Useful Documents - Disciplinary Procedure

We reproduce below Leicester Education Authority's Disciplinary Procedure document.

Recommended Disciplinary Procedure for Employees in Schools/Colleges

Disciplinary Procedure

March 2006

  1. Disciplinary Procedure
    1. Purpose
    2. Scope
    3. The Procedure
    4. Appeals
  2. Notes of Guidance
  3. Appendices

1. Purpose

This procedure is designed to:

  1. Assist Governors with their responsibility to ensure consistent and fair treatment of all employees.
  2. Help and encourage all employees to achieve and maintain satisfactory standards of conduct and job performance.

2. Scope

In deciding what principles to follow, Governors will need to decide which, if any, powers they wish to delegate to the Head Teacher/Principal. This responsibility should not be delegated to other members of staff. The following code contains the City Council's recommendations.

Scope of the Procedure

This procedure is recommended for all employees in Schools/Colleges except contractor's employees:

Principles

  1. No disciplinary action should be taken until the case has been fully investigated.
  2. At every stage in the procedure the employee must be advised of the nature of the allegations against him/her and must be given the opportunity to state his/her case before any decision is made.
  3. At all stages, the employee has the right to be accompanied by his/her Trade Union representative, a colleague or a friend. At any disciplinary hearing or investigation.
  4. No employee should be dismissed for a first breach of discipline except in the case of gross misconduct.
  5. An employee has the right to appeal against any disciplinary penalty imposed beyond oral warning stage.
  6. Although normal disciplinary standards should apply to their conduct as employees, disciplinary action against a Trade Union official can be construed as an attack on the Union. Such problems can be avoided by early discussion with another senior or full time official of the appropriate Trade Union.
  7. Disciplinary and appeal hearings should take place within the normal working day of the employee.
  8. If the disciplinary hearing is adjourned, the newly arranged hearing should be arranged within 5 working days unless otherwise agreed by both parties.

3. The Procedure

It is often appropriate for minor misconduct or unsatisfactory performance to be dealt with on an informal basis; in serious cases it may be necessary to consider suspending the employee while an investigation is conducted if that is necessary to make the investigation effective. In all circumstances the suspension will be on full pay.

Stage 1 - Oral Warning

If conduct or performance does not meet acceptable standards the employee will be given written notification of a disciplinary hearing at least 10 working days prior to the meeting.

Following the hearing a warning may be issued by the Head Teacher/Principal and the employee notified of their right of objection. In the case of the Head Teacher/ Principal the hearing would be conducted and any warning issued by the Chair of Governors. In accordance with ACAS advice a note of the oral warning will be kept but it will be spent after a period of between 6 to 12 months. Satisfactory conduct or performance. This stage should normally be undertaken by the Head Teacher/Principal in the case of Staff other than the Head Teacher/ Principal and by the Chair of Governors if the Head Teacher/ Principal is the member of Staff concerned.

Stage 2 - Written Warning

If the offence is a serious one or if a further offence occurs following an oral warning a hearing will be convened and the employee notified in writing of the hearing no later than 10 days prior to the hearing.

At this stage and onwards the involvement of the Governors Disciplinary Panel is essential.

If following the hearing a written warning is issued by the Head Teacher/Principal or Clerk to Governors on behalf of the disciplinary panel a copy of the warning will be kept on the employees personal file and should be removed after a pre-determined period by the disciplinary panel subject to satisfactory conduct and performance. The right of appeal must be clearly notified to the employee (see 4 below).

Stage 3 - Final Written Warning

If there is still a failure to improve and conduct or performance is unsatisfactory or if the misconduct is sufficiently serious to warrant only one warning the employee shall be notified of the disciplinary hearing no later than 10 days prior to the hearing.

It may be necessary, following the hearing, to issue a final written warning. The warning must clearly state the details of the complaint, that dismissal may result if there is no satisfactory improvement and also advise of the right of appeal.

A copy of the final written warning will be kept on the employee's file but will be spent after a pre-determined period (determined by the disciplinary panel) of satisfactory conduct and performance. The advice from ACAS would be that the pre-determined period should be no longer than 1 year's satisfactory performance.

Stage 4 - Dismissal

If the decision is to dismiss the employee, the dismissal may be:

With notice, or payment in lieu of notice, in accordance with the employee's contract of employment;

or

In cases of gross misconduct, without notice (summary dismissal).

4. Appeals

An employee who wishes to appeal to a panel of the Governing Body following a disciplinary decision should inform the Clerk to the Governors in writing within 15 days of the receipt of the letter confirming disciplinary action.

Notes of Guidance - Disciplinary Procedure
for Head Teacher/Principals and Governors