CONTENTS

All letters contained in this pack are broadly applicable and should be amended according to the particular circumstances

Template capability letters

  • Formal Capability Meeting
  • Outcome of Formal Capability Meeting
  • Notification of the Capability Hearing
  • Capability Hearing Decision – Extension
  • Capability Hearing Decision - Dismissal with Notice

Briefs & Logs

  • Performance improvement plan
  • Review record

Hearing Procedures

  • Procedures to follow at capability hearing
  • Capability hearing decision record

Formal Capability Meeting

PRIVATE & CONFIDENTIAL

<Addressee>

<Address>

<Date>

Dear <Addressee>

Formal Capability Meeting

Following a period of monitoring through the informal capability procedure over the last <number> months/weeks your performance remains unsatisfactory, I now write to invite you to a Formal Capability Meeting to discuss my continuing concerns. The areas of concern are as follows:

Concerns:

<Insert concerns>

I have enclosed a copy of your performance improvement plan we agreed at your performance management review/the first informal meeting and the notes of subsequent review meetings.

This meeting will take place on <date/time/venue>.

Your trade union representative or work colleague may accompany you at the meeting. Should you wish to arrange to be accompanied you should do so without delay and should contact me directly should any difficulties arise in making arrangements.

If you wish to provide any additional documentation please do so no later than three days before the meeting.

The above is in accordance with the County Council’s Capability Procedure, a copy of which was provided to you at an earlier meeting.

The outcome of the meeting may be further period of monitoring under the formal stage of the Capability Procedure.

Yours sincerely,

<Name>

Outcome of Formal Capability Meeting

PRIVATE & CONFIDENTIAL

<Addressee>

<Address>

<Date>

Dear <Addressee>

FORMAL CAPABILITY PROCEDURE

Following previous discussions with you that your level of performance was unsatisfactory, I met with you on <date of formal capability meeting>. At this meeting I forewarned you that your level of performance is not acceptable and that failure to improve could lead to dismissal.

At the meeting, the attached performance improvement plan was agreed.

During this review period, I will meet with you in order to assess your progress. The first review meeting will take place <time/date/venue>.

Should there not be a satisfactory improvement following the review period, you may be required to attend a Capability Hearing at which your dismissal may be considered.

The above is in accordance with the County Council’s Capability Procedure, a copy of which was provided to you at an earlier meeting.

Yours sincerely,

<Name>

Notification of the Capability Hearing

PRIVATE & CONFIDENTIAL

<Addressee>

<Address>

<Date>

Dear <Addressee>

Notification of the Intention to Hold a Capability Hearing

I write further to the Formal Capability Meeting and subsequent review meetings in order to formally advise you that you are required to attend a disciplinary hearing as detailed below:

Date:

Time:

Venue:

These arrangements have been made in consultation with [you/your representative] and I would remind you that the hearing may proceed in your absence should you or your representative fail to attend without advance notification to me and without good reason.

The hearing will be conducted by a Panel consisting of <name and title> Panel Chairman <name and title> Independent Manager and <name> HR Adviser.

______(manager) will present the details of your capability review to date.

The specific concerns that will be considered at the hearing are:

Concerns:

<Insert concerns>

At the hearing consideration will be given to the steps taken to improve your performance and outcomes following the review periods. You will be entitled to make a statement at the hearing either in writing or orally and you may call witnesses and use documents relevant to your case.

The Capability Hearing may result in one of the following outcomes:

  1. No further action
  2. Extension of previous review period
  3. Dismissal with contractual notice

Should a penalty by imposed then you will have the right of appeal against the decision.

The above is in accordance with the County Council’s Capability Procedure, a copy of which was provided to you at an earlier meeting.

Please acknowledge receipt of this letter by signing the attached copy and returning it to me in the pre-paid envelope provided by return of post.

<Insert/Delete> I have enclosed documents which will be presented at the hearing

OR

The documentation which will be used at the hearing will be forwarded to you in due course.

Yours sincerely

<Name>

HR Adviser

Encl.

Cc: <Representative/ Union>

I acknowledge receipt of this letter inviting me to a capability hearing at <Venue> on <Day> <Date> <Time> and confirm I will be attending.

SIGNED……………………………………………DATE…………………………..

NAME (Print)………………………………………

I will be forwarding my documentation for presentation at the hearing by no later than <insert date documents required>

Delete as appropriate: I do not intend to call witnesses

I intend to call the following witnesses

Name------Title------

Name------Title------

Adjournment of the Capability Hearing

PRIVATE & CONFIDENTIAL

<Addressee>

<Address>

<Date>

Dear <Addressee>

Notification of the Intention to Hold a Capability Hearing following adjournment

I write further to my letter dated <date of notification of hearing letter> which advised that you were required to attend a capability hearing to be held on <Date, Time at Venue>. These arrangements were made in consultation with [you/your representative] and you were informed that the hearing would proceed in your absence should you or your representative fail to attend without advance notification to me and without good reason.

I received notification on <date> that <name of person unable to attend> were unable to attend because <reason>. This was accepted and the hearing was adjourned on this occasion.

Further arrangements have now been made for the hearing to be held as detailed below:

Date:

Time:

Venue:

I therefore write to confirm these arrangements and to inform you that the hearing will proceed on this occasion in the absence of you or your representative should such circumstances arise. If you cannot attend personally you are invited to put your case either through your representative or if that person is not available, an alternative representative, or submit your case in writing in advance.

The specific concerns that will be considered at the hearing are:

Concerns:

<Insert concerns>

The above is in accordance with the County Council’s Capability Procedure, a copy of which was provided to you in earlier correspondence.

Please acknowledge receipt of this letter by signing the attached copy and returning it to me in the pre-paid envelope provided by return of post. A copy of this letter has been forwarded to your representative [if applicable]

Yours sincerely

<Name>

HR Adviser

Cc: <Representative/ Union>

I acknowledge receipt of this letter inviting me to the reconvened capability hearing at <Venue> on <Day> <Date> <Time> and confirm I will be attending.

SIGNED……………………………………………DATE…………………………..

NAME (Print)………………………………………

I will be forwarding my documentation for presentation at the hearing by no later than <insert date documents required>

Delete as appropriate: I do not intend to call witnesses

I intend to call the following witnesses

Name------Title------

Name------Title------

Capability Hearing Decision

Extension

PRIVATE & CONFIDENTIAL

<Addressee>

<Address>

<Date>

Dear <Addressee>

Capability Warning

I write further to the Capability Hearing held on <date> which considered the following concerns

Concerns:

<Insert concerns>

The Panel took into account all the evidence provided at the hearing and considered any mitigating circumstances before delivering their decision on the sanction awarded.

This letter serves as confirmation of the decision that you were given an extension to the formal review period in accordance with the county councils capability procedure. Your Performance Improvement Plan will now be revised and you will be required to undertake a further period of review.

You have the right to appeal against this decision as detailed in the county council’s appeals procedure. A copy of which is enclosed.

Yours sincerely

<Name>

<Directorate>

Capability Hearing Decision

Dismissal with Notice

PRIVATE & CONFIDENTIAL

<Addressee>

<Address>

<Date>

Dear <Addressee>

Dismissal

I write further to the Capability Hearing held on <date> that considered the following concerns

Concerns:

<Insert concerns>

The Panel took into account all the evidence provided at the hearing and considered any mitigating circumstances before delivering their decision on the sanction awarded.

The decision of the Panel is that you be dismissed on the grounds of your continued unsatisfactory performance.

As this is not a summary dismissal, I am issuing you with <Number of weeks> paid notice from the date of the hearing and therefore your employment with Lincolnshire County Council will be terminated on <date>.

You have the right to appeal against this decision as detailed in the County Council’s appeals procedure. A copy of which is enclosed.

Yours sincerely

<Name>

<Directorate>

PERFORMANCE IMPROVEMENT PLAN

Name ______

Concerns / Targets / Success Criteria / Support required

Date of review meetings 1______2______3______

Signed ______Date ______Date ______

EmployeeManager

STRICTLY CONFIDENTIAL

Capability Review Record

Name of Employee:______

Manager:______

Review Date: ______

Review Date / Targets / Comments

Support given:

Further arrangements for support required:

Date of next meeting:

PROCEDURES TO FOLLOW AT A CAPABILITY HEARING

Chairman arranges for the parties to enter and to take designated seats.

Chairman conducts introductions, explains the protocol for the hearing and responds to any initial procedural questions.

N.B. If the employee is unaccompanied, the Chairman checks that he/she is happy to proceed without representation, and makes a note to that effect.

When directed by the Chairman:

  • management representative presents the management position in relation to the employee's apparent lack of capability, including all relevant performance statistics and the outcome of performance improvement plans to date
  • employee/representative puts questions to the management representative
  • panel members put questions to the management representative if they wish
  • management representative calls in and questions any witnesses whose personal appearance has been requested by management
  • employee/representative questions the management witnesses
  • panel members question the management witnesses if they wish
  • each management witness withdraws after his/her questioning has been completed
  • employee/representative presents the employee's responses to the management position in relation to his/her capability and performance levels
  • management representative puts questions to the employee/representative
  • panel members put questions to the employee/representative if they wish
  • employee/representative calls in and questions any witnesses whose personal appearance has been requested by the employee/representative
  • management representative questions the employee witnesses
  • panel members question the employee witnesses if they wish
  • each employee witness withdraws after his/her questioning has been completed
  • management representative summarises the management position
  • employee/representative summarises the employee's position
  • all parties withdraw

N.B If the panel wishes to put further questions to either party, both parties will be recalled even if the question is to be directed at one party only. At no time should the panel be alone with either the employee/representative, or with the management representative. Chairman makes a written summary of the decision and related action plans.

  • All parties are recalled.
  • Chairman reads out the panel's decision and any related performance improvement plans and/or action plans. This is confirmed in writing to the employee.
  • Chairman brings the hearing to a prompt close, without further discussion or debate.

STRICTLY CONFIDENTIAL

Capability Hearing Decision Record

Name of Employee: ______

Date of Capability Hearing:______

Name of Union Rep:______

Names of Panel Members:______

DECISION OF THE PANEL

The purpose of the hearing was to consider and seek your explanation in respect of the following concern(s)

Having taken into account all of the evidence presented at the hearing, the panels findings in relation to this/these concern(s) are:

The decision of the panel therefore is that:

You have the right to appeal against this decision in accordance with the appeals procedure

Both you and your representative will receive written confirmation of the outcome of this hearing

In order to assist you with significant and sustained improvement in these areas the following action points are to be implemented

Signed:______Chair of Panel

Updated January 2008