ASTBURY ST MARY’S
CHURCH of ENGLAND PRIMARY SCHOOL
Staff Disciplinary Policy
Approved for Issue: November 2015
EDUCATION HUMAN RESOURCES CONSULTANCY
MODEL DISCIPLINARY POLICY FOR ALL SCHOOL/ACADEMY STAFF
Contents
- Scope
- Aims
- Principles
- Malicious Allegations
- Anonymous Allegations
- Confidentiality
- Equality
- Monitoring
- Review
1.0Scope
1.1This policy, and the disciplinary procedure, is recommended to all Community and Voluntary Controlled , Voluntary Aided Foundation schools and Academies who buy back the Education HR Consultancy Package through ChESS.
1.2The policy will apply in all cases of alleged misconduct and gross misconduct. It will not apply to:
- issues related to alleged capability, except where it is considered to be a wilful refusal by the employee to carry out their duties
- support staff within their probation period.
2.0Aims
2.1To provide a framework which enables managers/head teachers to deal with breaches of discipline.
2.2To ensure that all employees are aware of the standards required of them and the procedures which may be applied where there are concerns.
3.0Principles
3.1It is important to deal with disciplinary matters promptly, in a firm, fair and consistent manner, ensuring objectivity is applied at all times. The dignity of all parties involved will be maintained throughout this procedure.
3.2Where possible, managers/head teachers will try and resolve issues of minor misconduct at the earliest opportunity and with the least possible formality. Where problems are not resolved using an informal approach or if circumstances are considered sufficiently serious to warrant formal investigation, formal disciplinary action will be considered.
3.3It is not possible to define all acts of misconduct or unacceptable behaviour that could lead to disciplinary action however examples of misconduct and gross misconduct are given in the disciplinary procedure and managers/head teachers will ensure that all employees are informed of these examples at induction.
3.In disciplinary matters managers/head teachers, employees and Trade Union Representatives will adhere to the following principles:
- Issues will be raised and dealt with in accordance with the agreed timescales. Meetings and decisions will not be unreasonably delayed by any party.
- All parties will behave consistently, appropriately and professionally.
- Investigations will be carried out to establish the facts of each case and consideration will be given to the reasonableness of any proposed action according to the circumstances.
- The employee will be advised of the nature of the complaint against him/her and given the opportunity to state his/her case and present relevant evidence at a disciplinary hearing before any decision is made.
- Managers/head teachers will allow an employee to be accompanied by a work colleague or by their trade union representative at any formal disciplinary meeting.
- Consideration may be given to allow an employee to be accompanied by a legal representative but only in exceptional circumstances where, as a result of disciplinary action the employee is at risk of being barred from working in their profession. The decision on such representation will be at the hearing managers’discretion.
- All employees will have the right of appeal against any formal decision made.
- Where an employee is persistently unable or unwilling to attend a disciplinary hearing without good cause, employers may make a decision on the basis of the available evidence.
- Employees will not be dismissed for a first incident of misconduct except in the case of gross misconduct.
- Proceedings, witness statements, records and warnings will be kept confidential and will be retained and disposed of in accordance with the Data Protection Act 1998.
- Where disciplinary action is being considered against an accredited officialof a recognised trade union, the case will be discussed, after obtaining the employee’s agreement, with a senior trade union representative or paid union official.
- The school/academy will respect employees’ rights to privacy in their private and family life and will take action in this context only where the right conflicts with their obligations as an employee of the schoole.g. use of professional position for personal advantageor where the actions bring the school into disrepute.
3.At each stage of this procedure all those involved should bear in mind the need to satisfy the tests of natural justice, equity and reasonableness.
4.0Malicious Allegations
4.1If an individual makes an allegation in good faith but it is not confirmed by the investigation, no action will be taken against them. If, however, an employee makes an allegation frivolously, maliciously or for personal gain, disciplinary action may be taken against them.
5.0Anonymous Allegations
5.1The school/academydoes not encourage the making of anonymous allegations and will only consider these in exceptional circumstances. Any decision to consider anonymous allegations will be at the absolute discretion of the school/academy. In exercising this discretion the following factors will be considered:
- the seriousness of the issues raised;
- the credibility of the concern; and
- the likelihood of being able to confirm the allegation.
5.2This does not affect the ability to make an anonymous disclosure under the Confidential Reporting Procedure (Whistleblowing).
6.1All parties will have a responsibility to deal with disciplinary issues in a sensitive and confidential manner.
6.2Information shared as part of a disciplinary process is confidential and must not be used or published for any other purpose. Failure by any parties involved in the investigation or disciplinary process to observe this requirement couldlead to further disciplinary action.
7.0Equality
7.1The governing body should ensure that, when implementing the disciplinary procedure, no employee will be disadvantaged on the basis of their gender, transgender, marital status or civil partnership, racial group, religion or belief, sexual orientation, age, disability, pregnancy or maternity, social or economic status or caring responsibility. This means that the procedure may need to be adjusted to cater for the specific needs of an individual including the provision of information in alternative formats where necessary.
8.0Monitoring
8.1Data relating to disciplinary cases will be collated and monitored regularly to ensure that the procedure is operating fairly, consistently and effectively. Issues that are identified from the data will be dealt with appropriately.
9.0Review
9.1The procedure will be reviewed in the light of operating experience and/or changes in legislation.
Prepared by: Education HR Consultancy
Date:November 2013
EDUCATION HR CONSULTANCY
MODEL DISCIPLINARY PROCEDUREFOR ALL SCHOOL/ACADEMY STAFF
Contents
- Scope
- Aims
- Roles and Responsibilities
- Informal Action
- Initial Steps of Formal Disciplinary Action
- Alleged Harm or Potential Harm to Children
- Disciplinary Investigation
- Courses of Action following an Investigation
- Suspension
- Setting up a Disciplinary Hearing
- Postponing a Disciplinary Hearing
- Disciplinary Hearing
- Disciplinary Actions
- First and Final Written Warnings
- Dismissal with Notice
- Summary Dismissal
- Alternative Sanctions
- The Right of Appeal
- Referring Cases of Misconduct to Regulatory Bodies
- Notes and Records
- Role of the Accompanying Person
- Criminal Convictions
- Relationship with Grievance and Capability/Attendance Procedures
- Malicious Allegations
- Anonymous Allegations
- Equality
- Monitoring
- Review
Appendix 1Examples Disciplinary Rules
Appendix 2Template Investigation Report
Appendix 3 Conduct of Disciplinary Hearing
Appendix 4Disciplinary Process Flowchart
Do you really need to print this document?Please consider the environment before you print this document and where possible copies should be printed double-sided.
1.0Scope
1.1This procedure is recommended to all Community and Voluntary Controlled, Voluntary Aided, Foundation schools and Academies who buy back the Education HR Consultancy Package through ChESS.
1.2. Disciplinary hearings where the range of possible outcomes does not include dismissal will normally be chaired by the Headteacher, or an appropriate Designated Officer Additionally, where the Governing Body has delegated the initial dismissal decision (IDD) to the Headteacher, the Head teacher may chair a Disciplinary Hearing where dismissal is a possible outcome, unless:
- the head teacher has been directly involved in the disciplinary procedures leading to dismissal, or
- the head teacher is the Investigating officer
- the head teacher has instigated a proposal to dismiss, or
- the head teacher is a witness of particular conduct giving grounds for the dismissal in question, or
- the Local Authority has made representations to the Chair of the Governing Body on grounds of serious concerns about the performance of the head teacher, or
- the headteacher is the subject of the disciplinary action
- the Governing Body has not delegated the initial dismissal decision (IDD) to the Head teacher
In these circumstances potential dismissal cases will be heard by a panel of the Governing Body.
1.3Where a head teacher is on long term absence (e.g. sickness, secondment), the Governing Body should consider whether it is appropriate to pass delegated responsibility to the person acting as head teacher. The head teacher should have the opportunity to make representations on any decision to discontinue delegated responsibility.
1.4Where the head teacher is exercising delegated responsibility, this cannot be delegated on to another person by the head teacher.
1.5 This procedure does not apply to the following;
- issues related to alleged capability, except where it is considered to be a wilful refusal by the employee to carry out their duties
- Support staff within their probation period
1.6It is not possible to define all acts of misconduct or unacceptable behaviour that could lead to disciplinary action. However,Appendix 1-Disciplinary Rules sets out some examples of misconduct and gross misconduct, and managers/head teachers will ensure that all employees are informed of these examples during induction.
2.0Aims
2.1To provide a framework which enables managers/head teachers to deal with breaches of discipline.
2.2To ensure that all employees are aware of the standards required of them and the procedures which may be applied where there are concerns.
3.0Roles and Responsibilities
3.1Governing Body
3.1.1The Governing Body has a statutory obligation to establish procedures relating to the conduct and discipline of staff under the School Staffing (England) Regulations 2003, including dealing with disciplinary matters, and is responsible for ensuring that all staff are made aware of the procedure.
3.1.2The governing body has the statutory authority to decide to dismiss staff. However under the School Staffing (England) Regulations 2009, it is expected to delegate dismissal decisions for all staff (apart from the head teacher) to the head teacher unless this is considered inappropriate.
3.1.3The Chair of Governing Body is ultimately responsible for the application of this procedure within the school.
3.2Manager/Head Teacher’s Responsibilities
3.2.1The manager/head teacher is responsible for managing the conduct and behaviour of employees on a day to day basis in accordance with this agreed procedure, and ensuring that employees are aware of the expected standards of conduct and disciplinary rules.
3.2.2The manager /head teacher should ensure that employees are made aware of this procedure, the rules contained within it and how it can be accessed.
3.2.3Managers/head teachers will be expected to deal sensitively, appropriately, confidentially and in line with Equality legislation, with any issues brought to their attention by employees that may raise cause for concern or interfere with their ability to do their job.
3.3Employee’s Responsibilities
3.3.1It is an employee’s responsibility to be aware of the standards of conduct and performance expected of them and to discuss promptly with their manager/head teacher any circumstances, either personal or work related, that would interfere with their ability to do their job.
3.3.2Employees should ensure that their private life does not interfere with the proper performance of their duties and responsibilities with the School/Academy.
3.3.3Where an employee is the subject of a disciplinary investigation it is their responsibility to comply fully with this procedure.
4.0Informal Action
Not all conduct issues need to be dealt with through formal disciplinary procedures. Managers are encouraged, where it is appropriate, to informally discuss concerns regarding conduct and agree where improvements can be made. A record of the informal discussion should be kept and the manager may issue an instruction, confirmed in writing, setting the standards of expected behaviour or conduct. This management instruction will be retained on the employee’s file but is not part of the formal process. Further advice on this can be obtained from Education HR Consultancy
Employees with concerns or questions about a management instruction may want to discuss this with their union representative but as this is part of the informal process there is no right to be accompanied at this stage.
5.0Initial Steps of Formal Disciplinary Action
5.1Formal disciplinary action may be necessary when informal mechanisms to address misconduct are ineffective, or where they are judged inappropriate given the nature of the issue arising. For example, where there has been an incident which, if substantiated, is considered serious enough to deal with the matter formally or may constitute gross misconduct.
5.2Where a concern is raised which may potentially be dealt with under the disciplinary procedure, there needs to be some preliminary fact finding to establish the basic details and it may be appropriate to seek an explanation from the employee before deciding to proceed with a formal investigation. This preliminary assessment should also include consideration of whether the individual has a protected characteristic (e.g. a disability) that needs to be taken into account.
6.0Safeguarding
6.1Where the allegations are of a safeguarding nature and the alleged behaviour might be criminal, involve harm to a child or put a child at risk of harm, the case must be referred to the Local Authority Designated Officer (LADO).If criteriafor LADO involvement are met and there is a need for further investigation, the LADO will advise on the need for a LADO strategy meeting or discussion.
6.2No disciplinary investigation should be started by the school/academy until the strategy meeting has met and made its recommendations with regard to next steps.
6.3Where it is decided to proceed with a formal disciplinary investigation, the school/academy does not have to await the outcome of any criminal proceedings. However, the Investigating Officer may need to exercise caution so that it does not impede the police inquiries. In these cases further advice should be sought from the Education HR Consultancy.
6.4If there is insufficient evidence to establish an honest and reasonable belief in the employee's guilt, the employer may decide to wait for the outcome of the criminal proceedings. The employee could be suspended on normal pay during this period.
7.0Disciplinary Investigation
7.1Assuming the preliminary fact finding shows that the formal disciplinary procedure is the most appropriate mechanism to use, a formal investigation will be carried out as soon as reasonably practicable. The Investigating Officer should normally be a senior member of staff (other than the head teacher) or a governor or an independent investigator commissioned for this purpose. If the headteacher takes this role he/she would not be able to chair a disciplinary hearing at a later stage.
7.2An investigation must establish the seriousness of the alleged misconduct and be proportionate to it. The response may range from a brief discussion with the employee to establish the facts, to a full-scale investigation involving other agencies such as the police. The objective should be to provide sound evidence to decide on whether the case should proceed.
7.3At the earliest possible opportunity the employee should be informed of the issue, asked for an account of their behaviour and informed that an investigation will take place. It should be made clear that this meeting is not a disciplinary hearing but that during investigatory meetings and any subsequent disciplinary hearing they will be entitled to be accompanied by a trade union representative or a work colleague. Fellow workers do not have to accept a request to accompany an employee.
7.4The Investigating Officer will establish all of the relevant facts. This may involve the collation of all relevant documents and/or a number of investigatory interviews with witnesses where statements will be taken, signed and dated by all parties.
7.5Witnesses should be made aware of confidentiality issues and advised that they may be asked to attend a disciplinary hearing.
7.6The Investigating Officer will also interview the employee against whom the allegation has been made, making clear the relevant facts in order that he/she has the opportunity to respond and identifying any other potential witnesses that the employee may wish to be interviewed in the interests of his/her case.
7.7Information gathered during the investigation will be presented in the Disciplinary Report Format - Appendix 2.The report will contain clear recommendations for further action.
8.0Courses of Action following an Investigation
8.1At the end of the investigation there are a number of possible courses of action. The Investigating Officer will present their report to the commissioning manager, this would normally be the Head teacher. Based upon the information within the report, a decision will be made as to what action will be taken.
8.2Where there is insufficient evidence or the employee provides a satisfactory response, no further action will be taken. In such cases the employee should be informed that no further action is to be taken at the earliest opportunity.
8.3Where the evidence suggests that there are some minor matters to address, a management instruction could be issued and recorded in writing.
8.4Where the evidence suggests that the allegation is supported and a formal hearing is appropriate then a formal disciplinary hearing will be arranged. If an outcome of the disciplinary hearing could be dismissal and the Head teacher does not have delegated authority for dismissal then the report will be considered by a panel of governors nominated/appointed by the Governing Body.
9.0Suspension
9.1In cases where it is believed that there has been an incident which, if substantiatedmay constitute gross misconduct, the employee will normally be suspended from duty. In very exceptional circumstances the employee may be allowed to continue at work or may be temporarily redeployed to another job. Both the governing body and headteacher can suspend an employee but only the governing body can lift a suspension.
9.2It may also be necessary to suspend the employee in other cases where their continued presence at work would impede the investigation, where this is in the best interests of the employee, or where it is deemed necessary for the protection of other employees or pupils.