Managing HR in schools appendix 5: Probationary period report form

Confidential

For support staff
8 weeks / 16 weeks
To be completed immediately following eight and 16 weeks service in respect of all new entrants (support staff) to the service of the school governing body.
Name of employee:
Date of appointment:
Designation of post:
Part A - to be completed by line manager
1. How well do you consider the employee does his/her job?
Very well / satisfactory / needs to develop further / unsatisfactory*
Please comment on your answer:
2. How effective is he/she in relationships with other people in his/her work?
Very well / satisfactory / needs to develop further / unsatisfactory*
Please comment on your answer:
3. Please comment on the employee's punctuality:
4. How much sickness absence has the employee had?
5. Please identify any areas of the employee's performance that need attention:
6. Are there any training needs to which the school ought to give attention in the short term? If so, please identify.
7. i) (To be completed at the eight week assessment)
I am/am not* satisfied with the progress this employee is making
Signed: / Date:
Designation:
ii) (To be completed at the 16 week assessment)
I recommend confirmation of appointment* extension of probationary period for ...... months
Signed: / Date:
Designation:
This report should be discussed with the employee and part B completed before it is passed to the SBM.

Part B - to be completed by the employee

I can confirm that I have seen the contents of this report and have the following/no comments* to make on the remarks made:

(Continue on a separate sheet if necessary)

Signed:……………………………………………………..

Date:………………………………………………………..

* delete as necessary

Introduction

  • The Employment Protection (Consolidation) Act 1978 requires that written statements be provided to employees, containing details of any disciplinary rules and procedures that apply to them. The statement should also indicate the person to whom they should apply if they are dissatisfied with any disciplinary decision. Details given to employees should explain any further steps that exist in any procedure for dealing with disciplinary decisions. The employer may satisfy these requirements by referring employees to a reasonably accessible document, which provides the necessary information.
  • These procedures are designed to help and encourage all employees to achieve and maintain high standards of conduct and professional performance and take due account of the ACAS Code of Practice on Disciplinary Practice and Procedures in Employment. Good disciplinary rules and procedures are essential to avoid claims of unfair dismissal. The manner in which a dismissal has been handled can be challenged before an industrial tribunal if such a claim is brought.

The operation of the procedure

 Consultation and the co-operation of all parties involved will aid the smooth operation of the procedure. Any changes or modification will only be made as a result of prior discussion with all concerned. When such procedures apply to the headteacher, the staff committee will conduct, or cause to be conducted, such investigations as may be considered necessary.

Notes for guidance on operating the staff disciplinary procedure

Interpretation

  • Any question as to the interpretation, or application of the procedure shall be determined by the governing body. In the procedure the following expressions have the meanings assigned to them:

'Contractual pay' means contractual salary or contractual wages as determined by reference to the contract of employment.

'Days' shall mean the days of Monday to Friday and shall include the days on which the communication is received.

All communications should either be delivered by hand with the date registered by both parties, or sent by recorded delivery.

'Misconduct' shall be read to include all questions related to the conduct of the employee.

Note: Where the performance of an employee is below standard for reasons which it is within his/her power to rectify, this will not normally be dealt with as a case of misconduct. Disciplinary action on the grounds of lack of capability or qualifications for performing work of the kind the employee was employed to do, or might reasonably be required to do (ie where performance is below standard for reasons other than of misconduct), will be taken only after alternative solutions have been pursued. In such cases, (except those of capability related to ill-health), this procedure will be followed and its provisions shall apply as if the word 'misconduct' were substituted by the term 'lack of capability'.

Time limits

  • The time limits, which apply in the procedure, may be subject to reasonable variations by agreement of both parties, subject to any minimum requirement specified in the articles of government.

Responsibilities and obligations

  • The governing body as employer is concerned that all its employees should be aware of their obligations with regard to conduct, including standards of work performance, and of the likely consequences of the failure to meet these obligations. The governing body has an obligation to ensure, so far as is reasonably practicable, that all employees at the school are acquainted with the rules applying to their particular areas of work and know the expected standards of performance and behaviour. Employees, too, have a responsibility to familiarise themselves with the general rules and procedures referred to in their conditions of service and the specific working rules and procedures related to their particular areas of work and such amendments as may be made and drawn to their attention from time to time.
  • When contemplating disciplinary action due to an employee's lack of capability, other than for health reasons, the governing body will seek ways of supporting and encouraging an employee to improve his/her performance.

Day-to-day supervision of staff

  • The day-to-day supervision of staff is part of the normal management process and is outside the formal procedure for dealing with breaches of discipline. There is likely to be less recourse to the formal procedure if deficiencies in an employee's conduct, including standards of performance, are brought to his/her attention at the earliest possible stage by his/her supervisor in the course of that person's normal duties. The governing body intend that informal measures are adopted wherever possible.

Trade union officials

  • No disciplinary action will normally be taken against a recognised shop steward, or other accredited official of a trade union recognised by the governing body, until the circumstances of the case have been discussed with a senior trade union representative or full-time official of the trade union concerned.
  • No disciplinary action will be taken against any employee in respect of alleged misconduct that arises from trade union duties or activities, until the headteacher has discussed the matter with a senior trade union representative or full-time official of the trade union concerned.

Attendance at disciplinary proceedings to propose dismissal of a member of staff

  • The headteacher (except where he/she is the person concerned) is entitled to attend for the purposes of giving advice on proceedings of the staff committee or appeal committee relating to any dismissal of staff, but the headteacher is not entitled to vote on the matter.
  • At any stage of the disciplinary procedure, the employee is entitled to be represented/ accompanied by his/her trade union representative or a friend.

Preliminary investigations

  • Where an employee's conduct or standard of performance is called into question, the headteacher shall conduct, or cause to be conducted, such investigation as he/she considers necessary (including, where appropriate, giving the employee an ample opportunity to state his/her case). If, in consequence, the headteacher considers formal disciplinary action on the matter needs to follow, he/she shall arrange for a disciplinary hearing in accordance with the procedure.
  • When determining disciplinary action to be taken, the headteacher (if hearing the case) or the staff committee will bear in mind the need to satisfy the test of reasonableness in all the circumstances. Account will be taken of the employee's record and any other relevant factors.
  • In calling an employee to a disciplinary meeting, an indication will be given as to the possible penalty that would be imposed if the allegations are found to be substantiated, eg the issuing of a formal warning, the termination of employment by dismissal.
  • The staff committee established in accordance with paragraphs 13(3) and (6) of the instrument of government for the school shall be responsible for considering disciplinary matters in respect of all persons employed to work at the school. The headteacher is empowered by the governing body to consider such disciplinary matters and to apply the disciplinary sanctions of an oral and written warning. The staff committee shall be responsible for considering any proposal that a person should receive a final written warning or be dismissed.
  • No person involved in the investigatory stage will take part in making decisions at any subsequent disciplinary hearing by the headteacher or the staff committee or appeal committee. The headteacher shall not attend to give advice if he/she has made the original disciplinary decision.

Serious misconduct

  • The ACAS Code of Practice recommends that an employee shall not be dismissed for a first offence, except in cases of gross misconduct (see below). Nevertheless, as illustrated by decisions of the Court of Appeal, there may be cases of serious misconduct where dismissal without prior warning will take place. Examples of such cases include those where the job of the post-holder requires so high a degree of professional skill and the potential consequences of departure from that standard are so serious, that one failure to perform in accordance with these standards is sufficient to justify dismissal.
  • Gross misconduct is misconduct of such a nature that the governing body is justified in no longer tolerating the continued presence at the school of the employee who commits such an offence. Examples of gross misconduct which have led to the dismissal of staff and which, if committed by an employee of the school, will be regarded as breaches of disciplinary rules, include:
  • unauthorised removal of the school's property
  • stealing from the school, members of staff or the public, and other offences of dishonesty
  • sexual offences
  • sexual misconduct at work and/or sexual harassment
  • racially discriminatory behaviour
  • fighting
  • physical assault
  • falsification of time sheets or subsistence and expenses claims, self-certification of sickness forms etc
  • deliberate misuse of data information and/or deliberate interference with computerised information
  • falsification of qualifications, which are stated requirements of employment and which may result in financial gain
  • malicious damage to the school's property
  • serious breaches of safety regulations endangering other people, including deliberate damage to, neglect of, or misappropriation of safety equipment
  • serious drug-related offences
  • falsification of declaration of criminal convictions or of information relating to medical history
  • wilful refusal to carry out the normal duties of the post
  • The above list is neither exclusive nor exhaustive, and in addition, there may be other offences of similar gravity which would constitute gross misconduct.
  • Only the staff committee and headteacher have the power to suspend a member of staff. Suspension will be effected where, in the opinion of the headteacher or staff committee, an employee's exclusion from the school is required. Where the headteacher issues a final warning or suspends any member of staff he/she will inform the staff committee immediately. Such suspensions can only be ended by the staff committee, and in ending any suspension, they will inform the headteacher immediately. Suspension is not to be viewed as a disciplinary sanction.

Appeal procedure

  • The employee has a right of appeal against formal oral or written warnings or against an extension of the time limit for written warnings. Notice of any appeal should be given in writing within 10 days of the notification to the employee of the result of the disciplinary hearing.
  • The employee also has a right of appeal against dismissal. The employee must set out the grounds of any appeal in writing within 10 days of receiving the written notification of the disciplinary action to be taken.
  • The appeal will be heard by the appeal committee before any action is taken to implement the decision to dismiss. The appellant will be given at least seven days' notice of the hearing in writing. The decision of the appeal committee, if not given at the end of the hearing will be conveyed, in writing, to the appellant within three days of the hearing. No member of the staff committee, or any other governor who has otherwise been involved in the case, may be a member of the subsequent appeal committee.

Disciplinary records

  • Any records relating to disciplinary proceedings should be carefully safeguarded and kept confidential. Should any disciplinary action be found to be unwarranted, any written reference thereto will be removed from the employee's personnel file and the employee notified accordingly.

Time limits for disciplinary warnings

  • Warnings given to teachers and placed in their files should be disregarded after the following periods have elapsed without further misconduct or unsatisfactory performance taking place:

  • Oral warnings
/
  • max. six months

  • Written warnings
/
  • max. 12 months

  • Final written warnings
/
  • max. 12 months

  • The employee may seek confirmation from the headteacher that details of warnings have been removed from their file at the end of the relevant period.
  • However, conduct in the school must be of the highest standard and the public has the right to expect integrity and honesty from all employees of the school.
  • There may be occasion in the case of serious misconduct when the nature of the offence and of the post concerned do not make it desirable and practicable for the time limit to apply. If this is so, the employee will be notified in writing when the warning is given of the period applicable, which will not exceed five years.
  • Nothing in the procedure purports to take away any rights an employee may have under employment legislation or, except as may be implicit in the taking or consequences of disciplinary action, under nationally or locally negotiated conditions of service relevant to the employee's contract of employment.