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A management statement of case should be prepared, summarising the full details of the employee’s progress through the informal and formal Capability process.  This should include:-

  • Background of employment history
  • Initial discussions and concerns
  • Details of the informal process, including support, training, guidance offered and the Supported Improvement Plan agreed.
  • Details of the Stage 1 process, including support, training, guidance offered and the Supported Improvement Plan agreed.
  • Details of the Stage 2 process, including support, training, guidance offered and the Supported Improvement Plan agreed.
  • Any alternative considerations including redeployment to a lower graded post.

Occupational Health

At any point during the process where an employee discloses a health issue that may impact on their performance, the employee must be referred to the Occupational Health Department. Managers are advised to suspend the process whilst waiting for a response from Occupational Health, which should assist in determining the most appropriate way to move forward.

It would also be normal practice for any employee commencing long term sickness during the capability process to be referred to Occupational Health.  The Capability Process is likely to be adjourned during the absence and recommence when the employee resumes to their normal contractual hours.


The Capability Process should be a supportive two way process, aimed at supporting the employee to develop and improve to attain the required standards of performance.

However, if the employee is repeatedly unable or unwilling to attend meetings  then due consideration of all of the facts in relation to this matter should be considered.  These should include:-

-       Normal processes for failing to attend meetings.

-       The seriousness of the issue being considered.

-       The employee’s general work record, work experience, position and length of service.

-       Medical opinion on whether the employee is fit to attend.

On the basis of these considerations, it should be determined whether it is reasonable to proceed in the employee’s absence based on the information available.

Continued failure by the employee to accept the issues raised and to fully engage in the Capability process may also result in the matter being considered as a Conduct issue and progressed through the Disciplinary Policy and Procedure.


It can be beneficial to nominate a mentor to assist and support the employee throughout the Supported Improvement Plan.  It would be expected that the mentor will be a member of staff with significant experience and understanding of the areas of improvement identified in the Supported Improvement Plan.

The mentor should meet with the employee on a regular basis throughout the Supported Improvement Plan, at least on a weekly basis, during the period of supported improvement in order to discuss progress and provide any additional support.

These meetings should be open and honest discussions reviewing the employee’s progress and should be clearly documented in the log within the Supported Improvement Plan, including details of the employee’s progress, areas which continue to require improvement and any additional support or assistance offered.

These logs should be signed by both the mentor and the employee after each meeting.


It is imperative that all discussions in relation to performance issues are clearly documented, including initial discussions during the process of Supported Improvement, highlighting the areas of improvement and the support and assistance offered.

Clear and concise documentation is also an integral part of the informal and formal process and use of the standard documentation within this guidance should assist in ensuring that appropriate documentation is utilised.


Last Updated: 26 May 2016