We all want to do a good job and employment is not just necessary just for financial reasons, it also gives us a sense of purpose and the opportunity to use our talents for the benefit of the greater good, which is really important to our well-being.  It also gives us the chance to develop ourselves on a personal and professional level as well as to develop our talents and perhaps discover new ones along the way.

At Wholegrain, we want to support our team to deliver the best they can for our clients and their colleagues, in addition to supporting ongoing personal and professional development. On occasions however, any one of us may experience difficulties in delivering against our responsibilities which, despite informal intervention and guidance, continue to impact our ability to perform in our role to the required standard. In these circumstances, this policy exists to provide a fair but effective means of resolving situations where employees fail to meet acceptable minimum job performance standards, whether caused by an inherent lack of skill, aptitude or experience, increased performance requirements or a need for additional/improved work-related resources (like training, instruction, or supervision).

This policy may also apply where work performance is impacted by a team member’s personal circumstances outside of Wholegrain. If that is the case, its application will be considered on a case-by-case basis. Situations that derive from an employee’s deliberate negligence or lack of due diligence will be dealt with under Wholegrain’s ‘Disciplinary Policy and Procedure’ rather than this policy.

This policy applies to all employees of Wholegrain. It does not form part of your contract of employment and may be amended from time to time. Any, and all, personal data used in conjunction with this policy shall be collected, held, and processed in accordance with our ‘Data Protection Policy.’

Defining job standards

It’s the responsibility of Wholegrain senior management to define the required performance standards for each role, however, where it is necessary to raise required job standards or to change ways of working for current employees, this will be done following consultation with the employees affected and the provision of any training necessary to support the new standard.

Principles of the capability procedure

Our capability procedure is based upon the following principles: 

  • Investigation into the cause of the lack of capability
  • The creation of a performance improvement action plan (AKA a ‘PIAP’) that defines the issue(s) causing concern, the agreed solutions/objectives for improvement, the measure of improvement, the timescales given for the improvement and when the performance will be reviewed
  • Review meetings that assess the employee’s performance shortfalls against the agreed PIAP
  • Clear communication of the consequence if agreed improvements are not achieved and sustained

In terms of the procedure that is followed, this is detailed below.

Procedure

Stage 1: Informal discussion

If there are any minor concerns about your performance then we will speak to you on an informal basis, and as soon as possible. This may be at a scheduled check-in or outside of that meeting. Either way, we will let you know asap if we have any concerns so that you have the opportunity to understand, and resolve them, before they become a big issue.    

In the event that the performance concerns are considered to be too serious to be classed as minor, or are perhaps reoccurring without a sustained resolution, then your Line Manager would invoke the next stage of this policy which is to formally investigate and document the performance issues with a view to fully resolving them.

Stage 2: Formal investigation

The purpose of the stage 2 formal investigation is to discuss and document how and why your performance is not reaching acceptable standards. This meeting begins the first stage of the formal part of this policy and it would usually be carried out by your Line Manager with note taking support from another Line Manager or HR representative. If you would like to have a companion at this meeting then you are most welcome to. Your companion can either be a Wholegrain employee or a registered trade union representative. During this discussion you would be advised of the issues of concern and why it is necessary to formally investigate them. You would also be advised of the timeframe for the completion of the investigation which would be as soon as reasonably practicable.  Wholegrain recognises that discussions about performance concerns can be difficult and a nerve-wracking time for all involved, therefore, your Line Manager will keep you in the loop as to the progress of this stage and its likely completion date so that you are not left in limbo. 

Aside from determining the performance concerns and how they might be resolved, the formal investigation will also seek to identify:

  1. The degree of shortfall against defined and established job performance standards (if any exist)
  2. How seriously the performance concerns affect the company
  3. The timeframe in which the performance concerns need to be resolved
  4. What assistance Wholegrain will provide to support improvement

Specific evidence of the performance issues will also be provided. These may include documents such as file notes or emails relating to previous discussions about your performance; and/or emails and other documents demonstrating a lack of performance or repeated errors; comparisons with other similar employees’ performance standards; performance against established operating standards (if any); and any other reasonable and appropriate indicators of performance.  Evidence of the performance issues may also reference any previous PIAP’s that have been used to manage these or other performance concerns (if relevant) as well as concerns raised during informal discussions and check-ins, for example.  

It’s important to point out that the stage 2 formal investigation meeting is a two-way process and your Line Manager will seek your input and give you plenty of opportunity to put your point of view across, ask questions and provide evidence to explain or mitigate the performance concerns.  

Following the completion of the stage 2 formal investigation, your Line Manager will notify you in writing of their findings (normally within 7 calendar days of its completion).  You will also receive the notes from the formal investigation meeting(s).  This written notification will:

  1. Confirm whether there is a capability issue or not that must be addressed
  2. If applicable, invite you to a stage 3 formal capability meeting. At this meeting a PIAP will be defined
  3. Explain that this is a non-disciplinary process designed to help you improve your performance
  4. Clarify that you may be accompanied by a registered trade union representative or a Wholegrain employee at the stage 3 formal capability meeting
  5. Outline the possible consequence if performance is not improved   

Should you disagree with any part of the plan or the notes taken at the meeting then please flag this up to your Line Manager within 72 hours of receipt.

Stage 3: Formal capability meeting 

This meeting would also be held by your Line Manager with note taking support from another Line Manager or HR representative.  If you would like to have a companion at this meeting then you are most welcome to.  Your companion can either be a Wholegrain employee or a registered trade union representative.  In the event your companion is unable to make the timing of this meeting then it can be arranged within the next five working days.   

The purpose of this meeting is to define a PIAP that will document the following points: 

  1. Define the issues causing concern, including examples of where this is not being achieved
  2. Stipulate if any training intervention/what company support is required to improve performance
  3. State the agreed solutions/objectives for improvement
  4. Agree the timescales for the improvement
  5. Define what satisfactory job performance will look like (the measure)
  6. Stipulate when progress against the performance improvement action plan will be reviewed.  

Again, this stage is a two-way process and you will be given plenty of opportunity to input into the PIAP and express your ideas and views as to how the performance concerns could be addressed and when they should be reviewed. 

The PIAP will be forwarded to you shortly after the meeting along with the notes taken at the meeting.   Should you disagree with any part of the plan or the notes taken at the meeting then please flag this up to your Line Manager within 72 hours of receipt. 

You will be expected to work towards the successful completion of the PIAP however, if at any time you are struggling to do so then please do flag this up to your Line Manager immediately.

Also to clarify, there may on occasions be exceptional circumstances when it could be considered reasonable to remove an employee from their job immediately following the stage 3 formal capability meeting. For example, if there is a high risk to safety, security, service or product quality, confidential company, or client information, etc. In such cases, you would retain your current terms and conditions of employment whilst the capability procedure is completed. During this time, you may be required to undertake alternative duties. The timeframes for such would be confirmed to you in writing.  

Stage 4: Formal review meetings

During the stage 3 formal capability meeting, timeframes will be determined and stipulated on your PIAP for a series of stage 4 formal review meetings.  These usually take place on a fortnightly basis however, depending on circumstances and the ramifications of the performance issues at hand, may need to be more frequent. 

It follows that there is no pre-determined number of stage 4 formal review meetings. They should take place as often as is necessary to ensure that both you and the company are fully aware of whether improvement is taking place and at the required rate. However, in most cases, good practice means there would need to be at least three such meetings for this purpose.  

Stage 4 formal review meetings are normally conducted by the employee’s Line Manager with note taking support from another Line Manager or HR representative. You would be given at least 72 hours written notice of their requirement to attend a formal review meeting.  If you would like a companion at this meeting that is fine. Your companion can either be a Wholegrain employee or a registered trade union representative. As before, if your companion cannot make the proposed meeting then it can be changed for a date no more than five working days after the original date. 

The purpose of the stage 4 formal review meetings is to discuss your performance against the PIAP and these discussions should be recorded in the relevant section of the PIAP.   Following each of these meetings an updated and annotated copy of your PIAP will be sent to you, along with the notes from the meeting. 

During a stage 4 formal review meeting your Line Manager will also advise you of any additional actions that become necessary to improve and sustain your performance. They will also advise you of the consequences if any part of the PIAP is not achieved. This may include demotion or a transfer to another position within the company (if available) or the termination of your employment on the grounds of capability.

Once all stage 4 formal review meetings have been completed as detailed on the PIAP then one final meeting is arranged to complete the process.  This meeting is the final capability meeting and stage 5 of the procedure as detailed below.

Stage 5: Final capability meeting 

A stage 5 final capability meeting is held at the end of the performance improvement period and its purpose is to conclude the capability procedure. 

This meeting would be chaired by a member of the SLT with note taking support from another Senior Manager or HR representative. Before the meeting your Line Manager would discuss the outcome of each stage of this procedure with the SLT member and present the final PIAP to them to demonstrate the status of the performance concerns.   

You would be given at least 72 hours written notice of the stage 5 final capability meeting and advised of your entitlement to be accompanied at this meeting by a Wholegrain employee or registered trade union representative of your choice. Should your companion be unavailable for the date of this meeting then they can suggest an alternative date not more than five working days after the original date. 

The outcome of the stage 5 final capability meeting is either to confirm that the PIAP has been successfully completed, or alternatively that, it has not been completed and what the consequence of that failure is.

One potential consequence is the transfer to another available role. In the event this is necessary then contractual notice would be given to you and you would transfer immediately to their new role. During that period of contractual notice, you would retain your contractual rate of pay.  Following the period of contractual notice, you would then transfer to the current company rate of pay for that role that you had been transferred to.    

If transfer or displacement is not available or appropriate, then Wholegrain may have no alternative option but to terminate your contract on the grounds of capability and with pay in lieu of notice. 

You may of course appeal the outcome of the stage 5 final capability meeting and this would need to be received by Wholegrain in writing.  Where possible, your appeal would be heard by the next level of management or another Senior Manager, neither of whom would have been previously involved in your capability procedure.  For further information relating to appeals then please refer to the relevant section of the ‘Disciplinary Policy and Procedure’.

Appraisals and the capability procedure

Wholegrain has an appraisal system in which Line Managers and employees meet formally to review performance achievements and requirements, as well as to determine training and development needs in the short, medium, and long term. They are not a part of this policy and they do not need to be applied before invoking the capability procedure.  They can however, be considered as part of stage 1 (informal discussion) and/or stage 2  (formal investigation) if deemed relevant.