Useful Documents - Disciplinary Procedure

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

Recommended Disciplinary Procedure for Employees in Schools/Colleges

Appendices

March 2006

  1. Disciplinary Procedure
  2. Notes of Guidance
  3. Appendices
    1. Model letter - Oral Warning
    2. Model letter - Written Warning
    3. Model letter - Final Written Warning
    4. Model letter - Suspending and Employee
    5. Standard letter giving notice of Disciplinary Hearing
    6. Proposed procedure for Disciplinary Hearing
    7. Proposed procedure for Appeal Hearing

Appendix 1

MODEL LETTER - ORAL WARNING

Dear (),

DISCIPLINARY HEARING HELD ON (date)

I am writing to confirm the outcome of the Disciplinary Hearing which you attended on (date).

After considering the evidence carefully, it was confirmed that the allegations against you had been substantiated and that you would be given an Oral Warning.

Two copies of this letter are attached. Would you please sign the top copy to signify that you have read and understood its contents and return it to me in the envelope provided.

The allegations were:

(insert)

The objectives to be achieved and the process and time scale of minuting are:

(insert)

You do not have the right to appeal against the above decision: You may however write down your reasons for objecting to the warning. The witness statement will be placed on file along with the comments of the hearing. If you wish to exercise this right, you should let me have your written statement, within five working days of receipt of this letter. You may, of course, seek help from your Trade Union Representative or someone else if you wish.

If there is anything which you do not understand, please contact:

Yours sincerely,

Appendix 2

MODEL LETTER - WRITTEN WARNING

Dear (),

DISCIPLINARY HEARING HELD ON (date)

I am writing to confirm the outcome of the Disciplinary Hearing which you attended on (date).

After considering the evidence carefully, the Disciplinary Panel was satisfied that the allegations against you had been substantiated and that you would be given a written warning.

Two copies of the letter are attached. Would you please sign the top copy to signify that you have read and understood its contents and return it to me in the envelope provided.

The allegations were:

(insert)

The objectives to be achieved and the process and time scale of the minuting process are:

(insert)

You do not have the right to appeal against the above decision: You may however write down your reasons for objecting to the warning. The witness statement will be placed on file along with the comments of the hearing. If you wish to exercise this right, you should let me have your written statement, within five working days of receipt of this letter. You may, of course, seek help from your Trade Union Representative or someone else if you wish.

If there is anything which you do not understand, please contact:

Yours sincerely,

Appendix 3

MODEL LETTER - FINAL WRITTEN WARNING

Dear (),

DISCIPLINARY HEARING HELD ON (date)

I am writing to confirm the outcome of the Disciplinary Hearing which you attended on (date).

After considering the evidence carefully, the Disciplinary Panel was satisfied that the allegations against you had been substantiated and that you would be given a final written warning.

Two copies of the letter are attached. Would you please sign the top copy to signify that you have read and understood its contents and return it to me in the envelope provided.

The allegations were:

(insert)

The objectives to be achieved and the process and time scale of minuting process are:

(insert)

You do not have the right to appeal against the above decision: You may however write down your reasons for objecting to the warning. The witness statement will be placed on file along with the comments of the hearing. If you wish to exercise this right, you should let me have your written statement, within five working days of receipt of this letter. You may, of course, seek help from your Trade Union Representative or someone else if you wish.

If there is anything which you do not understand, please contact:

Yours sincerely,

Appendix 4

SUSPENDING AN EMPLOYEE

Dear (),

SUSPENSION FROM DUTY

Further to your interview with (names/designation) on (date), I confirm that you are suspended from work on full pay until further notice pending investigation into the allegation(s) that:

(insert reason(s))

These matters may be dealt with at a disciplinary hearing which will take place once these allegations have been thoroughly investigated. If that happens, since the interview will be of a disciplinary nature, you will be entitled to be accompanied by your trade union (or other) representative.

You will remain on suspension until the investigation has been completed and a decision taken as to how the matter should be progressed. If you become ill, you should liaise with (name) as though you were at work.

During the period of your suspension you must not enter the school/college or contact the following people (if appropriate) without the prior permission of (name).

A second copy of this letter is enclosed. I would be grateful if you would sign it to signify that you have read and understood its contents. If, on the other hand, there is anything which you do not understand, please contact (name) (telephone number).

Yours sincerely,

Enc.

Second Copy:

I have read and understood the contents of this letter.

Signed: .....................................

Date: .....................................

Appendix 5

STANDARD LETTER GIVING NOTICE OF DISCIPLINARY HEARING

Dear (),

DISCIPLINARY HEARING

I am writing to advise you that you are required to attend a disciplinary hearing which will be held at (time) (date) (venue). Please report to the (person/place) on arrival.

The Disciplinary Panel will be:

NAMEDESIGNATION
......
......

The Disciplinary Panel will consider the following allegation(s):

(insert)

The case against you will be presented by:

(name and designation)

who will call the following witnesses:

(insert)

The following documents will also be referred to and a copy of each is enclosed with this letter:

(insert)

A copy of the Authority's disciplinary procedure and details of how the Disciplinary Hearing will be run are also enclosed.

If you intend to submit any written evidence, a copy of this together with the names of any witnesses you intend to call should be sent to me by (date).

You have the right to be represented at the Disciplinary Hearing by a trade union representative or a work colleague and I urge you to exercise this right.

(If gross misconduct is alleged):

I must advise you that if the disciplinary Panel is satisfied that the above allegations have been substantiated, they could be regarded as gross misconduct and you could be dismissed without notice. It is, therefore, vital that you attend the disciplinary hearing and again, I would strongly advise that you are represented.

If the above arrangements are not convenient please provide me with the reason for this telephone (number) or in writing, as soon as possible and provided the reason is acceptable, I will rearrange the hearing.

(If the hearing is not at the employee's workplace, consider offering transport.)

A copy of this letter and documents are also enclosed for your representative. A further copy of the letter is enclosed. I would be grateful if you would sign to signify that you have read and understood its contents and that you will attend the disciplinary hearing. It would also be helpful if you would include the name of your representative if applicable. Please return the signed copy of the letter to me in the envelope provided.

Yours sincerely,

Enc.

Second Copy

I have read and understood the contents of this letter and confirm that I will attend the disciplinary hearing at (time) on (date) at (venue).

It will be helpful if you could advise me of the name of your representative.

Signed: .....................................

Date: .....................................

Name of Representative .....................................

Appendix 6

LEICESTER CITY COUNCIL EDUCATION DEPARTMENT

PROPOSED PROCEDURE FOR DISCIPLINARY HEARING

  1. Introduction by Chair of Panel
  2. Statement by Management
  3. Questions by Employee of Management
  4. Questions by Panel of Management
  5. Statement by Employee
  6. Questions by Management of Employee
  7. Questions by Panel of Employee
  8. Decision - Management and Employee asked to leave whilst decision is made about whether there is an issue for which disciplinary action should be taken.
  9. Panel decision to Management and Employee/Representative about whether disciplinary action is appropriate.
  10. Management asked to comment about previous record and seriousness of offence within the organisation if the panel intend to proceed with disciplinary action.
  11. Details of mitigating circumstances from employee where panel intend to proceed with disciplinary action.
  12. Management and Employee asked to withdraw whilst panel determine what disciplinary action to take.
  13. Panel decision to Management and Employee.

Appendix 7

LEICESTER CITY COUNCIL EDUCATION DEPARTMENT

PROPOSED PROCEDURE FOR APPEAL HEARING

  1. Introduction by Chair of Panel
  2. Statement by Management
  3. Questions by Employee/Representative
  4. Questions by Panel
  5. Statement by Employee/Representative
  6. Questions by Management of Employee
  7. Questions by Panel of Employee
  8. Summing up by Management
  9. Summing up by Employee/Representative
  10. Decision - Management, Employee and/or Representative asked to leave whilst panel make decision
  11. Decision made known to Employee/Representative and Management Representative