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CEREDIGION '. County Council
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Staff Employed by a Governing Bodyor Engaged to .Work at Schools
A GUIDANCE ANDPROCEDURES DOCUMENT
November 1998
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I MANAGING CONDUCT I
FOREORD
I GENERAL CONT I
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i. . Intrducton
2. Purpose of the Proceure
3. General Statement
4. Explanatory Notes
5. Guidance and advice available
6. Nee to follow Procedures
7. Relationship wi other procedures
8. Grounds for Disciplinary Acton
9. Child Protecton
10. Rnancial Irrulari11 Acton against Trade Union Representes
12. Preformal procedures
12.1 Counsellng12.2 Invesgation to ascertin the fact
12.3 Effec of Police Investigaton12.4 Suspension
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I FORMAL PROCEDURES I
13. Issues of General Practce
14. Facilites to be afforded employees facing a disciplinary or appeal heanng.
15. The Disciplinary Heanng
16. Disciplinary Acton
17. Appeals
18. Time limits for warning
19. Disciplinary Acton Involvng the Headteacher
20. LE Acton in Receipt of a Recommendaton from the Governing Body
21. Revision or Termination of the proceures.
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IANNEXS I
Annex A: Gross Misconduct and Misconduct
Annex B: Counsellng
Annex C: . Conductng an Invesgation
Annex D: Proces and proceure: Diagramm~tlc Representtion
Annex E: Disciplinary Acton Involving the Headteacher
Annex F: Disciplinar Acton Involvng st employed by th Governing Body.
(i) Deleged to the Headteacher01) Delegated to DIsciplinary Sub-Commitee.
Annex G: Disciplinary acton Involvng stff employed by the LE
Annex H: Appeal Heanng Proceure
Annex I: Compositon of Disciplinary and Appeal Sub-mmitee
IAPPEND1C1ES I
Appendix 1: A Guide to Headteachers For Handling Employee's Misconduct
Appendix 2: Guidance to Governors - Misconduct.
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MANAGING CONDUCT(COUNSELLING AND DISCIPLINARY PROCEDURES)
IFOREWORD I
ceredigion County Council and the .Governlng .Bodies .of it scools place considerable emphasis on thequalit of educaon provision for pupils.
In order to ensure the delivery of qualit servce it Is esenal for all stff to understand the exponfor good conduct at work This proure seeks to provide for the fair, consistnt and equitble handlingof problems. There may be ocsions when other SChool or Counci policies, for example wi reard tosubstnce misuse, WILL nee to be addre alongside this procedure to ensure that a partcular sitatonis handled In the most appropriate manner.
This proceure has been agreed wi representes of the Trade Unions and Teachers Profesionalassoclatons and takes accunt of the ACAS (Advisory, Concliaton and Ariton Servce) Code ofPractce "Disclplinary Practce and Procedure In Employment and good management practce.
The procedurs are Intended to apply to all employee in a school (wheter full-time or part-time,permanent or temporary) workng In a school under the scheme of Local Rnanclal Management Somestff are engaged via a Service Level Agrement to work at a school, and as such their line manager isnot the Headteacher of a partcular school, but a respee Head of Sece.
The document Is designed to enable Headteachers, repecte Managers and Governors to confidentyapproach the management of stff conduct and to Improve conduct by reular review and support wiinthe schooL. It Is hoped that these proceure WILL enable Infrmed and fair decisions to be taken about theemployees' conduct wiout causing furter difculties. The document also informs staff of theexpctons upon them for good conduct, and the way in which midconduct WILL be dealt
The document set out the produres to be followed when managing st conduct. These proceure
WILL ensure that decsions afecng employees are well thought out, undersood and consistenty and fairly
applied wiin all schools and contbute to good relatons between schools, their employees and their
repreentaties. In Orer for conduct and penormanee to be maintained effely it Is esental that theHeadteacherlManagers ensure all staff under thcfr management are fully conversant wi the procedure.Ensuring awarenes of the proceure should minimise the fruency of formal dlsclpllnary acton againstemployee whilst maxmising the way this can be avoided.
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Employees must comply wi Council and .School policies in the conduct and penormance of their dutes.Failure to do so may result in acton being taken In accrdance wi these proceures.
School Governing Bodies WILL consider the formal adopton of policles and practces based upon the
guidance and proceures contained in this document
R J Wll1ams
Direor of Education and Communit Servce
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GENERAL CONTEXJ
11. INTODUCnONI
Although the Education Autor In the case of Count and Voluntry Contlled Schools is thecontrctal employer, wlln'the parameters of Local Management of Schools, Governin Bodies
determine the complement of stff and may reues that the Educaon Auori remove an Indjvdualemployed at school.
It Is recognised by the County Councll and School Governors that dlsclpllne is necary for the effclent
operation of the school and for the health and sae.ty at work of all employee.
Disclpllnary rules and proceures are essental for promoting fairness and order In th treatent of
Indivduals and in the promotion of good employer/employee relatons. The rules set stdars of
conduct; the proure helps to ensure that the standards are adhere to and also provide a fair methodof dealing wi alieged failure to observe them.
It Is importnt that employee know what stadas of conduct ar expct of them by their employer.
The law now requires employers to set down In wnng for their employee any dlscpllnary rules applyig
to them.
Disciplinary actons may be occsioned as a reult of an Indivdual's lack of abilit to underte hiserdutes - be it for misconduct or Inadequat profeional stndards.
12. PURPOSE OF THE PROCEDUREI
2.1 The procedure applies to all employee appointed by the Scool Governors or the Count Counci
to work at school and who are employed by ceredlgion Count CounciL. .
2.2 The proceure is designed:-
(a) to help and encourage all employees to achieve and maintain sasfctory stndards ofconduct attendance and job perfomiance; and
.(b) to ensure that all employee are treated fairly and consistenty and wiout
discrimination.
2.3 The proceure does not apply to:
(a) termination of a fied term contct of employment where the term of the contct expirewiout being renewed;
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(b) termination of a temporary appointment where the reason for termination Is that the nee
for the employee's servce has expire, or Is about to expire;
(c) terminaton of errployment by reasons of reundancy;
(d) reignaton by the employee, or other termination by mutal consent
(e) Incapabilit due to heaith or any phyical or mental qualit.
(f) terminaton of emploýment by reasons of profesional capabilit.
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13. GENERAL STATEMENT I
3.1 Th time limits referr to In the followig produre may be varied by agrment
3.2 Employee have a right to be accmpanied by their trde union reprente, a fellow employeeor frend at all formal inages of this prour, Including intervew. Ths should not howeverunduly delay procedings.
3.3 Governors who are related. to or close frends of employee facing displinary allegaton musttake no par in the following prodings.
3.4 The Dirctor of Education and Communit Servce must be kept inormed of any formal actontaken under this procedure and may be contacted for advice and assistace at any stage. Earlycontact Is however, remmended In order to saeguard agains problems arising at a later stge.(Te contct will be the Direor Education and Communit servce or the Assistnt Director -Management Servce)
14. EXLANATORY NOTESl
4.1 The proceure Is intended to cover all employee, teaching and no~teaching under the direresponsibilit of the Governing Body and st who are employed by the LE to work at a schoolsuch as:
. Athrawon Bro Including those based at Language Centr
. Peripatetic Music Teachersutors
. Peripatetic Speal Educational Needs Teachers
. Staff employed at the Pupil Referrl unit
. Support staff NNEB, cere Assistnt, Administtie Asistant, Mid-ay Supervsors
4.2 The proceure is wren on the assumpton that the Governing Body:
0) may delegate the Inital element of the procedure to the Headteacher, as the head ofthe estblishment or
.(ll) may delegat all disciplinary maters, to a Disciplinary Sub-ommitee and a Disciplinary
Appeals Sùb-ommitee.
4.3 Circumstnces directy involvng Headteachers' conduct are also contained in this docment.
4.4 The document addresses disciplinary procdure related to CONDUCT only.
15. GUIDANCE AND ADVICE AVAILABLEI
5.1 The number of disclpllnary maters which any partcular Governing BodylHeadteacher Is likely todeal wi will probably be very fe. They may potentially be complex and contentous. Therefore, itis remmended that the guidance and advice of the Director of Educaon and CommunitServce be sought at an early stge, before any propo formal disciplinary proces Is Initated.The Director of Educaon and Communit servce may reues the involvement of the CountCouncil Personnel Ofcer or a suitbly qualifed member of staf to provide advce at appropriatestges In the procure.
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16. NEED TO FOLLOW PROCEDURES .1,
6.1 It Is imperatie that the discplinary proceur followng ar fa and consistent have ben dr'up In clos conSuiton wi st and have be formally adopted by the governing body. Copies
of the proure should be readily available wiin the scool. Iftls prure Is adopted by the
Governing Boy, afer consulttion wi th proona assons and tre unons, lt must be
available In the st copy of the appropriate stg policy docment and stff should be infrmedof this.
6.2 Governing Bodies should follow the corr and agre proceure andtimescaes and should notattempt to foreshorten the procedures under any circumstnce, unles agre wì threspee employee.
6.3 Governing Bodies are stongly advse to liaise wi the LE for advice and to consult at all. stgesof the proceures if they are to avoid cases of unfir or wrngfl dismissL.
6.4 Failure to consult or Ignoring advice offre by the LEA may reult In co incurred at an
Industal Tribunal being met by the school frm their-celegated budget
17. RELATIONSHIP WIH OTHER PROCEDURES I
7.1 These guidelines provide the proc for dealing wi disclpllnary Issues relatng to an employee'sconduct However there will be ocsions where it becomes apparnt that the case may relate toor Involve oter policies and procedure. These may Include, for example,
Grievance ProcedureManaging PenormanceHealt and Safety Management
IS. GROUNDS FOR DISCIPUNARY ACTlONI
8.1 When discplinary issues ocr they are often only minor infngement and no mor than adiscussion and advice as to fure conduct is called for. When a more serious act or omission byan employee Is thought likely to just more than a cauton, recourse to a formal proure will beappropriate. Formal acton under the proceure may be taken whenever an employee hascommited an act wihin or outside of their employment which Is inappropriate or calls into quesontheir abilit to continue their employment In the pos. The seriousnes of an ofnce can rangefrom minor act of misconduct which rpay lead to oral or wren warning, to act of gro
misconduct, which may warrnt summary dismissl (I.e. wiout notce).
8.2 Gross misconduct is an offnce of such serious nature that the Council would find contnuedemployment of an employee Intolerable and where, following Investigaton of ~ fact and a
formal hearing, dismissal wiout warning would be appropriate. However, every clrcmstnce WILL
need to be judged, as to whether or not the act consties gross misconduct and whether this isaffected by consideration of any mitgating circmstances.
8.3 The consideraon for internal disciplinary measure WILL be based upon the natre of inappropriatebehaviour given the employee's posUresponslbilites. The considerations for policeudicialmeasures will be crminal act.
8.4 A criminal ofnce commited outide employment may conse miscnduc or gromiscnduct It WILL not necerily be an automatc reason for dismissL. Each case wi nee tobe considered accrding to the clrcmstnce. The main consideraon should be whether. the
offence is one that makes the Indidual unsuitable for his or her ty of work as an employee.
8.5 Equally, even though an employee may not be convcted of a crinal ofnce the natre of the
employee's conduct may reult In Internal disclpllnary measures being taken.
(Definitons and examples of 'Gro Miscnduct and 'Misnduct ar included in Annex A)
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19. CHILD PROTECTION i
Where ther Is a polbnit of misconduct In relation to child protecon Issues (Including Inappropriatebehaviour as well as abuse) advce should be sought frm the LE's nomInated offcer (Unk Ofcer -Pupils servces). In such cases the investgaton may be conducted by spealist stff of Soclal servceand the Police. .
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110. . FINANCIAL IRREGULARIES I
In the case of any financlal irrulari or mlsappropnation the Director of Legal and Corporate Servceshould be advised and he/she may ca out a separate invesgation. Such Invesgaton WILL be relevant
to the disclplinary hearing.
111 ACTION AGAINST TRDE UNION REPRESENTATlSI
Where an alleged act of misconduct is believed to have been commited by an employee who Is anaccreited repreentate of a trde union recognised by the Count Council for collece baraining
purposs (e.g. elected shop stewards, or departent repreentes), no acton under the proceure,other than precautonary suspension when senous misconduct Is being Investigated, WILL be taken untilthe cae has been discssed wi a full-time offclal of that trde union.
112. PRE FORML PROCEDURES i
12.1 Counsellng
12.1.1. Prior to Invoking the formal disciplinary procedure, a HeadteacherlHead of servce should, inrespe of minor shortcomings or misdemeanours, counsel the employee concerned, wi a view
to effctng an improvement. A Guidance Note on counsellng Is atched at Appendix B.
Furter advice can be sought frm the Director of Education and Communit Servce or hisrepresnttie.
12.1.2. Counsellng altough not part of the formal dlsclplinary proceures, may often be a moresatisfactory method of reolving problems than a discplinary interview. Counseling should takethe form of a priate discssion beeen the HeadteacherlHead of Servce and employee withe objece of encouraging and helping the employee to Improve. ca should be taen that a
counsellng intervew does not turn into a formal disciplinary hearing as this may unintentonallydeny the employee of hisler rights. The. employee should be able to clearly undersd whereimprovement are require, how penormance or conduct WILL be reviewed and over what period.The employee should be told that if there Is no improvement, the next stgewlll be the formaldisclpllnary proceure. A note of any counsellng should be kept by the Headteacher forreference purpses only. The employee should be given the opportnit to agree-or to add tothe record. It may be helpful to have a third pert to take note.
12.1.3 Where such acton is deemed appropriate in relation to staff appointed by the Count Council,the advice of the Director of Educaon and Communit Servces should be sought.
12.2 Investigation to Ascertin the Fact
12.1 Prior to the holding of a Disciplinary Intervew, It will be necessary to carr out an investgation toascertin the fact and to determine whether or not there Is a pnma facie case to answer. It is
not possible to give detailed guidance on the conduct of an Investigation but the Invesgaton WILL
usually be carred out by the HeadteacherlHead of Servce or a nominated Investigating offcer.The Director of Educaon and Communit Servces or his reprentae will assist if required.
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12.2 Wherever a matter arises which Is suspeed or belied to contvene a disciplina rule or maoterwse be a displina matr the employee must be told at th eares opportni. ThHeadteacherlDlreor of Educaon and Communit Servce wi then appoint an InvesatOfcer, who WILL Inesgat the matr prompt and adequatly. When the Inesgaton isconcluded, th employee and his or her reprenttie (I an) WILL be Inormed of th findings
and the acton to be taken.,
12.3 As part of the Invesgaton, the employee WILL normally be Intervewed. This WIL not be a
'disciplinary Intervew' or herig, but WIL be for th purpse of Invesgating the mater beforedecding whether or not formalJnfrmal dlsclpllnary acton WIL be Insted under this produre.
(Annex C offrs more guidance on conductng an investgation)
12.3 Effect of Police Invesgation
12.3.1. If the employee has been charged wi a crminal offence or the Police are contnuing anInvesgation, It does not necly mean that the inesgaton by the Headteacher orGoverning BodylHead of servce and subsequent disclllnar acton should not pro but
apprpriate advice should be sought at the time frm the Director of Educaon and Communit8ece.
12.3.2. Where an employee Is alleged to have commited or Is accse or convcted of any crminofence, eiter in connecon wi his or her employment, or which has; or. could hGve, a materieffect on the carrng out of his or her dutes In the fute, then the employee is to be .deal wi inaccrdance wi the adopted dlsclpllnary prour. The decion as to what acton isundertken by the HeadteacherlHead of servce, In consultaon wi the Direor of Educaonand Communit Servce or his repreente, Is to be reported to the Chalman of theGoverning Body.
12.4 Suspension
12.4.1. If the mater to be Investigated is alieged to Involve serious misconduct, the Headteacher or
Governing Body may immediately suspend the employe frm work on full (basic) pay while theinvestigaton proces. Similarly if during the course of an invesgaton the Invesgating OfcerIs of the view that a serious breach of discipline may have occrr, he or she may, wi thapproval of the Headteacher or Governing Body, suspend the person concerned.
12.4.2 Suspension may be considere appropriate when the preence of the employee at the workplace may be Inappropriate e.g. where evidence or wiesses may be tampere wi or there Isopportnit to r4Hffnd. However, It should be remembered tht suspension Is neutl andshould not Imply guilt. ~ .
12.4.3 It does not follow that an employee should be automatcally suspended if charged wi a crminaloffence.
12.4.4 It importnt to remember that gross misconduct justies summary dismissl I.e. dismissal wiout
notice. To allow the employee to remain at work during an Inesgaon may suggest the.employer did not reard the alleged misconduct as justng the exclusion of the employee frmthe worklace-:This would therefore make It harder to argue at an appe or Industal Tribunthat the school was justes In terminatg the Indivduals contct of employment when they had
already condoned their actons by allowng the employee to remain at work
12.4.5. Any decision to suspend will be confrmed in wrng on the day of suspension or the next normalworkng day, and ths wil be a preutonary, not dlscpllnary, suspension pending the outcome
of the matter. Where approprie and as an alternate to suspension frm work thIndlvdualndlvduals could be relocted else wher wiin the school for the duraon of theInvesgaton on ful (basic) pay.
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12.4.6 The Diror of Education and Communit Servce should be contcted for advce whensupension Is being considere.
12.4.7 Consideraon should be given to idenng an Indivdual who could provide support to thesuspended member of stff, wiout causing confict wi their presonal role e.g.inspeor/adviser or personnel ofcer would be appropriate. A felow colleague may not, as thismay prejudice the Invesgation.,
12.4.8 Th employee must be availabe to be contacted durng the period of suspension. They shoulhand in any keys and propert of the School or Council and be informed not to come onto schoolpremises or contact their worklace, colleagues or clent wiout the express permission of theHeadteacher or Investigating Ofcer.
12.4.9 If no formal acton is subsquently taken, thE! employee should be informed in wrng.
12.4.10 The Governing Body and the Headteacher' both have the power to suspend any personappointed to work at the schooL. Any suspension may only be ended by the Governing Body.
12.4.11 The Director of Educaon and Communit Servces should be consulted prior to any actonrelatng to an employee engaged by the Count Councll to work at the schooL. As a reult ofsuch consuittlon the Direor of Education and Communit Servce would suspend theemployee where neceary.
FORML PROCEDURES
lA diagra outining the procedure Is contned In Annex D)
113. ISSUES OF GENERAL PRACTlCEI
Where it is deemed that a formal disciplinary proceure Is to be initated, cognisance must be taen of thefollowing:
(i) All proceings and decisions should be trated as confdentiL.
(ii) It Is implicit throughout this procedure that, whenever a breach of discipline is alleged, there - isan onus upon the HeadteacherlHead of Service or Governing Body to invesgate theallegations prior to taking acton and, in every case, to inform the employee beforehand of thecomplaint An intervew will be arrnged by the HeateacherlHead of Servce allow theemployee to stte hisler case, before a declsion as to appropriate acton is taken.
(ii) In all cases where, upon Investgation, It Is found that the allegation is unsubsntiated, then all
reference to the matter will be expunged from the Indivdual's personal file and from all recrds.,
(iv) If on completion of the investigation, the Investigating Ofcer believes on reasonable groundsthat the employee has commited the alleged act of misconduct, but in view of the natre of themisconduct and of the employee's previous record, an oral warning may be deemed sufclent.Such a warning would be administered wiout proceing furter. A note of warning will bemade (and a copy kept on the Indivdual's personal record held by the school), and may bereferrd to if the employee commits a furter act of misconduct. This would normally be spentafter 6 monts, subj~ to satisfctory conduct.
In accrdance wi the Code of Prctce adopted by the Governing Body which may eiter
delegate furter acton to the Headteacher or to a Disclpllnary Sub Commitee, if on completonof the invesgation, the Invesgatng Ofcer considers that, on the balance of probabUit, acomplaint of misconduct Is justied and may reuire more than an ora waing, a dlscpllnary
hearng will be arged.
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(vi The employee wi be given a minimum of seen workng cl' adv noce In wrng,hearng: tolc; the pur of it wi the nat of th aDeged minduct being oued;Invied to atend together wi his of her trde unon repree, a fellow employee orof his or her choice. If during th cors of the Invesgaton stent have ben 0 .from wieses who WILL not be attnding the heng, th employee or his or her repreentalÍtllWILL be gien copies of thos sttement not les than seven days in adce of the heaThe facilites to be, aforded employee faclng a dlsclpllna or appel heag are outinec Inpage secton 14. . t
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(vii) If, for a goo cåuse, the employee Is unable. to attend the hearing it WIL be adjourned toa
fure date. The employee and his or her repreente (If any) will, wiout delay, be givdetails regarng the rearrnged hearing. If the employee Is unable to atend the regedhearing, it WILL normally proceed in his or her absnce, but wi his or her reprente beprovided wi an opportnit to preent the employee's case on his or her behalf. Assubmissions by the employee In wrng, or by his or her reprenttie, WIL be considered.
(viiij Any formal disciplinary acton contemplated agai an Ofcial of a regnised EmployeAssociationlrade Union WILL be reported to the appropriat full-time ofcial of that Assocaton!Union, prior to the acton being taken.
(ix) If, afer a reasonable period of time, dependent upon the circmstace, (usually no more than12 months) the employee's conduct or penormance gives no furter cause for concern, thenthe record of disciplinary acton WILL be expunged. To this eff a Register of all currnt
disciplinary cases will be maintained by the Headteacher and reviewed annually.
114. FACILIES TO BE AFFORDED EMPLOYEES FACING A DISCIPUNARY OR APPEAL HEARlNa
14.1 In order to ensure that employee faclng disciplinary or appeal hearngs have every resonable
opportnit to defend themselves and be able to repond to allegaton made against them they
must:
1) Receive the following, at least seven days in advance of the hearing:
a) Full wren details of aliegation to be put forwrd before the hearng;
b) Copies of all relevant dociment In the posesion of the Councll, School orInvestigating Ofcer and all wren stement to which reference will be made at thehearing and produce in support of the case against the employee, or which may beof assistance to the employee In defending hlmlerself provided their release doenot breach any rights of confdentialit.
c) The name/names of persons who are to be called to give evidence.
d) A copy of the disciplinary proceure, If one had not ben provided at theInvestigatory stage of the proceure.
2) Be given the opportnit to:
a) approach the Couricl employee at work to reues Infrmaton which may assist the
employee at the hearng. Th employee or hisler reprente should contact theHead teacher who will make the necesa arrngement.
b) call on other Councll employee to give evience at th heang; as appropriate, the
Head Teacher, Clerk of the Governing Body or the Direor of Educaon anCommunit Servce will make the necery arrgamen.
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14.2. Where any sttement ar to be submit to a disclplinar or appel hearng, they wi besupported, wherever posible, by th person makng the stemen being availale to giveevidence and answer quesons, unles otherwse agreed by al partes concerned. Where such
persons ar not avalable the Importnce atched to any unsupported statement should beviewed appropriately by th dlllnar pa.
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115 THE DISCIPUNARY HEARING i
15.1 A hearing WILL take place accrding to the severi of the complaint or afer counsllng has benproven to be Ineffecte.
15.2 Th Governing Body may adopt one of two approaches:-
. delegated to the Headteacher; or
. delegated to a disciplinar Sub-ommitee of the Governing Boy
The latter WILL be practsed where allegatons against a Headteacher are to be hear.
15.3 The Govemlng Body only is able to dismiss and mus trnsmit the decision to the LE for acton.
15.4 A Headteacher WILL be able to acton up to a Rnal Waring, and any disciplinary acton must bereported to the Chairman of the Govemlng Body and the Direor of Education and CommunitServce.
15.5 Where a member of staff Is employed by the LE, the Direor of Educaon and CommunitServces WILL Invoke the appropriate proceure. The respecte Head of servce or an Ofcer
designated by the Director of Educaon and Communit Servce WILL be able to acton up to aFinal Warning
15.6 The procedures for dlsclpllnary hearings are detailed as foliows:
AnnexE Dlsclplinary acton Involvng Headteachers
Disclplinary acton Involvng staff employed by the Governing BoyAnnexF.
(i) heard by the Headteacher
(ii) heard by the Disclpllnary Sub-mmitee of the Governing Body." .AnnexG Disclpllnary acton involvng stff employed by the LEA
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116 DISCIPUNARY ACTION I
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Upon hearng the allegatons proed and defended. if It is detrmin that the employee ha.provided an adequate explanaon or that there Is no real evdence to support the allegaton, It Widecare that no acton I' to be taken agains the employee. .
16.2 Where the complaint against the employee is upheld then th dlsclpllnar penalties .can be appUecaccrding to the seriousnes .ofthe misdemeanour.
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16.3 There are esntally 3 stges Involved and may be applied as follow:-
Delegateto the
HeadtechernManager/Head of Servce
Delegatdto the
Disciplinary Sub-mmlt
Oral Warning OraiwalngI
Firs JarningRrsWarnlng Stage 1
II
Final Warning Stage 2 RnalWarning
I .Stge 3 Dismissl
Terminaton of employment
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(Tis comprises the proures both for staff appointed by the Governing Body or LE)
16.4 In cases, other than those Involvng gross misconduct, where a reasonable belief in the
employee's guilt of the miscnduct alleged Is established on the balance of probabilites, thefollowing disciplinary acton may be taken:
WARNINGS
a) Ora Warning
For a minor offence or offnce. a formal oral warning making It clea that furter misconductwill render the employee liable to furter disclpllnar acton Involvng more severeconsequence. The employee should be Infrmed of the duraon of the warning (normally 6sbc months).
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b) Stage 1: Rrs Wrin Waring
Fora more serious offence, or If commitng a lesr offence after a formal oral warning has
previously ben given and remains extnt (I.e. has not yet be disrearded for dlscpllnarypurpses), a first wrn warning WILL be given by the HeadtecherIHead of Servce or the
Disclplinary Sub Commitee settng out th natre of the ofnce and Informing the employeethat furter misconduct is liable to result In furter disciplinary acton under this proure.Where appropriate, 'this warning WILL spe the period for which it WILL apply (nonnaJly 12
months). There may be provision for It to be reviewed or automatcally revoked or reviewed oncompletion of that period of sasfctory conduct..
c) Stage 2: Rnsl Wrien Waring
For a serious offence which might justi summary dismissal for gro misconduct bu wheremanagement decides that a lesser penalt Is appropriate in the circmstnce, or for. anofence after a firs wren warning has ben given and Is extent O.e. has not yet beendisrearded for disciplinary purpses); a final wrn warnlng(or combined first an fial)setng out the nature of the offnce and fuer miscnduct would render him or her liable tofurter acton under this procedure and could result In dismissL. A final wrn warnng maystate that it WILL be reviewed after a specled period of sasfctory conduct (nonnaJly 12months).
DISMISSAL
d) For an act of furter misconduct other than gross misconduct by an employee who Is under afinal warning given In accrdance wi 1å.4 (c), the employee WILL be liable to dismissl winotce or wi pay In lieu of notice. A dlscpllnary hearng of the Disciplinary Sub Commitee ofthe Governing Body WILL be held. Where the declsion is to dismiss, the employee should be
suspended until the outcome of any posible Appeal produre Is confrmed.
SUMMARY DISMISSAL
e) In cases where gros miscnduct is alleged and Is estblished on the balance of probabilitesthe employee will be liable to summary dismissaL.
16.5 Disclplinary suspension, demotion, stoppage of pay, or other penalt short of dismissal may beimpose in conjuncton wi a warning issued under paragraph 16.4, or as an alternate todismissal, subject to the provision for doing so Is In accrdance wi the employee's term ofemployment, or by agrement wi the employee. Where it Is an alternate to dismissal, .it WILL beaccmpanied by a final wren warning, or wi confirmation of a previous final warning, asappropriate. .
16.6 The employee should be informed orally of the decision of the HeadteacherIHead of Servce orDisclplinary Sub-ommltee. Any declsion on Stages 1,.2 and 3. Acton will be notied in wrngto the indivdual concerned wiin two workng days of the hearing, unless exceptionalclrcumstances prevent such acton. The wrn noticaon will also spe days timescale for
lodging of an appeal to the Governing BodylLEA
16.7 Disclplinary Sub-ommitee shall be chaire by th Chairman of the School Governors or
Chairman of the Educaon Commitee as appropriate to the caegory of st. (Were therepee Chairman may bee Involved In the Investigaton then anoter member of theGoverning Body or Education Commitee nominated to comprise the Dlsclpilnary Sub-Commiteeshall be reuested to act as advisor.)
16.8 The suggested compositon of the Disciplinary Sub-ommltee is contined In Annex i.
-'J.
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;!'117. APPEALS I
17.1 At each stge durig the proure, the employee has the right of appeal against the c!ecslon ofthe HeadteacherlHeaQ of servce or the Disciplinary Su~mmit of the Govemlng Body orEducation Commitee.
17.2 Ora Waring
17.2.1 An appeal against an oral warning given In accrdance wi secton 16 of this procurcan be made to the Headteacher of the schoollead of SerVce, the Chairman of theGoverning Body or Director of Eduction and Communit servce wiln~ workngdays of the receipt of the warning by the employee, who must give a wren notice ofthe grounds for appeal. The HeadteacherlHead of Servce WILL arnge an appehearing at which he or she (or a senior member of the school's teaching st nominatedby himler and who has paid no part In the original Invesgaton) WILL consider therepreenttions made by the employee or his or her reprentatie, and the informatongiven by the person who gave the ora warning.
17.2.2 Given the nature of the School, the Headteacher may reues the Chairman of the
Governing Body to hear and convene such a hearing.
17.2.3 Where the oral warning was issued by a Dlsclpllnar Sub-mmitee of the GovernBody or the Educaon Commitee then the appeal shall be made In wng to the Clerkof the Governing Boy or Direor of Educaon and Communit Servce.
17.2.4 The person/Sub Commite heang the appeal may uphold the acton and the warninwill be confirmed. If allowing the appeal, the record of the warning will be removed frmthe employee's record.
17.2.5 Alternately, if considering It appropriate, the persn hearing the appeal may declethat a formal disciplinary hearing In accrdance wi paragraphs secton 15 of thisproceure should be held. In which case, if a resonable belief in the employee's
misconduct Is esblished followng that hearing on the balance of prbabllites, adisciplinary decision In accrdance wi paragraph 16.4 and/or 16.5 may be Imposed.
17.3 Wrien warnings, final warnings and dismissl
NOTICE OF APPEAL
17.3.1 Where a formal disciplinary hearing takes place and a dlsclpllnary declslon is takenunder paragraph 16.4 'b'to 'e' or 16.5, the employee may appeal against the declsionby wrng to the Headteacher or to the Clerk of the Governng Body (if heard by theDiscpllnary Sub-mmitee) or Director of Education and Communit Servces On thcase of LEA appointed sta wiin seven workng days.
The employee shall stae the grounds of the appeal, whether appeing agains thefinding that he or she had commited the alleged act or act of miscnduct, and/or theform of disciplinar acton declded.
17.3.2
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APPEA HEAING
17.4 Appeals against wren warnings, final wren warnings and dismiss WILL be heard by an AppesSub Commitee of th Governing Body, chaire by the Vice Chairman of the Governing Boy or,an Appeal Sub-Commitee of the Education Commitee, chaire by the Vicehairman of the
Educaon Commitee. '
17.5 Seven workng days notice of the Disclpllnary Appeals Sub-ommitee hearing WILL be given to theemployee in wrng.
17.6 The notice of the Disclpllnary Appeals Sub-mmitee should Indicae that th employee has theright to attend and be accmpanied by an accdited Trade Unlonlployee Repreentes orany other persn and to preent new evidence 'In support of the appeal.
17.7 The employee should be infrmed orally of the decslon of the DIscplinary Appes Sub-Commitee confirmed in wrng wiin two workng days of the hearing Indicang the reason for thedecision and making it clear that the decsion is finaL.
17.8 The procedures are detailed In Annex H.
17.9 The suggested compoiton of the Discilinary Appeals Sub-mmitee Is conted In Annex i.
liS. TIME UMITS FOR WARNINGSI
18.1 Except In special clrcumstances any disciplinary acton WILL be disregared for discipliary purp
afer the periods specied below:.
Stage 1:Stge 2:
disregarded after 6 monthsdisregarded afer 12 months
18.2 There may, however, be occsions where an 4imployee's conduct Is satsfctory throughout theperiod the warning is in force only to lapse very soon thereafer. Where a patern emerges andthere is evidence of abuse, the employee's disciplinary rerd WILL be borne In mind In decding .
how long any currnt warning WILL last.
18.3 Exceptonally, there may be circumstnce .where the employee's Job Is such or the misconduct Isso serious - verging on gross misconduct . that it cannot realistcally be disrearded for furedisciplinary purposes. In such circumstance it will be made clear that the final warning WILL
remain for an extended period or will never be removed and that any rerrnce WIL lead todismissaL.
(19. DISCIPUNARY ACTION INVOLVING THE HEADTEACHERI
Where the Governing Boy has concem regarding the positon of a Headteacher the advice of theDirector of Educaon and Communit Servces should be sought Immediately (se annex D)
13
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120. LE ACTION ON RECEIPT OF THE DECISION FROM A GOVEING BOD~
20.1 On reipt of the decision from a Governing Boy to dismiss an employee:- :~
,
(I),
If the employee Is a teacher then the Direor of Educaon and Communit Servce wiIssue the appropriate leter.
If the employee Is an APT & C, manual or crft employee then the Direor of Educaon andCommunit Servce WILL take the necry proures through the Count CounclsPersonnel Ofcer, to issue th employee wi an appropriate lettr.
20.2 If the recommendation frm a Governing Body In repect of an employee not wholly employed at
the school Is that the employee be removed frm that school then consideraon WILL have to be
given, dependent upon the resans for remova, to dlsclpllnary acton by the LE or any oteracton that Is considere appropriate.
Oil
121. REVSION OR TERMINATION OF THE PROCEDUREI
The operaon of this proure WILL be perlodicaliy reviewed by the LE or as appropriat by theSchool's Governing Body, If amendments are considered necry, and afer consuittins wi
Trade Unions reconised by the County Council, employees WILL be advised of the amendmentand the date when they WILL come Into effct
Following consultaons wih Trade Unions reconised by the Count Councll th procdur as a
whole may be terminated by the LE or School's Governing Body as appropriate upon gMng noless than three months notice to each employee to whom it relates. If terminated a ne prourwill be intduced and will be the subject of Trade Union consultaon.
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ANNEXESAND
APENDICES
IS
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AnnexA
'GROSS M1SCONDUCr AND 'M1SCONDUCr
Matters relating to discipline of staff can be complex and contentous. It may be helpful to definemisconduct. .A distincton can be, and Is, made between "gross misconduct and "misconduct. However, it is notpossible to define every act In advance as being one or the other because the judgement as to which it Iswill vary accrding to circmstnces.
In additon to offences commited at work it may sometmes be necesary to dismiss an employee for anoffence commited outide work which makes the employee unsuitble for his or her ty of work or
unaccptable to colleagues. If convicton for a crminal act reults in a prison or slinllar custodialsentence, and if the contrct Is not thereby frstted, the employee may be dismissed on the groundsthat he/she Is unable to contnue In hisler job.
11. GROSS MISCONDUCT
Gros misconduct is the commitng of an act which renders it inadvible for the employee to bealiowed to remain at work Any employee suspected of commitng an act of gross misconduct asindicated in the list below, WILL be suspended wi full pay pending investigaton. If afer properinvestigaton it Is decided that the employee has commited an act of gros misconduct or if theactis admire by the employee, sheJe WILL be dismissed wiout furter warning, unless there are
mitgatng circmstnce. The disciplinary proceure must be followed In all case. The list ofexamples below is not intended to be exclusive nor exhauste and offnce of a similar gravi
WILL receive the same tratent.
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1.1 Dishonest assocated wi place of work or job being undertken.
(a) Theft of propert belonging to the School, Council, a Councll Contctor, anemployee or pupil and the unautørlsed removal of Council propert
(b) Deliberate falsifcaon of timesheets or expnses claims for pecuniary advantge.
(c) Demanding or accpting moniss or other consideraons as a bribe for the use ofSchool or Councll propert, provision of School or Council servce or the showing offavour on behalf of the School or Councll.
(d) Falsifcation of any information given on an application form for a pot to gainadvantge whether pecuniary or otherwse.
(e) Failure to disclose criminal convictons not exempt under the terms of theRehabilitation of Ofenders Act, 1975.
(t) Falsifcation of registtion of pupils or students for pecuniary gain.
1.2 Falsifcation of a qualifcaon which is stted requirement of the employment or which
resuit in financial gain. !, ,
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1.3 Deliberae refusal to carr out a reasonable, lawfl and sa instcton or the . ...agreed defined dutes of th po
1.4 Gros negligence In faing to attend to or ca out the agre dutes of the po
Wilflly ignoring reponsibilitesstctns thus placlng otr employeepupils In d8le.g. ignoring htindling Insctons/saf regulatons In repe of radioacte matena¡o
. Being unf to perfrm dutes assocated wi the po as a reult of tang drugs, oter ; ':than in accrdance wi medical advice, or taking alcohoL.\. x
:;' J,
Wilful unautorised discosure of. Infrmaton (classifed as confdental), by emp1a. ;who, In the course of their dutes, ~ve acc to such Infrmation which, by it. re~could be harl to the School, Autori, oter employee or pupils. " r
1.5
1.6
1.7
1.8 Unautorised use of computers.11..
1.9 Act of violence or vandalism In the course of employment
(a) Malicious damage to SchoollCouncilContctor/other employeespupils' propert.
(b) Actal physical violence towards membersoffcers of the. Autori, members of thschool sta/govemorsparntpupils/other members of the public.
1.10 Sexual misconduct at work.
(a) Sexual miscnduct whether crminal or not.
(b) Sexual relations wi stdent.
1.11 Of-dut misconduct
(a) An act of crminal sexual misconduct by an employee who, In the course ofdut, has contct wi young people.
(b) Drug offence commited.by employees whose job bring them into contct wiyoung peple.
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12. MISCONDUCTI
Misconduct Is of a degree les serious than that which would warrnt Immedate suspension frmdut for a .first offnce but which could neverteles lead to dismisal if persstent The dlsclplinarproceure must be followed when deang wi miscnduct Some more serious act ofmisconduct might justi omitng the firs stge of disciplinary proceure by Issuing a final
warning In the firs instance, If there is no sasfctory explanation. Onl when it ca be shown thtthe warnings have not ben heeed WIL miscnduct lead to acton being taken which WILL lead toan employee's dismissaL. The list of examples below Is not intnded to be exclusive or exhausteand offence of a similar gravi will receive th same trent
2.1 Abenteeism and lanes, for example:' :
(a) failur to remain at the place of work durng normal workng hours wioutpermission or sufclent cause for absnce;
(b) frquent failure to atend work punctally;
(c) failure to noti the school Immediately or as soon as reasonably practcale whenabsnce Is due to sicknes;
(d) failure to provide medical certcaes In accrdance wi the Conditons of servce.
2.2 Dishonesty - pett wrngs, for el(ample:
(a) making unautorised priate telephone calls and/or sending personal mall at theestabllshments expense;
(b) failure to report any loss and/or damage to any propert Issued to or .by theemployee in connecton wi hisler employment.
2.3 Neglect of dut, for example:
(a) failure to adopt safe workng practceuse protece equipment where require bylaw or management;
(b) negligent use of councll propert in such a way as is likely to cause serious damageor los;
(c) failure to discharge wiout sufçient cause the obligatons which statue or thecontct of employment place on the employee;
(d) insubordination; .(e) failure to exercise proper control or supervsion of pupils or stdent.
2.4ê
Abusive behaviour/offnsive languageowhich arises directy out of or in connecoA wi workand which is direed at members. ofcers of the Autori, colleagues, governors, pupils ormembers of the public.
2.5 Victmisation of other employees in the course of dut.
2.6 Unlawfl discriminaton against other employees, pupils or members of the public in thecourse of dut.
2.7 Discriminaton, wheter unlawl or not, In the course of dut agains oter employee,pupils or members of the public on the grounds of sex, mant sts, etnic origin, disabilit
or sexual orientaon.
2.8 Undertakng additonal employment outide normal workng hours which would bedetmental to the work to be penormed as a full time employee of the Council.
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AnnexB
ICOUNSELUNG: GUIDANCE NOTES.
The purpse of counsellng Is to help the employee Jmprove thir conduct penormance or behaviour, it Isnot part of the formal disclplinary proceure.
Succful counsellng can avoid the need to take displpllnary acton and to be effecte must
a) BE PRIVATE
b) BE A TWO WAY DISCUSSION
c) GIV ENCOURAGEMENT
d) SEEK TO HELP THE EMPLOYEE TO IMPROVE
e) PROVIDE CONSTRUCTI CRITCISM Onvestgate and be aware of the fact beore beinning).
f) KEEP A CONFIDENT NOTE OF THE INTRVIEW AND ITS OUTCOME
g) BE CAREFUL NOT TO LE COUNSEWNG TURN INTO A DISCIPUNAY INTRVIEW
It is not usuai for trde union representates to be present during counsellng because the procedure Isintended to be Informal and one to one (not two to one I).
It Is not generally necsary to confrm the oucome of a counsellng intervew in wrng, although it maybe mutally beneficial on occsion to do so, parcularly if an acton plan has ben agree for bringingabout improvement In the fure.
Only if the counsellng proves Ineffecte in corrctng. minor shortcomings or misdemeanours should theformal dlsclplinary proceure be invoked. .
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AnnexC
I CONDUCTING AN INVSTIGATION I
(Tis outines the approach where employers are concerned. It can be adopted for a sitaton involvng aHeadteacher or an employee of the LE)
Where an allegaton of misconduct by an employee comes to the attenton of the Headteacher andappear likely or possible, to result In disciplinary acton, invesgation of It prior to commencing disciplinaryacton Is likely to be appropriate.
When an allegaton of misconduct is made the Headteacher should appoint where possle, anInvestigating Offcer to carr out an Invesgation to gather all the Infrmation togeter and esblish thefact of the case. For the purpses of object and impaalit it may be appropriate for theInvesgatng Ofcer conductng the investigaton to be a senior member of st frm anoter 81 of the
school or to be an Ofcer frm the Autori. The Invesgatng Ofcer WILL mainn confdentalit at alltimes.
If the matr Is relatiely tral and there Is doubt that the employee had ben In the wrong, or where the
employee readily accpts to having done something wrng, the Invesgatg Ofcer may confne theinvestigaton to an Intervew to obtin confrmation of the details.
In a disputed case the invesgaton will nee to be as sufclent as Is reasonable in the circmstnce.The Investigating Ofcer should bear in mind that disclplinary findings and decisions made under theproceure are reached on the balance of probabilit I.e. Is it more or les likely that the employe hadcommited the act of misconduct alleged?
The Invesgatng Ofcer's task WILL be to take the matter forwrd to the point where he or she can decldewhether or not there Is a case to be heard at a disclplinary hearing, and if so how to formulate theallegation in such a way-that the employee knows what it Is that he or she will have to answer to. TheInvestigating Ofcer WILL have to Investigate the alleged incldent or suspeed misconduct to ascertin thefact and assemble the evidence In relation to them before decdlng to formulae an allegation. TheInvestgatng Ofcer will be expcted to prent the case at a disciplinary hearng, togeter wi relevantdocuments and to Call wieses, where appropriate, to give first hand evidence.
.Investigations will nee to be adapted to the circmstances of the alleged misconduct It may benecssary to Intervew the employee, wiesses and/or complaint and obtin sttement from thm. Theproceure for holding an Investigate intervew wi the employee Is set out below.
At this stage no employee WILL be require to answer allegations but will need to respond to questons so
that the full circumstance of the mater Can be estblished. The Investigatng Ofcer will declde ifanyone should be questioned and who to question and should seek informaton frm all relevant partesand wiesses whilst maintaining confdentialit so as not to prejudice the case. The offcer must ar:nQefor a wren rerd of any intervews to be taken.
On the basis of this Investgaton it will be declded if a disciplinary hearing is necssry. Confrmaton ofthe outcome of the Investgation must be conveyed In wrng to the relevant partes, wi a copy to the
Direor of Educaon and Communit Servce.
In small schools where it is not possible to separate the invesgate role frm the discplinary acton anddecision, the Headteacher, where poible, will tr to avoid prejudiclng It as fa as possible and beprepare to listen wi an open mind to whatever evidence and submission the employee puts forwrd. It
may be deemed appropriate, following consultation wi the Chairman of the Governing Boy, to requesthe Director of Education and Communit Servce to arrnge to conduct the invesgaton.
23
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Whre crina proings ar pendig the School may tae dipli acton where appropribeore the outcome of the cnlnallnvesgation Is known, since dirent isues WIL be considere.
I WIeses I
The Investigating Ofcer WIL Intervew the wises seperaely to eslish the fact of the case. The
Invesgatng Ofcer must put the fact as know to the wies and Inve him or her to say anYlabout them. In any case the'Wess should be asked to make a wren statement and to date and sign it
Where the explanaton is Incomplete or Inconsistent wi the know facts the Invesgating Ofcer shOuldprobe the wies wi furter questions to see if he or she Is able to elaborate furter. However cashould be taken not to lead wiesse.
The wieses should be informed that they must. maintin confdentalit about the matter and th ffnecery they may be asked to attend a disciplinarY hearing to give evidence.
When wieses are available they should be called, where possible to give evidence In person at theheang. However exceptons to this may Include those employee who genuinely fear Intmidaton if theygive evidence. For them, as for people outide the school, the Invesgatng Ofcer may have to rely onwren stement obtined frm them during the Invesgaton.
A problem using wren wiess stement Instead of first han evidence is that it depries the employeeor hiser repreentatie the opportnit to challenge what Is In the stemen where serious an
signifca quesons would have ben asked if the wiess had given evidence. The Headteacher ma
thereore have to consider adjourning the hearing so that wies can be contacted and point claried.
The Invesgatng Ofcer should therefore chec whether or not wies ar going to be available for adiscplinary hearing. In any case it is sound practce to obtain frm them stement of evidence. As ageneral rue copies of statements should be provided to the employee or hisler repreenttie in
advance.
I Procedure for an Investgate Intervlewl
I. The Investigating Ofcer will call the employee to a meeting and, In the preence of anoter pers
will Inform the employee that it is an Informal intervew to enquire into his or her conduct In repeof (speci the subject of the enquiry) and to heiar anyting he or she want to Såy about it
rii. If the employee responds by asking to havÊl a representatie present, allow him or her a reasonale
time to arge this, while stpulating that the representtie must be a fellow employee or a
repreenttie from a regnised trde union or profesional assoclaton, and reume th Intrvas soon as possible. .The Invesgating Ofcer should put the fact as known, or the allegation, to the employee and inhim or her to say anyting about them.
If the employee gives an explanation which is incomplete or Inconsistent wi the known fact, or Isevasive or otherwse unsatsfctory the Investgating Ofcer should probe the employee wi fu .
questions to se if he or she Is prepared to elaborate.
Th Invesgatng Ofcer should make a note of th circstance 'and the explanation, the daand time of the Intrvew and retain the note on the personal file. . A copy should be sent to I/Depaentl Staffng Ofcer.
ii.
iv.
v.
.
I possible outme of the Investigate IntrvieW!
If the employee's explanation Is accpted wiout Invoking any disclplinary acton, the employes shouldbe advsed of this and Informed that no more WILL be heard of the matter and that no rerd of the
inervew WIL be kept . 'If an explanaton Is given which sugges the employee commited the misconduct but there werePartcular circumstance in which the Incldent happened, th Investigatie Ofcer may declded not toInvoke formal disclpllnary acton but .to remmend that a formal meeting be arrnged to cauton theemployee. In these clrcmstce the employee WILL be Informed that a meeting WILL be arrnged. This
meeting conducted by the Headteacher WILL be used to advise the employee that any furter misconduct
may result in formal disciplinary acton taken against them.
If no explanation, or an unsatisfctory explanation Is adhère to, inform the employee that If appropriat,furter enquiries WILL be made and/or the mater mayor WILL pro to a formal disclplinar hearing at a
date and time which WILL be arrnged and notied In advance to him or her In accrdance wi the
Discplinary Proure.
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AnnexO
I CONDUCT PROCESS AND PROCEDUREI
Note: TIe adopte wi be In accrdce wi the seus of th problem
I COMPïJNT REGADING CONDUCT I
I
Employee Informed
Counsllng
s IComplaint Invesgated I
I :ou~ Investigaton
Hearing remmended?
YES
Posible suspension No furter acton
ACTION"
OralWBmlng
Ar Wrin WBmlng
Final Wrin WBmlng
~ Disssl
I 7 Workg days notice IiD wrng to eipJo
I 7 workng days frmracelpt ofwnn waingi
NOTICE OFAPPEA
I
Nbactn Implemented
I
YES- to HT or Clerk of
Govemlng Boy or DEC5
l.7 workng days notice
to employeeAPPEA HEAING
I
i
Appel Upheld
I
No furter acton
I
Dlscpllnary Acon Upheld
I
Acton Implemnted
* Disciplinary Acon may proce frm one level of sacton to another or the appropriatelevel of sacton ma be appled dependent on the natura and severi of thecomplaiconduct Each acton wil be confrmed in wrg. to the employee wiin 2workng day.
C = Chain HT = HeadtcherDEC5 = Dirr of Educaon and Communit servceDSC = Disclina Sub Comm
M = ManagerN = Nominat OfcerASC = Appe Sub-mm
L .
HTIMC
HTIM
HTIMC
HTIMCNlC
ASC.
27
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I POSSIBLE DISCIPLINARY ACTION I
Disciplinar acton may be applied at the level/stge appropriat to the natreseveri of the
complaintconduct. '
i
Yes
I
I COMPLAINT/CONCER..1
:
I APPROPRIATE LEL OF ACTION I
I
NÐ
I
I FRlST WRN WARNING!i
satisfactotY conduct ?i
I
No
pentrd . I FINAL WRN WARNING I .
I
satisfactotY conduct?" I
~es LoI
reference spentfrm rerd
I DISMISSAL I
ORAL WARNING
satisfactotY Lnduct?
I
I
Yes
I
reference spentfrm record
rerence sfrom reco
i
I STAGE 31
At each stge:
1) Adequate notice of hearing must be given;
2) The employee must be given th right to appel.
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AnnexE
I DISCIPUNARY ACTION INVOLVING THE HEADTECHERI
.
1. . If the Governing Body Is disssfed wi the conduct ol the Headteacher then the advice of theDirecor of Education and Communit servce WIL be sought Any allegatons concerning theconduct of the Headteacher must be made to the Chairman of the Governing Body. Theinvesgation may be undertaken by the Chairman of Governors or a Governor nominated by the
Governing Body as part of it adopted proceure. The Chairman of Governors may request the
Invesgation to be undertken by the Direor of Educatlon and Communit servce. An Ofcermay be nominated to undertake the invesgation .
2. Where deemed appropriate by the Chairman of the Governing Body a Dlsclpllnar Sub-ommitof the Governing Boy WILL be convened by the Clerk to hear the complaint made against the
. Headteacher.
(Te Disclpllnary Sub-ommitee shl comprise difrent members frm thos who shal hear theAppeal)
3. Seven workng days notice of any disciplinary heang or Intervew WILL be given In wrng to theemployee clearly Identing the matters of be considere.
The notice of the disciplinary hearing should indicate that the employee has the right to attend
and be accmpanied by an accdited Trade Unionl Employee Representtie or any otherperson at all stages in the formal dlsclplinary proceure.
The refusal of the employee to attend any part of the disciplinary produre WILL not invalidate
the procedure.
The employee has the right to call and to crss examine wiesses at th disciplinary hearing.. .A copy of the notice of the dlsclpllnarylhearlng. should be forwrded to the Direor of Educaonand Communit servces who WILL be present or represented at the hearing In an advisory role... .
4. At the hearing the Headteacher WILL ste the complaint made against the employee and Indicae
any evidence. The employee WILL be given an opportnit to challenge any evidence or to give an
explanation for the misconduct or failure to Improve or to indicae where there are any speialcircumstances to be taken into accunt.
.-
.....1 '..11
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IIII.
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29 .,* j
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I HEAING PROCEDURE I
1. The Chairprson will Intuce all thos preent and outine the prour to be followed.
2. The Invesgatng Ofcer shal put th case in the prence of the employee and the persrepreentng them and may cal wies. .
3.- Th employee or the person rerentng them shall have the opportnit to ask quesons of thInvesgating Ofcer and of any wiesses.
4. The persons conductng the hearing shall have the opportni to ask questions of theInvesgatng Ofcer and any wies.
5. The employee or the persn reprenting them shall make a reponse In the preence of th
Investigating Ofcer and may call wiesses.
6. The Investigatng Ofcer shal have the opportnit to ask quesons of the employee and of an
wieses.
7. The persons conductng the hearing shall have the opportnit to ask queson of the employee
and of any wiesses.
8. The Investigating offcer followed by the employee or the person representng them shall have th
opportnit to sum up their cases if they so wish.
9. The Investigating Ofcer, the employee and any persn repreentg them shall widraw.
10. The parsons conductng the hearng shall deliberae In prie only caling in the InvestgatgOfcer, the employee and any persn reprentng them to clear pont of uncertnt on fad
already given. If recall is neceary both partes are to rern not wistnding only one isconcerned wi points gMng raise to doubt
11. All partes will be Informed of the panel's declslon by the person conductng the hearing. In
exceptonal circmstnce, the decslon may have to be postned until furter Information isavailable. .12. The declsion will be confrmed In wrg to the employee and any person representng them wiin
seven working days. .
NOTE:
Witneses WILL widraw afr givng evidence but may be relled.
Appropriately quallfed Council employee may act as advisors to those conductnghearing/appel throughout the above proedure.
I DISCIPLINAY SANCTION I
The Disclplinary Sub-mmit may sacton waings accrdng to the severi of the complaiincluding ultmat dismissaL. Oter forms of penalt may also be Invoked - demotion. reeployment to
another post reucton, in saary allowce.
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AnnexF
1 DISCIPUNARY ACTION INVOLVING STAFF EMPLOYED BY THE GOVERNING BOD!!,
Disclpllnary Acton may be invoked by the Headteacher or a lSub-ommitee of the Governing Body asdelegated by the Governing Body.
Only the Disclplinary Sub-ommitee may remmend dismissL.
IACTlON BY THE HEADTECHERI
1. Headteacher WILL convene a meeting to hear the complaint made agains the employee.
..2. Seven workng days notice of any disciplinary hearing or Intervew WIL be given In
wrng to the employee clearly Identng the matters to be considered.
..The notice of the disciplinary hearing should indicae that the employee has the rightto atend and be accmpanied by an accited Trade Union! EmployeeRepreentatie or any other person at all stges In the formal disciplinary proceure.
The refusal of the employee to attnd any pert of the disciplinary procedure WILL not
invalidate the proceure.
The employee has the right to call and to crs examine wieses at the disciplinaryhearing. ..A copy of the notice of the discipllnarylhearlng should be forwarded to the Director ofEducation who WILL be preent or represent-;d at the hearing in an advisory role.
3. At the hearing the Headteacher will stte the complaint made against the employee and
indicate any evidence. The employee WILL be given an opportnit to chllenge any evidence
or to give an explanation for the misconduct or failure to improve or to Indicate where thereare any special circumstnces to be taken into accunt
-.-31
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:'1.:'¡ 1i ;; ;~j
I,'j:~-L
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I HEAING PROCEDURE I
1.
2.
3.
4.
5.
6.
The Headteacher will Intuce all those prent and outin the proceure to be followed.
The Investiating OfG8r Of appropriate) shall pu the case In the preence of the employee.$lthe person reprentng th and may call wies.
. ,
The employee or the person repreg thm shall hav the opportni to ask quesons ofhi.Investgating Ofcer and of any wiess.
The persons conductng the heang shall have the opportni to ask quesons of thInvesgating Ofcer and any wiesses. . .
The employee or the person reprentng them shall make a repons In th preence of th
Investgating Ofcer and may call wies.
The Invesgating Ofcer shall have the opportnit to ask quesons of the employee and of anwies.7. The Headteacher conductng the hearing shall have the opportnit to ask quesons of the
employee and of any wises.
The Investigatng offcer followed by the employee or the person reprentng thm shall have theopportnit to sum up their cases if they so wish.
The Investigatng Ofcer, the employee and any person reresentng them shall widr.
8.
9.
10. Th persons conductng the hearing shall deliberae In prate only callng In the InvestgatngOfcer, the employee and any person repreentng them to clear poin of uncertnt on fad
already given. If recall is neceary both pertes are to retu not wistading only one Isconcerned wi point givng rase to doubt.
11. All parties will be informed of the decsion by the Headteacher conductng the hearng. IneXceptional circumstnce, the decision may, have poned untl furter infrmaton is available.
The decision will be confrmed In wrng to the employee and any person representg them wiinseven workng days.
12.
NOTE:.
WIeses WILL widraw after givng evIdence but may be recalled.
Appropriately quallfled Council employee may act as advisors to those conductnghearing/appeal throughout the above procedure.
I DISCIPUNAY SANCTION i
The Disclplinary Sub-ommitee may sancton warnings accrding to the severi of the complainIncluding ultmate dismissaL. other ÍQrms of penalt may also be Invoke - demotion, reeploy to anoter
post, reucton in salary allowance.
32
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.
IACTlON BY A DISCIPUNARY SUø.OMMITI
When the hearing is to be conducted by a pael comprising the Disclpllnary Sub-ommitee it shall bechaired by the Chairman of the ,Scool Governing Bo. Th Headteacher may also be In atendance toadvise the Sub Commitee. If any member of the Disciplinary Sub-mmltee Is unable to atend thehearing that person must nominate an appropriate replacement In cases involvng serious misconductwhich may lead to dismissl the Direor of Educaon and Communit Servce may ine a suiblyqualifed member of st to join the panel In an advisory capacl. The Autori to dismiss is vesed withe Disclpllnary Sub Commite.
The Investigating Ofcer who may be the Headteacher:wllI not be members of the panel, but WILL be askedto present the supportng fact and materiaL. The employee, or his or her reprente, WILL be given the
opportnit to address the panel.
1. The Clerk will convene the Disclpllnary Sub-ommitee of the Governing Boy to hearthe complaint made against the employee.
l2. Seven workng days notice of any disciplinary hearng or Intervew WILL be given in
wrng to the employee clearly identng the maters to be considere.
lThe notice of the disciplinary hearing should indicate that the employee has the rightto atend and be accmpanied by an accdited Trade Union! EmployeeRepresente or any other person at all stages In the formal disciplinary procdure.
The refsal of the employee to atend any part of the disclpllnary proceure WILL notInvalidate the proceure.
.The employee has the right to call and to cross examine wiesses at the disciplinaryhearing.
1 .'.
A copy of the notice of the discipllnarylhearlng should be forwarded to the Director ofEducation who WILL be preent or repreented at the hearing In an advisory role.
3. At the hearing the Headteacher WILL stae the complaint made against the employee and
Indicate any evidence. The employee wil be given an opportnit to challenge any evidence
or to give an explanation for the misconduct or failure to improve or to Indicate where thereare any special circmstances to be taken Ino accunt
L~33
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I HEANG PROCEDURE I
2.
3.
4.
5.
6.
1.";l'" ;
The Chairprsn WILL Introduce all thos prent and outine the prour to be fOIlOW.\i!f)¡i!
The Invesgating Ofssr shall put the case In the prence of the employee and th1ìrepresntng them an may cal wiess. .)~
.',i"
The employee or th person repreentng them shal have th opportit to as quesons ~'4Invesgatng Ofcer and of any wiesses. .,"ll, ;.r\~The persons conductng the hearing shal have the opportni to ask quesons of UiInvesgating Ofcer and any wieses. .. . ,.,
, fThe employee or the person repreng them shall make a reponse In the preence oflh
Investgating Ofcer and may call wieses.
The Invesgatng Ofcer shall have the opportnit to ask questons of the employee an of anwieses.
7. The persons conductng the hearing shall have the opportnit to ask. quesons of the employee
and of any wiesses.
8. The Investigating offcer followed by the employee or the person repreentng them shall have thopportnit to sum up their cases if they so wish.
9. The Investigating Ofcer, the employee and any person repreentng them shall widra.
The persons conductng the hearing shall deliberae in priate only callng In the InvesgatgOfcer, the employee and any person reprentng them to clear points of uncertinty on faalready given. If recall is necry both partes are to return not wistnding only one isconcerned wi points givng raise to doubt
10.
11. All partes will be informed of the panel's decsion by the person conductng the hearig. Inexceptional circmstnce, the decision may have to be postned untl furter Informaton isavailable. ..
12. The decsion will be confrmed In wrng to the employee and any person reprentng them wiseven working days.
.NOTE:
Witneses WILL widraw aftr givng evidence but may be relled.
Appropriately qualffed Council employee may act as advisors to those conductnghearing/appeal throughout the above procedure.
I DISCIPLINAY SANCTION I
The Disclplinary Sub-mmitee may sancton warnings accrding to th severi of the complainincluding ultmate dismissl. Oter forms of penalty may also be Invoked - demoton, redeployment to
another post, reducton In salary allownce.
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AnnexG
I DISCIPUNARY ACTION INVOLVING STAFF EMPLOYE BY THE Lë,
A number of employee undertake work at scools but are employed and managed by the LE Thesinclude:-
. Athraon Bra, Including those based at Language centr
. Peripatetic Music Teachers
. Peripatetic Special Educaonal Needs Teachers
. Staff employed at the PRU
. Support Staff NNEB, Care Assistnts, Administe Assistts, Mld-day Supervsors
The principles as emboied in these procedure remain.
The Direor of Education and Communit Servce shall be Infrmed by the Headteacher or Chairman ofGovernors of any concerns relatng to a member of st engaged by the Count Council to work at aschooL. This shall be made In wrng.
The Direor of Education and Communit Servce shall appoint an Invesgating Ofcer and takeappropriate dlsclplinary acton Involvng Rnal Warning. The employer shall be given 7 days notce of theinterviewlhearlng.
Where deemed appropriate a Disciplinary Sub-ommitee of the Education Commitee WILL be formed,
comprising 5 members Including the Chairman, who WILL act as Chairman of the Sub-mmitee.
1. The Director of Education and Communit Servce WILL convene the Disciplinary Sub-Commitee of the Educaon Commitee to hear the complaint made agains theemployee.
.l
2. Seven working days notice of any disciplinary hearing will be given in wrng to theemployee clearly identing the matters ta be considered.
.lThe notice of the discipiinary hearing should Indicae that the employee has the rightto attend and be accmpanied by.' an accdited Trade Union! EmployèERepresentatie or any other person at ali stages in the formal discplinary procedure.
The refusal of the employee to attend any part of the disciplinary proceure WILL not
invalidate the produre.
The employee has the right to call and to cross examine wieses at the disclpllnaryhearing.
lThe Direor of Education and Communit Servce will be present or reprented atthe hearng In an advisory role.
3. At the hearing the Head of the Servce will st the complaint made against the employee
and Indicate any evidence. The employee WILL be given an opportnit to chalenge any
evidence or to give an explanaton for the misconduct or failure to improve or to Indicatewhere there are any speclal clrcumstance to be taken ino accunt
,
l 35
I'
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.
I HEARING PROCEDURE I
1.
2.
3.
4.
5.
6.
The Chairprson WILL Intruce al thos preen and outine.the proceure to be follOWed. .,
The Invesgating Ofcer shall pu the case In the preence of the employee and the.
repreng them and may call wles..,-.-'
.tn
The employee or the person repreentng them shall have the opportnit to ask quesons
Investigating Ofcer and of any wleses.jft\¡ti.~'liquesons'øi,
The persons conductng the hearing shan have the opportnit to askInvestgatng Ofcer and any wieses. ".':;. "~
:'~f- :i1:':
The employee or the person representng them shall make a response In the preence of th
Investigatng Ofcer and may cal wiess. ,,,¡¡ .
The Investigating Ofcer shall have the opportunit to ask quesons of the employee and of.anwieses.
7. The persons coductng the hearing shall have the opportnit to ask quesons of the employeeand of any wiesses.
8. The Invesgating offcer followed by the employee or the person repreentng them shall have thopportnit to sum up their cases if they so wish.
The Investigatng Ofcer, the employee and any person repreenting them shall wira.9.
10. The persons conductng the hearing shall deliberate In priate only callng in the InvesgatOfcer, the employee and any person reprenting them to clear point of uncertint on faalready given. If recall is necesary both partes are to reurn not wistanding only one Isconcerned wi points giving raise to doubt
11. All partes will be Informed of the panels decision by the persn conductng the hearing. Inexceptonal circumstnce, the decslon rnay have postned until furter Information is available.
The deciion will be confrmed in wrng to the employee and any person representing them wiinseven workng days.
12.
.
NOTE:
WIeses WILL withdraw afr givng evidence but may be recalled.
Appropriately qualifed Council employee may act as advisors to thos conductinghearing/appeal throughout the above procedure.
I DISCIPLINAY SANCTION I
The Dlsclplinary Sub-ommitee may sancton warnngs accrding to the severi of the complaintincluding ultiate dismiss. other forms of penalty may also be Invoked - demotion, redeploy to anotpost reucton in salary allowce. .
36
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.
AnnexH
¡APPEAL HEARING PROCEDURE I
An appeal WILL be held by an Appeal Sub-mmltee.
1. The Chairprson WILL Intduce all those present and outine the proure to be followed.
2. The Invesgatng Ofcer shall put the case in the preence of th employee and the personrepresenting them and may call wieses.
3. The employee or the persn representing them shall have th opportnit to ask quesons of the
Investgating Ofcer and of any wiesses.
4. The persons conductng the hearing shall have the opportnit to ask quesons of theInvestigating Ofcer and any wiess.
5. The employee or the person represnting them shall make a response In the preence of the
Investgating Ofcer and may call wieses.
6. The Investigatng Ofcer shall have the opportnit to ask questons of the employee and of any
wieses.
7. The persons conductng the. hearing shall have the opportnit to ask questons of the employee
and of any wiesses.
8. The investigating offcer followed by the employee or the person representing them shall have the
opportnit to sum up their case if they so wish.
9. The Invesgatng Ofcer, the employee and any person repreenting them shall widra.
10. The persons conductng the hearing shall deliberate In priate only callng In the InvesgatngOfcer, the employee and any person representng them to clear point of uncertnt on factalready given. If recall Is necssary both partes are to return not wistnding only one is. concerned wi points givng raise to doubt. ,
11. All partes will be informed of the panel's decision by the person conductng the hearing. In
exceptional circmstnces, the decsion may have to be postoned untl furter Informaton Isavailable. .12. Th decsion will be confirmed In wrng to the employee and any person representng them wiin
seven workng days.
NOTE:
WIeses WILL withdraw aftr givng evidence but may be recalled.
Appropriately qualifed Council employees may act as advisors to thos conductnghearing/appeal throughout the above proure.
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Annex II
ICOMPOSITON OF DISCIPUNARY AND APPEALS SUB-OMMmEËj
, ,.I
IGERERAL PARAMETRS I
. A Sub-ommitee hearing a disclplinary mater or subsequent appeal should normally comprise 5members wi a quorum of 3 members.
'.ì. ,
. Disclpllne Sub-mmitee and Appeals Sub-oinmitee should comprie difrent membership;
(No member shall be on both the Discplinary and Appeals Sub-ommitee hearing the same case.)
. Where the Chairman of the Governing Body or Educaon Commitee has ben involved In the caseor Is unavoidably absent then a Chairman of the Discplinary Sub-mmitee should be dra frm ...r"the nominated membership.
, ,
. The HeadteacherlManager who has Invesgated the mater should not be a member of eiter Sub-
Commitee;
. A teacher-governor may not be a member of a Sub-mmitee if possible peniar Intere may be
involved.
. Governors who are related or a close frend of the employee are advise not to be part of eiter aDisciplinary or Appeals Sub-ommitee.
I COMPOSITON OF SUB-eOMMmEES OF GOVERNING BODIE~
DISCIPUNARY APPEALS
Chalnnan Chairman of the GoverningBody.
+
Vicehairman of the Governing IBody
+Membership 4 Members
Reserve Members,
Remaining Members of the Governing Body on rota.
I COMPOSITON OF SUB-eOMMmEES OF EDUCAnON COMMmEËj
DI$CIPUNARY APPEALS
I
Chairmn Chairman of the Education Viceairman of the EducaonCommitee Commitee
Membership+
4 Eleced Members+
4 Beced Members
Reserve Members Remaining Members of the Educaon Commitee on rota.
39 ¡.iti
.
Appendix 1
I"
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A GUIDE TO HEADTECHERS FOR HANDUNG EMPLOYEES' MISCONDUCT,
, :
: \
Remember:
. to invesgate carefully an accsaton of alleged misconduct before proing.
. to take advise from an appropriate ofcer of the Educaon and Communit servces Direorate
once you have Investigated in order to assist you to determine your available acton.
. if you declde to pro to a hearing to ensure tht the employee Is fully informed..
. to ensure the employee Is aware sle may be accmpanied at any formal hearing and has the
opportnit to fully expain hisler side of the story.
. to consider carefully what you hea during the hearing and also to consider carefully any relevant
argument in mitgaton.
. to inform the employee of your decsion and follow it up In wrng wi a copy for the represntae.
. if you issue a wren waring, explain what that means, how long it last for. and what WILL happen if
furter miscnduct occrs In that time.
. to explain In wrng that the employee had a right of appeal to the Appeals Sub-ommitee of theGoverning Body. .
. if the miscnduct is so serious that it Is likely that dismissal WILL be considered that Is probably
'Gross Misconduct, the employee should be suspended on full pay pending a disciplinary hearingbefore the Appeal Sub-ommitee of the Governing Body.
.
41
L. è
.
rAppemllx2
GUIDANCE TO GOVERNORS
,
I MISCONDUCT
It is Importnt to remember -
. . that an oral warning is not part of the procedure;
. that at the formal stages of the proceure the Hèadteacher may Issue a wren warning, or a
final wren warning accrding to the circmstnce;
the Headteacher cannot dismiss wiout reference to a Disciplinary Sub Commitee of theGoverning Body for their consideraon;
. that If the Issue Is one of gross misconduct the matter WILL be referr stight to the Disciplina
Sub-mmitee of the Governing Bod;
.,..,
. the penalty can be varied accrding to circmstnce so that the Head may give more than two
wren warnings and the Discplinary Sub-mmitee of the Governing Body may give awarning instead. of dismissing the employee. Also the Appeals Sub-ommitee of the Governorsmay give a final warning instead of confirming the dismissal;
. a wren warning WILL normally iast twelve monts;
. the Appeals Sub-ommitee of Governors hears appeals against wamings by the Head anddecisions to dismiss by the Disciplinary Sub-Commitee of the Governing Body;
. . the Disciplinary Sub-mmitee and Appeals Sub-ommitee must be an entirely diferent grouP.
of Governors;
. the employee has the right to know the natre' of the complaint against himler, who the
wiesses are to be and the evidence to be preented;
. the employee has the right to.be represented or accmpanied by a "fend" of his/er choice at
any hearing. .
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