Purpose

To support school staff who are not meeting professionally acceptable standards of performance and, where necessary, implement formal capability measures.

Key Principles

• Used only after informal support through the appraisal process has been exhausted.

• Not to be used for misconduct, ill health, or newly qualified teachers (covered under separate procedures).

• The employee may be accompanied by a trade union representative or colleague at all meetings.

• The process must be structured, fair, and supportive with a focus on improvement.

• Timescales may only be shortened with agreement from both parties.

Before Formal Procedure

Initial concerns must be discussed informally by the line manager, considering:

• Nature and cause of underperformance (personal, professional, environmental).

• Whether it's a capability, misconduct, or health issue.

• Options include: dropping the issue, informal action, or further support via appraisal.

If no improvement is achieved via appraisal, a formal referral to the head teacher may be made.

Capability Procedure Stages

Stage 1: Formal Meeting, Support, Monitoring & Review

Trigger: Continued concerns after appraisal support.

Process:

• Employee receives at least 5 working days’ notice of a meeting.

• Meeting led by head teacher/principal to:

  • Review concerns and evidence

  • Discuss previous support

  • Offer right to representation

• Decision made whether to:

  • Continue with appraisal support

  • Begin capability process

If capability process begins:

• Objectives and expected standards are set

• Support/training provided

• A monitoring period of at least 13 weeks

• Clear warning: failure to improve may lead to dismissal

Outcome:

• If performance improves: return to appraisal

• If not: proceed to Stage 2

Stage 2: Further Formal Meeting, Support & Review

Trigger: Insufficient improvement in Stage 1

Process:

• Employee receives 10 working days’ notice

• Similar structure to Stage 1 meeting

• Likely outcome: formal written warning (or final written warning in serious cases)

• Support and objectives reviewed

• Continued monitoring period

Outcome:

• If performance improves: return to appraisal

• If partial improvement: extended support

• If no improvement: move to Stage 3 (Capability Hearing)

Stage 3: Capability Hearing (Possible Dismissal)

Trigger: Continued underperformance after Stage 2

Process:

• Clerk to governors provides 10 working days’ notice

• Hearing before a governor panel with no prior involvement

• Attendees: head teacher, employee (and representative), witnesses (if applicable)

Purpose:

• Assess whether the employee:

  • Meets required standards

  • Should receive further support

  • Should be dismissed

  • Could be redeployed instead of dismissal

Outcome:

• No dismissal and no action

• No dismissal but further support and/or warning

• Dismissal, or

• Redeployment (if appropriate and agreed)

Post-hearing:

• Clerk writes to employee within 5 working days

• Employee has 15 working days to appeal

• If no appeal or appeal fails: dismissal notice issued by local authority or academy trust

Important Notes

• All stages must be documented in writing.

• The employee can appeal against a dismissal.

• The capability process overrides appraisal once started.

• Regular communication and support are expected throughout the process.