PERS 52 Unclassified November 2016 Schools Model Disciplinary Policy

PERS 52 Unclassified November 2016 Schools Model Disciplinary Policy This Policy has been formally adopted by the Governing Body of Hargate Primary School on Monday 5 th December 2016

Table of Contents 1.0 Introduction 3 2.0 Scope 3 3.0 Definitions 4 4.0 General Principles 5 5.0 Disciplinary Outcome 6-10 5.1 No Action 6 5.2 Informal Action 6 5.3 Formal Written Warnings: Guiding Principles 6-8 5.3.11 - Formal (Recorded) Verbal Warning 8 5.3.14 - First Written Warning 8 5.3.17 - Final Written Warning 8-9 5.4 Dismissal 9-10 6.0 Referrals to Regulatory Authorities 10 7.0 Appeals 10-11 ILO: UNCLASSIFIED Schools Model Disciplinary Policy [November 2016] 2

1.0 Introduction 1.1 This policy and procedure is intended to help Governing Bodies fulfil their responsibilities as required by the School Staffing (England) Regulations 2009 with regards to disciplinary procedures. 1.2 The Local Authority recommends Schools to adopt this Policy, especially where Sandwell MBC is the employer. This Policy will also be used for Unattached Teachers employed by Sandwell MBC. 1.3 This Policy is intended to provide a fair and consistent method of dealing with disciplinary matters and must be applied alongside the Disciplinary Rules. 1.4 The process is not exhausted within the School/Council until the appeal process has been completed. 1.5 Copies of this Policy should be made available to all employees to whom it applies. 2.0 Scope 2.1 This Policy applies to all School based employees (Non-Teaching and Teaching staff, including Headteachers), as well as all employees of Pupil Referral Units (PRUs). 2.2 In cases where allegations are made against the Headteacher, the role normally undertaken by them will be carried out by a nominated Governor (usually the Chair of Governors). In such circumstances advice must be sought from the School s HR provider before any action is taken. References to the Headteacher in this Policy should therefore be adjusted accordingly. 2.3 In PRUs the references in the Policy to Governing Body Committees will mean the Management Committees. 2.4 This policy also applies to Unattached Teachers who are employed in nonstandard settings by Sandwell MBC. Teachers not working in Schools should substitute Headteacher, Chair of Governors and Governing Body Committees for the appropriate delegated authority of line management. 2.5 Where there is an allegation of abuse (including inappropriate physical contact) by a member of staff against a child or young person the matter must be taken seriously and examined objectively. In the first instance, the Designated Person must immediately consult the Council s Local Authority Designated Officer (LADO) for further advice and action as appropriate. 2.6 This Policy should not be used for: - concerns relating to poor performance of Teachers, in these circumstances the Capability Procedure for Teaching Staff should be referred to. - concerns relating to an employee s incapability due to ill health; in these circumstances the Management of Absence Policy and Guidance should be referred to.

- workers (e.g. people engaged through Templink or Teachers engaged via a supply agency). - non-teaching staff in their probationary period. 3.0 Definitions (a) Designated Person(s): The Designated Person is the Headteacher. However, the Governing Body may agree to delegating authority to the Deputy Headteacher or equivalent to take Informal Action. (b) If the matter concerns a Headteacher then the Designated Person is the Chair of Governors. (c) A Schedule defining the people designated to take the appropriate action as defined within this policy shall be prepared, updated and agreed between the Governing Body/the Council as necessary and set out in the Schedule of Designated Officers. (d) Representative: an employee is entitled to be accompanied at each Formal Stage or as otherwise stated in 4.9 below by an accredited trade union representative or work colleague if they so wish. (e) The Committee: means the Committee appointed by the Governing Body with delegated powers to undertake the functions prescribed for a Committee in this Policy and consists of a minimum of 3 members. (f) Appeals Committee: means the Committee consisting of a minimum of 3, or equivalent to the number on the Committee. Members of the Appeals Committee should have had no prior involvement in the case. (g) Personal File: means that file maintained by and/or for the Director of Children s Services relating to the specific individual concerned. (h) Conduct or Capability: It is important to identify whether concerns relate to conduct or capability as different procedures may apply. conduct generally relates to where an employee will not do something asked of them i.e. they are capable but unwilling. Misconduct or unacceptable behaviour occurs when the disciplinary rules (HR53s) are broken through the employee s action or inaction. capability is where an employee cannot do their job to the required standards due to lack of skills or ability. (i) Misconduct or Gross Misconduct misconduct, when the disciplinary rules are broken, attracts a series of warnings, aimed at explaining what the employer regards as unacceptable and the consequences if they do not improve. Employees should not be dismissed for a single breach of disciplinary rules, except in the case of gross misconduct. Schools Model Disciplinary Policy Guidance [November 2016] 2

gross misconduct is misconduct which is serious enough to end the employment contract such that the employer can no longer tolerate the continued presence of the employee. The contract of employment may be brought to an end without going through the series of warnings. 4.0. General Principles 4.1 The Policy does not form part of the terms of an employee s contract with Sandwell MBC/the School which are provided separately. 4.2 The Local Authority strongly recommends that this Policy must be applied in conjunction with the Schools Model Disciplinary Policy Guidance and those affected should also be provided with a copy of this Guidance. 4.3 This Policy takes into account current employment legislation, good practice and the appropriate provisions of the ACAS (Advisory, Conciliation and Arbitration Service) Code of Practice. 4.4 The requirements of the Equality Act 2010 have been fully incorporated into the Policy. Reasonable adjustments will be considered on request to enable employees to fully participate in the process. 4.5 At any stage in the process, following investigations, the Designated Person may invoke an alternative Policy. 4.6 All parties will deal with issues promptly and not unreasonably delay meetings/hearings, decisions or confirmation of those decisions. 4.7 Where a meeting/hearing needs to be rescheduled, it can normally only be rescheduled once. A new date must be agreed within five working days of the original date. The actual meeting/hearing date need not be within those five days but should be as soon as possible. 4.8 All matters will remain confidential at every stage in accordance with the Data Protection Act 1998, except in circumstances where there is a legal obligation to disclose such information. 4.9 Employees must be informed of their right to be accompanied by a work colleague or trade union representative at any suspension, investigation interview, disciplinary hearing and appeal hearing as appropriate. 4.10 The employee must be informed of their right of appeal against a decision made during the formal process. 4.11 The final appeal hearing exhausts the internal process. 4.12 All formal records and copies of correspondence will be retained on the employee s personal file. 4.13 If an employee lodges a grievance relating to the disciplinary matter then the grievance will be dealt with through the disciplinary appeals process. Schools Model Disciplinary Policy Guidance [November 2016] 3

5.0 Disciplinary Outcome The disciplinary policy contains the following provisions: a) No Action / Informal Action b) Formal Written Warnings Formal (Recorded) Verbal Warning (up to 4 months) First Written Warning (up to 8 months) Final Written Warning (up to 12 months) c) Dismissal d) Appeal The importance of following the procedure in all cases is stressed. Allegation/s must be investigated and a disciplinary sanction can only be issued (if appropriate) following the case being heard at a disciplinary hearing. Case law has shown that failure to follow an agreed procedure is prima facie unfair. 5.1 No Action 5.1.1 If there is no case to answer or no further action is required then the employee will be informed verbally and in writing. 5.2 Informal Action 5.2.1 It is recognised that less serious breaches of conduct can often be dealt with informally through normal supervision and management conversations by drawing to the employee s attention the unsatisfactory conduct/behaviour, explaining what conduct is expected and setting clear and reasonable timescales for the employee s conduct/behaviour to improve. It may also be appropriate to consider additional support e.g. coaching, training or counselling depending on the circumstances of the case. 5.2.2 Where appropriate the Designated Person following a meeting with the employee may decide to resolve the issue informally if they are dealing with a minor issue or addressing an isolated incident. 5.2.3 Informal action is not formal disciplinary action taken under the Policy but the employee shall be informed that if they fail to learn from the informal action or any further breaches of discipline occur or if the employee fails to attain the required standard as appropriate then formal disciplinary action may be taken against him/her. 5.3 Formal Written Warnings: Guiding Principles At all Formal Stages the following will apply: 5.3.1 The employee will be informed of the allegation/s against them before being interviewed. 5.3.2 An officer will be appointed by the Designated Person to investigate the allegation/s. The investigation will include (where necessary) investigatory Schools Model Disciplinary Policy Guidance [November 2016] 4

meetings with the employee, colleagues and witnesses and consideration of relevant documents. A different person to the Headteacher (or Governors) chairing the disciplinary hearing will be responsible for the investigation. 5.3.3 Investigations to establish the relevant facts should be carried out promptly. The investigation should collect all relevant and supporting documents. 5.3.4 Where it is alleged that an employee has committed an offence of gross misconduct the Headteacher (or Chair of Governors if the allegation is against the Headteacher where further advice and guidance must be sought from the School s HR provider before any action is taken) should suspend the employee on full pay, to enable investigations to take place. Suspension is without prejudice and is not a disciplinary penalty. Separate suspension guidance is available. 5.3.5 Where an employee is unfit to attend meetings as part of the disciplinary process, they will be referred to the Occupational Health Unit, to assess their fitness to engage in the disciplinary process. 5.3.6 The employee shall receive written notice of any formal disciplinary hearing not less than five working days before the date of the hearing (or not less than 10 working days for a hearing with the Committee). Notification will set out the specific nature of the allegations, and where appropriate the possibility that the disciplinary hearing could result in dismissal. Copies of the disciplinary investigation report and any evidence to be presented at the hearing must be supplied with the notification. 5.3.7 The employee will be given the opportunity to state his/her case (which shall include the right of the employee or his/her representative to make a statement, ask questions of any witness and/or produce documents on his/her behalf) before decisions are reached. However, the representative cannot answer questions on an employee s behalf. 5.3.8 Action taken under this Policy shall depend upon the nature of the employee s offence, any mitigating circumstances where these may be reasonably taken into account and, if appropriate, the employee s past disciplinary record. 5.3.9 A first offence, unless it is considered to be gross misconduct, shall not normally result in dismissal but it may, depending upon the facts, result in any other of the disciplinary sanctions defined in the Policy. 5.3.10 Where formal action is taken in accordance with this procedure, it shall be the responsibility of the Headteacher/Committee taking such action to: notify the employee concerned in writing of the outcome of the hearing, including the level of warning, the period it shall remain live for, and the consequences of further breaches of discipline; ensure that at the interview/hearing and in the subsequent notification, that they inform the employee of the right of appeal to the Governing Body. Also, that if he/she wishes to exercise that right, he/she must do so in writing to the Director of Children s Services within 10 working days of the written notification of the decision, and that the appeal letter should set out the Schools Model Disciplinary Policy Guidance [November 2016] 5

grounds for the appeal; ensure that a copy of the notification is retained on the employee s personal file for the duration of the sanction. Formal (Recorded) Verbal Warning (up to 4 months) 5.3.11 Where a member of staff has not heeded previous Informal Action, or where the offence is such that it would warrant a Formal (Recorded) Verbal Warning, the Headteacher will meet to discuss the matter with the member of staff and his/her representative. 5.3.12 If, in the Headteacher's opinion after the necessary investigation, such action is justified, the employee will be given a Formal (Recorded) Verbal Warning for up to 4 months. Improvement targets will be set if appropriate. 5.3.13 A copy of the warning will be placed on the employee s personal file, but will be disregarded for disciplinary purposes at the expiry of the warning, subject to satisfactory conduct *and improvement (*as appropriate). First Written Warning (up to 8 months) 5.3.14 Where an employee has not heeded previous warnings or where the offence is such that it would warrant a written warning, the Headteacher after the necessary investigation, will hear the case at a convened disciplinary hearing. The employee has the right to be accompanied by his/her representative. 5.3.15 If, in the Headteacher s opinion, the allegations are substantiated, the employee will be given a First Written Warning for up to 8 months. Improvement targets will be set if appropriate. 5.3.16 A copy of the warning will be placed on the employee s personal file, but will be disregarded for disciplinary purposes at the expiry of the warning, subject to satisfactory conduct *and improvement (*as appropriate). Final Written Warning (up to 12 months) 5.3.17 Where an employee has not heeded a previous (First) Written Warning, or that where the alleged offence is such to warrant a Final Written Warning if, after the necessary investigation, the Headteacher in his/her opinion considers the employee has a case to answer and, that if substantiated, the allegations would warrant a Final Written Warning, the matter shall be referred to a disciplinary hearing with the appropriate Committee of the Governing Body. OR 5.3.18 Where the Headteacher has not been involved in the investigation, they may hear the case and where they have delegated authority by the Governing Body to issue a Final Written Warning. DELETE EITHER 5.3.17 or 5.3.18 AS APPROPRIATE 5.3.19 If, in the Committee s opinion, the allegations are substantiated, the employee will be given a Final Written Warning for up to 12 months. Improvement targets will be set if appropriate. Schools Model Disciplinary Policy Guidance [November 2016] 6

5.3.20 The Final Written Warning will include the reason for the warning and reference that if there is a further act of serious misconduct (or if there is no improvement during the period of the warning) action will be taken which will lead to the implementation of the next stage (Dismissal). 5.3.21 A copy of the Final Written Warning will be placed on the employee s personal file, but will be disregarded for disciplinary purposes at the expiry of the warning, subject to satisfactory conduct. 5.4 Dismissal 5.4.1 Where an employee has not heeded the Final Written Warning or where it is alleged that he/she has committed an act of gross misconduct he/she shall meet with the Headteacher accompanied by his/her representative as appropriate and be informed of the allegations against him/her. 5.4.2 In the case of alleged gross misconduct, the employee shall be suspended forthwith from duty. The Headteacher shall notify the Chair of the Governing Body of any such suspension. 5.4.3 Where the case of alleged gross misconduct is against the Headteacher then the Chair of Governors, having already taken further advice and guidance from the School s HR provider, must inform the Director of Children s Services if a suspension has taken place. 5.4.4 If after the necessary investigations, the Headteacher considers that the employee does not have a case to answer he/she shall consult the Chair of the Governing Body who shall end the suspension and the employee shall return to his/her normal duties. When ending a suspension, the Governing Body must immediately inform the Headteacher and the Director of Children s Services. 5.4.5 However, if after such investigations, the Headteacher considers that the employee does have a case to answer the matter shall be referred to a hearing with the appropriate Committee of the Governing Body if the Headteacher does not have the authority to dismiss. OR 5.4.6 Where the Headteacher has not been the Investigating Officer, they may hear the case where the authority to dismiss has been delegated to the Headteacher by the Governing Body. DELETE EITHER 5.4.5 OR 5.4.6 AS APPROPRIATE 5.4.7 The Local Authority, through a representative of the Director of Children s Services, is required to attend for the purposes of giving advice at potential dismissal hearings. 5.4.8 If the Committee finds that the allegations are substantiated: in the case of gross misconduct the employee shall be dismissed without notice (summary dismissal) and the effective date of his/her dismissal shall be the date upon which the decision is communicated to the Schools Model Disciplinary Policy Guidance [November 2016] 7

employee by the representative of the Director of Children s Services*. in other cases, the employee shall be dismissed with notice in line with their Statement of Written Particulars and the notice shall be effective from the date upon which the decision is communicated to him/her by the Director of Children s Services*. The Committee may decide that a payment in lieu of notice be paid to the employee. alternatively the Committee may find the employee blameless or may choose to impose any lesser sanction as provided for in this policy. *PLEASE NOTE: If the Committee has made a determination that the employee be dismissed the Clerk to Governors will write within 5 days of the decision (providing full details of the rationale for the Committee s decision) to the Director of Children s Services who shall ratify the dismissal, notifying the employee within 14 days of the initial dismissal decision, in accordance with the School Staffing (England) Regulations 2009. If appropriate notification is not received from the School by the Local Authority in time to allow for the ratification of the dismissal, then the School understands and accepts that any liability for extended employment costs will pass to the School. 6.0 Referrals to Regulatory Authorities 6.1 The Local Authority, as the employer, has a legal duty to inform the Disclosure and Barring Service (DBS) where an employee has been dismissed, or would have been dismissed had they not resigned first, in cases where the employee is considered to have harmed a child or where a child was placed at risk of harm. The referral may result in the person being barred from working/volunteering with children. 6.2 Settlement agreements should not be used in cases related to child safeguarding. If such an agreement is made it will not override the statutory duty to make a referral to the DBS, where circumstances require this. 6.3 In Teachers professional misconduct cases the Local Authority, as the employer, has a legal duty to refer cases of serious misconduct to the National College for Teaching and Leadership (NCTL) when they have dismissed a Teacher, or would have dismissed them had they not resigned first. The NCTL may then consider the misconduct so serious that it warrants a decision on whether the Teacher should be prohibited from teaching. 7.0 Appeals 7.1 An employee who wishes to appeal any formal disciplinary decision must do so within 10 working days of this decision, stating in writing the grounds for appeal, which should be one or more of the following: The decision the grounds for appeal should state why the finding or sanction is unfair/discriminatory; The facts the grounds for appeal should state where new evidence Schools Model Disciplinary Policy Guidance [November 2016] 8

has come to light that was not available at the original hearing; The procedure the grounds for appeal should state how the disciplinary procedure was not used correctly, thereby prejudicing the disciplinary decision. 7.2 The appeal will be dealt with impartially by Governors who have not previously been involved in the case. The appeal will not normally be a full re-hearing, but will focus on the grounds of appeal as set out in the letter from the employee. 7.3 The Local Authority, through a representative of the Director of Children s Services, has an entitlement to attend for the purposes of giving advice at appeal hearings against dismissal. 7.4 The decision of the Committee shall be notified in writing to the employee by the Clerk to the Governors and a copy of the letter shall be retained on the appropriate employee s personal file. Schools Model Disciplinary Policy Guidance [November 2016] 9

PERS 52g Unclassified November 2016 Schools Model Disciplinary Policy Guidance Schools Model Disciplinary Policy Guidance [November 2016] 10

Table of Contents 1.0 Introduction 3 Disciplinary Flowchart 5 2.0 Allegations 6 2.1 Allegations against Trade Union Officials 6 2.2 Allegations of a Criminal/Child Protection Nature 6 2.3 Sickness Absence After Allegations 6 3.0 No Action 7 4.0 Informal Action 7 5.0 An Employee s Right to Representation 7-8 6.0 The Investigation Process 8-9 7.0 Suspension 9-10 8.0 Consideration of Evidence 10 9.0 Decision Makers 10-11 10.0 The Disciplinary Hearing Process 11-13 11.0 The Appeals Process 13-14 12.0 Records 14 12.1 Records Related to Child Protection Allegations 14 13.0 Confidentiality 14 Appendix 1 Procedure for the Disciplinary Hearing 15 Appendix 2 Procedure for the Appeals Committee 16 Disciplinary Rules 17-19 Annex 1 Schedule of Designated Persons (Schools) 20 Annex 2 Schedule of Designated Persons (Unattached Teachers) 21 Schools Model Disciplinary Policy Guidance [November 2016] 11

1. 0 Introduction 1.1 This document sets out a framework for implementing the Schools' Model Disciplinary Policy and must be applied in conjunction with the Policy as it provides information, practical hints and tips around the Local Authority s approach to handling disciplinary matters. Why have a Disciplinary Policy? 1.2 The Disciplinary Policy has been developed to help and encourage all employees to achieve and maintain the required standards of conduct. It helps to encourage consistent and fair treatment, resolve disciplinary issues as quickly as possible and provide a clear framework for Schools to follow. What is the Designated Person(s) role in ensuring employees know how to behave at work? 1.3 The Designated Person is the Headteacher; however the Governing Body may agree that the Deputy Headteacher may also take informal action. If the matter concerns a Headteacher then the Designated Person is the Chair of Governors and, in such circumstances, further advice and guidance must be sought from the School s HR provider before any action is taken. 1.4 The Designated Person s role is to: ensure employees know the standards required of them, for example, work objectives and behaviour give clear feedback and support to employees treat employees as individuals. Sometimes a one size fits all approach is not appropriate hold difficult conversations promptly. Issues for a Designated Person to consider before deciding whether to take formal disciplinary action: is the employee new in the post? is the Headteacher expecting the same standards from other employees in the same role? have there been significant changes in the employee's workload? is the employee s conduct out of character? could there be factors affecting the employee s conduct? was the employee following an instruction? what are the implications of the employee s actions? Were they reasonable in the circumstances? 1.5 If the Designated Person believes an employee has committed a disciplinary offence, they will need to refer to the Disciplinary Rules and make a reasoned judgement on what course of action is appropriate in the circumstances. 1.6 In normal circumstances, disciplinary action will relate to the employee s conduct at work. However, in some cases, disciplinary action may be taken in relation to an employee s behaviour outside of work, where it affects an Schools Model Disciplinary Policy Guidance [November 2016] 12

employee s suitability for continued employment, or where the behaviour brings the Local Authority/School into disrepute. 1.7 A Designated Person should not ignore incidents of unsatisfactory conduct. They should use the Policy to encourage the employee to achieve and maintain the required standards of conduct. Schools Model Disciplinary Policy Guidance [November 2016] 13

Disciplinary Flowchart If safeguarding contact the LADO Allegation/s made Preliminary Fact Finding Exercise Is there substance to the allegation/s? No No case Yes End of process Is the allegation potential misconduct or gross misconduct? (Potential) misconduct (Potential) gross misconduct (Potential) suspension of employee Appoint appropriate officer to investigate allegation/s Appoint appropriate officer to Investigate allegations Investigating officer produces report Report received and considered by Designated Person Case to answer No case End of process No Yes Arrange/hold disciplinary hearing Are allegations founded at the hearing? Consider any live warnings on file Verbal (Recorded) Warning First Written Warning Final Written Warning Dismissal with notice Summary dismissal gross misconduct (without notice) Right of Appeal Schools Model Disciplinary Policy Guidance [November 2016] 14

2.0 Allegations 2.1 The employee will be informed of the complaint against them before being formally interviewed. 2.2 Where it is alleged that an employee has committed an offence of gross misconduct the Headteacher should suspend the employee on full pay, to enable investigations to take. Suspension is without prejudice and is not a disciplinary penalty. See Section 7 - Suspension. 2.3 In cases where allegations are made against the Headteacher, the role normally undertaken by them will be carried out by a nominated governor (usually the Chair of Governors). References to the Headteacher in this policy guidance should be adjusted accordingly Allegations against Trade Union Officials 2.4 Where it is alleged that an official of a trade union or professional association has committed a breach of discipline, he/she shall be informed of the complaint against him/her. The Designated Person taking disciplinary action shall notify the Director of Children s Services who shall inform the appropriate senior representative or full-time official of that trade union or professional association of the allegations before any further action is taken against the official. Allegations of a Criminal/Child Protection Nature 2.5 Where allegations may concern criminal action, for example physical/sexual abuse or financial irregularities, it may be appropriate to involve the Police and/or other agencies. In these cases the School s investigation should be held in abeyance until the external investigation has been completed or until agreement is given for the internal investigation to commence to ensure that the external investigation is not compromised. 2.6 In cases with allegations of a child protection/safeguarding nature the Designated Person must seek advice from the Local Authority Designated Officer (LADO). In addition, further guidance can be found in the Sandwell Safeguarding Children Board (SSCB) Manual and also the Department for Education s document Dealing with allegations of abuse against teachers and other staff. 2.7 Where allegations are made relating to financial irregularities or fraud the Designated Person must make contact with the Council s Audit Department. Sickness Absence after Allegations 2.8 If sickness absence occurs following the commencement of the disciplinary procedure the case will be dealt with in accordance with the Management of Absence Procedure. However, the employee will be referred to the Occupational Health Unit to assess his/her health and fitness to engage in the disciplinary process. Schools Model Disciplinary Policy Guidance [November 2016] 15

3.0 No Action 3.1 If there is no case to answer or no further action is required then the employee will be informed verbally and in writing. 4.0 Informal Action 4.1 An informal approach is a key part of good management and generally involves the appropriate Designated Person discussing the matter with the employee outside of the formal disciplinary policy. 4.2 Less serious breaches of conduct or addressing an isolated incident can be resolved through normal supervision and management conversations by drawing to the employee s attention the unsatisfactory conduct/behaviour, explaining what conduct is expected and setting clear and reasonable timescales for the employee s conduct/behaviour to improve. It may also be appropriate to consider additional support, e.g. coaching, training or counselling depending on the circumstances of the case. A brief record of the discussion should be made and retained for future reference as necessary. 4.3 Informal Action is not formal disciplinary action taken under the procedure but the employee shall be informed that if they fail to learn from the informal action or if any further breaches of discipline occur or if the employee fails to attain the required standard, formal disciplinary action may be taken against him/her. 4.4 The Designated Person should: use team meetings and general communication to establish or clarify their expectations of conduct and behaviour as necessary nip issues in the bud before they escalate remember that an informal chat may help clarify and resolve the issue ensure that any evidence gathered is stored confidentially seek extra information if necessary. 5.0 An Employee s Right to Representation 5.1 At all Formal Stages the employee must be informed of their right to be accompanied by a work colleague or a trade union representative. 5.2 Employees attending investigation interviews can be supported by a trade union representative or a work colleague. However it is not appropriate for the representative to be someone who might have a conflict of interest or who may be called as a witness. 5.3 Representatives do have the right to put forward representations on behalf of the employee and/or sum up the case, should the employee wish them to do so. However, the representative cannot answer questions put to the employee. The employee must answer any questions that are directed at them. Schools Model Disciplinary Policy Guidance [November 2016] 16

5.4 Representatives can bring additional and/or mitigating circumstances to the attention of the Designated Person or the Investigating Officer. 5.5 Employees attending investigation interviews as a witness can be supported by a work colleagues or trade union representative providing this does not unreasonably delay the investigation. 6.0 The Investigation Process 6.1 When an incident is brought to the Designated Person s attention or an allegation is made, a preliminary fact-finding exercise should be considered immediately in order to establish whether there are reasonable grounds for a full investigation of the allegation/s. An outcome of the fact-finding exercise may result in the suspension of the employee (see Section 7). 6.2 Before the full investigation commences the Headteacher should advise the employee of the allegation(s) made against them and that an Investigating Officer has been appointed to investigate the matter, which may result in the need for a disciplinary hearing. The employee must also be informed of their entitlement to be accompanied to meetings in accordance with the Policy. This should be confirmed in writing. 6.3 The investigation is a crucial activity and will help the Designated Person decide if the issue should be progressed to a formal disciplinary hearing. 6.4 The Investigating Officer will gather evidence and produce a report. The Investigating Officer should be a person with no involvement in the matter under investigation. Where the Designated Person is likely to hear the case, the investigation and presentation of the case should be carried out by an appropriate person nominated by the Designated Person. Where there is a conflict of interest alternative investigation arrangements must be made to retain the integrity of any investigation. 6.5 The Investigating Officer must: establish clearly what they need to investigate keep in mind the original allegation(s) not make the investigation too wide. If further allegation/s come to light then the employee should be notified separately in writing and before any subsequent investigation interview ensure that additional information which comes to light is dealt with appropriately collect evidence such as witness statements ensure any evidence collected is stored in a confidential place and filed in order of events be impartial throughout 6.6 As part of the investigation, an interview should be arranged with the employee as soon as possible, giving a minimum of five working days notice. The employee under investigation may be accompanied by a trade union representative or work colleague at any investigation interview. Schools Model Disciplinary Policy Guidance [November 2016] 17

6.7 The Investigating Officer should present the allegation(s) to the employee who should be invited to respond in full. If any new allegations emerge during the course of the investigation, it will be necessary to re-interview the employee. Full notes should be taken and the employee invited to read and sign them as an accurate reflection of the interview. 6.8 The investigation should be conducted as soon as possible. Every attempt should be made to complete the investigation in a timely manner. The Investigating Officer should provide the employee with regular updates on a 4-weekly basis on how the investigation is progressing if it goes beyond 4 weeks. 6.9 Following the investigation, the Designated Person will receive the investigation report and if they consider the employee has a case to answer, evidence gathered during the investigation will be used at the hearing. The Investigating Officer should take no part in reaching the decision at a disciplinary hearing. 7.0 Suspension 7.1 In certain cases, a period of suspension from work may be considered whilst the allegations are being investigated or before a disciplinary hearing is held, especially where the allegation, if proven, could constitute gross misconduct. 7.2 Suspension from duty shall be with full pay and without prejudice. Suspension is precautionary, is not disciplinary action or a punishment, and should be as short a period as possible. 7.3 Suspension is not a decision that should be taken lightly particularly when there is a possibility that the suspended employee could subsequently be proved innocent of all allegations. Therefore, suspension should only be imposed after careful consideration, where gross misconduct is alleged and/or where temporary alternative arrangements are not appropriate or cannot be accommodated. 7.4 The employee will have the right to be accompanied by a trade union representative or work colleague at the suspension meeting so long as their availability does not unreasonably delay the convening of the meeting. 7.5 The employee will receive written confirmation of the suspension, which will include the reason(s) for suspension, the date from when the suspension will take effect and details of any restrictions. The employee will be provided with a contact point during their suspension who will provide information regarding the progress of the investigation and an update on School matters. The employee will also be reminded of the availability of other support such as counselling. 7.6 Where an employee has been suspended, the Designated Person must keep this under review to determine whether necessary action is required. There should also be careful consideration of how the impact of the decision is managed within the School with due regard to the duty of care and sensitivity of the suspended employee. Schools Model Disciplinary Policy Guidance [November 2016] 18

7.7 The authority to suspend lies with the Headteacher (or with the Chair of the Governing Body if the allegation is against the Headteacher). If after the necessary investigations, the Headteacher considers that the employee does not have a case to answer he/she shall consult the Chair of the Governing Body who shall end the suspension and the employee shall return to his/her normal duties. When ending a suspension, the Governing Body must immediately inform the Headteacher and the Director of Children s Services. 8.0 Consideration of Evidence 8.1 On completion of the investigation the Designated Person will consider the investigation report, statements and supporting documentation. The Designated Person will: review the allegations against the standards set out in the disciplinary rules/professional standards/local custom and practice, Job Descriptions and Personnel Specifications; consider whether the allegation is misconduct or gross misconduct; decide whether to progress to a formal disciplinary hearing. 8.2 If disciplinary action is to be taken, the report and supporting documentation shall be sent to the employee with the disciplinary hearing calling letter. 8.3 The Investigating Officer must not be involved in the decision making at any subsequent disciplinary hearing. 9.0 Decision Makers 9.1 For clarification, transparency and for the purposes of continuity, certain decisions may be delegated to the Headteacher or the Deputy Headteacher (or equivalent) as agreed by the Governing Body. For all intents and purposes the key decision maker will be the Headteacher although additional authority may be delegated as below: A Headteacher may issue a Verbal (Recorded) Warning and a First Written Warning. In addition, where Governors have delegated Dismissal decisions to a Headteacher, the Headteacher may also issue a Final Written Warning. If Governors have delegated Dismissal decisions this must be clearly minuted and the School Policy amended to make this transparent. A Deputy Headteacher or equivalent may be able to take Informal Action if agreed by the Governing Body. This must also be clearly minuted in the amended School Policy. 9.2 Where a decision is not made to delegate Dismissal authority to the Headteacher, and the Headteacher believes that, if the substantiated allegations would warrant a Final Written Warning or Dismissal, the matter will be referred to a hearing of the appropriate Committee of the Governing Body. A representative of the Director of Children s Services shall be present at hearings where dismissal is a possible outcome. Schools Model Disciplinary Policy Guidance [November 2016] 19

9.3 The Committee may find the employee blameless or may choose to impose a lesser sanction as provided for in the procedure. 9.4 All appeals will be heard by the Appeals Committee of the Governing Body. A representative of the Director of Children s Services shall be present at appeals against a dismissal decision. 9.5 The Formal Sanctions available are: Verbal (Recorded) Warning live for up to 4 months First Written Warning live for up to 8 months Final Written Warning live for up to 12 months Dismissal (misconduct dismissal with notice or gross misconduct i.e. summary dismissal without notice) 9.6 The Headteacher/Committee must not make judgements about the employee s conduct prior to any formal hearing. They must remain impartial. 10.0 The Disciplinary Hearing Process 10.1 After investigation, where it is reasonably believed there is a case to answer, the Headteacher or Clerk to Governors will write to the employee requiring them to attend a disciplinary hearing by providing the appropriate notice. 10.2 The employee shall receive written notice of any formal hearing not less than five working days before the date of the hearing (or not less than 10 working days for a hearing with the Committee). Notification i.e. the calling letter will set out the specific nature of the allegation/s, and where appropriate the possibility that the hearing could result in dismissal. Copies of the disciplinary investigation report and any evidence to be presented at the hearing must be supplied with the notification. 10.3 The calling letter will include: details of the alleged offence(s) (and the possible consequences if dismissal is likely); copies of any relevant evidence intended to support the allegation(s), including the investigation report; the employee s right to be accompanied by a trade union representative or work colleague; confirm that the employee will be given the opportunity to respond to the allegation(s); details of any witnesses due to be in attendance; advice as to how the employee may submit further written evidence or details of any witnesses to be called no later than three working days before the hearing. 10.4 Where a disciplinary hearing needs to be rescheduled, it can normally only be rescheduled once and a new date must be agreed within 5 working days of the original date. The actual meeting date need not be within those 5 days but should be as soon as possible. Schools Model Disciplinary Policy Guidance [November 2016] 20

10.5 If an employee cannot attend the hearing due to sickness absence then they should be referred to the Occupational Health Unit to assess his/her health and fitness to engage in the disciplinary process. 10.6 If an employee does not attend the hearing then the Chair can choose to hold the hearing in their absence providing the Chair is assured that previous, reasonable attempt/s have been made to convene the hearing. 10.7 An employee with special requirements can ask for assistance. For example, they may ask for an interpreter if English is not their first language. 10.8 Preparing for the disciplinary hearing (Headteacher/Committee): inform the employee of their right to be accompanied arrange a reasonable time for everyone involved (usually during the employee s working time) organise a private place so there are no interruptions consider whether all parties have had enough time to prepare arrange for a note taker or Clerk to Governors to attend 10.9 The hearing should take place in private and all parties be reminded that the issues discussed shall be treated as confidential. The employee (or their representative) should be given an opportunity to respond to the allegations, challenge any evidence and offer mitigation. 10.10 The procedure for the Disciplinary Hearing is detailed in Appendix 1. 10.11 What to consider before making a decision (Headteacher/Committee): Has all the evidence been heard? Have all the available witnesses been called? Has all the information needed to make a decision been obtained e.g. employment history, previous live disciplinary warnings? Has sufficient time been allowed to deliberate? A spur of the moment decision may be difficult to justify as reasonable. Is the decision fair not only to the employee, but also to the School? On the balance of probability is there a genuine belief that the allegations are considered to be proven? Are there reasonable grounds for that belief? Has as much investigation as is reasonable been carried out given the circumstances of the case? Should the case be dismissed if the allegation(s) are not proven? 10.12 Communicating the decision 10.13 The hearing should be adjourned to reach a decision. Once the decision has been made the hearing should be reconvened as soon as possible. The Headteacher/Chair of the Panel will advise the employee (and their representative) of the decision and their right of appeal as appropriate. 10.14 The Headteacher/Committee should keep notes of any key points and the reasoning behind their decision. These notes may be needed if an appeal is Schools Model Disciplinary Policy Guidance [November 2016] 21

lodged or if the case is referred to an Employment Tribunal. 10.15 The written notification to the employee will include: Details of the misconduct as identified at the hearing; The reasoning for the decision; The level of warning and the period it shall remain live; The consequences of further breaches of discipline; The right of appeal to the Governing Body and details as to how to appeal and by when. 10.16 The Headteacher/Chair of the Panel should ensure that a copy of the notification is retained on the employee s personal file. The Headteacher/Line Manager has a responsibility to monitor the employee s future conduct following the outcome of the hearing. 11.0 The Appeals Process 11.1 An employee who wishes to appeal any formal disciplinary decision must do so in line with the appeals process. Employees must lodge an appeal within 10 working days of the date of the disciplinary hearing decision, stating in writing the grounds for appeal, which should be one or more of the following; The decision: the grounds for appeal should state why the finding or sanction is unfair/discriminatory; The facts: the grounds for appeal should state where new evidence has come to light that was not available at the original hearing; The procedure: the grounds for appeal should state how the disciplinary procedure was not used correctly, thereby prejudicing the disciplinary sanction. 11.2 Upon written notification that an employee wishes to exercise his/her right to appeal, the Appeals Committee shall acknowledge receipt of this notification. The appeal shall be heard as soon as practically possible after the written notification of the appeal. 11.3 The employee and his/her representative shall be given not less than five working days notice of the date, time and place of the hearing of the Appeals Committee. 11.4 The appeal will be dealt with impartially by Governors who have not previously been involved in the case. The appeal will not normally be a full re-hearing, but will focus on the grounds of appeal set out in the letter from the employee. A representative of the Director of Children s Services shall be present at appeals against a dismissal decision. 11.5 The Chair of the disciplinary hearing will present the management case at the appeal, explaining the reasons why they took their decision. 11.6 The procedure for the Appeals Committee to hear the appeal is detailed in Appendix 2. Schools Model Disciplinary Policy Guidance [November 2016] 22

11.7 The results of the appeal should be communicated by the Chair in writing within 3 working days of the hearing and a copy of the letter shall be retained on the employee s personal file. The final appeal hearing exhausts the internal process. 12.0 Records 12.1 In order that comprehensive records are maintained, copies of all minutes and correspondence arising out of the operation of this procedure shall be retained on the employee s personal file. 12.2 A copy of the warning will be placed on the employee s personal file, but will be disregarded for disciplinary purposes at the expiry of that warning unless further breaches occur or there is insufficient improvement before its expiry. 12.3 Where an employee is subject to disciplinary action or appeals against disciplinary action being taken, he/she may request to have sight of or copies of any documents relating to that decision contained in his/her personal file. Such a request shall be made in writing to the Director of Children s Services. 12.4 Records Related to Child Protection Allegations Where there is an allegation of a child protection nature against a member of staff, including where the allegation is unfounded, records must be kept until the person s normal retirement age, or 10 years from the date of the allegation whichever is the longer. Details of allegations that are found to have been malicious should be removed from the employee s personal file. 13.0 Confidentiality 13.1 All investigations and any subsequent disciplinary/appeal hearings will be dealt with in the strictest of confidence. The employee and any other individuals involved in this process (including witnesses) must adhere to this. 13.2 Any documents relating to disciplinary proceedings must be kept secure at all times. 13.3 All matters will remain confidential in accordance with the data protection principles, except in circumstances where there is a legal obligation to disclose such information. Schools Model Disciplinary Policy Guidance [November 2016] 23

Appendix 1 - Procedure for the Disciplinary Hearing Action Introductions and explanation of the process to be followed That an adjournment may be requested at any time during the hearing Outline of reasons for the hearing Presentation of management case, including the calling of their witness/witnesses Questions to Investigating Officer* (and their witnesses) Questions to Investigating Officer* (and their witnesses) Presentation of employee s case, including the calling of their witnesses Questions to the employee (and their witnesses) Questions to the employee (and their witnesses) Summing up of the management case (no new evidence can be introduced at this stage) Summing up of the employee s case (no new evidence can be introduced at this stage) Investigating Officer*, the employee and their representative withdraw from the hearing whilst the case is being considered If the Chair requires further clarification on a point of fact, both parties will be asked to return even if the question is to be put to one side only, so that the other side can hear Person The Chair Investigating Officer (*and Headteacher where they are not the Chair) Investigating Officer* Employee or trade union representative/work colleague The Chair/Committee, and HR Consultant/ Legal Advisor/ representative of the Director of Children s Service (as appropriate) Employee or trade union representative/work colleague Investigating Officer* The Chair/Committee, and HR Consultant/ Legal Advisor/ representative of the Director of Children s Service (as appropriate) Investigating Officer* Employee or trade union representative/work colleague Investigating Officer*, Employee, trade union representative/work colleague The Chair what is being said The Chair/Committee makes the decision The Chair/Committee, and HR Consultant/ Legal Advisor/ representative of the Director of Children s Service (as appropriate) Hearing reconvened all parties return and employee informed of the decision and right of appeal Formal letter confirming decision and right of appeal The Chair The Chair NB (*and Headteacher where they are not the Chair) Schools Model Disciplinary Policy Guidance [November 2016] 24