STAFF CONDUCT POLICY. Incorporating. Staff Disciplinary Policy Staff Grievance Policy

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1 STAFF CONDUCT POLICY Incorporating Staff Disciplinary Policy Staff Grievance Policy Policy Owner: WR Hughes Date ratified by Governors: May 2012 Date to be reviewed: May 2014

2 STAFF GRIEVANCE POLICY Recommended Policy and Procedure for Schools Managed Staff and Centrally Employed Teachers Stoke-on-Trent Children and Young People s Services Human Resources Section 5 Policy Owner: WR Hughes Date ratified by Governors: May 2012 Date to be reviewed: May

3 Contents 1. Introduction 2. Principles Grievance Procedure 3. Scope of procedure 4. Standard School procedure 5. Headteacher Grievance Procedure 6. The Local Authority Procedure 7. The Enhanced School Procedure Appendix 1 Guidelines for conducting an investigation Appendix 2 Procedure for Appeal meeting Appendix 3 Standard letter templates Appendix 4 Additional guidance note Harassment and Bullying 2

4 1. INTRODUCTION 1.1. The purpose of this policy is to give all employees working in schools and centrally employed teachers, a means to resolve concerns, problems or complaints relating to their employment. 1.2 This procedure has been adopted by the Governing Body of Ormiston Horizon Academy June 21 st 2012 which has been recommended by the Local Authority(LA) following consultation with the recognized teachers and support staff trade union associations. 2. PRINCIPLES 2.1 It should be emphasised that the underpinning principle of this process is that employees should, wherever possible, seek to resolve their differences informally in the first instance without recourse to formal procedures. Such informal resolutions generally enable colleagues to resume productive and professional working relationships more easily in the future. 2.2 It is a legal requirement to ensure that these procedures are made known to all staff (for example it would be good practice for a copy to be displayed on the staff room notice board). 2.3 At all stages of the process, confidentiality should be maintained and respected by all parties. 2.4 Formal grievance procedures are designed to provide a fair, transparent and systematic way of investigating and resolving grievances 2.5 Both parties to a formal grievance are entitled to be represented by a Trade Union Representative or Work colleague, at all stages. 2.6 For the purpose of the formal procedure, the term grievance means a complaint meeting the following requirements : The grievance must be specific to the individual employee; grievance procedures cannot be used to complain about collective matters e.g. pay, conditions of service issues, general policies/procedures The grievance must relate to the individual employee s employment The grievance must be substantial in the sense that, if the facts were as stated by the employee, it would be reasonable to conclude that significant grounds for complaint existed The grievance must involve a complaint about unfairness, e.g. where an employee complains that he/she has been deprived of some benefit to which he/she is entitled, or, has been treated in a biased manner or has been induced to do something by a misrepresentation. A grievance is not established simply because an employee disagrees with a decision that has been taken Redress must not be impracticable. 3

5 2.7 The grievance procedure is essentially a residual procedure. It will not be used when a more specific procedure has been devised for dealing with issues. For example, if there is to be a staffing reduction at a school, an employee selected for displacement in accordance with the Authority s RITSSE document, must, if aggrieved at his/her selection, apply for a review of the decision under the terms of that procedure. 2.8 The grievance procedure should be used when dealing with matters which could relate to harassment and bullying. Please see appendix 4 for further guidance on harassment and bullying. 2.9 In some cases, and where the informal process has been unsuccessful outside help from an independent mediator can help, especially with problems involving working relationships. To discuss mediation please contact your usual HR Advisor or trade union representative Written records of any grievance that is dealt with should be kept. Records should be treated as confidential and be kept no longer than necessary in accordance with the Data Protection Act. Records should include : The nature of the grievance What was decided and actions taken. The reason for the actions. Whether an appeal was lodged. The outcome of the appeal. Any subsequent developments Notes should be taken at all grievance meetings. The employee raising the grievance and the employee who has had the grievance raised against them, should be asked to sign the notes from their own meetings. Witnesses should be informed that their statements/meeting notes maybe disclosed to all parties concerned. However, in certain special circumstances (for example to protect a witness) the employer might withhold some information A 24 hour independent confidential counselling service is available everyday for employees, including those affected by harassment and bullying in the workplace. They can be contacted on Employees may also wish to consult their professional association/trade union or the teacher support network on SCOPE OF PROCEDURE 3.1 Former Employees The Grievance Procedure is for current employees only. However, occasionally an employee s letter of resignation may indicate that their decision relates to a perceived grievance; it is possible that such a resignation could be a precursor to the former employee taking a Constructive dismissal claim to an Employment Tribunal. In 4

6 these circumstances it is important that the Head Teacher/Line Manager seeks advice from HR Consultancy. 3.2 Third Parties Employees might raise issues about matters not entirely within the control of the organisation, such as issues around the behaviour of parents towards them. Organisations should treat these in the same way as other grievances and make it clear to third parties that issues will be dealt with seriously, and action taken, if necessary to protect employees. 3.3 Current Employees within Schools and Centrally Employed teachers, an employee s grievance will be dealt with differently depending on the nature of the grievance and/or who it is against. To decide which procedure to use, please consult the following table : Who is the grievance against? Any employee of the school (not the Head Teacher) (This procedure also applies where a centrally employed teacher has a grievance against a school employee) Nature of the Grievance Any matter Which grievance procedure will/maybe used? Standard School Procedure (Please refer now to section 4) The Head Teacher Any matter Head Teacher Grievance Procedure (Please refer now to section 5) Any Local Authority Officer Any matter The Local Authority Procedure (Please refer now to Section 6) Any person The grievance could involve contravention of the law in relation to the Equality Act (This is not exhaustive) 4. STANDARD SCHOOL PROCEDURE 4.1 INFORMAL STAGE The Enhanced School Procedure if appropriate. (Please refer now to Section 7) When the employee s grievance is against a colleague, it would be good practice for the employee to approach the other member of staff concerned to see whether the grievance can be resolved by informal discussion, before approaching the Headteacher Where an employee is aggrieved about any other matter relating to their employment, the appropriate course of action, in the first instance, is for the employee to discuss their concerns with their Headteacher. At this stage the meeting should ideally be as informal as possible and a request from the employee for professional association or trade union involvement will not be unreasonably refused. 5

7 4.2 FORMAL STAGE STAGE ONE If the employee remains dissatisfied in terms of the outcome from the informal stage the grievance they should request a formal investigation of his/her grievance by the Head Teacher. The request should be made in writing setting out the facts and nature of the grievance. A copy of the documentation must be given to the other party involved including witness statements. Both parties to the formal grievance are entitled to be represented by a trade union representative or work colleague, at all stages The Head Teacher should arrange for the matter to be investigated without reasonable delay (ideally within 5 working days). (This should be conducted personally or through a nominated representative). The investigation MUST include a meeting with the person bringing the complaint. This may include interviewing both parties either separately or jointly agreed together The Head Teacher should then convene further separate meetings of witnesses if necessary and carry out any other investigations that are needed The Head Teacher could then convene further separate meetings of the parties involved and inform them of the results of the investigation. The decision MUST be confirmed in writing, where possible within ten working days of the outcome of the investigation, offering the right of appeal within five working days. STAGE TWO (APPEAL) If either party is dissatisfied with the outcome of the Headteacher s investigation of the grievance, he/she may request a hearing before a committee of the governors appointed for the purpose - this would normally be the Appeal Committee (Refer to Appendix 2 Procedure for Governors Appeal Meeting). The appeal must be lodged within 10 working days of receipt of the outcome of the stage 1 investigation The employee should prepare a written statement of her/his views incorporating a clear statement of the nature of the grievance and of her/his reasons for being dissatisfied with the results of the investigation by the Headteacher. The Headteacher should prepare a written report based on the findings of the investigatory meeting(s) The decision of the Appeals Committee must be communicated in writing. With regard to this procedure, the Appeal Committee decision is final. 6

8 5. HEADTEACHER GRIEVANCE PROCEDURE 5.1 INFORMAL STAGE Where the grievance is against the Headteacher the employee may approach the Headteacher to see whether the grievance can be resolved by informal discussion. Should the employee wish to request to be accompanied by their professional association or trade union representative, this will not unreasonably be refused. Head Teachers should ensure that they keep records of the grievance raised and the action taken. These records should be treated as confidential and should be kept no longer than necessary in accordance with the Data Protection Act Where the employee wishes to do so the grievance can be bought to the Chair of Governors attention who can arrange to resolve the matter informally FORMAL STAGE STAGE ONE Where the employee s grievance is with the Headteacher and has not been resolved by informal action, he/she may request a formal investigation of his/her grievance. The request must be in writing to the Chair of Governors of the school and must specify the nature of the grievance. A copy of the request must be given to the Headteacher Without reasonable delay (ideally within 5 working days), the Chair of Governors of the School must discuss the matter with Human Resources who will advise on the process. The Chair of Governors will need to nominate an individual governor at the school to carry out the investigation, or make arrangements to buy the time of a Local Authority Officer, or another external third party to carry out the investigation. To request the assistance of a Local Authority Officer the Chair of Governors should write to the Assistant Director Learning Services The nominated Investigating Officer should initiate an investigation without unreasonable delay. The Investigating Officer should : meet with the employee to hear his/her grievance (this is a statutory requirement) interview the parties produce a report on the matter and pass to the Chair of Governors. Both parties to the formal grievance procedure are entitled to be represented by a trade union representative or work colleague, at all stages The Chair of Governors should inform the parties as quickly as possible after the end of the investigation, of the results. Copies of the report should be forwarded to both the complainant and the Headteacher 7

9 against whom the complaint has been made. The complainant MUST be offered the right of appeal. STAGE TWO (APPEAL) If the employee or the Head Teacher is dissatisfied with the result of the investigation of the grievance, he/she may request a hearing before an Appeal s Committee of three governors with no prior involvement in the case. (Refer to Appendix 2 Procedure for Governors Appeal Meeting) The Appeals Committee will consider the Chair of Governor s report, the parties statements and any oral representations made to them before coming to a decision on what findings or acts should be made and what action should be taken or recommended Before the Panel considers it s decision, both parties should withdraw. The decision should then be confirmed in writing, With regard to this procedure the decision of the Appeal s Panel is final. 6. THE LOCAL AUTHORITY PROCEDURE 6.1 INFORMAL STAGE Where a school managed employee has a grievance against a member of the Authority s staff, the appropriate course of action, in the first instance, is for the employee to discuss their concerns with that officer. At this initial stage of the process the meeting should ideally be as informal as possible and, consequently, it should not be necessary to involve outside parties. If the employee feels their grievance cannot be resolved in this way, they should seek advice from their professional association/trade union representative who will arrange to discus with the Assistant Director and a member of Human Resources. 6.2 FORMAL STAGE STAGE ONE If the employee considers that the grievance has not been resolved by informal action, he/she may request a formal investigation of his/her grievance by the Assistant Director Learning Services and shall notify the other party. The request should be made in writing and should specify the grievance precisely Without unreasonable delay (ideally within 5 working days) of such a formal request, the Assistant Director Learning Services should initiate an investigation into the Grievance by appointing a nominated representative. The investigation MUST include a meeting with the person bringing the complaint as a minimum and may include interviewing both parties either separately or together. The nominated representative must produce a report on the matter as quickly as possible and a copy supplied to the employee raising the matter. The report MUST be accompanied by a letter offering the right of appeal. Any other member of staff against whom the employee has made the complaints should also receive a copy 8

10 of the report. Both parties to the formal grievance procedure are entitled to be represented by a trade union or work colleague at all stages. STAGE TWO (APPEAL) If either the employee or the member of staff against whom the employee made a complaint are dissatisfied with the result of the Assistant Director Learning Services of his/her grievance, either may request a hearing before the Director of Children and Young People s Services. Any such request should be made in writing and state both the original grievance and the reason why the employee or the member of staff is dissatisfied with the outcome The Director of Children and Young People s Services will consider the Assistant Director Learning Services report, the parties statements and any oral representations made to them before coming to a decision on what findings or acts should be made and what action should be taken or recommended Before the Director of Children and Young People s Services considers his/her decision, both parties should withdraw. The decision should then be confirmed in writing, With regard to this procedure the decision of the Director of Children and Young People s Services is final. 7. THE ENHANCED SCHOOL PROCEDURE This procedure will be used in those circumstances where the nature of the grievance could result in a contravention of the law as stated under paragraph Where it appears to the aggrieved employee (or to the Headteacher when he/she is made aware of the complaints) that the enhanced school procedure should apply, the Assistant Director, Learning Services must be immediately notified of the position. 7.2 If the Assistant Director, Learning Services agrees that the procedure applies, she/she will nominate a representative to investigate the grievance jointly with the Headteacher. Where the grievance is against the headteacher a governor or member of senior leadership team will be nominated to carry out the investigation. 7.3 The procedure set out in paragraphs to will apply, but with the addition that reports will be produced by the person nominated by the Assistant Director, Learning Services as well as the Headteacher. These reports maybe either joint or separate. 7.4 If the employee is dissatisfied with the result of the Assistant Director, Learning Services consideration of the matter, he/she may request a hearing before the Director of Children and Young People s Services as per section

11 Appendix 1 Guidelines for Conducting an Investigation 1.1 Pre- Investigation Leave at least half a day to see the complainant and the person against whom the grievance is made Invite the complainant to an interview first, ensuring they are 1. offered the right to be accompanied 2. reminded that they should bring along any documentary evidence that they may think is useful 3. asked to bring the name of any witnesses that they think should be seen and why Arrange a room with ample space and free from interruptions. Prepare Questions Inform the person against whom the grievance has been made that a grievance has been received and invite to interview, ensuring that they are: 1. offered the right to be accompanied 2. reminded that they should bring along any documentary evidence that they may think is useful 3. asked to bring the name of any witnesses that they think should be seen and why 1.2 Conducting the Interview Introductions Spell out the rules of confidentiality and that information will be shared with either party and disclosed in the course of the investigation to relevant parties. Explain the procedure that the investigation will follow and ensure that they are in receipt of a copy of this procedure. Explain the process that the interview will take i.e. 1. That they can break any time 2. That everything said will be noted and they will be asked to sign the interviewers notes to confirm that an accurate record has been made. 3. Anything forgotten about can be mentioned at a later date 4. Questions will be asked 5. Witness names and details of what they can offer will be asked for 6. Counselling Service Leaflet issued 1.3 Interviews with Witnesses Welcome the witness and explain why they have been called Stress that they ARE NOT BEING ACCUSED OF ANYTHING, they are there to help Witnesses to be informed that it their statements may be disclosed to all parties concerned. (However, in certain, special circumstances (for example to protect a witness) the employer might withhold some information.) 10

12 Appendix 2 Procedure for Governors Appeal Meeting The Governor s Appeal Committee may ask a representative of the Director of Children and Young People s Services to attend to offer specialist advice. 1. Chair to provide introduction and explain the ensuing procedure 2. Appellant, or their representative, presents their case, explaining their objection to the decision of the Stage 1 investigation 3. Stage 1 investigator may ask questions of the appellant or their representative 4. Members of the Appeal Committee and Director of CYPS representative may ask questions of the appellant or their representative 5. Stage 1 investigator (e.g. Headteacher), responds to appellant s case 6. Appellant, or their representative, may ask questions of the Stage 1 investigator 7. Members of the Appeal Committee and Director of CYPS representative may ask questions of the Stage 1 investigator 8. The Headteacher to be invited to express her/his views if not already done so 9. The Stage 1 investigator to sum up case 10. Appellant, or their representative, to sum up case 11. Parties retire, the Director of CYPS representative to remain to advise the governors. The above procedure may be varied by agreement of all parties. 11

13 Appendix 3 Standard Letter Templates Invite letter STRICTLY PRIVATE AND CONFIDENTIAL Dear *********, Re. Grievance Meeting at ********* ********* School I am writing to you in response to your written request to invoke the first stage of the Grievance Procedure, in relation to issues whilst employed as a ***** within this school. In accordance with the procedure, I would be grateful if you could attend a meeting arranged for ********** at ***pm/am, at ************. In accordance with the procedure, you may be accompanied by a Professional Association/Trade Union representative or a fellow employee. I should be grateful if you would please phone *********** on **** to confirm your attendance. Yours sincerely (Name) (Position) (School) 12

14 Stage 1 outcome STRICTLY PRIVATE AND CONFIDENTIAL Dear ************** Re. Grievance Meeting I am writing further to our meeting on *********** which was arranged in accordance with the Stage One of the Formal Grievance Procedure, to enable us to discuss your concerns. For information, please find attached a copy of the notes of the meeting. Having explored the issues fully with you and fulfilling the appropriate investigations in order for me to build up a complete picture, I am now in a position to deliver my response. You raised concerns regarding *********** (summarise the grievance and the information that has been gathered to substantiate/refute these allegations) I trust that you will have found my response helpful, and should like to thank you for bringing these issues to my attention. It is always useful to receive feedback from staff on their experiences in order that we can continually improve our working practices. In accordance with the agreed Grievance Procedure for School Managed Employees, should you remain dissatisfied with the outcome of the grievance meeting, you may take your concerns to the appeal stage within 10 working days. However, I do hope that you feel that your issues have been addressed. Should you wish to discuss any aspect of the above, please do not hesitate to contact me. May I take this opportunity to wish you all the best in the future. Yours sincerely 13

15 Invite letter for Stage 2 (Appeal) STRICTLY PRIVATE AND CONFIDENTIAL Dear *********, Re. Grievance Appeal Meeting at ********* ********* School I am writing to you in response to your written request to invoke the appeal stage of the Grievance Procedure, in relation to issues whilst employed as a ***** within this school. In accordance with the procedure, I would be grateful if you could attend a meeting arranged for ********** at ***pm/am, at ************. In accordance with the procedure, you may be accompanied by a Professional Association/Trade Union representative or a fellow employee. I should be grateful if you would please phone *********** on **** to confirm your attendance. Yours sincerely (Name) (Position) (School) 14

16 Stage 2 outcome STRICTLY PRIVATE AND CONFIDENTIAL 1.4 Dear ******* Stage 2 Grievance Appeal Hearing I am writing to confirm the outcome of the Hearing on **** ****. You attended the hearing and were represented by You clarified that your grievance was in relation to (nature of grievance and brief summary of effects on individual/reasons feel aggrieved). Following the hearing, careful consideration has been given to the matters that you raised and to the investigatory evidence collated by (*** during the first stage of the procedure). In the light of these deliberations, the Appeal Panel have decided not to/to* (*delete as applicable) uphold your grievance. The reason for not upholding/upholding* (*delete as applicable) *************************************************************************************************** *************************************************************************************************** ** If you have any queries regarding any aspect of the decision made, please do not hesitate to contact myself on *************, or the Headteacher* (*if this is appropriate, delete as applicable). This is the final stage of the grievance procedure. Yours sincerely Mr/Mrs (Position) **** School 15

17 Appendix 4 Additional Guidance note - Harassment and Bullying Allegations of harassment and bullying should be dealt with under this grievance procedure. This purpose of this guidance note is to give Managers and employees additional information in this specific area which could give rise to a grievance. Overview 1. All colleagues are entitled to be treated with dignity and respect at work. Employees in schools or centrally managed educational establishments need to work in an environment where diversity is valued and they are free from harassment and bullying. 2. Harassment or bullying will not be tolerated; Headteachers, Governors and Managers should ensure that all complaints raised are treated seriously and dealt with promptly. 3. In certain circumstances a Headteacher/Manager may believe that they are being subject to bullying or harassment and he/she has an equal right to the protection of this procedure and the support of School Governors. 4. Advice will be available to employees about how to deal with situations where they feel they are (or someone they know is) being harassed or bullied at work. All employees should ensure they understand their own responsibilities to treat others with dignity and respect at work. 5. Employees are entitled to be informed as soon as possible that a complaint has been made against them. 6. A 24 hour independent confidential counselling service is available everyday for employees, including those affected by harassment and bullying in the workplace. They can be contacted on Employees may also wish to consult their professional association/trade union or the teacher support network on Where a serious incident occurs which may warrant disciplinary action, the disciplinary procedure should be followed. If an outcome of the Harassment & Bullying investigation is that there should be disciplinary action it may be necessary to conduct further investigatory interviews, in line with the Disciplinary Procedure. In addition, potential witnesses must be approached for their consent to participate in a disciplinary hearing, if appropriate. 16

18 Guidance for Headteachers/Managers 1. As part of your duty of care as a Headteacher/Governors/manager to provide a safe and healthy work environment you need to ensure that all employees are treated with dignity and respect at work. This includes ensuring that diversity is valued and that the workplace is free from harassment and bullying. 2. It needs to be made clear within your school/team that harassment and bullying will not be tolerated and that any complaints raised will be treated seriously and dealt with promptly. 3. It should be recognised that what most people regard as acceptable language or conduct may be offensive to others. Although someone may apparently accept something that is said or done and no offence was intended, it doesn t mean they are not upset or offended by it. Similarly with bullying, it is the person s perception of what is happening to them that is important not the apparent or claimed motive or intent. 4. You should try to ensure that all staff understand their responsibilities to treat others with respect and dignity at work. Heads/managers can set a good example through effective communication and listening to and respecting the views of others. 5. Heads/Managers should also ensure that employees are aware of the Authority s Policy and that they will be supported in dealing with situations where they feel they are (or someone they know is) being harassed or bullied at work. 6. Often where an issue arises, an informal approach by an individual may resolve the matter. However once a Headteacher/manager is made aware of an issue, it is his/her responsibility to address the matter as a matter of urgency to prevent escalation and demonstrate duty of care. 7. Having listened to both parties, wherever possible a serious attempt should be made to resolve matters without recourse to formal procedures. Possible strategies could include: o Discussion o Advice/guidance o Training o Coaching o Mentoring o Mediation. 8. In cases where a formal complaint is made and a full independent investigation is undertaken, managers should ensure that any recommended action arising from the investigation is acted upon as quickly as possible and the situation kept under review. 17

19 9. Care needs to be taken that any employee making a complaint does not suffer any detriment as a result. For example they should not normally be moved out of the workplace and/or deployed on other duties. Likewise an employee should not suffer victimisation, retribution or exclusion as a result of making a complaint. 10.If a complaint is subsequently found to have been made vexatiously, the matter should then be referred to the appropriate Disciplinary Procedure. 11. Headteachers/Governors/Managers should ensure that employees affected by harassment and bullying in the workplace are aware that the City Council offers independent, confidential and individual counselling for City Council employees, free of charge. 12. Where a serious incident comes to light which may warrant disciplinary action being taken, the matter should be referred to the Disciplinary Procedure. In certain circumstances this may require an employee to be suspended immediately from duty pending investigation and (where appropriate) a disciplinary hearing. In such cases the relevant policy should be referred to. Advice for Employees on Harassment and Bullying in the Workplace The Authority and Governors believe that everyone is entitled to be treated with dignity and respect at work and want to ensure that all employees work in an environment which is free from harassment or bullying. As such all employees have a responsibility to ensure that they do not behave in a way which could be interpreted as Harassment or Bullying. This means that harassment or bullying will not be tolerated and all complaints made will be treated seriously and dealt with promptly. This advice has been produced to give advice to employees on how to deal with situations where they feel they are (or someone they know is) being harassed or bullied at work. What is Harassment and Bullying? 1. This is not always an easy question to answer; often it is obvious to everyone that harassment or bullying is taking place, but at times someone may feel they are being harassed or bullied in ways which don t fit the normal definitions. This means that we always have to try to look at the matter from the individual s perspective and consider how they feel about what is happening to them. 2. On the other hand just because we don t always like what we are being told to do, it doesn t mean that we are being bullied or harassed. There has to be a lot of give and take at work with all colleagues and firm management doesn t necessarily amount to harassment and bullying. The manager has the right to manage and expect employees to fulfil their job role. 18

20 3. From the definitions below which ACAS use, you can see what we usually mean by bullying and harassment::- o o Bullying may be offensive, intimidating, malicious or insulting behaviour, an abuse or misuse of power by means intended to undermine, humiliate, denigrate or injure the recipient. Harassment, in general terms, is unwanted conduct affecting the dignity of men and women in the workplace. It may be related to age, sex, race, disability, religion, nationality or any personal characteristic of the individual, and may be persistent or an isolated incident. The key is that the actions or comments are viewed as demeaning and unacceptable to the recipient. 4. The current definition of harassment as applied to sexual orientation, religion or belief and race and ethnic and national origin is: "unwanted conduct that violates people's dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment." It should also be noted that extreme cases of harassment can constitute a serious criminal offence 5. Examples of unacceptable behaviour could include: o o o o o o o o o Discriminating, spreading malicious rumours, or insulting someone on any grounds (where based on the grounds of race, sex, age, disability, sexual orientation, religion or belief, trade union membership, the behaviour may be unlawful); Copying memos that are critical about someone to others who do not need to know; Ridiculing or demeaning someone picking on them or setting them up to fail; Victimisation or unjustified exclusion; Overbearing supervision or other misuse of power or position; Unwelcome sexual advances touching, standing too close, display of offensive materials or suggestive comments; Making threats about job security; Deliberately and persistently undermining a competent worker by constant criticism; Preventing individuals progressing by intentionally and unreasonably blocking promotion or training opportunities. (This is by no means a complete list). 6. Harassment or bullying can also exist as a result of the general prevailing culture within a work unit or department, for example one in which it is common place to tell homophobic jokes or to swear. Such a culture is unacceptable and should not be encouraged or tolerated. 7. Harassment or bullying isn t always face to face for example; it may happen by written communications, s, text messages or telephone. It can be 1 to 1 or by employees acting in groups. 8. The display of other material within the work environment such as pictures, posters or leaflets which may be deemed offensive is not acceptable. It is 19

21 obviously not possible to determine what may or may not cause offence to an individual; therefore caution should be exercised at all times. 9. Signs of harassment or bullying can often be hard to recognise they may not be obvious to others, and may be insidious. The recipient may think perhaps the behaviour is considered normal by everyone else or that it is their fault that it is happening. They may be anxious that others will consider them weak, or not up to the job, if they find the actions of others intimidating. They may think they will be accused of overreacting and worry that they won t be believed if they do report incidents. 10. This is why all employees need to make it clear in their own workgroups that harassment and bullying are both unwelcome and unacceptable. Why do the Authority/Governors want to take action to eliminate harassment and bullying? 11. Harassment and bullying are not only unacceptable on moral grounds but if unchecked or not handled well, can create serious problems for all in the workplace including: o o o o o o o Poor morale and poor employee relations Breakdown in working relations within and between teams Loss of respect for managers and supervisors Poor performance Lost productivity Absence Untimely resignations 12. Above all we want to promote a safe, healthy and fair environment in which people enjoy their work and feel valued. What should you do if you come across harassment and bullying at work? 13. If you are the Headteacher/Manager you have a duty of care to maintain a safe and healthy work environment. You must therefore; o Set standards and make it clear that harassment and bullying is unacceptable in the workplace; o Make it clear that concerns and complaints will be taken seriously; o Act quickly to eliminate such behaviour, if it occurs, by discussion with the individuals concerned or taking disciplinary action in accordance with the Authority s procedure, as appropriate in the circumstances; 14. If you believe that someone is being harassed or bullied you should report the matter immediately either to the Headteacher their line manager (or more senior manager where the line manager seems to be involved). 20

22 15. If you think you are being harassed or bullied in most instances a quiet word with the person concerned will result in a change in their behaviour towards you. Arrange to speak to him/her in private, explain your concern and make it clear that you want the behaviour to stop. If you need someone there to support you, take along a work colleague but try to make sure that the matter stays confidential between you. o If an informal approach does not work (or you don t feel confident about speaking directly to the person concerned) then have a word with your own line-manager. Explain your concern and that you want the behaviour to stop. Your manager will look into the matter and try to resolve the situation. 16. If it is the behaviour of your own line manager that is of concern to you and it has not been possible to resolve the matter through an informal approach, then you should raise the matter with a more senior manager, the Headteacher or Chair of Governors. 17. It is always preferable to try to resolve matters informally, wherever possible. However, where this does solve the problem then you should refer to the formal procedure. 18. It is recognised that employees may feel anxious about raising a complaint however employees can expect to receive appropriate support and be protected from victimisation and recriminations either during the complaint process or afterwards. 19. If you are accused of Harassing or Bullying a colleague you should attempt to resolve the situation informally with the other person, you should however be aware that they may feel sensitive about this so you should ensure that they are willing to discuss the issue with you, if you need someone there to support you, take along a work colleague but try to make sure that the matter stays confidential between you. Ensure you listen to the other party to find out what they see the issues as and explain the situation as you see it, often by sharing differing perceptions of the same event a common understanding can be reached and an issue resolved. 20. If you feel unable to speak to the individual or if the accusation is being raised at a formal level it is advisable to seek advice from your Trade Union or Professional Association if you are a member. If you are not you may be accompanied at any associated meetings by a work colleague. 21. If you are a Headteacher or Senior Manager and you believe that you are being harassed or bullied you can again attempt to resolve the situation informally with the individual involved. If this approach does not work or you feel you need to discuss the situation in more detail you could approach the Chair of Governors or Assistant Director (Learning Services) who would assume the role as a line manager. What support is available to me? 22. Your trade union representative will advise you about how to raise a formal complaint and support you through the process. 23. Your Headteacher/manager is committed to eliminating harassment and bullying in the workplace; if you have concerns, please let them know. 21

23 24. The Authority s Human Resources Team can also offer guidance. 25. A confidential counselling service is available to employees who are affected in any way by harassment and bullying at work. The line is open 24 hours every day. 26. The Authority s Occupational Health service can also provide support to employees. You can self refer yourself by telephoning the service. 27. Teacher Line can also provide practical and emotional support and advice specifically to Teachers. Phone numbers for support services can be gained from your line manager or HR department. 22

24 Staff Disciplinary Policy Recommended Policy and Procedure for Schools Managed Staff and Centrally Employed Teachers Stoke-on-Trent Children and Young People s Services Human Resources Section 3 Policy Owner: WR Hughes Date ratified by Governors: May 2012 Date to be reviewed: May

25 DISCIPLINARY POLICY AND PROCEDURE CONTENTS 1) Introduction 2) Principles 3) Scope of procedure 4) Informal action 5) Investigation/charges by external agencies 6) Complaints regarding conduct outside work 7) Suspension 8) Investigation 9) Disciplinary hearings 10) Levels of disciplinary sanction i. Formal verbal warning ii. Formal written/final formal written warning iii. Dismissal/action short of dismissal iv. Review of warnings 11) Appeal 12) Special circumstances 24

26 1. INTRODUCTION 1.1. The purpose of this policy and procedure is to encourage and support all employees working in schools, and centrally employed teachers, to achieve and maintain acceptable standards of conduct and behaviour This procedure has been adopted by the Governing Body of Ormiston Horizon Academy School on 22 nd June 2012 and is based upon the model procedure recommended by the Local Authority (LA) following consultation with the teachers associations and support staff trade unions. 2. PRINCIPLES 2.1. In following this procedure schools are seeking to address issues relating to conduct or behaviour It is essential that staff within schools and the Local Authority (LA) are aware of the high standards of conduct expected of them. Individual staff members should also be mindful of the standards of their own professions, e.g. the GTC Registered Teachers Code of Conduct, as well as relevant national guidance All employees have a personal responsibility to maintain appropriate standards of professional conduct All employees should be treated fairly, reasonably and consistently under this policy Where disciplinary action is being considered employees should be encouraged to consult with their trade union or professional association No hearing or committee meeting will be arranged to consider disciplinary action against a trade union lay official until the HR Services Manager has discussed the complaint(s) with the City/Branch Secretary of the trade union/professional association (or the Regional Officer if the complaint involves the City Secretary) Action taken under this policy must be prompt; it is important to recognise that matters left unaddressed may escalate, potentially resulting in a need for more serious disciplinary action It is important that disciplinary investigations and hearings are conducted in a fair, transparent and consistent manner. 25

27 2.9. Employees will have the right to be accompanied to formal disciplinary hearings by a trade union representative or work colleague. Employees do not have the right to be accompanied by a lawyer to formal disciplinary hearings. In certain limited cases however the employee may be entitled to be represented by a lawyer at a disciplinary hearing. This is where, as a result of the proceedings, the employee is effectively at risk of being barred from working in their chosen profession. This will be at the discretion of the employer and in all such cases advice should be sought in advance from HR Consultancy Headteachers/Section Heads should be aware that informal action may often be a more satisfactory method of resolving problems than formal disciplinary action Headteachers/Section Heads are empowered to issue disciplinary sanctions up to the level of a formal written warning, without the involvement of governors or senior managers An employee has the right of appeal against any disciplinary sanction imposed on them Headteachers, line managers, governors, and LA Officers, have a duty to safeguard confidentiality as far as is possible when dealing with issues of conduct. 3. SCOPE OF PROCEDURE 3.1. The procedure applies to all school managed employees, and centrally employed teachers working within schools (these staff will hereon be referred to as employees ) This procedure is intended to deal with issues of conduct and behaviour by employees working in schools, and by centrally employed teaching staff. It will not apply in circumstances where there is a failure to meet the standards of the post due to lack of capability; in these circumstances the relevant capability procedure may be more appropriate. If an employee s general lack of performance is due to health reasons or absence the Supporting Attendance policy may be more appropriate. Specialist advice should be sought from Children and Young People s Services Human Resources (HR Consultancy) wherever possible. 26

28 4. INFORMAL ACTION 4.1. Informal action is an effective means of addressing minor disciplinary offences or misdemeanours. The bullet points below are intended as guidance only for Headteachers/Section Heads or line managers when adopting an informal approach to matters of misconduct; Gather the facts and summarise these in a document. Discuss the matter with the employee in an informal one-to-one meeting, ensuring the employee has the opportunity to respond and give their version of events. The aim of this discussion is to encourage the employee to resolve any perceived problem(s): it is very important that this discussion does not turn into a disciplinary interview or hearing. Ensure that the required standards of conduct are made clear to the employee, and they are offered appropriate support and advice to help them achieve these. Make the employee aware that the matter is being dealt with informally at this stage, but that failure to address any perceived conduct problem(s) may result in formal disciplinary action. Keep a record of the discussion and agreed action points on the employee s personal file. A letter should be sent to the employee summarising the discussion and agreed actions. If an employee wishes to be accompanied at an informal disciplinary discussion, by a work colleague or union representative, this request should not normally be refused. 27

29 5. INVESTIGATIONS/CHARGES BY EXTERNAL AGENCIES 5.1. Where an employee is subject to an allegation being investigated by an external body they should be encouraged to consult their professional association/trade union for support. They should also be offered support of the Local Authority s Counselling Service, Occupational Health and other services as appropriate If an employee is either charged or under investigation by an external statutory body, e.g. Police, Social Care, etc, it may be necessary for them to be suspended from duty. Please refer to Section 7 Suspension If the allegations involve Child Protection issues advice should be sought immediately from the Local Authority Designated Officer (LADO). No attempt should be made to investigate Child Protection allegations without seeking advice from the LADO and HR Consultancy If an employee is imprisoned this may render them unable to fulfil their contract of employment for a period of time, requiring consideration to be given to whether the contract of employment should be terminated. Advice should be sought from HR Consultancy in these cases Upon conclusion of an external investigation it may be necessary for an internal disciplinary investigation to take place before a decision can be made as to whether there is a disciplinary case to answer There is no requirement to wait until a case is heard by the external body before a formal disciplinary meeting can take place. What is important is that: There has been an attempt to investigate the allegations as fully as possible in the circumstances. There is reasonable evidence that the allegations are probably true, based on the findings of the investigation. The allegations justify any action under consideration (e.g. that they constitute gross misconduct if the employee is faced with dismissal without previously having received a final written warning). 28

30 6. COMPLAINTS REGARDING CONDUCT OUTSIDE WORK 6.1. If a complaint is made regarding an employee s conduct outside school, and/or if issues of concern come to light following an application for a Criminal Records Bureau (CRB) disclosure report, consideration must be given to whether the alleged conduct would affect the suitability of the employee to continue working in the school, and to fulfil the contract of employment. This requires individual consideration in each case, and advice should be sought from HR Consultancy. If the alleged conduct would affect the employee s suitability, suspension would allow time for further investigation to determine if there is a disciplinary case to answer (see Section 7). 29

31 7. SUSPENSION 7.1. When a Headteacher/Section Head is considering suspending an employee advice should immediately be sought from HR Consultancy An employee may be suspended from duty if it is reasonably believed that their continued presence in the workplace may either; Interfere with the disciplinary investigation; Present a risk of the employee committing further disciplinary offences; Present a risk to the health, safety and security of pupils, staff, parents/carers, and school/la resources and/or property. The Headteacher/Section Head is empowered to suspend an employee from duty in the above circumstances. In the case of the Headteacher/Section Head s absence, a formally nominated member of the Senior Leadership Team may suspend in the above circumstances Suspension does not prejudge the outcome of any disciplinary process that may follow During suspension the employee will continue to receive their ordinary pay. For the purposes of this policy ordinary pay is the standard contractual pay the employee would have received from the authority if they were still working If the allegation against the staff member is one involving Child Protection issues advice should be sought immediately from the Local Authority Designated Officer (LADO). No attempt should be made to investigate Child Protection allegations without seeking advice from the Local Authority Designated Officer and HR Consultancy. It must be recognised that being suspended can give rise to great anxiety in an employee and potentially also in the investigating officer. The employee should be encouraged to consult with their professional association/trade union for support, as well as being offered support from the Local Authority s Staff Counselling services and other services as appropriate. This may include a referral to the Occupational Health service. It is advisable to carry out a stress risk assessment to ensure that appropriate measures are put in place to minimise the risk. Please refer the generic risk assessment (appendix X). The investigating officer may seek support through HR Consultancy. 30