LMS Model Capability Procedure 2012

Summary of process and supporting documents

(tobe read in conjunction with fuller guidance contained in the procedure)

Supporting documents
Summary of process / PM 1 (2012) - Model Procedure
Normal performance management (5.1):
  • Positive and proactive feedback on performance - includes informal feedback, one-to-one meetings and performance reviews
  • Where performance does not meet required standard, constructive feedback should include:
  • Confirmation of the required standard
  • The standard the employee is currently performing at
  • An agreement of how the required standard will be achieved
  • How and when performance will be reviewed
  • The consequences if standards are not achieved
  • No right to be accompanied, but may be helpful
/ PM 2 (2012) - Confirmation of advice and support offered under normal performance management
PM 3 (2012) - Example format for record of weekly review meetings
Before action under formal stages of the procedure is considered (5.3):
  • Confirm in writing this will be considered if there is no improvement within the agreed review period and invite to a meeting to discuss the evidence in more detail
  • Collate and summarise evidence - clearly indicating the support and advice offered to date and making a recommendation for one of the following:
  • No further action, or
  • Further support as part of normal performance management, or
  • Formal action – move to Formal Stage 1
/ PM 4 (2012) - Invite to meeting to consider evidence regarding performance
Formal Stage 1 Meeting (constitutes a ‘written warning’) (6.):
  • About supporting the employee to meet the required standard against an agreed Development Plan:
  • Normally at least 5 days’ notice of meeting
  • Invitation in writing, detailing right to representation
  • Confirms Formal Stage 1 constitutes a ‘written warning’
  • Seeks agreement on expected levels of performance, the objectives for the Development Pan, reasons the employee is not meeting expected standards, when review meetings will be held and any reasonable adjustments to be made under the Equality Act 2010
  • Right of appeal, within 14 days of date of letter issuing warning
  • Letter confirming outcome of Formal Stage 1 meeting will include an initiation to a formal review meeting
/ PM 5 (2012) – Outcome of meeting to consider evidence regarding performance
As necessary, includes notification of move to Formal Stage 1 (constituting a ‘written warning’) and invite to meeting to agree Development Plan
PM 6 (2012) - Confirmation of Development Plan and review arrangements
PM 7 (2012) – Example format for Development Plan
Formal Stage 1 Review Meeting (6.3):
  • Review of progress against the Development Plan
  • Right to representation
  • Possible outcomes:
  • The required standard of performance has been met
  • The required standard of performance has not been met or significant progress has not been made towards meeting the standards, in which case the employee will be progressed to Formal Stage 2 of the procedure (constituting a ‘Final Written Warring’)
  • Right of appeal, within 5 working days of letter confirming outcome of meeting
/ PM 8 (2012) - Outcome of Formal Stage 1 Review Meeting
As necessary, includes notification of move to Formal Stage 2 (constituting a ‘final written warning’) and invite to Formal Stage 2 Decision Meeting
Formal Stage 2 – Decision Meeting (Hearing) (7.):
  • Normally at least 5 days’ notice of meeting
  • Invitation in writing, detailing right to representation
  • Meeting follows “Procedure for a hearing”, Schedule 2 within the LMS Model Disciplinary Procedure
  • Possible outcomes:
  • The required standard of performance has been met -> managed under normal performance management
  • The required standard of performance has not been met but it has been determined that the required standard can be met within a short period -> further review period
  • The required standard of performance has not been met -> a decision will be made to dismiss
  • Right of appeal, within 5 working days of letter confirming outcome of meeting
/ PM 9 (2012) - Outcome of Formal Stage 2 Decision Meeting (Hearing)

Footnotes: In the main and for ease of use, the following template letters assume sequential progress through each stage of the capability procedure is required. Where improvements are achieved and this is not necessary, the template letters can be adapted accordingly, with the support of the Schools’ HR Team as necessary. If there is evidence within six months (for a first written warning) or within twelve months (for a final written warning) of the procedure ceasing that the employee has not sustained the level of performance required, the procedure may be resumed at any stage up to and including that stage previously reached. In exceptional circumstances, the school may proceed directly to the consideration of final written warning or dismissal, as appropriate (see 5.3 and 9).

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

To go on school’s headed paper

PM 2 (2012)

Confirmation of advice and support offered under normal performance management

I am writing to confirm our discussions on (date), at which we considered the concerns about your work performance, in your role as (job title), and the advice and support offered to you over (recent weeks/the past months) under the school’s normal performance management procedures.

(As appropriate) As we discussed, although I am pleased that you have made some progress in (detail/some areas/and specific tasks that have been carried out as directed), overall, I feel there has been insufficient progress in the following areas:

(Detail areas of concern, improvements needed/to be sustained. Link to performance development review where appropriate and pupil progress evaluation processes. Use of SMART principles may assist in objective setting; i.e:

  • Specific – they are well defined
  • Measureable – both quantitatively and qualitatively
  • Achievable – they are not set too high to make it possible to achieve them
  • Resourced – the resources necessary are readily available
  • Timed – the timescales set are reasonable

Confirm support available and how performance will be reviewed. Refer to Weekly Review Meeting document PM 3 (2012), as appropriate.)

We will meet on (date) at (time) in (location of meeting) to review overall progress made against the above areas of concern and to consider if any further action is appropriate. I must advise you that if there is no (is appropriate, sustained) improvement, action under the formal stages of the school’s capability procedure will be considered.

Please do not hesitate to contact me if you have any questions or wish to discuss any aspect of the above further. (As appropriate) As we discussed, you may wish to access further support available via the school’s participation in the Employee Assistance Programme (or school’s equivalent) or through your professional association.

Yours sincerely

(Headteacher/Line Manager)

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

PM 3 (2012)

Template for weekly review meetings (under normal performance management

Start date for review meetings: / Employee’s name: / Line Manager’s name:
Date of reviews: / Signed: / Signed:
Area(s) for improvement / Action needed / Actions and/or support agreed (with dates) / Notes regarding progress at each weekly review
Detail the specific aspects of performance where improvement is sought.
It may be helpful to reference aspects of the employee’s job description, their professional duties or the relevant Teachers’ Standards contained in the School Teachers Pay and Conditions Document / Detail the targets, objectives and/or standards the individual must meet to demonstrate improvements in this area, and the consequences if standards are not achieved / Detail progress achieved by each review meeting, dating each update
Add further lines of detail as necessary

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

To go on school’s headed paper

PM 4 (2012)

Invite to meeting to consider evidence regarding performance

I am writing to confirm the meeting we have arranged for (date) at (time) in (location of meeting), to consider the evidence regarding your work performance, in your role as (job title).

I enclose the following documents to be considered at our meeting:

(For example, as appropriate:

  • Earlier correspondence regarding performance
  • Notes of informal feedback, one-to-one meetings or performance reviews, etc
  • Weekly Review Meeting documents
  • Lesson Observation feedback
  • Pupil progress data
  • Any complaints previously discussed
  • Details of advice and support offered to date.)

Based on this evidence, my recommendation is that formal action is taken under the school’s Capability Procedure in relation to the concerns regarding your performance (as appropriate, if not already detailed in above documents) in the following areas:

(Detail areas of concern, improvements needed/to be sustained)

During our meeting you will have the opportunity to respond to these concerns and make relevant representations before a decision is made regarding any action necessary under the school’s Capability Procedure. I enclose a copy of the procedure for your reference.

As we discussed, although there is no formal right to representation at this meeting, if you would like the support of your professional association or a colleague and this can be arranged without significant delay to our review, I would welcome them joining us. (Optional) I have asked (name) from the Schools’ HR Team to support our meeting.

Again, I would like to remind you of the further support available via the school’s participation in the Employee Assistance Programme (or school’s equivalent).

As always, please do not hesitate to contact me if you have any questions or wish to discuss any of the above further.

Yours sincerely

(Headteacher/Line Manager)

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

To go on school’s headed paper

PM 5 (2012)

Outcome of meeting to consider evidence regarding performance

As necessary, includes notification of move to Formal Stage 1 (constituting a ‘written warning’) and invite to meeting to agree Development Plan

Following the meeting held on (date), at which we discussed ongoing concerns regarding your performance, I am writing to confirm that I am taking the step of moving your performance management on to Formal Stage 1 of the school’s Capability Procedure.

(As appropriate) You were accompanied at our meeting by (name), (role). (As appropriate) As we discussed, although I am pleased that you have made some progress in (detail/some areas/and specific tasks that have been carried out as directed), overall, I feel there has been insufficient progress in the following areas:

(Detail areas of concern, improvements needed/to be sustained.)

Therefore, I would like to invite you to a formal meeting to be held on (date) at (time) in (location of meeting). At this meeting a development plan to improve your performance will be agreed, including details of formal monitoring, evaluation, guidance and support.

You have the right to representation in the form of a work colleague or Trade Union representative and it is your responsibility to ensure that they are notified of the meeting date in good time. (Optional) I have asked (name) from the Schools’ HR Team to support our meeting.

I must also confirm that the decision to move on to Formal Stage 1, constitutes a written warning which, if no further action is taken, will remain active for 6 months from the end of Formal Stage 1.

You have the right to appeal the decision to issue you with a written warning. Any appeal must be lodged, in writing, including full details of the grounds for appeal, within 14 days of the date of this letter.

You have previously been provided with a copy of the school’s Capability Procedure and details of the Employee Assistance Programme (or school’s equivalent). Please do not hesitate to contact me if you feel there is any other support that could be offered, or you have any questions regarding the above.

Yours sincerely

(Headteacher/Line Manager)

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

To go on school’s headed paper

PM 6 (2012)

Confirmation of Development Plan and review arrangements

I am writing to confirm the outcome of our meeting on (date) at which we discussed a Development Plan to improve your performance. (As appropriate) You were accompanied by (name), (role).

Please find enclosed a copy of the plan, including details of the formal monitoring, evaluation, guidance and support we have agreed for the coming weeks. During the monitoring and review period we have agreed to meet (provide detail of meetings, ideally arrange to meet at least twice during this period) to review progress against the Development Plan.

I have also arranged for a Formal Stage 1 Review Meeting to be held on (date – typically 4 - 6 weeks from implementation of development plan). At this meeting, you will have the right to representation in the form of a work colleague or Trade Union representative and it is your responsibility to ensure that they are notified of the meeting date in good time. (Optional) I have asked (name) from the Schools’ HR Team to support our meeting.

I very much hope that, with the continuing support available to you, you will achieve the necessary improvements in your performance.

If you have any questions regarding the above, please do not hesitate to let me know. Otherwise, I would be grateful if you would sign and return to me the enclosed copy of this letter, indicating that you have understood its contents and that of the enclosed Development Plan.

Yours sincerely

(Headteacher/Line Manager)

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

PM 7 (2012)

Template for Development Plan following Formal Stage 1 Meeting

Date Development Plan commences: / Employee’s name: / Line Manager’s name:
Date of reviews / Signed: / Signed:
Key Area(s) / Specific Area(s) / Targets, objectives and/or standards for improvement / Date(s) to be achieved by / Support available / How will progress be measured? / Outcomes / Have improvements been sustained?
Provide a general heading for the area of performance where improvement is required. For example:
  • Teaching
  • Learning environment
  • Planning and preparation
  • Assessment and monitoring
  • Team working and collaboration
  • Health and Well Being
/ Detail the specific aspects of performance where improvement is sought.
It may be helpful to reference aspects of the employee’s job description, their professional duties or the relevant Teachers’ Standards contained in the School Teachers Pay and Conditions Document / Details the targets, objectives and/or standards the individual must meet to demonstrate improvements in this area / Detail progress achieved by each review meeting, dating each update on the development plan
Add further lines of detail as necessary

Schools’ Choice Endeavour House 8 Russell Road Ipswich Suffolk IP1 2BX Page 1 of 9

To go on school’s headed paper

PM 8 (2012)

Outcome of Formal Stage 1 Review Meeting

As necessary, includes notification of move to Formal Stage 2 (constituting a ‘final written warning’) and invite to Formal Stage 2 Decision Meeting

I am writing to confirm the outcome of our meeting on (date), at which your performance and progress in respect of the Development Plan under the school’s capability procedure was reviewed. (As appropriate) You were accompanied by (name), (role).

As you know, having carefully considered your progress, I do not feel that you have demonstrated sufficient improvement in the aspects of performance outlined in the development plan. (Alternative wording - As we discussed, although I am pleased that you have made some progress in (detail/some areas/and specific tasks that have been carried out as directed), overall, I feel there has been insufficient progress in the following areas: (detail).) Therefore, it is necessary to progress to Formal Stage 2 of the school’s Capability Procedure, and issue a final written warning. You were advised that this warning, if no further action is required, will remain active for a period of 12 months from the end of Formal Stage 2. You have the right to appeal the decision to issue you with a final written warning. Any appeal must be lodged, in writing, including full details of the grounds for appeal, within 5 day of the date of this letter.

At the end of a further (insert timeframe – typically 4 – 6) week monitoring and review period your progress against the Development Plan will be reviewed by a panel the school’s Hearings Committee, at a hearing on (date). I will confirm the panel members, HR Advisor, Note Taker, time and location for the hearing shortly. The procedure for the hearing will be as set out in Schedule 2 of the LMS Model Disciplinary Procedure, “Procedure for a hearing”. I enclose a copy for your reference. Once again, you will have the right to representation in the form of a work colleague or Trade Union representative and it is your responsibility to ensure that they are notified of the meeting date in good time.

Ahead of this meeting, you will continue to be supported as described in the previously agreed Development Plan. (Optional) Additionally, we have agreed (detail any further support):

Please be aware that if the required level of improvement is not reached by the Formal Stage 2 Hearing, the outcome of the hearing could be that you are dismissed from your post on the grounds of capability.

Once again, if you have any questions regarding the above or you feel there is any further support the school could consider offering, please do not hesitate to let me know. Otherwise, I would be grateful if you would sign and return to me the enclosed copy of this letter, indicating that you have understood its contents.

Yours sincerely,

(Headteacher/Line Manager)

To go on school’s headed paper

PM 9 (2012)

Outcome of Formal Stage 2 Decision Meeting (Hearing)

I am writing to confirm the outcome of the hearing held on (date), at which your performance and progress in respect of the capability Development Plan was reviewed. (As appropriate) You were accompanied by (name), (role).

Possible outcome 1 – The required standard of performance has been met

After considering all of the evidence presented, it has been demonstrated to the panel’s reasonable satisfaction that you have been successful in achieving all of the targets set out in the development plan. Therefore, the school does not intend to proceed any further with the formal capability procedures, and this process will cease with immediate effect. Your performance will now be managed in line with normal performance management arrangements.

I must remind you of the importance of maintaining this standard of work going forward. As previously advised, if there is evidence within twelve months of your earlier final written warning that you have not sustained the required level of performance, formal capability procedures may be resumed at any stage up to and including that previously reached.