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How to conduct an initial capability assessment

If informal discussions don't lead to a satisfactory improvement after a reasonable timescale, or more serious concerns come to light, an initial assessment should be undertaken. The purpose of this will be to decide whether to take formal action under the Capability Policy and Procedure.   

At this stage it is important to gather all of the facts and this may include:

  • Reviewing PADR records and informal review records
  • Requesting witness testimonies
  • Reviewing other relevant documents e.g. clinical mentors discussion records
  • Having a discussion with the employee regarding their work.   

You should consider whether any underlying issues have been addressed and whether there is any incapability due to disability as part of the assessment, prior to making a decision to proceed to the formal stage of the Capability Policy and Procedure.  

Other helpful considerations as part of this assessment could include:

  • whether the employee has been given a reasonableamount of time and the opportunity to improve
  • whether the relevance and significance of any mitigation that has been raised
  • the impact on the service and risks on the role

If , after considering all of the above, you believe that there is sufficient evidence of continued underperformance, which has not resulted in an improvement after informal interventions, then you may wish to proceed to the formal stages of the Capability Policy and Procedure.


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