Disciplinary
Policy and Procedure
and Code of Conduct
Contents:
1.
Introduction and Application ..................................................................................... Page 3
2.
Responsibilities and Roles .................................................................................... Page 3/4
3.
Principles ............................................................................................................. Pages 4/6
4.
Informal Action – minor lapses in conduct ............................................................. Page 6/7
5.
Formal Action - Investigation and more Serious Misconduct or
Allegations of Misconduct ........................................................................................ Page 7
6.
Formal Action – Allegations of Gross Misconduct and Suspension from Duty .......... Page 8
7.
Formal Disciplinary Action and Warnings ............................................................ Page 9/10
8.
Right of Appeal ................................................................................................. Page 10/11
9.
Special Circumstances...................................................................................... Page 11/12





Grievances lodged during disciplinary action
Formal action against employee who is a trade union representative
Criminal charges or convictions
Financial irregularities
Safeguarding issues

Referral to ISA and other Professional Bodies
Flowchart – Overview of Managing Misconduct .............................................................. Page 13
Flowchart – How to Conduct a Disciplinary Hearing ........................................................ Page 14
Flowchart – Appeal Process............................................................................................ Page 15
Code of Conduct ........................................................................................................ Page 16/21
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Disciplinary Policy - Published 7/5/13
DISCIPLINARY POLICY
1.
Introduction and Application:
This document sets out the principles and procedures for managing misconduct in a fair and
equitable manner. The aim is to help employees achieve and maintain acceptable standards of
conduct. To support this aim the procedure takes account of best practice, legislative
requirements and guidance contained in the ACAS Code of Practice on Discipline and
Grievance Procedures. The Employee Code of Conduct also sets out examples of what
constitutes misconduct and gross misconduct.
These principles apply to all employees with the following exceptions:



Staff under probation
Agency workers and Casual workers
The Principal and centrally employed staff who are governed by the relevant Woodard
Academies Trust Policy.
The policy does not apply to redundancy as defined in the Employment Rights Act 1996.
2.
Responsibilities and Roles:
Whom
Responsibilities
Employee
Co-operate fully with the investigation and attend
investigatory meeting(s) as required
Act reasonably and do not cause unnecessary delay
Comply with all conditions of suspension if applicable
Attend disciplinary hearing and, if applicable, appeal hearing.
Manager or Principal
Take prompt informal action to address minor misconduct
Conduct a fair and reasonable investigation
Where an investigation has been commissioned, oversee and
monitor progress ensuring no unnecessary delay
Seek advice from Human Resources as appropriate
If a formal investigation is undertaken, produce an
Investigation Report which will include all the findings and
evidence referred to
On conclusion of the investigation decide what further action,
if any, is justified
Where allegation constitutes gross misconduct refer to
Principal for decision to be taken regarding suspension from
duty
Review suspension of employees on a regular basis and
maintain regular contact
Check availability of Chair/HR for hearing and book venue
Invite employee to hearing, providing details of allegations,
evidence to be presented, witnesses (where appropriate) to
be called and their right to be accompanied
Arrange for management witnesses to attend hearing and for
release of witnesses for employee (where appropriate)
Present evidence at hearing and answer questions from Chair
and employee or employee’s companion/representative
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Disciplinary Policy - Published 7/5/13
Commission Human Resources to attend Hearing, if required,
where potential outcome may be dismissal or where there are
complex issues involved
Attend appeal hearings where required.
Chair of Hearing or
Principal
Conduct a fair hearing, ensuring there has been a thorough
investigation, that the employee is provided with the
opportunity to respond and that the outcome is reasonable in
view of all the circumstances
Arrange for a note taker to be present where required
Inform employee of outcome of hearing in writing and confirm
right of appeal and copy HR into decision letter.
Human Resources
Advise the Chair/Principal/Manager/Investigator on the
application of the principles to ensure a fair, reasonable and
equitable approach
Attend hearings where commissioned by the Chair/Principal
to advise on the management case or advise the Academy
Council Member panel where the potential outcome may be
dismissal or the issues involved are complex.
Roles:
Level of
procedure
Type
Investigation
Disciplinary
Hearing
Appeal Hearing
Informal
Minor lapses in
conduct or
behaviour
Line manager to
investigate and
resolve
N/A
N/A
Formal
More serious
misconduct or
allegations of
misconduct
Investigation by
appointed
investigator
Principal
Panel of 2
Academy
Council
Members plus
HR if requested
Formal
Gross
misconduct or
repeated
misconduct
where dismissal
is possible
Investigation by
appointed
investigator
Principal plus HR
Panel of 3
Academy
Council
Members plus
HR if requested
3.
Principles:
The procedure will apply to all matters relating to:





Conduct and behaviour in the workplace;
Breaches of Academy policy such as the Code of Conduct and other rules and
standards;
Activities and behaviour outside the workplace which may bring the reputation of the
Academy into disrepute or create a situation where the employee is unable to fulfil the
requirements of their contract;
Allegations of misconduct arising from action under other Academy policies and
procedures such as the Grievance Policy;
Inappropriate conduct towards students.
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Disciplinary Policy - Published 7/5/13
Separate procedures exist for dealing with the management of unsatisfactory performance,
sickness absence and medical capability. Where in the course of investigating an incident of
alleged misconduct it transpires that it is an issue of medical capability or unsatisfactory
performance rather than misconduct, the matter should be referred for action under the relevant
procedure. The same manager dealing with the misconduct under the Disciplinary Procedure
will normally deal with the relevant capability or medical capability procedures.
The procedure is designed to help establish the facts of a case quickly and to deal consistently
with disciplinary issues. No formal disciplinary action should be taken until the matter has been
investigated and employees will be given the opportunity to state their case before decisions are
reached.
Managers have the authority to initiate the procedure at any level depending on the specific
circumstances of the case, and the application of their judgement (when considering whether
informal or formal action is appropriate however, no matter how brief, an investigation must take
place prior to a formal disciplinary hearing).
The employee will have access to any evidence that the presenting manager wishes to rely on
at the formal hearing, through witnesses or documentary evidence. They should also be issued
with a copy of the policy/procedure.
Minor instances of misconduct and poor practice should initially be dealt with in an informal way
by the line manager where possible e.g. counselling, training, and setting clear standards for
improvement. This could be in the form of management instructions or advice, which should
include confirmation of appropriate and expected standards. It should be stressed that such
action does not form part of the formal disciplinary procedure, although it may be made clear to
the employee that formal action might be taken on recurrence of the conduct in question.
Principals are expected to take all disciplinary decisions against staff, including dismissal.
Appeals against any formal disciplinary sanction imposed by the Principal, including dismissal,
should be heard by an Academy Council Member appeal panel. The panel should be
compromised of a minimum of 2 Academy Council Members.
An employee will not be summarily dismissed (that is without notice) except in cases of a finding
of gross misconduct. If an employee is dismissed for some other misconduct, such a dismissal
will be with notice.
Employees have the right to appeal against any formal disciplinary sanction imposed. There is,
however, no right of appeal against any informal action taken by a manager.
The following principles will also apply:

All proceedings, whether informal or formal, will, so far as is practicable, remain
confidential. The employee is also expected to abide by this principle and not discuss
the details with other employees, anyone outside the academy and, in particular, with
students.

Where allegations constitute gross misconduct employees may be suspended on normal
contractual pay. The decision to suspend will be taken by the Principal after taking
advice from the Woodard Academies Trust (WAT).

Employees have the right to be accompanied at formal stages by a ‘companion’ who is
his/her trade union representative or a work colleague. Where the choice of the
companion presents a conflict of interest to the Academy the Principal/Chair reserves
the right to request an alternative companion.
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Disciplinary Policy - Published 7/5/13

Although there is no statutory right for an employee to be accompanied at any
investigatory meeting, this will be permitted where it does not cause unnecessary delay
to the investigation.

Reasonable adjustments will be considered for employees with a disability, for example,
location of hearing and choice of companion where assistance is required.

No unnecessary delay should occur during the investigation or formal stages. The
Academy will attempt to reschedule the hearing, normally on one occasion, in the event
of failure to attend or when the companion is not available. The employee may propose
a reasonable alternative date that is within 7 calendar days of the original date. In the
event of a further failure to attend, the Academy reserves the right to hold the hearing in
the employee’s absence and reach any conclusion it deems appropriate after
considering the evidence available. In exceptional circumstances, depending on the
nature of the offence, the hearing will proceed on the first arranged date.

If non-attendance is due to a serious medical reason, the employee must inform the
Principal or relevant manager as soon as possible. Written confirmation together with a
medical certificate must be submitted which cover the relevant dates.

Reference to Human Resources is recommended where formal action is to be taken. HR
can attend any disciplinary hearing where the potential outcome is dismissal. The Chair
of a hearing may commission HR to attend any hearing where it is considered that HR
support is required for complex issues whether the potential outcome is dismissal or not.
The outcome of a disciplinary hearing will be notified to Human Resources for recording
and monitoring purposes.

Any disciplinary action imposed will be proportionate to the severity of the offence and
be applied consistently. There must be a reasonably held belief that the employee
committed the act in question.

Where the investigation has not been able to clearly establish the facts or issues, a
decision may be taken on the ‘balance of probabilities’.

No employee will be dismissed for a first breach of discipline, expect in cases of gross
misconduct.
The disciplinary hearing will be conducted in accordance with the arrangements set out in the
Flowchart on page 14.
4.
Informal Action - minor lapses in conduct
Minor lapses in conduct or behaviour will be managed informally, normally by discussion
between the manager and employee and through management guidance, advice or instruction,
counselling and/or training for example. The employee should be told what standards are
expected, how this will be reviewed and over what time period. The employee has no right to
be accompanied by a companion at informal discussions.
The manager should inform the employee of the consequences of further lapses or of no
improvement. Notes of the discussion should be taken and retained in case of need. There is
no requirement to confirm the discussion in writing to the individual as this may constitute formal
action. If no improvement in conduct or behaviour occurs, formal disciplinary action should be
taken.
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Disciplinary Policy - Published 7/5/13
If during an informal meeting it becomes clear that the matter is more serious than first thought,
the meeting can be adjourned by the employee or the manager and a decision made as to
whether formal action should be taken. Managers should speak to their Principal for further
advice at this stage. The employee should be kept informed of any decisions and advised of any
timescales.
Any informal action of a related nature can be referred to if the matter is subsequently referred
for formal action under this Procedure.
5.
Formal Action - Investigation and more Serious Misconduct or
Allegations of Misconduct
Where more serious misconduct occurs or allegations of misconduct are made, an investigation
must take place to establish the facts.
Investigating officers will be drawn from the Academy management team and will not have had
prior involvement in the case. There will however be exceptional circumstances where it may be
necessary to appoint an independent investigating officer. This may be where there are no
members of the Academy management team who have not had prior involvement in the matter
or where specialist knowledge is required (money laundering allegations for example).
Managers are required to arrange for the following:



Undertake investigations, prepare reports and draft allegations.
Ensure that all relevant paperwork and full details of the allegations and witnesses are
supplied to the employee;
Make arrangements for administering the process including arranging for notes to be taken
and written up.
On conclusion of the investigation, identify whether there is justification to take the case to a
disciplinary hearing. If it is justified, the formal disciplinary process should be followed.
Managers should contact Human Resources for guidance on how to conduct an investigation.
Note: The vast majority of Employment Tribunals that result in a successful challenge are
because of the inadequacy of the investigation, so it is important that this is conducted
thoroughly and fairly.
Sensitive Allegations - notwithstanding the general obligation on the Academy to act promptly,
there will sometimes be over-riding reasons to delay the commencement of disciplinary action.
For example, where there are allegations of abuse against children/students (whether or not in
the course of employment), the needs of the child might have to be addressed and investigated
as a priority before disciplinary action is commenced. Procedures for dealing with allegations of
child abuse by Academy based staff are available separately. Advice should be sought from the
Local Authority Designated Officer for Child Protection to assess whether the allegation meets
the threshold of significant harm. If so a child protection strategy meeting will normally be
convened. HR may be involved and invited to attend strategy meetings where appropriate.
There may also be specific legislation (for example regarding money laundering or terrorism),
which prevents the Academy notifying the employee of the alleged misconduct or there may be
a criminal investigation in progress which will require liaison with the police (see also section 6).
In such cases, the delay between the date of the alleged misconduct and the date of the
eventual commencement of disciplinary action will not be a reason for the Academy to forego
disciplinary action.
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Disciplinary Policy - Published 7/5/13
6.
Formal Action - allegations of Gross Misconduct and
Suspension from Duty
Where allegations constitute gross misconduct the manager should refer the matter to the
Principal for consideration to be given to suspending the employee from duty.
Suspension is a neutral act and should not be used as a punishment. An employee who is
suspended pending a disciplinary investigation will be suspended on full contractual pay. “Full
contractual pay” means basic salary, contractual overtime and any contractual allowances but
does not include voluntary overtime.
All suspensions must be reviewed by the Principal after 20 working days. Thereafter, a suspension
must be reviewed every 20 working days and a written explanation provided for the continuation of
the suspension, if the employee (or their union representative) requests it. The Principal must act
promptly to lift the suspension if it becomes clear that there is no longer a justification for
suspension (whether or not the disciplinary action is to continue).
Employees who are suspended will not be permitted to enter the Academy site except by prior
agreement with the Principal. They must also not contact work colleagues during working hours by
any means or for any reason, unless they have express written permission from the Academy to do
so. Employees must make themselves available as required during normal working hours and
comply with the academy’s policies and procedures, e.g. sickness and annual leave arrangements.
Gross Misconduct - gross misconduct is defined as misconduct of such a serious nature that
the Academy is justified in no longer tolerating the employee's continued presence at work or
where by their actions, the employee has breached their contract of employment. Where the
allegation is considered to potentially be gross misconduct, then this may result in the
employee's immediate suspension from work. If the allegation(s) are proven, then this could
result in summary dismissal without notice.
Other Misconduct - there is also other misconduct, which might be serious enough to merit
dismissal where the Chair decides that no lesser sanction would be sufficient. Misconduct of a
serious or repeated minor nature may result in the issuing of a written or final written warning.
Examples include: inappropriate behaviour e.g. hostility or rudeness, failure to comply with
reasonable management instruction or attendance or time-keeping requirements.
Cumulative or repeated acts of misconduct may lead to dismissal with notice in situations where
an act of misconduct is committed whilst an earlier warning is still in force.
Criminal Offences - Sometimes an allegation about conduct at work or related to work, leads to
criminal action against an employee, and/or an investigation by the police, or an external
agency. In these circumstances the Academy is not obliged to await the final outcome of the
criminal proceedings or of the external investigation, but are strongly advised to consult with the
police before beginning disciplinary action. The Academy may conduct its own investigation and
take its own disciplinary action. The Academy may however choose to await the final outcome
of the criminal proceedings or of the external investigation before commencing its own
disciplinary action. In such cases, the delay between the date of the alleged misconduct and
the date of the commencement of disciplinary action will not be a reason for the Academy to
forego disciplinary action.
Examples of misconduct or gross misconduct are contained in the Code of Conduct – although
this is not an exhaustive list.
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Disciplinary Policy - Published 7/5/13
7.
Formal Disciplinary Action and warnings
Where formal disciplinary action is to be taken there are several stages to be followed (see flow
charts on pages 13-15):
1. Investigation into facts/evidence/documents which will include a meeting with the
employee and any potential witnesses (see also section 5).
2. Creation of a Report based on the findings of the investigation with a recommendation
as to whether the matters should be considered at a Disciplinary Hearing.
3. If the matter is referred to a Hearing, a letter should be sent inviting the employee to a
Disciplinary Hearing giving 7 calendar days notice. They should be advised of their right
to be accompanied by a union representative or work colleague
4. The employee is entitled to request for the attendance of their own witnesses at the
hearing.
5. The employee must submit any mitigating evidence/documents that they want to be
considered by the Panel at least 3 working days before the hearing.
6. The Disciplinary Hearing process itself – see flowchart on page 14 for details.
7. Right of Appeal and process – see flowchart on page 15.
Potential outcomes from the disciplinary hearing are:
a)
No disciplinary action to be taken - In which case all correspondence relating to the
hearing should be removed from the individual's personal file. The only exception being
cases where there are allegations involving children/students in which case the
paperwork will be retained at least until the person reaches normal retirement age or for
a period of 10 years from the date of the allegation if that is longer (in accordance with
DfE guidance). A copy of the investigation itself will be retained by the Principal.
b)
First written warning - for a first offence, employees may be given a written warning
setting out the nature of the misconduct and the change in behaviour required. A record
of the warning should be kept in the personnel file, but it should be disregarded for
disciplinary purposes after 12 months. The warning should also inform the employee that
a final written warning may be considered if there is any further misconduct.
c)
Final written warning - if the employee has a current warning for misconduct further
misconduct may warrant a final written warning. This may also be the case where first
offence misconduct is sufficiently serious, but would not justify a dismissal. A record of
the warning should be kept in the personnel file, but it should be disregarded for
disciplinary purposes after 24 months. The warning should also inform the employee that
further misconduct may lead to dismissal.
d)
Demotion and/or Transfer (as an Alternative to Dismissal) to a Similar or Lower
Graded Post - a transfer may be considered appropriate in circumstances where it
would not be appropriate to allow the employee to return to their former work area. In
cases of gross misconduct this would only be appropriate if there is substantial
mitigation. A transfer would normally be accompanied by a written warning. Before
reaching such a decision, the Principal or disciplinary panel must be content that there is
a suitable vacancy into which the employee can transfer. Payment would be made at the
grade or pay rate applicable to the new job and not the rate applicable to the employee's
current job. If the employee refuses to accept the new employment then the original
dismissal will stand. An employee’s refusal to accept such an offer will result in
dismissal. If gross misconduct is found then dismissal will be without notice and in all
other cases, dismissal with notice.
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Disciplinary Policy - Published 7/5/13
e)
Dismissal with contractual notice - if the employee has received a final written
warning further misconduct may warrant dismissal. The last day of service should be
specified.
f)
Dismissal without notice – where the offence constitutes gross misconduct, the
employee may be dismissed without notice. This includes first offences that constitute
gross misconduct. The last day of service (which will be the date that the notification of
the decision to dismiss is received by the employee) should be specified.
Live Warnings - warnings will cease to be “live” following the specified period of satisfactory
conduct. The following time periods shall apply to formal warnings and in the event that an
employee leaves the Academy, it will expire after the same time period:


Formal written warnings will be disregarded after 12 months of satisfactory conduct:
Formal final written warnings will be disregarded after 24 months of satisfactory conduct.
In all cases where a formal written warning is given to an employee, the employee will be
notified in writing of the period over which the warning will be regarded as “live”. A spent
warning should be disregarded for the purpose of future disciplinary proceedings.
For other managerial purposes such as references, a spent warning would also remain
disregarded unless the warning involved issues related to the safety and welfare of children or
young people.
8.
Right of Appeal
Employees have the right to appeal against the decision taken following a disciplinary hearing.
If an employee appeals s/he should have valid reasons for doing so and be able to provide
evidence that substantiates the grounds for the appeal. There are three different grounds for
appeal – the principles/procedure, the facts or evidence, or the sanction imposed.



the principles or procedure were not followed or the investigation was not conducted
fairly – the employee must be able to demonstrate this and provide evidence to
substantiate why it was unfair – it is not enough to just state that ‘it was unfair’;
the facts of the case were flawed or new evidence directly relating to the disciplinary
hearing has since come to light;
the sanction imposed was too severe for the offence committed – again, justification
would be required from the appellant to evidence and support this appeal route.
The appeal letter stating the grounds of appeal should be submitted to the Principal or Clerk to
the Academy Council Members (as appropriate) within 7 calendar days of receiving the written
disciplinary outcome decision.
A panel comprising of 2 or more Academy Council Members and a Senior Human Resources
representative will hear the appeal. The Chair of the appeals panel will confirm the decision in
writing, ideally within 7 calendar days of the conclusion of the appeal hearing.
Possible outcomes of Appeal Hearing considering appeals against a warning:
i)
ii)
iii)
A decision to uphold the employees appeal and either revoke the decision
completely or impose a lesser sanction;
Dismiss the appeal and confirm decision to issue warning;
If evidence arises during the appeal which indicates that the offence was more
serious than originally judged, the appeal should be terminated and a new
investigation or disciplinary hearing convened as appropriate.
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Disciplinary Policy - Published 7/5/13
The decision of the appeal panel will be final.
Possible outcomes of an Appeal Hearing considering appeals against demotion or
dismissal are:
i)
ii)
iii)
iv)
v)
An adjournment to allow for additional evidence and/or witnesses and/or
information to be made available;
A decision to uphold the employee’s appeal and either revoke the decision
completely or impose a lesser sanction;
To make any other appropriate recommendation;
Any combination of the above or;
To dismiss the appeal and confirm the relegation/dismissal.
The appeal panel will not, however, be empowered to impose a more severe penalty
that that imposed at the original disciplinary hearing.
The decision of the appeal panel will be final
9.
Special Circumstances
Grievances lodged during disciplinary action
If a formal grievance is received during disciplinary action an assessment should be made as to
whether the complaint will impact on the action being taken. Where it is considered the
grievance will not have an impact or change the outcome, the disciplinary action should
continue and the grievance managed concurrently in accordance with the Grievance Policy.
If the grievance has highlighted valid points which need to be considered before further
disciplinary action is taken the grievance should be managed in accordance with the Grievance
Policy before taking any further disciplinary action.
The decision regarding whether the grievance does or does not impact on the action being
taken rests solely with the manager, unless the grievance is against him / her. If the grievance
relates to the manager, the next level of management will decide whether the grievance does or
does not have an impact on the course of action being taken.
Formal action against employee who is a trade union representative - the branch secretary
of the relevant trade union should be informed if formal action is being taken against an
employee who is also a trade union representative.
Criminal charges or convictions - where an employee has been charged with or convicted of
a criminal offence an investigation into the facts, as far as is possible, should be carried out and
a view taken as to whether the employee’s conduct damages public confidence in the Academy,
brings the Academy’s reputation into disrepute or makes the employee unsuitable to carry out
their role.
If the conduct warrants disciplinary action it is not necessary to await the outcome of any
prosecution before taking fair and reasonable action. However, liaison with the police is
necessary in order to ensure that use of evidence in the internal disciplinary hearing does not
impact adversely on the police investigation. The police should not be present at any internal
investigatory meeting or disciplinary hearing.
Where the nature of the offence may not justify disciplinary action but the employee is not
available for work and unable to co-operate with the investigation due to being in custody or on
remand, the manager must consider the impact on the service and may take formal disciplinary
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Disciplinary Policy - Published 7/5/13
action on the basis the employee is not available for work. The disciplinary decision will be
taken on the information that is available.
Financial irregularities - where the alleged misconduct relates to financial irregularities the
matter must be referred to WAT’s Finance Director and HR Director.
Safeguarding issues - where the alleged misconduct relates to safeguarding issues the
manager must ensure they also comply with the Academy’s Safeguarding Policies and advise
the WAT HR Director.
Referrals to ISA Barred Lists and Professional Bodies - the Academy adheres to all
procedures in relation to misconduct referrals to the relevant barred lists held by the
Independent Safeguarding Authority and, where relevant, to other relevant professional bodies.
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Disciplinary Policy - Published 7/5/13
Overview of Managing Misconduct
START
Minor
incidents of
Misconduct
Incidents of more Serious
Misconduct, repeated
Misconduct or Gross
Misconduct
Take formal action:




Discuss
with the
individual


Conduct
improved /
issue
resolved?





No penalty
First written
warning
Final written
warning
Dismissal
Other sanction
Provide employee
with opportunity to
appeal
No
No
Yes
No further
action
required –
continue to
monitor
behaviour /
conduct
Investigate
Invitation to
hearing (7
calendar days’
notice)
Hold hearing
Right of employee
to be accompanied
Allow employee to
present mitigation
Decide action
Inform employee of
outcome of
disciplinary hearing:
Yes
Page 13 of 21
Outcome of
Appeal Hearing:
Conduct
improved /
issue
resolved?
Appeal upheld:
 Withdrawal of
Penalty or
Warning –
continue to
monitor
behaviour /
conduct
Disciplinary Policy - Published 7/5/13
Appeal Dismissed:
 Employee
dismissed or
 Sanction upheld
Disciplinary Hearing - Flowchart
START
The Chair ensures introductions are made and explains how the hearing will be conducted.
The Chair may ask questions at any time.
The Manager or Principal presents their case including calling witnesses, where appropriate.
The employee and their union representative may ask questions of management’s case
and their witnesses.
The Chair, Panel and HR Advisor may ask questions of management’s case.
The employee or their union representative presents their case in response including calling
witnesses, where appropriate.
The Manager or Principal may ask questions of the employee’s case.
The Chair, Panel and HR Advisor may ask questions of the employee’s case.
The Manager or Principal summarises their case without introducing new evidence.
The employee or their union representative summarises their response without introducing new
evidence.
.
The Chair adjourns the hearing to allow the Panel to consider the evidence and make a
decision.
The Chair may recall the parties and confirm the outcome verbally,
followed-up in writing, ideally within 7 calendar days.
Alternatively, the Chair will confirm the outcome in writing ideally within 7 calendar days.
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Disciplinary Policy - Published 7/5/13
Appeal Process Flow Chart
START
The Chair of the appeal panel ensures introductions are made and explains how the appeal
hearing will be conducted. The Chair may ask questions at any time.
Grounds for
appeal: Accept
allegation but
not the
severity of the
penalty.
Appeal would be
review of
disciplinary
outcome.
Employee or their
representative
presents mitigation.
Chair of
disciplinary
hearing presents
rationale for
sanction.
The Chair of appeal
hearing adjourns the
hearing and the panel
consider the evidence
and makes a decision.
Grounds for
appeal:
Evidence
flawed or new
evidence.
Appeal would examine
the flawed or new
evidence and determine
whether this would have
affected the outcome and
sanction given or not.
Both parties present
evidence, calling
witnesses where
necessary and may ask
questions of the other
party. The employee will
present first as they are
appealing the outcome.
Both parties summarise
their case.
The Chair of the appeal
panel adjourns the
hearing and the panel
consider the evidence
and makes a decision.
Grounds for appeal:
Principles or
procedure not
followed or
investigation not
conducted fairly.
Appeal would give
consideration to
only those specific
issues in dispute.
Both parties present
evidence including
calling witnesses where
necessary and may ask
questions of the other
party. The employee will
present first as they are
appealing the outcome.
Both parties summarise
their case.
The Chair of the
appeal panel
adjourns the
hearing and the
panel consider the
evidence and
makes a decision.
Note: If the appeal is being held based on the severity of the sanction the chair of the
disciplinary hearing should present the case. However if the appeal is being held for any
other reason then the presenting manager (who presented the original case) should also
be available to present and ask/be asked questions where necessary.
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Disciplinary Policy - Published 7/5/13
CODE OF CONDUCT
High standards of professional conduct are particularly important in educational establishments
and the image and ethos of an academy have a vital effect on the success of its activities. The
duty of care towards children and students imposes particular demands on staff in educational
establishments to conduct themselves in a proper manner observing the health, safety and
welfare of others at all times. It is therefore important that all employees observe the standards
of conduct that students, parents and the public are entitled to expect.
Any member of academy staff who breaches the Code described in this document will be liable
to disciplinary action. The nature of action taken in any case will depend on:
(a)
(b)
(c)
(d)
The seriousness and nature of the breach;
The employee’s previous record;
Mitigating circumstances;
In some cases, the nature of the post.
Some breaches of the Code will be treated as gross misconduct and in such cases dismissal
(without notice) may be the appropriate form of disciplinary action. Gross misconduct is conduct
or behaviour of such a nature that the academy is justified in no longer tolerating the continued
presence of the employee who commits such an offence. Gross misconduct can include acts
committed outside working hours (as long as it has a direct and fundamental impact on the
suitability of an employee to work in the academy), as well as those committed at work.
Any allegations must be investigated thoroughly before any decision is taken to proceed
to formal disciplinary action.
The sorts of breaches of conduct which could be deemed gross misconduct and lead to
summary dismissal are:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
unauthorised removal or misuse of academy property
dishonesty or falsification of expenses/pay claims/exam results/other records
theft and/or fraud
acceptance of bribes
physical assault, including corporal punishment and child abuse
sexual offences, including improper relationships with students
improperly using one's position for personal or financial gain
incapability due to drunkenness or drug abuse at work
intentionally endangering the health and safety of staff or students
serious negligence that causes or might cause unacceptable loss, damage or injury;
bringing the reputation of the Academy into disrepute, for example by entering into
deliberate discussions with newspapers about Academy or employment matters, or
the disclosure of confidential information to public sources or inappropriate
comments on social media
(12)
(13) unlawful discrimination or harassment of staff or students
(14) serious breach of confidentiality such as sharing confidential staff or pupil
information without permission
(15) serious insubordination, i.e. a persistent refusal to follow reasonable management
instructions or processes
(16) serious failure to comply with or operate the academy’s information systems and
security standards, such as gaining unauthorised access to passwords and
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breaches of the social network/email/internet/ICT policy or procedures
(17) serious breach of financial regulations or procedures
(18) committing a civil or criminal offence at or away from work that renders the
employee unsuitable to remain in the academy’s employment.
The sorts of breaches of conduct which are likely to be deemed misconduct and can lead
to disciplinary action (or dismissal where the misconduct is repeated) are:
(1)
(2)
(3)
(4)
(5)
Attendance and Time-keeping
 Failure to comply with attendance and time-keeping requirements;
 Failure to follow procedures for booking and returning from leave;
 Persistent absence and/or excessive absence without a valid medical reason.
Telecommunications related issues
 Abuse of telephone, fax, e-mail or Internet for personal reasons;
 Inappropriate use of e-mail or Internet;
 Recording conversations or meetings without having been given permission by
the employee/manager concerned.
Behaviour
 Failure to follow a reasonable management instruction or engage in reasonable
procedural/policy processes;
 Prolonged time-wasting;
 Breaches of the E-Safety Policy
 Inappropriate behaviour towards a colleague, manager, student or a person in
the care or charge of the academy, parent or member of the public.
Poor Working Practices
 Failure to maintain proper records;
 Failure to follow academy procedures e.g. financial regulations, safety standards.
Malicious complaints/grievances made against another employee or manager
This list is neither exclusive nor exhaustive. Ignorance of the Code of Conduct will not be
accepted as a mitigating circumstance.
CODE OF CONDUCT
1.
General Conduct
1.1
You will be expected to comply with reasonable management instructions, and to
observe and follow any operational regulations, policies and procedures of the Academy.
This includes observing all procedural and statutory requirements, e.g. in the provision of
advice and information; in appointing staff; in complying with health and safety rules; in
the use of public funds.
1.2
You will be expected to treat colleagues or members of the public with respect and not to
misuse your authority.
1.3
You must not behave in a manner likely to cause offence to students, parents, staff,
Academy Council Members or members of the public or behave in a manner likely to
offend decency.
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1.4
You must not fight with or physically assault colleagues or managers or clients or
members of the public. Nor must you mistreat persons in the care of the Academy. If
you are physically assaulted by a member of the public, you are permitted only to defend
yourself from the attack.
1.5
Under no circumstances should you make physical contact with a child or student which
could be interpreted as corporal punishment, i.e. "any intentional application of force as
punishment... this includes...forms of physical chastisement, e.g. slapping, throwing
missiles and rough handling." (Education [No. 2] Act 1986 section 47[2]).
Unnecessary use of force in dealing with a child/student, e.g. in restraining them, may
also be unlawful and staff should follow the Academy’s advice on handling of students.
1.6
In any context involving a member of staff and a student, with whom they are required to
have a professional relationship, any kind of sexual contact or outside/intimate friendship
is unacceptable and would be deemed to be gross misconduct (if the student is under
the age of 18).
1.7
You should not drink alcohol during working hours or when responsible for students.
You should not present yourself at work under the influence of alcohol or drugs such that
your performance is diminished or otherwise unacceptable. This includes committing a
drink or drug offence which could endanger anyone's safety or diminish confidence in
your suitability for continued employment.
1.8
You must be honest in completion of all claim forms, expenses etc.
1.9
You must be aware that to accept a gift or gratuity from anyone who deals with the
Academy can place you in a compromising position. Where a personal service is
provided, you can accept a small personal gift of token value, where to refuse would
impair your relationship with the person concerned. However, all gifts (not cards or
thank you letters) must be reported to the Principal to enable her/him to enter it into the
hospitality register. If the gift is substantial, you should politely refuse and explain that
you are not permitted to accept a personal gift. If you are in any doubt, you must discuss
the matter with your manager. This does not apply to donations which benefit the
Academy, e.g. library books.
1.10
The receipt of hospitality, as with gifts or gratuities can potentially place you in a
compromising position. Hospitality can be accepted when it is reasonably incidental to
the occasion and not extravagant. If you are offered hospitality you should ask yourself
the question “if I accept this hospitality, could I be open to the suggestion that I was
being improperly influenced?” Principals and senior staff in Academies should be aware
of this if they are responsible for entering into contracts, e.g. with employment agencies.
1.11
You must not solicit gifts, gratuities or bribes, nor must you accept bribes. If anyone
attempts to bribe you, you must report this immediately to your manager or Principal.
1.12
You must not knowingly place yourself under an obligation to anyone where to do so
may compromise you (or might be seen by others to compromise you) in the correct
performance of your duties.
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1.13
Your off duty hours are your personal concern, but you should not put yourself in a
position where duty and private interests conflict, or undertake any private work which
conflicts with, or in any way weakens public confidence in the conduct of the Academy’s
business. Where an employee is pursuing work for another organisation, e.g. OFSTED,
in normal working hours, this must be with the approval of the Principal, or in the case of
the Principal, with the approval of WAT and all income (excluding expenses) in respect
of this employment shall be passed on to WAT by the employee. Where there is any
doubt as to the implications of any private work or additional employment, the matter
should be discussed with the Principal or Academies Chief Officer/HR (as appropriate)
and permission sought before commencing employment. If you decide to take up
additional employment/business outside of your contractual hours, no outside work of
any sort should be undertaken in the Academy workplace and use of facilities such as
telephones, photocopiers etc. for private use is not permitted.
2.
Absences and timekeeping
2.1
You must attend work when required and not absent yourself without permission and/or
knowledge of your Principal/manager.
You should notify the Principal or your manager of any unplanned absence from work
and reason for the absence in good time before the start of the working day on the first
day of absence, unless it is not reasonably practicable to do so. If the Academy has a
different protocol for advising of absences, it must be followed.
You must not display poor or bad timekeeping, including lateness for classes.
You should comply with the academy’s leave of absence and sickness reporting
procedures.
2.2
2.3
2.4
3.
Misuse of WAT materials/equipment/property/resources
3.1
3.5
You must not steal, misuse or misappropriate Academy materials or equipment or
property of students or staff.
You must not maliciously damage Academy property or cause waste or loss of or
damage to property through neglect.
You must not use any Academy facilities for private purposes without the express
consent of the Principal.
Private telephone calls outside the local area may not be made at the academy's
expense. Reasonable use of the telephone for urgent local personal calls is permitted
but this should be kept to an absolute minimum.
Misuse of the internet to look at websites containing illegal or unsuitable material.
4.
Neglect of duty/unprofessional conduct
4.1
You are required to comply with all obligations in accordance with a statute or your
contract of employment, including observing standards and requirements for student
examinations and testing.
You must not be negligent or willfully produce inadequate standards of work.
You must maintain the accepted standards of the profession.
Your conduct outside work must not conflict with your official conduct at work.
You must always comply with the Academy’s financial regulations.
You must not defraud the Academy in any way, e.g. fraudulent claims for
3.2
3.3
3.4
4.2
4.3
4.4
4.5
4.6
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4.7
expenses/resources
You must not engage in fraudulent activities outside of work that may bring the Academy
into disrepute.
5.
Misuse/falsification of information
5.1
You must not supply false or inaccurate information in support of an application for a
post with the Academy and you must disclose any known relationship with an Academy
Council Member or senior officer of the WAT.
You are required not to make false and/or misleading statements, whether orally or in
writing, in respect of official business.
You must not disclose official business to the press or media unless authorised to do so.
You must report any matter where you are required to do so.
You must not destroy, remove or willfully damage any document that is still required by
the Academy or WAT.
You should not make covert recordings of work meetings of any type.
You must not disclose confidential information and/or documents relating to the business
of the Academy, its employees, your own confidential employment matters, or
information relating to any member of the public with whom the Academy has dealings,
unless authorised to do so. (The only exception to this rule may be in situations where
there was suspected malpractice and individuals should refer to the Whistleblowing
Policy for guidance.)
You should observe confidentiality in respect of any discussions with other staff about
their professional problems and difficulties and not misuse confidential information about
students or families. (Staff must use their professional judgement regarding the
confidentiality of information, bearing in mind the requirements of the law [Data
Protection Act 1998] and the best interests of students).
Adverse criticism of colleagues (including comments about the conduct, competence or
efficiency of other teaching or non-teaching staff) in the presence of third parties,
including students or via social networking is unacceptable except in the context of
agreed procedures.
Improper use of an official position for private gain or the private gain of some other
person.
5.2
5.3
5.4
5.5
5.6
5.7
5.8
5.9
5.10
6.
Discrimination
6.1
Failure to comply or act in accordance with the Academy’s equal opportunities policy or
procedures is unacceptable, which means you must not discriminate against or show
unfairness, bias or prejudice towards any person because of their race, culture, ethnicity,
religion, gender, sexuality, age, marital status, or disability.
Discrimination against an employee of the WAT or a student or member of the public on
grounds of sex, sexuality, age, disability, race, colour, creed, nationality, ethnic origin or
religion is unlawful and any employee who is found to have discriminated unlawfully will
be liable to disciplinary action.
6.2
7.
Criminal conduct
7.1
You must not commit a criminal offence at work.
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7.2
7.3
If you commit a criminal offence outside working hours, this may have an impact on your
work. The Academy will consider the nature of the offence, the duties of your post and
damage to the reputation and integrity of the Academy/WAT.
You must disclose all police cautions or convictions for a criminal offence (unless under
the terms of the Rehabilitation of Offenders Act 1974 the conviction is 'spent') and your
post is not exempt from these provisions. This includes any cautions, convictions or
bind-overs you acquire whilst working for the Academy which you must report
immediately to the Principal.
8.
Health and safety
8.1
At all times you must conduct yourself in such a way that you do not create a potential
risk or injury or danger to yourself or anyone else.
You must comply with the procedure for reporting an accident or incident. If you are
uncertain about what to do, you should seek the advice of your manager.
Where there are specific health and safety rules made known to you, you must comply
with them at all times, including fire regulations.
You must maintain general hygiene standards.
Where safety clothing or equipment is necessary to carry out a particular task, you must
use this at all times in carrying out this task.
You must comply with any local regulations regarding smoking in the workplace.
You must only carry out activities which have a potential risk to health if you are
competent and authorised to do so.
8.2
8.3
8.4
8.5
8.6
8.7
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