Discipline and Appeals Policy
Discipline and Appeals Policy for Administrative,
Professional, Clerical and Technical Staff
For further information, refer to KCC Discipline and Grievance Procedures
OBJECTIVE OF THE PROCEDURE
This procedure is designed to help and encourage all employees to achieve and maintain required standards of conduct, attendance and job performance. The aim is to ensure consistent and fair treatment for all employees. The Headteacher and other managers have a responsibility to ensure that employees receive the necessary training and, where appropriate, guidance and counselling.
The purpose of the procedure is to:
Set out guiding principles and rules for dealing with disciplinary matters;
Assist in achieving and maintaining acceptable standards of work performance
Maintain acceptable standards of conduct
It is not intended to replace or restrict the normal interchanges between a Headteacher and employee about the employee’s performance or conduct.
GENERAL POINTS
Formal disciplinary action under this procedure can be initiated or taken only by:
The Headteacher or any other officer authorised to act on his/her behalf in this respect;
The Chairman of Governors, where he/she considers it necessary to assume the responsibility of the Headteacher in a disciplinary matter;
An appointed committee of Governors.
The Headteacher (and officer(s) designated by them) and the Chairmen of Governors, can recommend dismissal and are empowered to suspend staff employed in the school.
Details will be readily available of those persons at an appropriate level of seniority which have been nominated/designated by the Governors to initiate or take various levels of disciplinary action (ie suspension, written and oral warnings).
The Personnel Adviser to the Directorate is responsible for advising on and monitoring the application of the procedure and for promoting consistency in its application. The Personnel Adviser and/or Education Officer (or other representative of the Director) should be involved in and attend all stages of the formal procedure where a final written warning or dismissal is a possible outcome.
Where a financial irregularity is suspected, the County Treasurer must be consulted in accordance with the Financial and Administration Regulations before any action is taken.
The Headteacher and other management personnel can and will continue to give counselling, advice and support to employees outside of this procedure and may keep a record of such help given.
The Headteacher (or person(s) nominated by him/her) has the right and the obligation to carry out a full investigation which may include interviews before disciplinary action is contemplated. During the course of these investigations and interviews the Headteacher may consider it necessary to suspend an employee.
ADVICE AND INFORMAL WARNINGS
Where a minor breach of discipline or unacceptable work performance occurs the employee will be advised informally by the Headteacher/supervisor concerned of the conduct or standard expected in the future. Where appropriate the employee will be offered guidance, counselling and additional training and supervision to help achieve the necessary standards.
Where the employee is aware of the conduct and standards expected of him/her and a minor breach of discipline or unacceptable work performance still occurs, an informal warning may be given. Informal warnings should not be documented in the employee’s personal file.
Such informal warnings are part of the Headteacher’s/supervisor’s normal management responsibilities and are separate from the formal disciplinary procedure.
FORMAL DISCIPLINARY PROCEDURE
General Statement
All stages of the formal procedure should be carried out as speedily as possible in the interests of both the school’s management and employees.
The level of penalty awarded will depend on the seriousness of the offence, its consequences to the school and the past recorded conduct of the employee where it is appropriate to the circumstances of the case.
In all instances of alleged misconduct or unacceptable work performance, however serious, the employee must be given the opportunity at reasonable notice to attend a disciplinary hearing to explain his/her actions or omissions. The employee will be warned that should they fail to attend the hearing without good cause or reason then the Governors of the school will proceed with the hearing in their absence and seek the award the level of penalty considered appropriate in the circumstances. If the employee cannot attend the disciplinary interview for medical reasons then he/she may be required to produce a doctor’s statement.
An employee is entitled if he/she so wishes to be accompanied by a trade union representative or any other person of his/her choice at any disciplinary hearing which is part of the formal procedure.
In dealing with a breach of discipline, the arrangements should be such that the same person does not conduct both the detailed investigation and the hearing unless the management structure of the school concerned and/or the availability of staff will not permit otherwise. A person who takes part in the investigation or disciplinary hearing must not sit as a member of any appeal body.
After receiving a warning, the employee where appropriate will be allowed sufficient time and opportunity to improve his/her conduct before any further disciplinary action is taken.
INITIAL INTERVIEW
Where there is alleged misconduct or unsatisfactory work performance, the employee will be seen and informed of the allegations made against him/her unless there is exceptional reason to do otherwise, eg where a financial irregularity is suspected. Where it is proposed to pursue the matter under the disciplinary procedure, he/she will be informed that the allegation will be investigated and that they can be accompanied at any investigatory interview by a trade union representative or any other person of his/her choice. This will be confirmed in writing within 5 working days.
INVESTIGATION
Where in a particular case or after previous counselling an employee’s conduct, or work performance is considered unsatisfactory and appears to warrant disciplinary action, the Headteacher or his/her nominee will carry out an investigation.
The purpose of the investigation is to establish the facts promptly and before memories fade, taking into account statements of any witnesses and it should therefore be arranged as soon as possible.
The investigatory interview will be arranged as soon as possible in order to establish the facts and give the employee the opportunity to state his/her case in response to the allegation. The person investigating the matter should be accompanied in the case of more serious allegations. Notes should be taken at the interview to be kept for reference purposes.
Having gathered all the facts the Headteacher or his/her nominee will decide whether to:
Take no further action and inform the employee accordingly, or
Arrange counselling, training, extra supervision, written advice eg to correct a situation or prevent it from getting worse without pursuing it through the disciplinary procedure, or
Arrange a disciplinary hearing. This will be necessary if it appears that there is an issue which requires appropriate disciplinary action.
The employee must be seen and advised of the outcome of the investigations. Where it is the intention of the Headteacher or his/her nominee to hold a disciplinary hearing this will be confirmed in writing setting out the allegations, rights of representation and the details of where the hearing is to take place.
DISCIPLINARY HEARING
The purpose of the hearing is to hear the complaint and the employee’s response and consider the evidence so that the Governors can decide what formal action, if any, to take. The employee must be given in writing at least five working days’ notice of the date, time and place of the hearing and be informed of his/her right to be accompanied by a trade union official or other person if he/she wishes. This letter will outline the grounds for complaint against the employee and enclose any documents to be used in evidence.
A copy of this letter will be sent to the Director of Education.
The Director or his/her representative will attend the disciplinary hearing to advise the committee of Governors in all cases where a final written warning or dismissal is a possible outcome. He/she may also attend in less serious cases at the request of the Headteacher.
At the hearing the procedure will be as follows unless varied with the consent of all parties:
A committee of Governors will be appointed to hear the case (hereafter known as the Disciplinary Committee) and will nominate one of their number to act as Chairman;
The Headteacher or the person nominated by him/her to investigate the matter will state the case against the employee and call any witnesses;
The employee and his/her representative will have the opportunity to question the Headteacher or person nominated and any witnesses;
The employee or his/her representative will put forward his/her case and call any witnesses;
The Headteacher or his/her nominee will have the opportunity to question the employee, his/her representative and his/her witnesses;
The Disciplinary Committee and the representative of the Director may question either party at any stage of the proceedings;
Both parties have the right to summarise their cases, but not to introduce any new evidence in the summary. The employee or his/her representative will speak last;
All parties will withdraw leaving the Disciplinary Committee and the representative of the Director to consider the matter;
If there is a need to recall either party or any witness to clarify any point, both parties will be invited to return;
In general, the decision of the Disciplinary Committee will be made known to both sides at the end of the hearing by the appointed Chairman but exceptionally within 24 hours.
RECORDED ORAL WARNING
Where the Disciplinary Committee considers that the employee is at fault but that the offence is of a minor nature, the employee may be given a recorded oral warning.
The Chairman will confirm the reasons for misconduct or unacceptable work performance and advise the employee of the standards expected and where appropriate what assistance will be provided, eg additional training or supervision determined by the Disciplinary Committee.
The employee will be informed that if there are further acts of misconduct or if unacceptable work performance continues then further formal disciplinary action will be taken.
A dated, written record of this oral warning will be kept on the personal file of the employee and a copy of this record should be sent to the employee within five working days. A copy of the letter should be sent to the Education Personnel Services Group. The letter should confirm the findings of the hearing including any advice and guidance given to enable the required standards to be achieved.
WRITTEN WARNINGS
If previous disciplinary action has proved ineffective or if the nature of the complaint so warrants, the Disciplinary Committee may wish to issue a written warning through the Chairman.
The written warning will:
Set out the nature of the unsatisfactory work performance or conduct;
State that any further act of misconduct or failure to achieve an acceptable level of performance will lead to further disciplinary action;
Inform the employee of his/her right of appeal and the time limit;
Be handed personally to the employee where possible or be posted preferably by recorded delivery within five working days of the disciplinary hearing.
The employee will be requested to sign a copy of the letter, acknowledging its receipt and confirming that its implications are understood. This copy should be kept on the employee’s personal file and a copy sent to the Education Personnel Services Group.
FINAL WRITTEN WARNING
If an employee has already received a written warning and the Disciplinary Committee considers a further warning is warranted, then that warning may be a final warning.
The Disciplinary Committee may issue a final written warning even though no previous disciplinary action has been taken where it is warranted by the circumstances and there is a degree of serious misconduct or highly unsatisfactory work by the employee.
The final written warning will:
Clearly state that it is a final written warning and refer to any previous warning where appropriate.
Set out the nature of the unsatisfactory work performance and/or conduct;
State that any further act of misconduct of similar gravity or failure to achieve an acceptable level of performance is proven will lead to further disciplinary action which will result in dismissal;
Inform the employee of his/her right of appeal and the time limits;
Be handed personally to the employee where possible or be posted preferably by recorded delivery within five working days of the disciplinary hearing.
The employee will be requested to sign a copy of the letter, acknowledging its receipt and confirming that its implications are understood. This copy should be kept on the employee’s personal file and a copy sent to the Education Personnel Services Group.
DISMISSAL
Where an employee has previously received a final written warning and is considered by the Disciplinary Committee to have committed further misconduct of a similar gravity or where the employee’s work performance continues to be unacceptable to a similar degree then the employee will normally be dismissed in accordance with the terms of their contract of employment.
The decision to dismiss should normally be given orally at the end of the disciplinary hearing and will be confirmed in writing by the Chairman of the Disciplinary Committee. The written confirmation of the decision should be handed personally to the employee wherever possible or be posted by recorded delivery within five working days of the disciplinary hearing. It must inform the employee of his/her right of appeal and the time limit. A copy of the letter should be sent to the Personnel Adviser to the Directorate.
Where the employee chooses not to appeal against the decision to dismiss the Chairman of Governors will notify the Director formally in writing of the determination of the Governors. The LA shall before the end of the period of 14 days beginning with the date on which the notification was given, either -
Give such notice terminating the contract of employment with the authority as is required under that contract; or
Terminate the contract of employment without notice if the circumstances are such that they are entitled to do so by reason of his/her conduct; or
If the person concerned is not employed to work solely at the school, the authority shall require him/her to cease to work at the school.
GROSS MISCONDUCT
Upon receipt of a complaint of gross misconduct or totally unacceptable work performance, the Head teacher (or person nominated by him/her) will then ask the employee in question for an explanation of his/her actions, informing them beforehand of their right to have a representative in attendance. If, after considering the advice of the Personnel Adviser, the Headteacher (or his/her representative), does not accept the explanation, he/she will immediately suspend the employee pending an investigation.
The person responsible for suspending the employee should not preside over any subsequent disciplinary hearing.
Alleged gross misconduct, if proved, will normally be met with summary dismissal.
SUSPENSION
An employee may be suspended from work by the Headteacher (or his/her representative) or the Chairman of Governors acting for the Governing Body at any time before or during the course of investigations into the employee’s conduct or work performance where there is evidence of gross misconduct.
Suspension is not a disciplinary penalty. It is a power which may be exercised in particular cases where the Headteacher or the Governors consider that the employee should not remain on the premises while investigations are proceeding. The Headteacher or the Governing Body shall, when exercising that power, immediately inform the LA of the suspension.
The suspension will be on full pay for a period of up to four weeks or until a decision has been reached as to what disciplinary action, if any, is to be taken, whichever period is the shorter. If the suspension is to be continued beyond the four weeks, the Headteacher will decide (normally in consultation with the Chairman of Governors and the Personnel Adviser) on what basis pay should continue* (ie full pay, half pay or no pay according to the circumstances). Where the decision is to suspend on half pay or no pay, the employee will have the right to appeal against this decision to an Appeals Committee of the Governing Body. The appeal in this case must be lodged with the Headteacher, in writing, within 10 working days of receipt of the decision.
Note: *Suspension will normally be on full pay unless there are exceptional circumstances to warrant otherwise eg the employee deliberately obstructs the internal disciplinary investigation and/or police proceedings where a criminal offence may have been committed.
Where an employee is suspended from work, this action must be confirmed by letter to the employee within five working days. The suspension letter should give the reasons for the suspension and set out any special terms and conditions relating to the suspension.
A copy of the suspension letter must be sent to the Education Personnel Services group.
If the employee is found not to have been at fault, the suspension will be lifted by the Governing Body* and the Headteacher and LA informed immediately. This decision will be confirmed in writing to the employee and a copy of the letter will be sent to the Education Personnel Services Group. Where the employee has been suspended on half pay or no pay he/she shall receive all monies which he/she would have received but for the suspension.
Note: *A suspension under this procedure may only be ended by the Governing Body.
CRIMINAL PROCEEDINGS
An employee will not necessarily be subject to formal disciplinary action because of his/her arrest, charge or conviction for a criminal offence outside his/her employment.
In such circumstances the criterion for determining whether the disciplinary procedure should be invoked will be the extent to which the alleged offence is one which makes the employee unsuitable for his/her type of work, or which, if it became widely known, would be detrimental to the School’s/Authority’s interests or would in any way weaken public confidence in the conduct of the School’s/Authority’s business.
Where the offence falls into the above category:
Disciplinary action should be taken immediately where this is deemed to be appropriate, having regard both to the consequences to the School/Authority of not taking such action and the need to ensure that internal investigations do not prejudice police enquiries or legal proceedings;
Exceptionally the employee should be suspended from duty where police enquiries or legal proceedings must be conducted before disciplinary action is initiated;
Where dismissal is contemplated as the appropriate form of disciplinary action, consideration should be given to finding alternative employment which would be regarded as suitable having regard to the nature of the criminal act/conviction. Attempts to find alternative employment need not delay the issue of notice but must take place before the notice expires.
Where it is suspected or alleged that an employee may have committed a criminal offence connected with his/her employment with the School/County Council then action must be taken. An investigation of the facts must be carried out where possible separately from any investigation undertaken by the police or from any criminal proceedings. In these circumstances it will usually be appropriate for the employee to be suspended to enable the investigation to take place. A formal disciplinary hearing should be convened as soon as possible and imposition of the appropriate disciplinary penalty should not normally be delayed pending the outcome of any criminal investigations or criminal proceedings.
If an employee is sentenced or remanded in custody, this may constitute frustration of contract. The advice of the Personnel Adviser must be sought.
ILL HEALTH
Generally it will not be appropriate to invoke the disciplinary procedure in cases where an employee’s capability to perform his/her job is in question by reason of absence due to ill health. Separate procedures exist for obtaining independent medical advice as to an employee’s state of health in relation to his/her employment and for dealing with cases of genuine ill health which affect an employee’s ability adequately to perform his/her duties. However where there are frequent short absences for sickness or other reasons this may be a matter which can be considered within the disciplinary procedure. This can only occur following investigation and where appropriate counselling.
APPEALS PROCEDURE
An employee has a right of appeal against a recorded oral warning, a written warning or dismissal.
An appeal against a recorded oral warning or a written warning will be heard by an Appeals Committee of the Governing Body.
An appeal against dismissal will be heard by the Appeals Committee.
The Appeals Committee may allow the appeal, dismiss the appeal or impose a lesser penalty.
There is no further right of appeal against the decision of the Appeals Committee.
An appeal against recorded oral warning or a written warning or dismissal must be made in writing to the Headteacher by the employee within 10 working days of receiving the written confirmation of the decision. The appeal should normally be heard within 15 working days of the receipt of the appeal unless an extension of time is agreed by both parties or it is not possible to convene a meeting with the Appeals Committee within that time.
The Director or his/her representative will attend as professional adviser at appeals against final written warnings and may attend appeals against written warnings by invitation of the Headteacher.
The procedure to be following at an appeal will be as detailed except in cases of sexual harassment where the procedure set out below will apply.
APPEALS PROCEDURE – SEXUAL HARASSMENT CASES
The School’s Sexual Harassment Policy provides for allegations of sexual harassment to be dealt with under this procedure. However, because the LA is sensitive to the difficulties faced by employees who have been sexually harassed, appeal hearings against disciplinary action for sexual harassment will not normally be considered by way of a de novo hearing. Instead there will be a review of the evidence presented at the original hearing. The appellant and Headteacher will be able to appear before the appeal body and make representations.
Should any new evidence come to light between the initial hearing and the appeal hearing, the Appeals Committee may allow that new evidence to be presented and may require the attendance of any witness (including the complainant) who gave evidence at the original hearing.
The Appeal Committee will have a professional adviser in attendance throughout the hearing. In cases of sexual harassment the Appeals Committee will contain both men and women governors.
At the appeal hearing the procedure set out previously will be followed except that no witnesses will be called other than where new evidence has arisen. In these circumstances witnesses will be called to deal only with the new evidence.
APPEALS PROCEDURE – DISMISSAL
The Headteacher will present the case for the School’s management to the Appeals Committee. The Appeals Committee will have a professional adviser present throughout the proceedings.
EXPENSES
The School will reimburse reasonable travel expenses and grant necessary time off with pay to employees who are appellants or witnesses at appeal hearings. This will also apply in disciplinary hearings.
RECORDS AND EXPIRY
A record of each formal warning will be put on the employee’s file. If there is no good reason to do otherwise, the formal warning will be destroyed by the Director following consultation with the Headteacher of the school on receipt of a written request from the employee after the expiry of the specified time.
Time Limits:
Recorded oral warning – six months from the date of the hearing.
First or subsequent written warning – 12 months from the date of the letter of confirmation.
Final written warning – two years from the date of the letter of confirmation.
There may however be occasions where an employee’s conduct is satisfactory throughout the period the warning is in force only to lapse very soon thereafter. Where a pattern emerges and there is evidence of abuse, the employee’s disciplinary record should be borne in mind in deciding how long any current warning should last.
Exceptionally, there may be circumstances where the misconduct is so serious – verging on gross misconduct – that it cannot realistically be disregarded for future disciplinary purposes. In such circumstances it should be made very clear that the final written warning can never be removed and that any recurrence will lead to dismissal.
ACTIONS AGAINST TRADE UNION OFFICIALS
Although the usual standards of discipline and work performance will apply to trade union stewards, no disciplinary action beyond an informal oral warning will be taken until the circumstances of the case have been discussed with a full-time official of the union concerned and with the Personnel Adviser. In cases of alleged gross misconduct against a recognised trade union steward and where a full-time official cannot be quickly contacted, the individual may be suspended on full pay until the full-time union official has been contacted.
KB/Governing Body – October 2007
To be reviewed October 2009
APPENDIX 1
DISCIPLINARY RULES AND GUIDANCE
INTRODUCTION
This document sets out standards of conduct required of and disciplinary rules applying to, all staff and the forms of misconduct in breach of those rules and standards which could lead to disciplinary action. It does not purport to define all the forms of misconduct or unacceptable work performance which could lead to such action.
The following specific rules, while not exhaustive, are to be observed by every employee:
The employee must:
Fulfil the duties specified in his/her contract of employment;
Maintain the highest standards of honesty and integrity and conduct;
Be helpful, efficient and civil;
If a full-time employee, devote the whole of his/her service to the School/County Council and not engage in any other business or take up any other appointment without the prior consent of the Governors and the Director.
The employee must not:
Put his/her private interests or those of relatives or friends before his/her duties to the School/Council nor use his/her position to further private interests, or put himself/herself in a position where his/her duty conflicts with such private interests;
Unless authorised by the School/County Council disclose any confidential information to an unauthorised person that he/she has acquired through his/her official position;
Engage in unauthorised employment during hours when contracted to work for the School/County Council or engage in any form of employment during off-duty hours which is detrimental to the interests of the School/County Council.
BREACHES OF RULES
Breaches of rules will make an employee liable to disciplinary action. The test of “reasonableness in the circumstances” will be applied. When a rule is broken, the Headteacher should ensure before any decisions on disciplinary action are taken that:
The employee could reasonably have been expected to know the rule;
The rule was consistently applied;
The circumstances of the case have been fully investigated and, where necessary, blame apportioned;
The employee has been given an opportunity to explain his/her actions in accordance with the disciplinary procedure, at a disciplinary interview or hearing;
Disciplinary action be fair in the circumstances and consistent with action taken against employees who have broken the same rule or other rules.
The disciplinary action that may be taken is specified in the School’s Statement of Disciplinary Procedure. In general, breaches may be divided between:
Those which involve ordinary misconduct or unacceptable work performance and
Gross misconduct.
ORDINARY MISCONDUCT AND UNACCEPTABLE WORK PERFORMANCE
Ordinary misconduct is misconduct of sufficient gravity to warrant disciplinary action but not serious enough to warrant dismissal without notice for a first offence. The warning procedure specified in the “Statement of Disciplinary Procedures” will be followed. This procedure will also be followed where the employee shows unacceptable work performance in executing the duties for which he/she was employed, though in such a case there is the need to consider whether there should have been training or supervision.
The following are examples of what will generally be regarded as ordinary misconduct where the warning procedures will be invoked but which may in extreme cases be treated as serious or gross misconduct.
Poor time-keeping, late attendance for duty or return to duty, taking excessive refreshment breaks or going off duty early without permission;
Unjustifiable absence from work or leaving the place of work without permission;
An act or omission at work prejudicing the health, safety or welfare of an employee, client, student or member of the public etc;
Insubordination;
Being an accessory to, or conniving at, a disciplinary offence;
Unacceptable personal hygiene at work;
Disregarding a rule or working procedure of the department or establishment;
Abuse of authority;
Unauthorised employment;
Improper disclosure of information;
Waste, loss or damage to School/County Council property through failure to take due care;
Unacceptable work performance;
Negligence or failure in performance of duties;
Failure to report any matter which it is a duty to report or make an entry in a document which it is a duty to make;
In breach of Staff Regulations;
Failure to comply with the Data Protection Act 1984 or the County Council’s policy on computer security standards;
Failure to comply with the School’s no smoking policy;
Undue influence through loans of money;
Unauthorised action on behalf of the School/County Council;
Public criticism through the media of the School’s/County Council’s decisions.
GROSS MISCONDUCT
Gross misconduct is misconduct of such gravity as to warrant immediate suspension, an investigation and, if proven, dismissal without notice. The following are examples which, depending on the circumstances, could constitute gross misconduct by an employee:
Being under the influence of drink or a drug during working hours to such a degree that he/she cannot efficiently perform his/her duties;
Failure to notify his/her supervisor of a prescribed course of drugs medically authorised which he/she is aware may affect his/her ability to perform his/her duties efficiently and/or safely;
Sleeping on duty, except when expressly permitted;
Neglecting his/her health by failing to carry out the instructions of a medical practitioner nominated by the County Council or whilst absent on sick leave conducting himself/herself in such a manner that his/her return to duty is retarded;
Theft of School and/or other County Council property, or of other property whilst on duty;
Contravention of a work or safety rule of a department or establishment, a breach of which is stated to carry the penalty of dismissal without notice;
An act or omission at work seriously endangering the health or safety of an employee, client, student or member of the public;
Conduct at work likely to grossly offend decency;
Deliberate discrimination, victimisation or harassment in the course of duty on grounds of sex, age, colour, race, marital status, nationality or other ethnic or national origin, disability, sexual orientation and religious background;
Deliberately making a false claim for financial reimbursement from the School and/or the County Council;
Deliberately falsifying a time sheet or work return to knowingly making any false, misleading or inaccurate statement with the intention of causing expenditure by or loss of income from the School and/or the County Council;
Destroying or mutilating any record of document or altering, erasing or adding to any entry in a document without sufficient cause;
Maliciously damaging or misappropriating School/County Council property, or property on loan to the School/County Council;
Neglect of duty which endangers life or limb;
Assault while on duty;
Without sufficient cause, wilfully disobeying or neglecting to carry out a lawful order;
Improperly using or attempting to use his/her official position for his/her own or another’s private advantage;
Committing an act outside working hours which is incompatible with his/her duties to the School/County Council or likely to bring discredit upon or lead to loss of confidence in the service in which he/she is employed;
Deliberately contravening the School’s/County Council’s Standing Orders on Contracts and Sub-Contracts or its Financial and Administrative Regulations;
Acceptance of gifts, favours, presentations and rewards other than modest gifts of a promotional character;
Sexual harassment;
Undisclosed self interest in School/County Council contracts.
