Useful Documents - Disciplinary Procedure

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

Recommended Disciplinary Procedure for Employees in Schools/Colleges

Notes of Guidance

March 2006

Disciplinary Procedure
Notes of Guidance
Appendices

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

1. Disciplinary Rules

Each School/College should ensure that written disciplinary rules which identify standards of conduct are made available to all staff.

The rules would normally cover such issues as time keeping, holiday arrangements, use of school/College facilities, performance requirements misconduct, health and safety and absence reporting.

There are two types of misconduct, gross misconduct which is of the kind which an employer cannot reasonably tolerate and which is of such a nature that employment may be terminated without notice and without going through a warning procedure. Misconduct other than gross should concentrate on how the employee should improve.

3. Informal Procedure

Unsatisfactory work or minor misconduct would normally be dealt with, initially, by the Head Teacher/ Principal (Chair of Governors) on an informal basis, i.e. counselling/advising.

Where this is the case, it must be made absolutely clear to the individual that the informal procedure is being used.

It is essential that a reasonable period of time is allowed for improvement to be made and guidance and supervision given. It may be appropriate to provide some element of formalised training and/or support at this stage.

If the informal procedure does not produce an adequate improvement within an agreed time scale the employee must be informed that the formal disciplinary procedure will need to be followed.

4. Performance

Performance is much more difficult to define. The most important point to bear in mind is that the approach of both employer and employee must be positive. Not only should the employee do all that can be done to meet the needs of the employer but the employer should do all that can be done to help and guide the employee to achieve the standard expected. The member of staff should be told in what way performance is regarded as unsatisfactory; how this might be improved, what standards should be aimed for and achieved and what help and advice is available and who can provide it. Reasonable opportunity and time in which to demonstrate and sustain improvement must be given. During this time the employee's performance is monitored and assessed, and the person fulfilling the supportive role should also bear in mind that help and advice, where necessary, should be given. The aim should always be to improve the performance level. However, should the informal procedure prove to be inadequate it will be necessary to move into the formal procedure.

5. Formal Procedure

Repetition of warning

There may be occasions when more than one warning is issued. In these circumstances the second warning would be for circumstances unrelated to those for which the first warning was issued.

Stage 1 - Oral Warning for Allegations of Less serious Misconduct or Unsatisfactory Performance

Definition - Less serious misconduct is defined as that which is likely to result in a formal oral warning. This will also usually be the first formal step in cases of unsatisfactory performance.
Procedure - Where it is either inappropriate tom use the informal procedure, or this has not brought about the required improvement, the Head teacher (Chair of Governors) should convene a disciplinary hearing, as follows:
1. Notice of the Hearing
  The employee must be informed, in writing, of the specific nature of the allegations and of the date, time and place of the hearing, giving a minimum of 10 working days' notice.
  It must be made clear that the hearing forms part of the formal disciplinary procedure. The employee must be informed of his/her right to be accompanied by a trade union representative, colleague or friend. The letter should be handed to the employee or sent by recorded delivery.
  All reasonable requests for adjustment of dates should be agreed by both parties. If, in the opinion of the Head Teacher (Chair of Governors) the employee is unreasonable in failing to agree an early date for the hearing, the hearing may be held in his/her absence. This should only rarely be the case and all reasonable requests for an adjustment of dates should be considered.
2. At The Hearing
  The Head Teacher (Chair of Governors) accompanied at the meeting by a member of the senior management Team/Governor, should put allegations to the employee.
  The employee must have the opportunity to respond.
  If the Head Teacher (Chair of Governors) is not satisfied with the response, the employee can be issued with a formal oral warning and advised of the improvement required and that any further misconduct or failure to improve performance will lead to further disciplinary action.
3. After The Hearing
  The Head Teacher (Chair of Governors) should make a full note of the hearing showing (if applicable) the reasons for the warning. A copy of this note will be sent to the employee within 7 working days of the hearing together with a letter, in duplicate, confirming the warning and informing the employee of his/her right to lodge an objection. The employee will retain one copy and sign and return the second copy to the Head Teacher (Chair of Governors) to indicate his/ her understanding of the contents. The employee may request that his/ her trade union representative/colleague/friend is supplied with copies of the note and the letter. The note of the oral warning will normally be kept on file for a period of between 6 to 12 months.
Objection - The recipient of an oral warning may object in writing to the warning stating the reasons for his/her objection. The written objection should be given to the Head Teacher/ Principal or in the case of a Head Teacher/ Principal, the Chair of Governors. Any such objections shall be noted and placed in the employee's personal file along with a copy of the note of the meeting.
If information emerges which factually proves that the evidence on which an oral warning was given is unsafe the oral warning will be rescinded.

Stage 2 - Written Warning

6. Allegations of Serious Misconduct or Failure to Respond to an Oral Warning

a) Definition

Serious misconduct should be defined as that which is likely to result in a written warning. This will also usually be the form of action where an employee commits a further act of less serious misconduct, or fails to improve his/her performance within a reasonable period of time, following the issue of a formal oral warning.

b) Procedure

Disciplinary cases which fall into this category should be considered by a Committee of Governors.

i. Composition of Committee: The committee should comprise 43 or 5 governors. Ideally, the Committee should represent a cross-section of the governing body. The gender and/or ethnic origin of the employee and/or the nature of the allegations, may be relevant in determining the composition of the committee. Where allegations concern racial or sexual harassment, the Governors will have present at the hearing a person with the appropriate experience to advise the committee. Information about people with the necessary experience/ expertise can be obtained from the Director of Education.
ii. Notice of the Hearing: The Clerk to Governors should ensure that the employee is given written notice of the hearing at least 10 working days prior to the hearing;; At the same time the employee must be supplied with copies of any report, complaints or statements, (including any statements by witnesses who are not able to appear) to be considered at the hearing and the names of any witnesses to be called.
iii. Before the Hearing: Any written evidence from the employee or his/her representative (including any statements by witnesses who are not willing to appear) and the names of any witnesses to be called must reach the Clerk to Governors at least 5 working days before the hearing. The name and status of any representative should be confirmed at this time. This information must be passed to the Governors representative to the Governing Body.; In cases where witnesses are not able to attend the hearing, consideration should be given to the employee represented, being present when statements are taken from witnesses.; The Clerk to Governors will supply the committee members with written evidence and the names of any witnesses on both sides at least 5 working days before the hearing.
iv. At The Hearing: Stage 1
The case against the employee will be made by the Governors' nominated representative who may call witnesses. The witnesses may be questioned by the employee or his/her representative and by members of the committee.
The case for the employee will be made with, where appropriate, witnesses. Questions of the employee and any witnesses should be made by the Governors and the panel. Both sides should sum up their statements before withdrawing while the committee decide whether there is a disciplinary issue. The Clerk to the Governors will also withdraw but may be required to return to the meeting to advise the Governors on procedural matters.
Note: Witnesses should normally only be present while they are being questioned but this may be varied with the agreement of both parties. Witnesses may be recalled for further examination. During any further examination of evidence or witnesses, both parties must be present.
The parties shall be recalled and informed whether action is to be taken.
If the committee considers the allegations are not proven, no further action will be taken.
The decision should be confirmed in writing normally to the employee and his/her representative normally within 5 working days of the hearing and certainly within 10. Stage 2
If the allegations are found to be proven, wholly or in part, the Governors nominated representative and then the employee or his/her representative may take representations as to the most appropriate form of action to be taken.

The parties shall be recalled and informed of the decision and the reason(s) for it.
Note: Either party of the committee may request an adjournment at any time during either Stage 1 or Stage 2 of the proceedings.
v. After The Hearing
: The Clerk will make a full note of the hearing showing (if applicable) the reason for the disciplinary action taken. Within 5 working days the Clerk will send a copy of this note to the employee together with a letter which must indicate the action, which may include the possibility of dismissal, that could result from a further misconduct or failure to reach a satisfactory level of performance within a reasonable period of time.

c. Appeal

The employee will have a right of appeal to an Appeals Committee of governors. See paragraph 9 below regarding the Appeals Procedure.

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d. Duration of Warning

If the employee completed 12 months satisfactory service following the issue of a warning all record of the warning will be removed from the employee's file. However, in certain cases of serious misconduct, the warning may be quoted in any reference provided for the employee even though it has been removed from the personal file. This will be communicated to the employee. It may not, however, be referred to in any subsequent disciplinary hearing other than following a finding of guilt (see Proposed Procedure for Disciplinary Hearing Appendix 6, No. 10). Under no circumstances should warnings or any papers relating to the disciplinary hearing be recorded on a database or in any other electronic recording system.

7. Final Written Warning - Failure to Respond to a Written Warning

Definition

If, following the issue of a written warning, an employee allegedly commits a further act of misconduct or fails to improve his/her performance within a reasonable period of time, the disciplinary procedure will be repeated. If dismissal is a possible outcome, the advice of the Director of Education or his senior representative must be sought and he/she will be entitled to attend the hearing.

If the allegations are proven, wholly or in part, the outcome may be one of the following:

a final written warning
withholding of an increment
demotion e.g. removal of or reduction of responsibility points
dismissal

A final written warning should indicate that any further action of misconduct or failure to improve performance within a specified period of time may lead to dismissal. The procedure in paragraph 6b would then be repeated if necessary. See paragraph 6d regarding the duration of any warning.

The notification procedure is in accordance with paragraph 6b (v).

Gross Misconduct

a) Definition: Gross misconduct is defined as misconduct of such a nature that the continued presence of the employee at the school/college can no longer be tolerated and which may lead to summary dismissal.; Examples of offences of gross misconduct are theft, fraud, deliberate falsification of records, fighting, assault on another person, deliberate damage to authority property, disqualifications as a result of rehabilitation of offenders regulations and harassment.
b) Criminal Offences and Financial Irregularities: If the alleged offence appears to involve criminal liability, the Director of Education should be informed immediately. It will then be decided whether the matter is to be referred to the Chief Constable. Where suspected irregularities affect cash or other school property the Chief Financial Officer must also be notified.
c) Suspension: Suspension is not of itself a disciplinary action but should be used as a way of protecting the employee from further allegations during a period of investigation and preventing further incidents occurring. In the event of alleged gross misconduct the Director of Education should be consulted; the Head teacher (Chair of Governors) may then suspend the employee, without notice, to enable the allegations to be investigated. Where suspension is appropriate it is without prejudice to the outcome of the investigation and hearing. The Head Teacher (Chair of Governors) will notify the Chair of Governors (Governing Body) and the Director of Education of the suspension and confirm the suspension and confirm the suspension in writing to the employee. During a period of suspension the employee will receive full pay. Either the Chair of Governors or the Governing Body may decide to end a suspension.
d) Procedure: The procedure will be as described in paragraph 6b above. The advice of the Director of Education or his senior representative must be sought and he/she will be entitled to attend the hearing.

8. Dismissal

In cases where previous warnings have been ineffective, or for gross misconduct, the panel of Governors may decide to:

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).

If the employee does not exercise his/her right of appeal against the decision to dismiss, the Director of Education will be informed of the decision, including the reason(s) and, if the person is employed solely to work at the school/college, he will issue a formal notice of dismissal within 14 calendar days.

9. Appeal Against Disciplinary Action

An employee may appeal against any form of disciplinary action beyond a formal oral warning to an Appeals Committee of Governors. All employees must be made aware of this right and the agreed timescales in which the appeal must be lodged.

i. Composition of Committee: The Appeals Committee should comprise 3 or 5 Governors, who did not sit on the Committee which heard the original case. The number of Governors on the appeals panel must be the same as the membership of the initial panel. Ideally, the Committee should represent a cross-section of the Governing Body. The gender and/or ethnic origin of the employee and/or the nature of the allegations may be relevant in determining the composition of the Committee. The Governors will, where allegations concern harassment, have present at the hearing a person with the appropriate expertise to advise the Committee. Information about people with the necessary experience/expertise can be obtained from the Director of Education.; The advice of the Director of education or his representative, who should not be the same person who advised the original Committee, should be sought and he/she will be entitled to attend the hearing.
ii. Notice of Appeal: Written notice of appeal must reach the Clerk within 15 working days of the employee receiving notification of the right of appeal.
iii. Notice of the Hearing: The employee should be informed in writing of the date, time and place of the hearing, giving at least 15 working days notice and of his/her right to be accompanied by a trade union representative, colleague or friend. The letter should be handed to the employee or sent by recorded delivery.
iv. Procedure: Before the Hearing
At least 5 working days before the hearing, the employee should submit to the Clerk a written statement of the grounds of the appeal setting out any essential findings of fact with which he/she is dissatisfied and giving the names of any witnesses he/she wishes to call.
The Clerk to the Governors should be notified at least 5 working days before the hearing of the names of any witnesses to be called by the Governors' nominated representative.
The Clerk to the Governors will provide the Committee members with a copy of the note of the original hearing, together with a copy of the employee's statement and the names of witnesses to be called on both sides, at least 3 working days before the hearing.
At the Hearing
The procedure will be s in paragraph 6 b) iv. above. If the allegations are proven, wholly or in part, the penalty originally imposed may be confirmed, reduced, removed or exceptionally increased.
After the Hearing
The Clerk to the Governors will make a full note of the hearing and confirm the decisions of the Appeals Committee to the employee as in paragraph 6b).
If the decision is to dismiss the employee, the Director of Education will be informed, with reasons and if the person is employed solely to work at that school, he will issue s formal notice of dismissal within 14 calendar days. The letter of notice will make reference to the right to complain to an Industrial Tribunal, where applicable.

10. Time Limits

Most time limits in this procedure are expressed in working days. These are deemed to be Monday to Friday whether or not during term time and every effort should be made to adhere to them. Any departure from the term time limits should be agreed between the parties.