Dismissal for some other substantial reason (Procedure)

Transcription

1 Dismissal for some other substantial reason (Procedure) PROCEDURE FOR HEARINGS AND APPEALS FOR POTENTIAL DISMISSAL FOR SOME OTHER SUBSTANTIAL REASON

2 1. INTRODUCTION 1.1 The following procedures have been adopted by the Board of Directors of Washwood Heath Multi Academy Trust to enable it to discharge its functions under the School Staffing (England) Regulations 2009 (the Regulations ) in relation to the potential dismissal of employees other than for reasons of conduct, capability, expiry of a temporary or fixed-term contract, or redundancy. They apply to everyone employed to work at the trust in accordance with those regulations, i.e. excluding staff employed by a contractor (including the authority acting as a contractor). Decisions taken under this procedure will be taken fairly on the balance of probability rather than, as would be the case in a criminal court, beyond reasonable doubt. 1.2 The circumstances in which these procedures may be used include failure to complete satisfactorily statutory induction (for school teachers) or probation (for support staff), failure to meet the conditions specified in a conditional offer of employment, failure to comply with relevant statutory regulations (such as the requirement for teachers of visually impaired or hearing impaired pupils to obtain specified additional qualifications within three years of appointment), irretrievable breakdown in personal relationships damaging the operation of the school. This list is not exhaustive. This procedure excludes dismissals on the grounds of ill-health capability, unsatisfactory attendance related to sickness absence. 1.3 No decision shall be made under this procedure unless it has been followed in full. The Board of Directors recognises that failure to observe this procedure could cause an employment tribunal to decide that a dismissal was unfair. However, it also provides that any part of this procedure, other than a statutory requirement, may be varied in a particular case by mutual, explicit agreement between the employee and the person(s) acting on behalf of the Board of Directors. 1.4 If an employee makes a complaint relating to this procedure the separate grievance procedure which the Board of Directors has established in accordance with paragraph 7 of the School Staffing (England) Regulations will not apply and the complaint will be dealt with through this procedure. 1.5 The Board of Directors will delegate, in accordance with the School Governance Regulations, the function of hearing cases under this procedure to the Executive Head Teacher and an appropriate committee respectively (according to the division of powers set out in these procedures) and the hearing of appeals to its appeal committee. It will ensure that no-one is a member of both committees and that the appeal committee includes at least three people and at least as many as the committee responsible for the hearing. In order to allow for the possibility that a member of either committee may have prior knowledge of or interest in the circumstances of the case, it will provide for each committee to have a reserve member or reserve members. The Executive Head Teacher shall not be a member of either committee. The Board of Directors accepts the advisability of appointing both a chair and a vice-chair of the committee responsible for hearings when it appoints that committee and gives it delegated powers each year. The Board of Directors will include in its delegations a requirement for the Executive Head Teacher and both committees to report their actions to the Board of Directors, having due regard to the confidentiality of their proceedings and the Data Protection Act.

3 1.6 The Board of Directors will require its clerk or an appropriate substitute to attend and make a full record of any hearing held by a committee under this procedure. It will expect the Executive Head Teacher to arrange for a full written record to be made of any hearing conducted by him or her under this procedure. Minutes of the hearings will be available to the employee or the employee's representative if requested and should normally be provided within five working days of the meeting. No participant should make a sound or video recording of a meeting without the consent of all the participants, including witnesses. If the content of the minutes is questioned, the person who wrote the minutes should check his or her notes of the hearing in question and, if no reason is apparent for altering them, refer the question to the Executive Head Teacher or the committee (as the case may be) for verification. If a disagreement over the content remains, then the employee may append his or version of the disputed part to the original minutes, which shall remain unaltered. 1.7 Although hearings held under this procedure are not disciplinary or grievance hearings and are therefore not subject to the provisions of the Employment Relations Act 1999 as amended, nonetheless under this procedure an employee is entitled to be accompanied at a hearing if he or she notifies the person calling the hearing that he or she will be accompanied in accordance with this procedure. The entitlement under this procedure will be limited to one companion who is chosen by the employee and is either employed by a trade union as an official within the meaning of sections 1 and 119 of the Trade Union and Labour Relations (Consolidation) Act 1992 or is an official of a trade union whom the union has reasonably certified in writing as having experience of, or as having received training in, acting as a worker s companion at disciplinary or grievance hearings, or is another of the employer s workers. Under these procedures such a companion or representative may be present at each stage of the procedure, other than suspension, where provision is made simply for the employee to choose a witness available at short notice. Where an employee chooses to be accompanied or otherwise assisted by a representative in accordance with the legislation, the Executive Head Teacher, or the clerk to the Board of Directors as the case may be, will seek to arrange hearings, etc, in consultation with the chosen trade union official or chosen employee. 1.8 In this procedure:- - employee means a person employed to work at the trust or in provision made by the Board of Directors under the Education Acts, other than a person employed by a contractor, including by the authority acting as contractor; - the Regulations mean the School Staffing (England) Regulations INVESTIGATION 2.1 The Board of Directors requires the Executive Head Teacher, or if the Executive Head Teacher is the subject of the proceedings, a director nominated by the Board of Directors, to arrange for the investigation of any circumstances in which there may be grounds for terminating the employee s contract of employment (or contract for service) for some substantial reason other than misconduct, capability, expiry of a temporary or fixed-term contract, or redundancy. The employee who is the subject of this investigation should be informed of the investigation, the circumstances under investigation and the possibility of termination of employment or engagement. In certain circumstances, such as failure of statutory induction on the part of a

4 teacher, or certain medical conditions, the employee may be withdrawn from certain duties or suspended (see Section 3 below). 2.2 The Board of Directors expects the investigation to be undertaken by someone of appropriate seniority and experience. Where possible the Executive Head Teacher should commission another senior manager in the trust or an independent investigator to investigate, but where no suitable person can be identified the Executive Head Teacher may undertake the investigation, provided that the Executive Head Teacher does not then hear the case. If the investigation concerns the Executive Head Teacher the Chair of Directors should contact School and Governor Support and Employee Relations immediately. When the matter does not concern the Executive Head Teacher the matter should normally be referred back to the Executive Head Teacher for investigation as above. When the circumstances under investigation have been identified in the report of an investigation under another procedure or an investigation by an external organisation the Executive Head Teacher should consider whether any further enquiries are necessary to supplement the report of that investigation, taking into account any observations which the employee might have made when informed of the investigation under this procedure. 2.3 The employee who is the subject of the investigation must be informed as soon as practicable that an investigation is taking place, the reason for it and when it is to start. The employee must be interviewed during the course of the investigation and, prior to the interview, must be informed of his/her entitlement under this procedure to be accompanied by a chosen trade union official or chosen employee. Where there are considered to be exceptional circumstances preventing the interview taking place, advice should be sought from the Employee Relations Team. 2.4 If there is relevant information from external agencies (such as correspondence on statutory induction) this information must be obtained at the earliest opportunity. 2.5 Where an employee is on sick leave advice should be sought from the Employee Relations Team. Normally the process of investigation should proceed as far as obtaining information or interviewing witnesses is concerned. 2.6 When the investigation is complete the Executive Head Teacher (or other senior person as set out below) shall consider the results and decide whether the facts - do not warrant further action; or - amount to a situation which can be resolved by other means; or - warrant a hearing in accordance with these procedures. When the Executive Head Teacher is due to hear the case a nominated senior member of staff (or suitable person from outside the trust) shall consider the results of the investigation and take the above decisions. 2.7 All information collected during investigations shall remain confidential to the person(s) directly involved. 3. SUSPENSION

5 3.1 The Board of Directors recognises that suspension is not a disciplinary sanction but a neutral act, without loss of emoluments. Suspension is normally only considered under this procedure in cases when statutory regulations require the employee to be removed from the trust or relevant activity or for the safety and welfare of pupils or employees. Advice should be taken from the Employee Relations Team as to whether any other action, such as a temporary direction to undertake other duties, might be more appropriate than suspension to the particular circumstances of the case. 3.2 Under the Regulations the Board of Directors and the Executive Head Teacher both have the power to suspend any person employed or engaged otherwise than under a contract of employment to work at the trust where, in the opinion of the Board of Directors or (as the case may be) of the Executive Head Teacher, the suspension of that person is required. The Board of Directors recognises that a decision to suspend is normally a management decision for the Executive Head Teacher and that in the event of the Board of Directors or (when there is not time to convene a special meeting of the Board of Directors) chair of directors contemplating such a decision the Board of Directors, or its chair as the case may be, will take advice from the Employee Relations Team before taking action. The Board of Directors notes that it may delegate this function to a single director or a committee. The Board of Directors will therefore decide whether or not to delegate the power to suspend or lift suspension to the chair of directors and to the vice-chair of directors in the absence of the chair of directors, subject to any action taken being reported to the Board of Directors and subject to annual review of any such delegations. 3.3 Suspension should normally take place in a special meeting called in accordance with these procedures, but in the absence of the employee other arrangements should be made (advice is available from the Employee Relations Team). The Board of Directors, by adopting this procedure, accepts the desirability of each party having a witness to a suspension whilst recognising that suspension, if appropriate, may be required immediately and that the choice of witness will therefore be limited. The witness will not be expected to fulfil the role of a representative; the employee will be entitled to a representative in later stages of the procedure. 3.4 When the Executive Head Teacher becomes aware of circumstances which might lead to suspension he or she (having taken advice as necessary) will take the employee aside, explaining that there is a serious matter to discuss and asking the employee to accompany him or her to his or her office or other suitable place, where the Executive Head Teacher will explain that a short meeting is to be called to tell the employee about a serious matter, that the employee is entitled under this procedure to choose a witness able to attend at short notice, because it might be necessary to suspend the employee, and that the employee will have the right not to say anything in response to what the Executive Head Teacher will disclose, although refusal to respond will probably make suspension inevitable. The Executive Head Teacher will then ask the employee to wait in a nearby room whilst the witness, either someone on the trust staff or within a few minutes journey, is asked to come to the meeting. 3.5 Unless a meeting is impractical (due to the employee s absence on sick leave or other good reason) the employee will be informed in a meeting of the decision to suspend and written confirmation of the decision shall be given to the employee at the meeting or sent immediately after the suspension is notified. Where possible, the meeting to inform the employee of a suspension should have two witnesses (see 3.3 and 3.4 above), one chosen by the Executive Head Teacher and one by

6 the employee, provided that the procurement of witnesses does not delay the meeting. It is acknowledged that the employee s choice of witness will be constrained by the need to choose someone on the trust premises, or within a few minutes journey. The Executive Head Teacher will outline the circumstances and invite the employee to comment, reminding the employee of the right to remain silent but explaining that silence will probably make suspension inevitable. Depending on the response, the Executive Head Teacher may or may not adjourn the meeting before deciding whether or not to suspend the employee. The Executive Head Teacher should then tell the employee of his or her decision and, when the decision is to suspend, should arrange for the employee to leave the premises. This formal letter of suspension (see Appendix) shall include the following: (a) the specific reason for the suspension; (b) the date and time from which it took effect and a statement that it may last until this procedure is complete; (c) the likely duration of an investigation, and confirmation that the employee will be interviewed during that investigation; (d) a statement that suspension is a neutral act; (e) a statement that the suspension shall be without loss of emoluments; (f) the rules of suspension, for example, the employee should not return to the place of work without prior permission and should not contact any pupils. Nor should he or she contact other employees involved unless he or she wishes to call one or more of such employees as witnesses at a forthcoming hearing (this contact may be made by the employee or the employee s representative and need not be made through the trust). Special arrangements are to be made if the employee lives on the trust site or is related to another employee, taking advice from Employee Relations as appropriate. (g) a statement that statutory regulations require the suspension to be reported to the Board of Directors and an assurance that the reasons for the suspension will not be disclosed, so that any subsequent hearing will not be prejudiced. When suspension of an Executive Head Teacher takes place the chair of directors or a director with appropriate delegated authority shall proceed in accordance with this section. 3.6 The Regulations require the Executive Head Teacher or Board of Directors of the trust, when suspending an employee to inform Employee Relations (and the Executive Head Teacher or Board of Directors as the case may be).to avoid prejudicing any subsequent proceedings in which some directors will be involved the information to the Board of Directors should be restricted to a simple statement without documentation. 3.7 Any such suspension may be ended only in accordance with the Board of Directors delegations (see 3.2 above). Those empowered to lift suspension shall inform the

7 Executive Head Teacher and where required the local authority immediately whenever they take such a decision. 3.8 The Executive Head Teacher should keep the case under review throughout the period of suspension and maintain contact (through an agreed named person if not through the Executive Head Teacher) between the trust and the employee, who must be kept informed of progress. The first contact should be made within twenty working days of the suspension and at appropriate intervals thereafter. The Executive Head Teacher should also, subject to the authority s advice on the constraints attached to the reason for suspension), expedite proceedings under this procedure, as far as it is possible and fair to do so. When an Executive Head Teacher is suspended, a nominated director should be responsible, with advice from the Employee Relations Team, for keeping the case under review, maintaining contact with the Executive Head Teacher and expediting proceedings as set out in this paragraph. Employees in need of pastoral support should be advised to contact their union or professional association or other appropriate organisation. 3.9 The employee must not return to the academy until the Board of Director s decision to end the suspension is communicated to the employee in writing. 4. PROCEDURES FOR HEARINGS 4.1 When, following investigation, it has been determined that the facts warrant a hearing under this procedure, a hearing shall be arranged as set out below. Where power to hear cases under this procedure has been delegated to the Executive Head Teacher (see 1.5 above), then the Executive Head Teacher (or Head of Academy in the absence of the Executive Head Teacher) will hear all cases under this procedure, unless the Executive Head Teacher (or Head of Academy as the case may be) has had prior involvement with the case or considers that the case should be heard by the committee with delegated authority to hear cases referred to it under this procedure. Otherwise the case shall be heard by the committee. 4.2 There may be cases in which an employee is simultaneously the subject of allegations being considered under one or more of the Board of Directors procedures for conduct or capability. If the allegations are related advice should be sought from the Employee Relations Team on how to proceed; otherwise the allegations should be dealt with separately under the respective procedures. 4.3 The Employee Relations Team will be informed immediately of any investigation which, if it leads to a hearing, might lead the Board of Directors to determine that the employee should cease to work at the trust. 4.4 A formal notice to an employee to attend a hearing by the committee or by the Executive Head Teacher should be issued in writing, with an explanation of the hearing's purpose and its place in this procedure. The letter should not only state the reason for the hearing but should also attach copies of any documents to be used at the hearing, remind the employee of the right to be accompanied and/or represented, explain the procedures to be followed at the hearing and give the names of the person(s) hearing the case. The employee should be asked to confirm that he/she will attend the hearing in person and to indicate whether he/she wishes to be accompanied by a representative (who must be either a trade union official or another of the employer s employees see paragraph 1.7 of this procedure) and to call witnesses; he or she should be asked both to provide documentation and give the names of witnesses whom he or she has asked, or intends to ask, to appear on

8 his or her behalf, at least ten working days before the hearing. Names of any witnesses from both sides should be circulated in advance and all witnesses should be asked to provide a written statement for inclusion with the documents to be used at the hearing. A second set of papers should be enclosed for the employee's representative. 4.5 In order to ensure that the employee has enough time to prepare his or her response reasonable notice of the hearing should be given. This should be at least fifteen working days. It is helpful to agree a date with the employee's union/professional association if they are already involved in the case, before sending the formal notice to attend the hearing. The employee may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The committee or Executive Head Teacher (as the case may be) may reject this suggestion but will do so only if it is unreasonable, when they may proceed to hear the case in the absence of the employee or the employee s representative and will take advice from the Employee Relations Team on what is unreasonable. There is also the discretion to defer the date of the hearing by a longer period in order to reach mutual agreement on a convenient date, having particular regard to the availability of the employee s representative. 4.6 The employee shall be asked both to provide documentation in his or her defence and give the names of witnesses whom he or she has asked, or intends to ask, to appear on his or her behalf, at least ten working days before the hearing. Where the hearing is before a committee of the Board of Directors the clerk to the Board of Directors is required to ensure that all parties to the hearing, receive copies of all documents at least five working days before the hearing. Only evidence which could not be obtained at an earlier date may be provided after the times specified above, subject to agreement between the parties. There is no requirement on the employee to submit any documentation, other than a statement from any witness who may be called by the employee. However, if the employee does not intend to submit any documentation there should be a positive statement from the employee or the employee's representative to this effect. Neither side will be able to use at the hearing any evidence not previously provided. 4.7 When a case is to be heard by the appropriate committee of the Board of Directors the Executive Head Teacher should present the case to the committee, unless the Executive Head Teacher is the subject of the hearing, in which event the chair of the committee should seek the advice from Employee Relations on an appropriate person to present the case. If the Executive Head Teacher is conducting the hearing, an appropriate senior member of the leadership team in the trust should present the case (with the hearing being recorded as specified in 1.6 above). If there is no such appropriate senior member then the hearing should be conducted by a committee of the Board of Directors. 4.8 The Executive Head Teacher (except where he/she is the person concerned) and the Employee Relations Team are entitled to attend, for the purpose of giving advice, all proceedings of the Board of Directors (this includes committees of the Board of Directors) which may relate to a determination that a person employed at the trust should cease to work there. The Board of Directors must consider any such advice. The Executive Head Teacher wishing to give such advice should exercise this right only in the presence of the employee and the employee's representative, as giving advice in their absence could lead to a claim for unfair dismissal, or an appeal on the grounds of failure to follow the procedures. Executive Head Teachers

9 and directors should minimise informal contact in the days preceding a hearing in order to prevent misconceptions about the purpose of such contact. 4.9 The hearing will follow the procedure set out in Appendix 1. The committee will have regard to any guidance issued from time to time by the local authority on conducting a hearing, including the current guidance on behaviour at meetings (see Appendix 3) The Executive Head Teacher or the committee, as the case may be, has the following options and shall decide on one of them: take no further action in relation to the employee; determine that a further defined period for improvement, or for allaying the concerns that gave rise to the hearing as the case may be, should be allowed if appropriate to the circumstances of the case, on the understanding that if the employee does not make that improvement or allay those concerns by the specified date the matter will be referred to the appropriate committee for further consideration; determine that the employee should cease to work at the school (in the case of an employee in a community, community special, voluntary controlled or maintained nursery school) or may dismiss the employee from a voluntary aided or foundation school The Executive Head Teacher or committee shall announce the decision to the parties in person or subsequently in writing as the committee shall determine. An oral announcement shall be confirmed in writing within ten working days, including the right of appeal. The Executive Head Teacher holding a hearing shall announce a decision in a similar way A notice of dismissal shall state whether there is to be contractual notice or not and shall give details of the right of appeal. 5. APPEALS 5.1 An employee has the right of appeal against a determination to cease to work at the school, or a dismissal from the school as the case may be, or against a determination that a further defined period should be allowed for improvement or for allaying the concerns that gave rise to the hearing as the case may be. An appeal shall be to the appeal committee established by the Board of Directors. 5.2 An employee may appeal by giving written notice of the appeal and of all the grounds on which it is made to the clerk to the Board of Directors within ten working days of receiving written confirmation of the decision. The grounds for the appeal should be accompanied by any additional evidence to be presented in support of the appeal. If the employee so wishes there is no requirement to submit any documentation, other than a statement from any witness who may be called by the employee. However, if the employee does not intend to submit any documentation there should be a positive statement from the employee or the employee's representative to this effect and the employee will not be able to use at the hearing any evidence not previously provided.

10 5.3 The clerk to the Board of Directors will immediately notify the Executive Head Teacher or the representative of the committee (whichever took the decision against which the employee is appealing) of all the grounds of appeal and any additional evidence, with a request to submit any additional papers in response to the clerk within seven working days. 5.4 The clerk to the Board of Directors will then arrange an appeal committee hearing as quickly as possible, to take place, other than in exceptional circumstances, within twenty working days of the employee s notice of appeal. The clerk should make every effort to agree a date with the employee's union/professional association if they are already involved in the case, before sending the formal instruction to attend the hearing. The employee may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The committee may reject this suggestion if it is unreasonable and may proceed to hear the case in the absence of the employee or the employee s representative, but also has the discretion to defer the date of the hearing in order to reach mutual agreement on a convenient date, having particular regard to the availability of the employee s representative. 5.5 The clerk to the Board of Directors will also seek advice from the employee relations team on the procedure for the appeal hearing, having regard to the grounds for the appeal, and shall then advise the employee and the other parties to the hearing of the appropriate procedure according to whether the appellant is contesting particular aspects of the decision or asking for a re-hearing of the case on the grounds of additional evidence or other good reason. The formal notice of the hearing will include the procedure to be followed in the hearing, using either Appendix 1 or Appendix 2 (see below). 5.6 The clerk to the committee shall give at least ten working days formal notice of the hearing to all the participants, including the local authority s representative where applicable, and in the same letter shall set out the order of the proceedings, remind the employee of the employee's rights at the hearing, including the right to request to be accompanied by a representative of his or her choice who is either a union official or another of the employer s employees (see paragraph 1.7 above), list the members of the appeal committee, give the names of witnesses, and confirm the options for action which the appeal committee may take (see below). All documents relevant to an appeal hearing shall be enclosed with the letter. The witnesses may include, as appropriate to the circumstances of the case, the Executive Head Teacher and/or a member of the committee which took the decision against which the employee is appealing, or the person who presented the case if that person was not the Executive Head Teacher. 5.7 The normal procedure for an appeal hearing is set out in Appendix 2. The appeal committee will have regard to any guidance issued from time to time by the local authority on conducting an appeal hearing. 5.8 The appeal committee may dismiss the appeal uphold the appeal uphold the appeal and amend the period defined for further improvement or for allaying the concerns that gave rise to the hearing as the case may be

11 uphold the appeal and substitute a defined period for further improvement or for allaying the concerns that gave rise to the hearing as the case may be for a determination that an employee should cease to work at the school or a dismissal from the school. 5.9 The appellant may choose whether to hear the appeal committee s decision in person or receive it subsequently in writing, but this choice shall not prevent the committee from choosing to adjourn and reconvene before making a decision. An oral announcement shall be confirmed in writing by the clerk to the Board of Directors within ten working days of the hearing. If an appeal against dismissal from is upheld, the letter of notification will include a withdrawal of the dismissal and reinstatement without a break in service. 6. THE EXECUTIVE HEAD TEACHER AS SUBJECT OF THIS PROCEDURE 6.1 Any requirement to investigate the position of the Executive Head Teacher under this procedure shall be referred, through the chair of the Board of Directors, for advice to School and Governor Support and Employee Relations who will provide advice on how the matter should be investigated in accordance with section 2 of this procedure. If suspension of the Executive Head Teacher is appropriate it shall be undertaken in accordance with the provisions of this procedure. If it is found that there is a case to answer Employee Relations shall advise the Board of Directors how to proceed in relation to the Executive Head Teacher as the Executive Head Teacher acts in relation to any other employee under these procedures, except that the option of referring the matter to the Executive Head Teacher or deputy does not apply. 6.2 The commissioning officer may present the case to the committee, calling on the investigator to give evidence or vice versa. 7. TRADE UNION OFFICERS 7.1 Normal employment requirements should apply to trade union officers. However, dismissal of a trade union officer can be misconstrued as an attack on the union. Such problems can be avoided by early discussion with a full-time official or senior trade union representative.

12 APPENDIX 1 PROCEDURE FOR HEARING, OR RE-HEARING AT APPEAL STAGE 1. The employee and his/her representative and the Executive Head Teacher or other person presenting the case shall attend the hearing simultaneously to present their respective cases. 2. The chairperson of the committee or the Executive Head Teacher (when the Executive Head Teacher is hearing the case) will perform the necessary introductions. 3. The Executive Head Teacher or other person presenting the management case will present that case and may call witnesses. 4. The employee and/or the employee s representative may question the Executive Head Teacher or other person presenting the management case. 5. The committee, or the Executive Head Teacher (when the Executive Head Teacher is hearing the case), may question the Executive Head Teacher or other person presenting the management case. 6. The employee and/or the employee s representative will present the employee s case and may call witnesses. 7. The Executive Head Teacher or other person presenting the case may question the employee and/or the employee s representative. 8. The committee, or the Executive Head Teacher (when the Executive Head Teacher is hearing the case), may question the employee and/or the employee s representative. 9. The questioning of any witnesses called will follow the procedure outlined above. 10. The Executive Head Teacher or other person presenting the management case will sum up the case presented and should ensure that any advice he or she wishes to give to the committee (and which a Executive Head Teacher is entitled to give to a Board of Directors or any of its committees) is given at this stage. 11. The employee and/or the employee s representative will sum up the employee s case. 12. The Executive Head Teacher or other person presenting the management case and the employee and the employee s representative will withdraw from the hearing.

13 13. The committee, or the Executive Head Teacher where the Executive Head Teacher is hearing the case, will consider the evidence presented and take a decision. 14. The committee may recall the Executive Head Teacher or other person presenting the management case and the employee with the employee s representative to clear points of uncertainty on the evidence given, provided that both parties are recalled even if the point of uncertainty concerns the evidence of one party only.

14 APPENDIX 2 PROCEDURE FOR APPEAL HEARING 1. The employee and his/her representative and the Executive Head Teacher or other person presenting the management case shall attend the hearing simultaneously to present their respective cases. 2. The chairperson of the appeal committee will perform the necessary introductions. 3. The employee and/or the employee s representative will present the employee s appeal and may call witnesses. 4. The Executive Head Teacher or other person presenting the management case may question the employee and/or the employee s representative. 5. The members of the appeal committee may question the employee and/or the employee s representative. 6. The Executive Head Teacher or other person presenting the management case will present that case and may call witnesses. 7. The employee and/or the employee s representative may question the Executive Head Teacher or other person presenting the management case. 8. The members of the appeal committee may question the Executive Head Teacher or other person presenting the management case. 9. The questioning of any witnesses called will follow the procedure outlined above. 10. The Executive Head Teacher or other person presenting the management case will sum up the case presented and should ensure that any advice he or she wishes to give to the committee (and which a Executive Head Teacher is entitled to give to a Board of Directors or any of its committees) is given at this stage. 11. The employee and/or the employee s representative will sum up the employee s case. 12. The Executive Head Teacher or other person presenting the management case and the employee and the employee s representative will withdraw from the hearing. 13. The appeal committee will consider the evidence presented and take a decision. 14. The committee may recall the Executive Head Teacher or other person presenting the management case and the employee with the employee s representative to clear points of uncertainty on the evidence given, provided that both parties are recalled even if the point of uncertainty concerns the evidence of one party only.

15 APPENDIX 3 - Guidance for Behaviour at Meetings and Hearings Any person attending any kind of meeting or hearing in any capacity must comply with acceptable professional standards of behaviour and consequently should adhere to the following Code. Although this protocol is applicable to conduct within formal and informal meetings or hearings, the expectation is that the same standards will apply outside of meetings and hearings. One companion/ representative may accompany the employee and speak on his or her behalf at formal meetings and hearings. The agreement of the Chair is required if the employee seeks additional support (for example, with learning disabilities) or a request is made for an observer to attend. 1. Everyone due to attend the meeting/hearing must make every effort to be punctual in order that the meeting/hearing may begin promptly. 2. The meeting/hearing will be conducted in accordance with the relevant provisions of any procedure adopted by the Board of Directors or by the general procedure for meetings the outline procedure for meetings as recommended by the Employee Relations Team unless the Committee, Executive Head Teacher/Manager and Employee agree variations. 3. Whilst these meetings/hearings are conducted formally they form part of internal procedures not legal proceedings and therefore all persons present should avoid using legal terminology without providing an explanation understandable to a lay audience. 4. All statements, questions and responses must be addressed through the person chairing the meeting/hearing 5. Each person invited to speak by the Chair will be permitted to make his or her contribution uninterrupted by any other person present. 6. All persons present will act respectfully towards every other person present and will not act in a manner that demeans, insults, threatens or intimidates him or her including an attempt to make an audio or video recording of the proceedings. All statements, questions and responses, challenges to statements, complaints or criticisms must be made politely and quietly. 7. All statements, questions and responses must be related to the facts of the case and not be personal in nature. There should be no reference to personal views on any person or in relation to the issue nor should reference be made to previous issues that do not form part of the case under consideration. 8. The meeting/hearing will be conducted with due regard to the needs of the participants for refreshment and rest and will be adjourned as appropriate either for a short break or for conclusion on another day. 9. If any person present fails to comply with this Code then the Chair will warn him or her that further non-compliance may lead to him or her being asked to leave the meeting/hearing. Any further breach of the Code may then lead to the Chair Committee deciding that the person should be asked to leave the meeting/hearing or that the meeting/hearing should be adjourned for a period of time to be determined by the Chair Committee

16 APPENDIX 4 - MODEL LETTERS TO BE USED WITH THE MODEL PROCEDURE FOR DISMISSAL FOR SOME OTHER SUBSTANTIAL REASON SOSR1 Suspension SOSR2 Invitation to a meeting to investigate SOSR3 Invitation to attend hearing conducted by Executive Head Teacher SOSR4 Invitation to attend hearing conducted by committee SOSR5 Invitation to attend appeal hearing SOSR6 Defined period for further improvement SOSR7 Determination that the employee should cease to work at community, community special, voluntary controlled or maintained nursery school SOSR8 Dismissal from a voluntary aided or foundation school SOSR9 Notification to Local Education Authority of a determination that an employee should cease to work at a community, community special, voluntary controlled or maintained nursery school SOSR10 Notification to Local Education Authority of a dismissal from a voluntary aided or foundation school SOSR11 Outcome of appeal hearing

17 SOSR1 SUSPENSION Date Private and Confidential (addressee) (address) (town) (postcode) Dear SUSPENSION FROM DUTY I am writing with reference to our conversation today/on to confirm that you are suspended from duty with immediate effect from today at. hours until further notice. During this suspension you will receive normal contractual salary. The purpose of the suspension is.. *[I confirm that because of the circumstances external agencies will be involved in the investigation.] [The investigation is likely to last for about.. weeks. You will be interviewed during the investigation and will be notified of any requirement to attend a meeting, at which you may be accompanied by a representative of your choice who is either a trade union official or who is an employee of your employer.] Please note that suspension is a neutral act, without prejudice. If the investigation should result in a hearing, it would be conducted under the School s procedure for potential dismissal of employees for some other substantial reason. If a hearing is required, you would be notified of any requirement to attend a hearing, and you would have the right to request that you be accompanied by a representative of your choice who is either a trade union official or who is an employee of your employer. In the meantime, you should not return to school without prior permission and should not contact any pupils or other employees involved, although if necessary you or your representative may contact another employee who has been involved in order to request him or her to act as a witness. In addition you must not enter any other Council building in connection with your work unless instructed in writing. I will arrange for to maintain contact with you during the suspension; you will hear from him/her shortly and he/she will discuss with you how contact will be maintained and what support you may feel you need during the suspension. If you wish to take leave during the period of suspension you must seek authority from and be available for interview during normal working hours. You may be accompanied at any such meeting by a representative of your choice who is either a trade union official or another employee of your employer.

18 I would remind you that you must not take up any alternative paid employment whilst under suspension. If you are on sick leave, you must follow the normal reporting procedure and will be paid in accordance with the relevant sick pay scheme. *[Due to the nature of the matter under consideration, I must advise you that, even if your employment ends during the procedure, we will take any necessary action required by legislation, including referral to the Independent Safeguarding Authority or Secretary of State as appropriate.] *[The Local Authority will be informed.] In accordance with the statutory Regulations the Board of Directors will also be informed, but the reasons for the suspension will not be disclosed, so that any hearing will not be prejudiced. Yours sincerely Executive Head Teacher or Chair of Board of Directors Copies to: Schools HR Services and Employee Relations Team *for insertion/deletion as appropriate

19 SOSR2 INVITATION TO ATTEND A MEETING TO INVESTIGATE CIRCUMSTANCES PRIVATE AND CONFIDENTIAL Date Dear INVESTIGATION OF ALLEGATIONS I am writing to ask you to attend a meeting on (date)... at...a.m./p.m. to investigate the following circumstances: The meeting will be part of the investigation which I have been asked to undertake as part of the school s procedure for potential dismissal for some other substantial reason. A copy of that procedure *is enclosed/*has already been given to you. I shall be collecting information relevant to the circumstances described above, including any information or comments you are able to provide. The meeting will be held in (venue)... I shall be accompanied by.. who will take notes. You have the right to request that you be accompanied by a representative of your choice who is either a trade union official or an employee of your employer. Please let me have this request before the meeting. An additional copy of this letter is enclosed for you to pass to your representative. Yours sincerely, *delete as appropriate

20 SOSR3 INVITATION TO ATTEND A HEARING WITH EXECUTIVE HEAD TEACHER PRIVATE AND CONFIDENTIAL Date Dear HEARING I am writing to confirm that you are required to attend a hearing on (date)... at...a.m./p.m. The hearing will be held in (venue)...and will be before the Executive Head Teacher of the School. The hearing will be conducted in accordance with the procedure for potential dismissal for some other substantial reason adopted by the school, a copy of which is enclosed. The purpose of the hearing is to give you an opportunity to comment on the following: [INSERT] You should be aware that the hearing may lead to the termination of your employment. *[Due to the nature of the matter under consideration, I must advise you that, even if your employment ends during the procedure, we will take any necessary action required by legislation, including referral to the Independent Safeguarding Authority, or Secretary of State as appropriate.] I enclose a copy of the documentation which will be presented by (name of member of the leadership team presenting the case). The procedure to be used at the hearing and guidance on behaviour at meetings are included in the procedure. *[It will also be the intention to call... as witness(es)]. *[A representative of the local authority will be in attendance.] * [It is not expected that a representative of the local authority will be in attendance.] You will need to send me copies of any papers which you intend to use at the hearing at least ten working days before the hearing. You will also need to give me, at least ten working days before the hearing, the names of any witnesses whom you have asked, or intend to ask, to appear on your behalf. You have the right to request that you be accompanied by a representative of your choice who is either a trade union official or who is an employee of your employer. Please let me have this request at least ten working days before the hearing. An additional copy of this letter and the documentation is enclosed for your representative's use. Please confirm that you will attend at the time and date stated and whether or not you wish to be accompanied by a representative. You may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The Executive Head Teacher may reject your suggestion but will do so only if it is

21 unreasonable. In that case the Executive Head Teacher may proceed to hear the case in your absence or the absence of your representative. Yours sincerely Clerk to the Board of Directors * Delete as appropriate *[Copy to Employee Relations Team if the local authority is being represented]

22 SOSR4 INVITATION TO ATTEND A HEARING BY A COMMITTEE PRIVATE AND CONFIDENTIAL Date Dear HEARING I am writing to confirm that you are required to attend a hearing on (date)... at...a.m./p.m. The hearing will be held in (venue)... and will be before a Committee of the Board of Directors. The meeting will be chaired by (name)... and other members of the committee will be (name)... and (name)... The hearing will be conducted in accordance with the procedure for potential dismissal for some other substantial reason adopted by the School, a copy of which is enclosed. The purpose of the hearing is to give you an opportunity to comment on the following: [INSERT] You should be aware that this might lead to the termination of your employment. *[Due to the nature of the investigation, I must advise you that, even if your employment ends during the procedure, we will take any necessary action required by legislation, including referral to the Independent Safeguarding Authority, or Secretary of State as appropriate.] [A representative of the local authority will be in attendance.] (Essential if it is question of ceasing to work at the school or there is a written agreement with a voluntary aided or foundation school relating to dismissals.) I enclose a copy of the documentation submitted to the committee. The procedure to be used at the hearing and guidance on behaviour at meetings are included in the procedure for dismissal for some other substantial reason. The Executive Head Teacher [or.], who will be presenting the case, intends to call (names)... as witnesses. You will need to send me copies of any documentation which you wish to use at the hearing at least ten working days before the hearing. You will also need to notify me, at least ten working days before the hearing, of the names of any witness(es) whom you have asked, or intend to ask, to appear on your behalf. You have the right to request that you be accompanied by a representative of your choice who is either a trade union official or who is an employee of your employer. Please let me have this request at least ten working days before the hearing. An additional copy of this letter and the documentation is enclosed for your representative's use. Please confirm that you will attend at the time and date stated and whether or not you wish to be accompanied by a representative. You may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The committee may reject your suggestion but will do so only if it is unreasonable.