Capability model policy

The aim of this model policy on capability is to provide a framework that schools can adopt when an employee is consistently failing to perform their duties to a professionally acceptable standard.

Published:
Model policy
Model policy England Wales Capability Rights at work

Our model policies and policy checklists are designed to assist NEU reps in negotiating the best employment policies on behalf of our members.

Reps should strive to ensure policies are compliant with the NEU models.

Reps should consult members before agreeing new policies or changes to existing policies and should not agree policies that do not meet member expectations, any statutory requirements and NEU minimums.

Reps should always seek to work collaboratively with other unions. 

Policy checklists should be used in conjunction with our model policies and can be used as a guide for reps when communicating with members over whether a proposed policy is acceptable.

If a policy is unacceptable, members should consider a collective response that may include taking industrial action. For further advice contact your branch.

Policy checklist
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Capability

NEU guidance surrounding capability proceedings.

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Capability procedures policy checklist 

This checklist is provided to help you assess whether your employer’s capability policy is compliant with the NEU position.

Use of capability

  • Capability procedures will commence only after informal support has been provided and exhausted under the appraisal procedure.
    NB: The NEU position is that informal support should take place during the appraisal rather than the capability process. 
  • Failure to meet objectives alone will not trigger formal capability procedures. 
  • Incapability resulting from ill-health or misconduct will be dealt with separately under absence management and disciplinary procedures.
  • Performance concerns of Early Career Teachers (ECTs) will be addressed via the early career framework (ECF) rather than the capability procedure.
  • Employees who suffer from ill health requiring absence from work during the capability procedure will be offered support upon their return to work, and the period of absence will be excluded from the period for support, monitoring, and review.

Support, monitoring & review

  • Employees have the right to be accompanied to meetings with management by a trade union representative or work colleague during any stage of the procedure.
    NB: An employee has the statutory right to be accompanied by a trade union representative or work colleague to formal meetings with their employer, however the NEU position is that this right should be extended to informal meetings.
  • Employees will be given reasonable notice of any meetings (at least five working days), with the opportunity for postponement to arrange suitable representation.
  • The employer will confirm arrangements for monitoring and assessment, including the name of the manager responsible, and the length of the review period.
  • Review periods during the procedure are of reasonable in length.

Outcomes & appeals

  • There will be a fair and transparent process for appeals, including an appeals committee, with reasonable notice for hearings (at least 10 working days).
  • Any warning issued during/following capability procedures will be removed from the employee’s file after a maximum period of 12 months.

Policy monitoring & review

  • The policy will commit to annual equality monitoring of its operation and the sharing of results with the recognised trade unions.
  • The policy will be reviewed regularly (e.g. biennially).
  • Employees and representatives of recognised unions will always be consulted on any proposed changes to the policy.
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