DISCIPLINARY PROCEDURE 1
Policy Applies to Author(s) Approved by Staff Disciplinary, grievance and Whistleblowing policy All staff in college and boarding premises Paul Fear & Alison Baines I certify I have reviewed this policy and verify that to the best of my knowledge it reflects current legislation and is in accordance with the wishes of the Principal and the Board of Directors Tim Joseph Principal) Annual Review October 2015 / October 2016 Tim Joseph 2
INTRODUCTION The following procedure has been adopted by Chelsea Independent College in accordance with relevant legislation. It applies to all employees of the college and boarding premises. The college provides a service mainly to students, but also to external clients. It is important that all staff maintain a high level of behaviour in order to safeguard students and the quality of that service and the reputation of the college. Good working relationships with staff are an essential ingredient for success. This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct. The aim is to ensure consistent and fair treatment to all. Every effort will be made to avoid the use of disciplinary action where alternatives are appropriate. PRINCIPLES 1. No disciplinary action will be taken against an employee until the case has been fully investigated. 2. At every stage in the procedure the employee will be advised of the nature of the complaint against him or her and will be given the opportunity to state his or her case before any decision is made. 3. If the college decides to hold a disciplinary hearing relating to the matter complained of, the employee will be advised in writing of the nature of the complaint against him or her at least ten working days before such hearing, although lesser notice may be given with the agreement of the employee. 4. At all stages the employee will have the right to be accompanied by an acknowledged staff representative, Trade Union representative or a work colleague of their choice. 5. No employee will be dismissed for a first breach of discipline except in the case of gross misconduct. 6. An employee will have the right to appeal against any disciplinary penalty imposed. 7. The procedure may be implemented at any stage if the employee's alleged misconduct warrants such action. 8. Normal disciplinary standards and procedures will apply to the conduct of employees who are trade union officials, except that no action beyond a formal oral warning will be taken until the circumstances of the case have been discussed with a senior trade union representative or fulltime official. 9. If the employee fails, without good reason, to attend a disciplinary hearing which the College has instructed him or her to attend, the hearing will take place, and a decision will be made in his or her absence. 10. This procedure does not affect the rights of employees under the separate grievance procedure. 3
11. Where any warning is withdrawn by appeal at any stage of the procedure, any written reference thereto shall be removed from the employee's file and destroyed, and the employee informed accordingly GROSS MISCONDUCT Gross misconduct is misconduct of such a nature that the Principal is justified, having considered any mitigating circumstances, in no longer tolerating the continued presence at the place of work of an employee. Examples of conduct which will usually constitute gross misconduct are: serious financial irregularity, theft, the use or threat of violence, willful damage or the inability to carry out normal work because of impairment due to taking intoxicating drink or drugs; or refusal to obey reasonable instructions. The above examples are not exhaustive or exclusive and conduct of a similar nature will be dealt with under this procedure. If the Principal s conduct is in question, the Board of Directors would determine whether it constitutes gross misconduct. The college also reserves the right to take action in accordance within its duties under civil and criminal law. In addition, it should be noted that where an employee conducts an act of gross misconduct outside of working hours this would not automatically constitute grounds for dismissal. The main consideration must be whether the offence is one that makes the employee unsuitable for his or her type of work. INFORMAL COUNSELLING If any aspect of an employee's conduct or performance is giving cause for concern it is the responsibility of the line manager to establish the facts and to decide on the action to be taken. It may well be that in the light of the circumstance all that is necessary is to discuss the matter informally with the employee and to provide advice about the standards required in the future. This informal counselling will not be recorded in the personnel file of the employee concerned. In the case of the Principal s conduct causing concern, the line manager would be a member of the Board of Directors. Should the disciplinary procedure be started against the Principal as laid out below, the CEO of the group would act as line manager and be empowered to dismiss the Principal, following consultation with the Board of Directors. THE PROCEDURE STAGE 1 Formal Oral Warning A formal oral warning is the first stage of the disciplinary procedure and the first stage of the employee's right of appeal. It can be issued by the employee's line manager after the circumstances have been investigated and the employee has had an opportunity to discuss the matter and to present his or her views. A note will be placed on the employee's personnel file giving the date of the warning and the reason for it. The employee will be given a copy of this note. The note will remain on file for a period of 6 months. STAGE 2 Written Warning If the misconduct is serious, or if further misconduct occurs, a written warning will be given to the employee by the appropriate line manager. This will give details of the misconduct, the improvement required and the timescale. The warning must include an explanation that continued unsatisfactory conduct or further misconduct could lead to dismissal and will advise of the right of appeal. A copy of this written warning will be kept on the employee's personnel file for 12 months, after which, if the employee's conduct has been satisfactory, it will be removed. STAGE 3 4
Final Written Warning If the misconduct is sufficiently serious to warrant a written warning or there is evidence of further misconduct a final written warning will be given to the employee by a member of the Senior Management Team. This will give details of the misconduct, the improvement required, the timescale and will warn that dismissal will result if there is no satisfactory improvement and will advise of the right of appeal. This warning will be held on the employee's personnel file for 2 years subject to the employee's conduct having been satisfactory throughout that period. STAGE 4 Dismissal If conduct is still unsatisfactory or the employee has committed gross misconduct, dismissal will normally follow. The Principal is empowered to dismiss staff (with the exception of Senior Postholders). The employee will be informed of the reasons for dismissal within 3 working days, the date on which employment will terminate and the mechanisms for appeal. The Corporation will be informed of any such dismissal. SUSPENSION Suspension is not a disciplinary sanction. An employee, who is suspected of gross misconduct, with no acceptable mitigating circumstances, may be suspended immediately by the Principal on the grounds that the continuing presence of the employee cannot be permitted. Should it be the case that the Principal s conduct warrants suspension, this would be carried out by the CEO. The employee will be informed in writing of the reason for suspension. During a period of suspension, the employee will receive full pay. On being informed orally of the reason for suspension, the employee will immediately stop work and leave the college when instructed to do so. The reason for suspension will be confirmed in writing. The employee will not return to the college until the decision to end the suspension is communicated to the employee in writing. Any person who has been under suspension for 3 weeks or more may appeal in writing to the Principal against the suspension. Should the Principal have been suspended the appeal would be sent to the Board of Directors. Any appeal shall be considered as soon as practicable and the suspension against which the appeal is made shall continue to operate pending the determination of the appeal. APPEALS AGAINST DISCIPLINARY PENALTIES (WITH THE EXCEPTION OF FINAL WRITTEN WARNING OR DISMISSAL) An employee has the right to appeal against any disciplinary decision taken against him/her. The appeal will be heard by 2 members of the Senior Management Team designated by the Managing Board. The members of the Senior Management Team will not have had any previous association with the case. This appeal will be held within 10 working days after the notice to appeal has been received. At the hearing of the appeal, the employee will be given an opportunity to state his or her case and will be entitled to be accompanied by an acknowledged staff representative, Trade Union representative or work colleague of their choice. At the appeal, the disciplinary penalty imposed may be dismissed, upheld or reduced in severity. The decision, as appropriate, will be notified to the employee in writing within 5 working days of the appeal hearing and will be final and binding. Appeals should be made in writing to the Principal within 10 working days of being informed of the disciplinary decision, stating the reasons for the appeal (or to the Board of Directors in case of the Principal wishing to make an appeal). APPEALS AGAINST FINAL WRITTEN WARNING 5
An employee may appeal to the Principal against a decision to issue a Final Written Warning (or to the Board of Directors in case of the Principal wishing to make an appeal). In the case of an appeal against a decision to issue a Final Written Warning, the Final Written Warning shall not take effect until the appeal has been determined. The employee should submit the appeal in writing to the Principal (or board in the case of the Principal) within 10 working days of the decision to issue a Final Written Warning being taken. The appeal will be heard by the Principal (or board in the case of the Principal) within 10 working days after the notice to appeal has been received. At the appeal hearing, the employee will be given an opportunity to state his or her case and will be entitled to be accompanied by an acknowledged staff representative, Trade Union representative or work colleague of their choice. The decision of the Principal (or board in the case of the Principal) will be notified or confirmed to the employee in writing within 5 working days of the appeal hearing and will be final and binding. APPEALS AGAINST DISMISSAL An employee may appeal to the Principal against a decision of dismissal (or board in the case of the Principal wishing to appeal a decison). In the case of an appeal against a decision to dismiss, the dismissal shall not take effect until the appeal has been determined. The employee should submit the appeal in writing to the Principal (or board in the case of the Principal) within 10 working days of the decision to dismiss being taken. The appeal will be heard by the Principal (or board in the case of the Principal) within 10 working days after the notice to appeal has been received. At the appeal hearing, the employee will be given an opportunity to state his or her case and will be entitled to be accompanied by an acknowledged staff representative, Trade Union representative or work colleague of their choice. The decision of the Principal (or board in the case of the Principal) will be notified or confirmed to the employee in writing within 5 working days of the appeal hearing and will be final and binding. 6