on the grounds of ill-health in accordance with the regulations of the appropriate Superannuation Scheme.

8.4 In the event that there is not a satisfactory resolution, the Head of Department, in consultation with the appropriate Human Resources Manager, having considered the possibility of reasonable adjustments including change to working hours, duties and responsibilities, or redeployment, and having considered medical reports, will advise the member of staff that there would be appear to be grounds to justify the termination of his/her employment on the grounds of capability. The Head of Department may request a meeting with the member of staff and the appropriate Human Resources Manager. The member of staff will be invited to respond and raise any factors which he/she wishes to have considered at this meeting.

8.5 The Head of Department, having taken into consideration the factors raised by the member of staff may, if appropriate, and in consultation with the Human Resources Manager, make the decision to terminate the member of staff's employment. The member of staff will be notified of the decision in writing.

9. Alcohol, drugs and substance misuse

The Alcohol, Drugs and Substance Misuse Policy is currently under review - discussions to take place with campus trade unions with a view to incorporating into the Capability Procedure relevant aspects of the reviewed Alcohol, Drugs and Substance Misuse Policy.

10. Monitor and review

It is the intention that this procedure be reviewed after one year, and thereafter periodically, in the light of any developments in employment legislation or good employment practice and, if necessary, revised to ensure continuing relevance and effectiveness.

Human Resources Department
January 2005

11. Appendix - Appeals process

1. Any member of staff who has been issued with a formal warning in relation to capability or who has been dismissed on the grounds of capability will be notified of the right to appeal. He/she will also be informed that an appeal may result in the original outcome being confirmed, reduced or revoked.

2. A member of staff wishing to appeal against a formal warning or termination on the grounds of capability should submit notice of appeal to the Director of Human Resources in writing within ten working days of receipt of the written confirmation of a formal warning or dismissal, stating the grounds of appeal.

3. The appellant will be notified within ten working days of receipt of the notice of appeal, or as soon as reasonably practicable, of the time, date and place of the appeal hearing. He/she will be advised that he/she may be accompanied by his/her Trade Union representative or fellow worker.

4. In some cases of termination on the grounds of capability the appeal may be heard while the member of staff concerned is working during his/her normal period of notice.

5. The formal warning or termination on the grounds of capability imposed as a result of the original hearing will remain in force unless and until it is modified as a result of the appeal.

6. The appeal will be heard by a senior member of staff who has not previously been involved in the case. In the case of an appeal by an Academic/Academic Related member of staff, the appeal will be heard in accordance with the Appeal Process contained in the Model Statutes (under review).

7. Where an appeal against a formal warning is upheld, reference to that warning shall be expunged from the member of staff's record and the member of staff so notified.

8. The result of the appeal and the reasons for the decision will normally be notified to the appellant orally within two working days and in writing within five working days of the hearing. A copy will be sent to the representative attending.

UNIVERSITY of GLASGOW