Disciplinary

Policy and Procedure and Code of Conduct

Page 1 of 21Disciplinary Policy - Published 7/5/13

Contents:

1.Introduction and Application...... Page 3

2.Responsibilities and Roles...... Page 3/4

3.Principles...... Pages 4/6

4.Informal Action – minor lapses in conduct...... Page 6/7

5.Formal Action - Investigation and more Serious Misconduct or

Allegations of Misconduct...... Page 7

6.Formal Action – Allegations of Gross Misconduct and Suspension from Duty...... Page 8

7.Formal Disciplinary Action and Warnings...... Page 9/10

8.Right of Appeal...... Page 10/11

9.Special Circumstances...... Page 11/12

  • Grievances lodged during disciplinary action
  • Formal action against employee who is a trade union representative
  • Criminal charges or convictions
  • Financial irregularities
  • Safeguarding issues
  • Referral to ISA and other Professional Bodies

Flowchart – Overview of Managing Misconduct...... Page 13

Flowchart – How to Conduct a Disciplinary Hearing...... Page 14

Flowchart – Appeal Process...... Page 15

Code of Conduct...... Page 16/21

DISCIPLINARY POLICY

1.Introduction and Application:

This document sets out the principles and procedures for managing misconduct in a fair and equitable manner. The aim is to help employees achieve and maintain acceptable standards of conduct. To support this aim the procedure takes account of best practice, legislative requirements and guidance contained in the ACAS Code of Practice on Discipline and Grievance Procedures.The Employee Code of Conductalso sets out examples of what constitutes misconduct and gross misconduct.

These principles apply to all employees with the following exceptions:

  • Staff under probation
  • Agency workers and Casual workers
  • The Principal and centrally employed staff who are governed by the relevant Woodard Academies Trust Policy.

The policy does not apply to redundancy as defined in the Employment Rights Act 1996.

2.Responsibilities and Roles:

Whom / Responsibilities
Employee / Co-operate fully with the investigation and attendinvestigatory meeting(s) as required
Act reasonably and do not cause unnecessary delay
Comply with all conditions of suspension if applicable
Attend disciplinary hearing and, if applicable, appeal hearing.
Manager or Principal / Take prompt informal action to address minor misconduct
Conduct a fair and reasonable investigation
Where an investigation has been commissioned, oversee and monitor progress ensuring no unnecessary delay
Seek advice from Human Resources as appropriate
If a formal investigation is undertaken, produce an Investigation Report which will include all the findings and evidence referred to
On conclusion of the investigation decide what further action,if any, is justified
Where allegation constitutes gross misconduct refer to Principal for decision to be taken regarding suspension from duty
Review suspension of employees on a regular basis and maintain regular contact
Check availability of Chair/HR for hearing and book venue
Invite employee to hearing, providing details of allegations, evidence to be presented, witnesses (where appropriate) to be called and their right to be accompanied
Arrange for management witnesses to attend hearing and for release of witnesses for employee (where appropriate)
Present evidence at hearing and answer questions from Chair and employee or employee’s companion/representative
Commission Human Resources to attend Hearing, if required, where potential outcome may be dismissal or where there are complex issues involved
Attend appeal hearings where required.
Chair of Hearing or Principal / Conduct a fair hearing, ensuring there has been a thorough investigation, that the employee is provided with the opportunity to respond and that the outcome is reasonable in view of all the circumstances
Arrange for a note taker to be present where required
Inform employee of outcome of hearing in writing and confirm right of appeal and copy HR into decision letter.
Human Resources / Advise the Chair/Principal/Manager/Investigator on the application of the principles to ensure a fair, reasonable and equitable approach
Attend hearings where commissioned by the Chair/Principal to advise on the management case or advise the Academy Council Member panel where the potential outcome may be dismissal or the issues involved are complex.

Roles:

Level of procedure / Type / Investigation / Disciplinary Hearing / Appeal Hearing
Informal / Minor lapses in conduct or behaviour / Line manager to investigate and resolve / N/A / N/A
Formal / More serious misconduct or allegations of misconduct / Investigation by appointed investigator / Principal / Panel of 2 Academy Council Members plus HR if requested
Formal / Gross misconduct or repeated misconduct where dismissal is possible / Investigation by appointed investigator / Principal plus HR / Panel of 3 Academy Council Members plus HR if requested

3.Principles:

The procedure will apply to all matters relating to:

  • Conduct and behaviour in the workplace;
  • Breaches of Academy policy such as the Code of Conduct and other rules and standards;
  • Activities and behaviour outside the workplace which may bring the reputation of the Academy into disrepute or create a situation where the employee is unable to fulfil the requirements of their contract;
  • Allegations of misconduct arising from action under other Academy policies and procedures such as the Grievance Policy;
  • Inappropriate conduct towards students.

Separate procedures exist for dealing with the management of unsatisfactory performance, sickness absence and medical capability. Where in the course of investigating an incident of alleged misconduct it transpires that it is an issue of medical capability or unsatisfactory performance rather than misconduct, the matter should be referred for action under the relevant procedure. The same manager dealing with the misconduct under the Disciplinary Procedure will normally deal with the relevant capability or medical capability procedures.

The procedure is designed to help establish the facts of a case quickly and to deal consistently with disciplinary issues. No formal disciplinary action should be taken until the matter has been investigated and employees will be given the opportunity to state their case before decisions are reached.

Managers have the authority to initiate the procedure at any level depending on the specific circumstances of the case, and the application of their judgement (when considering whether informal or formal action is appropriate however, no matter how brief, an investigation must take place prior to a formal disciplinary hearing).

The employee will have access to any evidence that the presenting manager wishes to rely on at the formal hearing, through witnesses or documentary evidence. They should also be issued with a copy of the policy/procedure.

Minor instances of misconduct and poor practice should initially be dealt with in an informal wayby the line manager where possible e.g. counselling, training, and setting clear standards for improvement. This could be in the form of management instructions or advice, which should include confirmation of appropriate and expected standards. It should be stressed that such action does not form part of the formal disciplinary procedure, although it may be made clear to the employee that formal action might be taken on recurrence of the conduct in question.

Principals are expected to take all disciplinary decisions against staff, including dismissal. Appeals against any formal disciplinary sanction imposed by the Principal, including dismissal, should be heard by anAcademy Council Member appeal panel. The panel should be compromised of a minimum of 2 Academy Council Members.

An employee willnot be summarily dismissed (that is without notice) except in cases of a finding of gross misconduct. If an employee is dismissed for some other misconduct, such a dismissal will be with notice.

Employees have the right to appeal against any formal disciplinary sanction imposed. There is, however, no right of appeal against any informal action taken by a manager.

The following principles will also apply:

  • All proceedings, whether informal or formal, will, so far as is practicable, remain confidential. The employee is also expected to abide by this principle and not discuss the details with other employees, anyone outside the academy and, in particular, with students.
  • Where allegations constitute gross misconduct employees may be suspended on normal contractual pay. The decision to suspend will be taken by the Principal after taking advice from the Woodard Academies Trust (WAT).
  • Employees have the right to be accompanied at formal stages by a ‘companion’ who is his/her trade union representative or a work colleague. Where the choice of the companion presents a conflict of interest to the Academy the Principal/Chair reserves the right to request an alternative companion.
  • Although there is no statutory right for an employee to be accompanied at any investigatory meeting, this will be permitted where it does not cause unnecessary delay to the investigation.
  • Reasonable adjustments will be considered for employees with a disability, for example, location of hearing and choice of companion where assistance is required.
  • No unnecessary delay should occur during the investigation or formal stages. The Academy will attempt to reschedule the hearing, normally on one occasion, in the event of failure to attend or when the companion is not available. The employee may propose a reasonable alternative date that is within 7 calendar days of the original date. In the event of a further failure to attend, the Academy reserves the right to hold the hearing in the employee’s absence and reach any conclusion it deems appropriate after considering the evidence available. In exceptional circumstances, depending on the nature of the offence, the hearing will proceed on the first arranged date.
  • If non-attendance is due to a serious medical reason, the employee must inform the Principal or relevant manager as soon as possible. Written confirmation together witha medical certificate must be submitted which cover the relevant dates.
  • Reference to Human Resources is recommended where formal action is to be taken. HR can attend any disciplinary hearing where the potential outcome is dismissal. The Chair of a hearing may commission HR to attend any hearing where it is considered that HR support is required for complex issues whether the potential outcome is dismissal or not. The outcome of a disciplinary hearing will be notified to Human Resources for recording and monitoring purposes.
  • Any disciplinary action imposed will be proportionate to the severity of the offence and be applied consistently. There must be a reasonably held belief that the employee committed the act in question.
  • Where the investigation has not been able to clearly establish the facts or issues, a decision may be taken on the ‘balance of probabilities’.
  • No employee will be dismissed for a first breach of discipline, expect in cases of gross misconduct.

The disciplinary hearing will be conducted in accordance with the arrangements set out in the Flowchart on page 14.

4.Informal Action- minor lapses in conduct

Minor lapses in conduct or behaviour will be managed informally, normally by discussion between the manager and employeeand through management guidance, advice or instruction, counselling and/or training for example. The employee should be told what standards are expected, how this will be reviewed and over what time period. The employee has no right to be accompanied by a companion at informal discussions.

The manager should inform the employee of the consequences of further lapses or of no improvement. Notes of the discussion should be taken and retained in case of need. There is no requirement to confirm the discussion in writing to the individual as this may constitute formal action. If no improvement in conduct or behaviour occurs, formal disciplinary action should be taken.

If during an informal meeting it becomes clear that the matter is more serious than first thought, the meeting can be adjourned by the employee or the managerand a decision made as to whether formal action should be taken. Managers should speak to their Principal for further advice at this stage. The employee should be kept informed of any decisions and advised of any timescales.

Any informal action of a related nature can be referred to if the matter is subsequently referred for formal action under this Procedure.

5.Formal Action - Investigation and more Serious Misconduct or Allegations of Misconduct

Where more serious misconduct occurs or allegations of misconduct are made, an investigation must take place to establish the facts.

Investigating officers will be drawn from the Academy management team and will not have had prior involvement in the case. There will however be exceptional circumstances where it may be necessary to appoint an independent investigating officer. This may be where there are no members of the Academy management team who have not had prior involvement in the matter or where specialist knowledge is required (money laundering allegations for example).

Managers are required to arrange for the following:

  • Undertake investigations, prepare reports and draft allegations.
  • Ensure that all relevant paperwork and full details of the allegations and witnesses are supplied to the employee;
  • Make arrangements for administering the process including arranging for notes to be taken and written up.

On conclusion of the investigation, identify whether there is justification to take the case to a disciplinary hearing. If it is justified, the formal disciplinary process should be followed.

Managers should contact Human Resources for guidance on how to conduct an investigation.

Note: The vast majority of Employment Tribunals that result in a successful challenge are because of the inadequacy of the investigation, so it is important that this is conducted thoroughly and fairly.

Sensitive Allegations -notwithstanding the general obligation on the Academy to act promptly, there will sometimes be over-riding reasons to delay the commencement of disciplinary action. For example, where there are allegations of abuse against children/students (whether or not in the course of employment), the needs of the child might have to be addressed and investigated as a priority before disciplinary action is commenced. Procedures for dealing with allegations of child abuse by Academy based staff are available separately. Advice should be sought from the Local Authority Designated Officer for Child Protection to assess whether the allegation meets the threshold of significant harm. If so a child protection strategy meeting will normally be convened. HR may be involved and invited to attend strategy meetings where appropriate.

There may also be specific legislation (for example regarding money laundering or terrorism), which prevents the Academy notifying the employee of the alleged misconduct or there may be a criminal investigation in progress which will require liaison with the police (see also section 6). In such cases, the delay between the date of the alleged misconduct and the date of the eventual commencement of disciplinary action will not be a reason for the Academy to forego disciplinary action.

6. Formal Action - allegations of Gross Misconduct and
Suspension from Duty

Where allegations constitute gross misconduct the manager should refer the matter to the Principal for consideration to be given to suspending the employee from duty.

Suspension is a neutral act and should not be used as a punishment. An employee who is suspended pending a disciplinary investigation will be suspended on full contractual pay. “Full contractual pay” means basic salary, contractual overtime and any contractual allowances but does not include voluntary overtime.

All suspensions must be reviewedby the Principal after 20 working days. Thereafter, a suspension must be reviewed every 20 working days and a written explanation provided for the continuation of the suspension, if the employee (or their union representative) requests it. The Principal must act promptly to lift the suspension if it becomes clear that there is no longer a justification for suspension (whether or not the disciplinary action is to continue).

Employees who are suspended will not be permitted to enter the Academy site except by prior agreement with the Principal. They must also not contact work colleagues during working hours by any means or for any reason, unless they have express written permission from the Academy to do so.Employees must make themselves available as required during normal working hours and comply with the academy’s policies and procedures, e.g. sickness and annual leave arrangements.

Gross Misconduct -gross misconduct is defined as misconduct of such a serious nature that the Academy is justified in no longer tolerating the employee's continued presence at work or where by their actions, the employee has breached their contract of employment. Where the allegation is considered to potentially be gross misconduct, then this may result in the employee's immediate suspension from work. If the allegation(s) are proven, then this could result in summary dismissal without notice.

Other Misconduct -there is also other misconduct, which might be serious enough to merit dismissal where the Chair decides that no lesser sanction would be sufficient. Misconduct of a serious or repeated minor nature may result in the issuing of a written or final written warning. Examples include: inappropriate behaviour e.g. hostility or rudeness, failure to comply with reasonable management instruction or attendance or time-keeping requirements.

Cumulative or repeated acts of misconduct may lead to dismissal with notice in situations where an act of misconduct is committed whilst an earlier warning is still in force.

Criminal Offences -Sometimes an allegation about conduct at work or related to work, leads to criminal action against an employee, and/or an investigation by the police, or an external agency. In these circumstances the Academy is not obliged to await the final outcome of the criminal proceedings or of the external investigation, but are strongly advised to consult with the police before beginning disciplinary action. The Academy may conduct its own investigation and take its own disciplinary action. The Academy may however choose to await the final outcome of the criminal proceedings or of the external investigation before commencing its own disciplinary action. In such cases, the delay between the date of the alleged misconduct and the date of the commencement of disciplinary action will not be a reason for the Academy to forego disciplinary action.

Examples of misconduct or gross misconduct are contained in the Code of Conduct – although this is not an exhaustive list.

7. Formal Disciplinary Action and warnings

Where formal disciplinary action is to be taken there are severalstages to be followed(see flow charts on pages 13-15):