Employment Policy Manual:
E-ACT approval (Education & Personnel Committee): September 2015
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Employment Policy Manual
Please note: This manual is intended to be an electronic resource on Insight
This policy manual was reviewed by E-ACT
on/by:
This policy manual was issued to Local Governors
on:
Date: September 2015
Date: October 2015
Department(s): Finance & Resources/ Governance
Academy Lead: Academy Business Manager
Note: This document uses the most current Government information and guidance at the time of writing. It may change according to
Government policy. Contact E-ACT Head Office with any questions.
FINAL VERSION 1.0 2015/16
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Contents Page
Page No.
Action Required
Background to this Employment Policy Manual
3
Ratify without amendment
9
Ratify without amendment
Pay Policy for Teachers
23
Ratify without amendment
Pensions Auto Enrolment
35
Ratify without amendment
Performance Management and Appraisal: Teaching Staff
39
Ratify without amendment
Performance Management and Appraisal: Support Staff
45
Ratify without amendment
Capability Policy and Procedure
55
Ratify without amendment
Grievance Policy and Procedure
67
Ratify without amendment
Sickness Management Policy
79
Ratify without amendment
Alcohol and Substance Misuse
101
Ratify without amendment
Disciplinary Policy and Procedure
107
Ratify without amendment
Allegations of abuse against staff and volunteers
132
Ratify without amendment
Social Media Policy
138
Ratify without amendment
Reference Policy
142
Ratify without amendment
Maternity Policy and Procedure
146
Ratify without amendment
Paternity Policy
157
Ratify without amendment
Shared Parental Leave
163
Ratify without amendment
Adoption Policy and Procedure
181
Ratify without amendment
Time off for Dependents Policy
187
Ratify without amendment
Equality and Diversity Policy
193
Ratify without amendment
Dignity at Work Policy
201
Ratify without amendment
Compassionate Leave Policy
207
Ratify without amendment
Flexible Working Policy
209
Ratify without amendment
SECTION A: Employment
Recruitment and Selection
SECTION B: People Management
SECTION C: Conduct
SECTION D: Work Life Balance
SECTION E: Fairness at Work
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1.
Background to the Employment Policy Manual
1.1
This manual is designed to bring together all of E-ACT’s key employment policies into one
manual. It is intended to simplify and strengthen the policy process throughout the Trust so
that:
 The Board of Trustees, Head Office, Local Governing Bodies and Academies can
work to synchronised timescales of policy approvals, allowing Head Office and
Academy staff to plan the academic year in full knowledge of when to expect policy
updates/ amendments

All policies are accessible in one place, and are a good reference tool for both Head
Office and Academy staff

There is clarity regarding the roles and responsibilities of everyone involved in the
monitoring, implementation and compliance with the policies.
1.2
This is one of five policy manuals and includes the relevant policies listed in the DfE’s advice
note on Statutory Policies for Schools, alongside additional policies which are required in
order to ensure operational compliance.
2.
Clarification regarding approvals and amendments
2.1
All policies contained within this policy manual are approved by the Board of Trustees
and cannot be changed at local governing body level. The Governance team will annually
seek feedback from all stakeholders via consultation in May each year so that the policies
put forward to Trustees reflect the views of all key colleagues across the Trust.
2.2
There are, however, elements within the policies that require academy specific names,
regions or contact details which need to be completed at the local level. Where this is the
case, the relevant sections are highlighted for local input. Local Governing Bodies should
not ratify the policy manual until this academy specific detail has been inserted.
2.3
All policies listed within the Employment manual must be ratified at Local Governing Body
level (once any academy specific information has been inputted into the highlighted
sections).
3.
Timescales of Policy Manual approvals and ratifications
3.1
It is intended that going forwards the Employment Policy Manual will be approved annually
at Trustee level and disseminated in July of each academic year, so that it can be ratified
annually in September by each local governing body.
4.
Status of Policies
4.1
Unless otherwise indicated, the contents of this Employment Manual do not form part of your
contract of employment. Where the policy or procedure reflects your statutory entitlements
(such as the paternity leave and pay policy), E-ACT will comply with the statutory
entitlements in force at the relevant time.
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5.
Schedule of changes
5.1
We recognise that this policy manual contains a lot of policies and detail. In order to simplify
the process, a schedule of changes will always accompany the manual, outlining any
changes to the existing policies.
5.2
Where any in-year changes are required (eg. if academy contact details change during the
year) then academies must re-ratify the new completed manual, with an accompanying
schedule of changes made for the local governing body to see.
6.
Roles and Responsibilities in implementation of policy
6.1
As highlighted in the E-ACT Scheme of Delegation, Academy Principals and Executive
Principals are responsible for the implementation of all policies within this manual at
academy level. The CEO has responsibility for implementation of all policies within this
manual at Trust level.
6.2
As highlighted in the E-ACT Scheme of Delegation, Local Governing Bodies (LGBs) have
delegated responsibility for the monitoring of this implementation at academy level.
Trustees have responsibility for monitoring of all policies within this manual at Trust level.
Both the LGBs and the Trustees will require assurance from Officers (both verbally and
through documented evidence) that these policies are being implemented effectively.
6.3
The policies listed within this Employment Manual largely relate to employment related policy
and procedure, and are therefore likely to be widely used by Academy HR Managers
(academy level) and the HR Team (Trust level). They are also likely to be monitored by your
Pay & Personnel Committee (subject to your academy’s governance structure) and the Trust
level Education & Personnel Committee. However, ultimate responsibility remains at the
levels highlighted in 6.1 for implementation, and 6.2 for monitoring of implementation.
7.
Notification and Reporting
7.1
Principals of Academies are required to notify the Director for Governance and Chair of the
Local Governing Body on receipt of a grievance, or whistleblowing complaint by the
Academy and prior to instigating the capability or disciplinary procedure.
7.2
Principals of the Academies are required to notify the Director for Governance and the Chair
of the Local Governing Body of the fact and outcome of any capability, disciplinary, or
grievance process and where appropriate the nature of the matter. Such a report should be
made within ten working days of completion of the relevant process and will usually be on an
anonymised basis.
7.3
The Chief Executive Officer, in conjunction with the Director for Governance, will report to
the Trustees on the number, outcome and (where appropriate) nature of any capability,
disciplinary and grievance matters, to enable the Trustees to manage risk, through
monitoring and identifying trends, undertaking equality impact assessments, assessing the
efficacy of the policies and any identifying any professional development needs.
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8.
Format of Policies
8.1
Where possible, we have tried to ensure a consistent format with the policies in this manual.
9.
Status of Policies within this Employment Manual
9.1
Unless otherwise indicated, the contents of this Employment Manual do not form part of your
contract of employment. Where the policy or procedure reflects your statutory entitlements
(such as the paternity leave and pay policy), E-ACT will comply with the statutory
entitlements in force at the relevant time
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SECTION A: RECRUITMENT
& SELECTION
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Recruitment & Selection Policy
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1. Introduction
E-ACT (the Employer) is committed to providing the best possible care and education to its pupils
and to safeguarding and promoting the welfare of children and young people. In order to achieve
these aims, we recognise that it is of fundamental importance to attract, recruit and retain staff of the
highest calibre who share our commitment.
2. Purpose
To ensure:

the best possible staff are recruited on the basis of their merits, abilities and suitability for the
position;

that people who might abuse children are deterred, rejected or identified

all job applicants are considered equally and consistently;

no job applicant is treated unfairly on any grounds including race, colour, nationality, ethnic or
national origin, religion or religious belief, sex or sexual orientation, marital or civil partner
status, disability, age, gender re-assignment, pregnancy or maternity.

compliance with all relevant legislation, recommendations and guidance including the
statutory guidance published by the Department for Education (DfE) (formerly the Department
for Children, Schools and Families (DCSF), Keeping Children Safe in Education (KCSIE)
Statutory Guidance for Schools and Colleges 2015 which includes reference to: Childcare
Disqualification Regulations 2009 and any guidance or code of practice published by the
Disclosure and Barring Service (DBS)

the School meets its commitment to safeguarding and promoting the welfare of children and
young people by carrying out all necessary pre-employment checks.
3. Responsibilities
Employees involved in the recruitment and selection of staff are responsible for familiarising
themselves with and complying with the provisions of this policy:
At least one member of the recruitment panel must undertake appropriate and current safer
recruitment training. This is currently provided by Hays on line for Head Office employees. Individual
Academies currently make their own arrangements
4.
Policy and Content
Current job descriptions and person specifications must be available for all posts, to include the date
created or reviewed. Existing job descriptions; person specifications and the grade of the post will be
reviewed and the date of the review will be inserted as “footer” on the document.
Consideration will be given as to whether the post amounts to a regulated activity.
Posts that are not exempt from the Rehabilitation of Offenders Act should be identified.
All applicants for employment will be required to complete an application form containing questions
about their academic and employment history and their suitability for the role. Incomplete application
forms will be returned to the applicant where the deadline for completed application forms has not
passed. A curriculum vitae will not be accepted in place of the completed application form.
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Applicants will receive a job description and person specification for the role applied for. Application
forms, job descriptions, person specifications and the Academy’s Safeguarding Children Policy (Child
Protection) are available to download from the E-ACT website or can be printed and forwarded to
applicants on request.
For all those applicants seeking employment in a regulated activity references will be taken up at the
time of shortlisting.
4.1
Any job offer will be conditional on the following:

agreement of a mutually acceptable start date and the signing of a contract incorporating the
E-ACT 's standard terms and conditions of employment;

verification of the applicant's identity (where that has not previously been verified);

Receipt of two references (one of which must be from the applicant's most recent employer
and be provided by their line manager) which the Academy considers to be satisfactory.

for teaching positions, confirmation from the National College for Teaching and Leadership
that the applicant is not subject to a prohibition order;

Sight of an enhanced disclosure from the DBS which the Academy considers to be
satisfactory. A new check must be conducted when an employee has a gap in service of three
months or more. For new employees and employees such as invigilators who may incur a
three month gap in employment, it will be necessary to apply for a new DBS clearance or
encourage them to sign up for the DBS update service https://www.gov.uk/dbs-updateservice. Their status must then be checked online and a record made in the Single Central
Register that this has been done. A paper copy must also be provided by the employee and
again an entry must be made in the SCR that this has been done. Details of the Safeguarding
documentation can be found in the Policies portal on Insight

If the position amounts to "regulated activity" and the enhanced disclosure from the DBS is
not currently available confirmation that the applicant is not named on the Children's Barred
List administered by the DBS* will be obtained

verification of the applicant's medical fitness for the role (see section 5 below); and

verification of the applicant's right to work in the UK;

any further checks which are necessary as a result of the applicant having lived or worked
outside of the UK in the last 5 years; and

verification of professional qualifications which the Academy has specified as a requirement
for the post, or which the applicant otherwise cites in support of their application (where they
have not been previously verified).
*A check of the Children's Barred List is not permitted if an individual will not be undertaking
"regulated activity". Whether a position amounts to "regulated activity" must therefore be
considered by the Academy in order to decide which DBS checks are appropriate. It is
however likely that in nearly all cases a Children's Barred List check will be carried out.
5. Medical fitness
E-ACT is legally required to verify the physical and mental capacity for the specific role s of anyone it
employs, after an offer of employment has been made but before the appointment can be confirmed.
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All applicants to whom an offer of employment is made must complete a Health Questionnaire which
should be returned directly to E-ACT’s occupational health provider. This information will be
reviewed against the Job Description and the Person Specification for the particular role, together
with details of any other physical or mental requirements of the role i.e. proposed timetable, extracurricular activities, layout of the workplace etc. If necessary the Occupational Health provider will
make recommendations to mitigate the impact of any physical or medical condition on the applicant’s
ability to carry out the duties of the post in consultation with them. The Employer may also seek a
further medical opinion from a specialist or request that the applicant undertakes a full medical
assessment.
No job offer will be withdrawn because of medical and physical impairment without first consulting
with the applicant, obtaining medical evidence, considering reasonable adjustments and suitable
alternative employment.
6. Pre-employment checks
In accordance with the recommendations set out in the KCSIE and associated guidance, E-ACT will
carry out a number of pre-employment checks in respect of all prospective employees.
a. Verification of identity and address
All applicants who are invited to an interview will be required to bring with them evidence of identity,
right to work in the UK, address and qualifications as set out below and in the list of valid identity
documents at Appendix 1 (these requirements comply with DBS identity checking guidelines):
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/326537/ID_Checking_
Guidance_v1_2_July_2014.pdf

one document from Group 1; and

two further documents from either of Group 1, Group 2a or Group 2b, one of which must verify
the applicant's current address; and

original documents confirming any educational and professional qualifications referred to in
their application form.
Where an applicant claims to have changed his / her name by deed poll or any other means (e.g.
marriage, adoption, statutory declaration) he / she will be required to provide documentary evidence
of the change.
All applicants are required to provide their date of birth (and proof of this) in accordance with the
Guidance and KCSIE. Proof of date of birth is necessary to verify the identity of, and check for any
unexplained discrepancies in the employment and education history of all applicants. E-ACT does not
discriminate on the grounds of age.
b. References
For all regulated activities references will be taken up on short listed candidates prior to interview. No
questions will be asked about health or medical fitness prior to any offer of employment being made.
All offers of employment will be subject to the receipt of a minimum of two satisfactory references.
One of the references must be from the applicant's current or most recent employer. If the current /
most recent employment does / did not involve work with children, an additional reference should if
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available be from the employer with whom the applicant most recently worked with children. Neither
referee should be a relative or someone known to the applicant solely as a friend.
All referees will be asked whether they believe the applicant is suitable for the job for which they have
applied and whether they have any reason to believe that the applicant is unsuitable to work with
children.
All referees will be sent a copy of the job description and person specification for the role for which
the applicant has applied. If the referee is a current or previous employer, they will also be asked to
confirm the following:

the applicant's dates of employment, salary, job title / duties, reason for leaving, performance,
sickness* and disciplinary record;

whether the applicant has ever been the subject of disciplinary procedures including
complaints/investigations/hearings, formal and informal sanctions involving issues related to
the safety and welfare of children (including any in which the disciplinary sanction has
expired), except where the issues were deemed to have resulted from allegations which were
found to be false, unsubstantiated, unfounded or malicious; and

whether any allegations or concerns have been raised about the applicant that relate to the
safety and welfare of children or young people or behaviour towards children or young people,
except where the allegation or concerns were found to be false, unsubstantiated, unfounded
or malicious.
(*questions about health or sickness records will only be included in reference requests sent out after
the offer of employment has been made.)
References must be obtained directly from the referee and not references or testimonials provided by
the applicant or on open references or testimonials.
The School will compare all references with any information given on the application form. Any
discrepancies or inconsistencies in the information will be taken up with the applicant and the
relevant referee before any appointment is confirmed.
The school will contact referees directly upon receipt of the reference to authenticate it’s validity.
c. Criminal records check
Due to the nature of the work, E-ACT applies for an enhanced disclosure from the DBS in
respect of all prospective staff members, governors and volunteers.
Prior to 29 May 2013 an enhanced disclosure contained details of all convictions on record (including
those which are defined as "spent" under the Rehabilitation of Offenders Act 1974) together with
details of any cautions, reprimands or warnings held on the Police National Computer. It could also
contain non-conviction information from local police records which a chief police officer considered
relevant to undertaking a regulated activity.
As of 29 May 2013 the DBS commenced the filtering and removal of certain specified information
relating to old and minor criminal offences from all criminal records disclosures. The DBS and the
Home Office have developed a set of filtering rules relating to spent convictions which work as
follows:
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For those aged 18 or over at the time of an offence
An adult conviction will be removed from a DBS disclosure if:

eleven years have elapsed since the date of conviction;

it is the person’s only offence; and

it did not result in a custodial sentence.
It will not be removed under any circumstances if it appears on a list of "specified offences" which
must always be disclosed. If a person has more than one offence on their criminal record, then
details of all their convictions will always be included.
A caution received when a person was aged 18 or over will not be disclosed if six years have elapsed
since the date it was issued, and if it does not appear on the list of "specified offences".
For those aged under 18 at the time of an offence
A conviction will be removed from a DBS disclosure if:

five and a half years have elapsed since the date of conviction; and

it is the person's only offence; and

it did not result in a custodial sentence.
Again, the conviction will not be removed under any circumstances if it appears on the list of
"specified offences", or if a person has more than one offence on their criminal record.
A caution received when a person was aged under 18 will not be disclosed if two years have elapsed
since the date it was issued, and if it does not appear on the list of "specified offences".
The list of "specified offences" which must always be disclosed
This contains a large number of offences, which includes certain sexual, violent and other offences
that are considered so serious they will always be disclosed, regardless of when they took place or of
the person’s previous or subsequent criminal record. The list of "specified offences" can be found at:
https://www.gov.uk/government/publications/dbs-list-of-offences-that-will-never-be-filtered-from-acriminal-record-check
An enhanced disclosure from the DBS and a check of the Children's Barred List (now known as an
Enhanced Check for Regulated Activity) in respect of all positions at the School which amount to
"regulated activity" as defined in the Safeguarding Vulnerable Groups Act 2006 (as amended). The
purpose of carrying out an Enhanced Check for Regulated Activity is to identify whether an applicant
is barred from working with children by inclusion on the Children's Barred List maintained by the DBS.
Regulated Activity
The full legal definition of regulated activity is set out in Schedule 4 of the Safeguarding Vulnerable
Groups Act 2006 as amended by the Protection of Freedoms Act 2012.
Any position undertaken at, or on behalf of, E-ACT (whether paid or unpaid), will amount to
"regulated activity" if it is carried out regularly:
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teaching, training, instructing, caring for or supervising children if the person is unsupervised,
or providing advice or guidance on well-being, or driving a vehicle only for children,
work for a limited range of establishments (known as ‘specified places’, which include schools
and colleges), with the opportunity for contact with children, but not including work done by
supervised volunteers;
Some activities are always regulated activities, regardless of their frequency or whether they are
supervised or not. This includes:
relevant personal care, or health care provided by or provided under the supervision of a
health care professional:
personal care includes helping a child, for reasons of age, illness or disability, with eating or
drinking, or in connection with toileting, washing, bathing and dressing;
health care means care for children provided by, or under the direction or supervision of, a
regulated health care professional.
A fact sheet is also available on the following link:
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/249435/dbs-factsheetregulated-activity-children.pdf
It is for the Employer to decide whether a role amounts to "regulated activity" taking into account all
the relevant circumstances.
The DBS disclosure certificate
The DBS now issues a DBS disclosure certificate to the subject of the check only, rather than to the
Employer. It is a condition of employment with E-ACT that the original disclosure certificate is
provided to the HR Academy lead for school based employees or Head Office HR for other
employees within two weeks of it being received by the applicant or as soon as is practicable.
Original certificates should not be sent by post. Applicants must instead bring the original certificate
to the place of work
A convenient time and date for doing so should be arranged with the Academy HR lead as soon as
the certificate has been received.
Applicants who are unable to attend at the place of work to provide the certificate are required to
send in a certified copy by post or email within two weeks of the original disclosure certificate being
received.
Certified copies must be sent to the Academy HR lead for those working in Academies and Head
Office HR for other employees.
Where a certified copy is sent, the original disclosure certificate must still be provided prior to or on
the first day of work. Employment will remain conditional upon the original certificate being provided
and it being considered satisfactory.
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If there is a delay in receiving a DBS disclosure the Principal has discretion to allow an individual to
begin work pending receipt of the disclosure. This will only be allowed if all other checks, including a
clear check of the Children's Barred List (where the position amounts to regulated activity), have
been completed and once appropriate supervision has been put in place.
DBS checks will still be requested for applicants with recent periods of overseas residence and those
with little or no previous UK residence. These applicants may also be asked to provide further
information, including a criminal records check from the relevant jurisdiction(s).
https://www.gov.uk/government/publications/criminal-records-checks-for-overseas-applicants
7. Contractors and agency staff
Contractors engaged by E-ACT must complete the same checks for their employees that E-ACT is
required to complete for its staff. HQ or the relevant Academy requires confirmation that these
checks have been completed before employees of the Contractor can commence work at any E-ACT
facility.
Agencies who supply staff to E-ACT must also complete the pre-employment checks which the
School would otherwise complete for its staff. Again, we require confirmation that these checks have
been completed before an individual can commence work at the School.
We will independently verify the identity of staff supplied by contractors or an agency in accordance
with section 6.a above.
8. Policy on recruitment of ex-offenders
a. Background
E-ACT will not unfairly discriminate against any applicant for employment on the basis of conviction
or other details revealed. E-ACT makes appointment decisions on the basis of merit and ability. If an
applicant has a criminal record this will not automatically bar him / her from employment at E-ACT.
Instead, each case will be decided on its merits in accordance with the objective assessment criteria
set out in paragraph 7.2 below.
Most positions within E-ACT are exempt from the provisions of the Rehabilitation of Offenders Act
1974. All applicants must therefore declare all previous convictions and cautions, including those
which would normally be considered "spent" except for those to which the DBS filtering rules apply
(see paragraph 6.c above). A failure to disclose a previous conviction (which should be declared)
may lead to an application being rejected or, if the failure to disclose is discovered after employment
has started, may lead to summary dismissal on the grounds of gross misconduct. A failure to
disclose a previous conviction may also amount to a criminal offence.
It is unlawful to employ anyone who is barred from working with children. It is a criminal offence for
any person who is barred from working with children to attempt to apply for a position at the School.
E-ACT will make a report to the Police and / or the DBS if:

it receives an application from a barred person;

it is provided with false information in, or in support of an applicant's application; or

it has serious concerns about an applicant's suitability to work with children.
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b. Assessment criteria
In the event that relevant information (whether in relation to previous convictions or otherwise) is
volunteered by an applicant during the recruitment process or obtained through a disclosure check,
the School will consider the following factors before reaching a recruitment decision:

whether the conviction or other matter revealed is relevant to the position in question;

the seriousness of any offence or other matter revealed;

the length of time since the offence or other matter occurred;

whether the applicant has a pattern of offending behaviour or other relevant matters;

whether the applicant's circumstances have changed since the offending behaviour or other
relevant matters; and

the circumstances surrounding the offence and the explanation(s) offered by the convicted
person.
If the post involves regular contact with children, it is considered it a high risk to employ anyone who
has been convicted at any time of any the following offences:

murder, manslaughter, rape, other serious sexual offences, grievous bodily harm or other
serious acts of violence; or

serious class A drug related offences, robbery, burglary, theft, deception or fraud.
If the post involves access to money or budget responsibility, it is considered to be a high risk to
employ anyone who has been convicted at any time of robbery, burglary, theft, deception or fraud.
If the post involves some driving responsibilities, it is considered a high risk to employ anyone who
has been convicted of drink driving within the last ten years.
c. Assessment procedure
In the event that relevant information (whether in relation to previous convictions or otherwise) is
volunteered by an applicant during the recruitment process or obtained through a disclosure check,
the School will carry out a risk assessment by reference to the criteria set out above. The
assessment form must be signed by the Principal and the Director of Education before a position is
offered or confirmed.
If an applicant wishes to dispute any information contained in a disclosure, he / she can do so by
contacting the DBS direct. In cases where the applicant would otherwise be offered a position were it
not for the disputed information, E-ACT will, where practicable and at its discretion, defer a final
decision about the appointment until the applicant has had a reasonable opportunity to challenge the
disclosure information.
d. Retention and security of disclosure information
E-ACT observe the guidance issued or supported by the DBS on the use of disclosure information,
but is under no obligation to do so.
In particular we will:
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
store disclosure information and other confidential documents issued by the DBS in locked,
non-portable storage containers, access to which will be restricted to Senior officers

Not retain disclosure information or any associated correspondence for longer than is
necessary, and for a maximum of six months. The School will keep a record of the date of a
disclosure, the name of the subject, the type of disclosure, the position in question, the unique
number issued by the DBS and the recruitment decision taken;

ensure that any disclosure information is destroyed by suitably secure means such as
shredding; and

Prohibit the photocopying or scanning of any disclosure information without the express
permission of the individual to whom the disclosure relates.
9. Retention of records
E-ACT is legally required to undertake the above pre-employment checks. Therefore, if an applicant
is successful in their application, the School will retain on his / her personnel file any relevant
information provided as part of the application process. This will include copies of documents used to
verify identity, right to work in the UK, medical fitness and qualifications. Medical information may be
used to discharge our obligations as an employer e.g. to consider reasonable adjustments if an
employee suffers from a disability or to assist with any other workplace issue.
This documentation will be retained in the employees personal file for the duration of the successful
applicant's employment. It will be retained for a period of six years after employment terminates after
which it will be securely destroyed.
If the application is unsuccessful, all documentation relating to the application will normally be
confidentially destroyed after six months.
10. Referrals to the DBS and National College for Teaching and Leadership (NCTL)
This policy is primarily concerned with the promotion of safer recruitment and details the preemployment checks that will be undertaken prior to employment being confirmed. Whilst these are
pre-employment checks we also has a legal duty to make a referral to the DBS in circumstances
where an individual:
has applied to work in a regulated activity despite being barred from working with children; or

has been removed by from working in regulated activity (whether paid or unpaid), or has
resigned prior to being removed, because they have harmed, or pose a risk of harm to, a
child.
If the individual referred to the DBS is a teacher, the School must refer to the Director of Education
for advice.
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Appendix 1
Group 1: Primary identity documents
Document
Notes
Passport
Any current and valid passport
Biometric residence
permit
UK
Current driving licence –
UK, Isle of Man, Channel Islands and EU (full or provisional)
photocard
Birth certificate - issued
at time of birth
UK and Channel Islands – including those issued by UK authorities
overseas, eg embassies, High Commissions and HM Forces
Adoption certificate
UK and Channel Islands
Group 2a: Trusted government documents
Document
Current driving licence
– photocard
Notes
All countries (full or provisional)
Current driving licence
UK, Isle of Man, Channel Islands and EU (full or provisional)
– paper version
Birth certificate – issued
UK and Channel Islands
after time of birth
Marriage/civil
partnership certificate
UK and Channel Islands
HM Forces ID card
Firearms licence
UK
UK, Channel Islands and Isle of Man
All driving licences must be valid.
Group 2b: Financial and social history documents
Document
Notes
Issue date and validity
Mortgage statement
UK or EEA
Issued in last 12 months
Bank or building society
UK and Channel Islands or EEA Issued in last 3 months
statement
Bank or building society
account opening
UK
confirmation letter
Issued in last 3 months
Credit card statement
Issued in last 3 months
UK or EEA
Financial statement, eg
UK
pension or endowment
Issued in last 12 months
P45 or P60 statement
UK and Channel Islands
Issued in last 12 months
Council Tax statement
Work permit or visa
UK and Channel Islands
UK
Issued in last 12 months
Valid up to expiry date
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Document
Notes
Issue date and validity
Non-UK or non-EEA only - valid
Letter of sponsorship
only for applicants residing
from future employment
Must still be valid
outside of the UK at time of
provider
application
Utility bill
UK – not mobile telephone bill
Issued in last 3 months
Benefit statement, eg
Child Benefit, Pension
UK
Issued in last 3 months
Central or local
government,
government agency, or
local council document
giving entitlement, eg
UK and Channel Islands
from the Department for
Work and Pensions, the
Employment Service,
HMRC
Issued in last 3 months
EU National ID card
-
Must still be valid
Cards carrying the
PASS accreditation
logo
UK and Channel Islands
Must still be valid
Letter from head
teacher or college
principal
UK - for 16 to 19 year olds in full
time education - only used in
exceptional circumstances if
Must still be valid
other documents cannot be
provided
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SECTION B:
PEOPLE MANAGEMENT
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Pay Policy (Teachers)
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The purpose of this policy is to set out a framework for making decisions on teachers' pay in
a manner which supports these strategic objectives, whilst ensuring fairness.
1.
Aims
In adopting this policy the Academy will ensure that;
 All employees of the Academy are treated fairly and pay decisions are free from
discrimination;
 The Academy is able to recruit and retain a skilled workforce;
 It recognises and rewards teachers for their contribution to the Academy;
 It maximises the quality of teaching and learning at the Academy, thus maximising
educational outcomes/attainment and progress of learners and ensuring the narrowing of the
attainment gap;
 It manages its budget to effectively deliver the Academy's strategic development plan.
2.
Legal framework and personnel
Overall responsibility: The E-ACT Trustees delegate the monitoring of this policy to the LGB,
including monitoring trends on progression, attainment and the relationship between pay and
outcomes. The LGB will also monitor the Academy's compliance with equalities legislation.
Depending on the committee structure of the LGB, the LGB may wish to delegate to its Pay &
Personnel Committee the approval of teacher pay recommendations from the Principal.
Executive Principal/Principal: The Executive Principal/Principal will moderate all pay proposals
and submit pay recommendations for all staff to the LGB (or Pay Sub-Committee, depending on the
committee structure of the LGB). The Principal will report annually to the Director of HR the pay
decisions approved by the LGB.
Performance managers: Those with performance appraisal duties are responsible for making pay
recommendations and submitting these to the Executive Principal/Principal.
3.
Overarching Principles
The Trustees of E-ACT recognise:



The contribution to the Academy’s success made by all members of staff.
Progression through the Academy’s pay scales for teachers will be dependent upon
evidence of an appropriate review of their performance during the previous year’s
performance appraisal cycle.
The need to have a fair and effective mechanism for determining pay.
E-ACT seeks to provide equal opportunities for all staff at all times and will keep under review the
application of the pay policy to ensure that its effects are not discriminatory.
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4. Teachers’ Pay – Basic Principles
All teachers employed at E-ACT Academies are paid in accordance with the statutory provisions of
the School Teachers’ Pay and Conditions Document (“the Document”) as updated from time to time,
unless otherwise stated within this Pay Policy. Part1, section 3.1 lays out effective dates and
notification.
A copy of the latest version may be found in the Academy office.
5. Use of Discretions in Basic Pay Determination
a) Discretionary experience points
When placing a classroom teacher on the main scale, the LGB will consider awarding an extra
point or points on the scale in recognition of other relevant experience that would not attract
mandatory experience points, e.g. transferable skills and experience from other sectors, post
graduate qualifications.
b) Part-time teachers
Teachers employed by the Academy working less than a full working day or week are deemed
to be part-time. Remuneration is calculated in accordance with this Document. In May of each
year, part-time staff will be given a statement indicating their current FTE, their contract base
FTE and their proposed FTE for the following September. Variations of more than 10% should
be specified and agreed with the teacher.
c) Short notice/supply teachers
Teachers who work on a day-to-day or other short notice basis will carry the same level
responsibilities as other permanent teachers and will not be subject to this Policy.
6. Affordability
The LGB recommends the Academy budget to the E-ACT Trustees on an annual basis, and will
ensure that appropriate funding is allocated for appropriate performance pay progression at all levels.
The Local Governing Body recognises that funding cannot be used as a criterion to determine
progression through the pay scales.
7. Discretionary Allowances and Payments
a) Teaching and Learning Responsibilities (TLRs)
The Academy will allocate TLR payments to classroom teachers who occupy posts of additional
responsibility in accordance with the statutory provisions of the STPCD and the provisions of the
academy’s staffing structure. The academy’s staffing structure will identify those posts to which TLR
payments are attached and the levels and values of those payments. All teachers in regular parttime service in the Academy are eligible for pay progression and other allowances on the same basis
as full-time teachers. TLRs are paid on a pro rata basis In accordance with the Document.
The Academy will determine the levels and values of the TLR payments attached to individual posts,
as appropriate to the duties and responsibilities of those posts,
provided that:
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a.
b.
c.
d.
The annual value of a TLR1 is no less than £7,471 and no more than £12,642.
The annual value of a TLR2 is no less than £2,587 and no more than £6,322
The annual value of a fixed term TLR3 is no less than £510 and no more than £2,550
If TLRs of different values are awarded to two or more teachers, the minimum difference in
annual vale for TLR1 and TLR2 is £1,500.
These values are effective from 1 September 2015 and will be increased in future in line with the
STPCD.
In line with the STPCD, teachers may be appointed to a temporary TLR3 position, formerly known as
a Project Manager allowance, within the academy to undertake an
identified
development
role.
The Academy recognises that TLR3 payments may be allocated on a temporary basis
need arises due to absence or developmental needs of the
academy.
where
the
Project development allowances may also be awarded through the allocation of leadership
development payments for colleagues who undertake a specific role in the development of the
academy that may sit outside the current (2013) agreed staffing structure.
The Academy will ensure that decisions on the allocation of TLR payments, as with other allowances,
are made in the context of the LGB’s whole school approach to
pay policy principles of equal pay.
(b) Leading Practitioner Roles
E-ACT has determined that it may create additional posts within the agreed structure equivalent to
former Excellent Teacher and Advanced Skills Teacher roles to support the
development
of
teaching and learning within the academy. Any substantive or
‘aspiring’ roles will be subject to a
specific job description and will be open to all
eligible employees within the Academy when
advertised. Posts created in this
category will have a defined spot salary for those individuals in
an ‘aspiring’ role and a three point salary range on the Leadership spine for those appointed to a
substantive position.
Pay range for Leading Practitioners 2015
E&W
(exc.
London
area)
Inner
London
Outer
London
Fringe
Minimum
38,598
45,891
41,660
39,660
Maximum
58,677
65,978
61,743
59,743
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Where members of staff are appointed to ‘aspiring’ posts, a maximum two year qualification period
will be applied in order to demonstrate that the standards identified for the equivalent substantive
position have been consistently achieved. Where this is the case, the member of staff would then
be placed on the lowest
identified salary point within the substantive pay range.
Where members of staff do not consistently meet the expected standards within the
two
year
time frame, an extension period may be granted by the Executive Principal/Principal in response to
circumstances beyond the control of the individual staff member.
Any decision to extend the
qualification period would be subject to
approval by the LGB upon the Executive
Principal/Principal’s recommendation.
Any post created will be subject to a salary assessment in relation to the existing structure and an
appropriate salary point or range agreed through consultation with
the
Personnel
SubCommittee.
Pay progression, where relevant, will be judged against the appropriate leadership
teaching standards applied to the role upon appointment.
and
c) Recruitment and Retention allowances
From time to time market conditions dictate that there are shortages of certain
particular skills or subject specialism.
teachers with
In order to aid recruitment and retention in such situations, the Governing Body may
at its
discretion award an annual recruitment and retention allowance, the amount of which is at the
discretion of the LGB. Such awards will be approved when the
Executive Principal/Principal has
made a specific business case for the award.
Such allowances shall only be awarded for one year at a time. Renewal of such awards in
subsequent years is dependent upon a review of the market conditions and evidence that the
teacher in question is making a sustained contribution to the
work of the Academy.
11. Salaries on appointment
The Governing Body shall determine the pay scale that shall apply to any vacancy being advertised.
This shall take account of:






The previous pay grade
The nature of the post
The level of qualifications, skills and experience required
Market conditions
The Academy's Development Plan and Budget
The wider Academy context
If appropriate, other recruitment allowances may be offered. Unless it is made clear at the start of the
recruitment process, there is a presumption that a teacher’s salary at a previous school/Academy will
be matched.
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12. Performance Reviews
The LGB will ensure that all teachers and senior leaders clearly understand the activities and dates
within the performance appraisal cycle. Every teacher’s performance is reviewed according to the
performance appraisal Policy adopted by the LGB, at latest by the by the 31 October; this will follow a
mid-year review. The reviewer will make a recommendation regarding progression through the pay
scale as appropriate. Following review and moderation by the Principal, recommendations will be
notified to the Pay Sub-Committee of the LGB for approval. Any resultant pay increases will be back
dated to 1 September of that year or as laid out in Part 1, section 3.1 of the Document.
Where a pay determination leads or may lead to the start of a period of protection, the LGB will give
the required notification as soon as possible and no later than one month after the date of the
determination.
13. Pay Reviews
Teachers' pay will be reviewed annually normally to take effect from 1 September in each year. A
review does not imply an increase in salary and decisions will be made in accordance with this policy.
Teachers will be advised in writing of the outcome of the pay review in line with the Academy’s
annual review cycle, as approved by the LGB and no later than 31 October of each year. All
teachers will be given a written annual statement setting out their salary and any other financial
benefits to which they are entitled.
Pay reviews may take place at other times of year to reflect any changes in circumstance or job
description. Where a pay determination leads or may lead to a period of safeguarding, the Academy
will give the required notification in writing as soon as reasonable practicable, including information
on the rationale for the decision.
The policy does not address pay decisions for staff who are long-term absent during
the year due
to illness or on maternity leave. In general, these decisions will be
made by extrapolating the
evidence available to predict whether or not objectives
would have been met, but for the leave.
Such decisions will be taken in a manner
which is consistent with the principles of the Equality Act
2010.
14. Main Scale Reference points
The Academy will pay Main Scale teachers within the reference points noted below and will have
regard to this scale when considering progression. These points will be reviewed on an annual basis.
The Pay Sub-Committee (or the LGB, depending on the committee structure) may award increments
within the point bands on the recommendation of the Executive Principal/Principal.
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E&W
Inner
London
Outer
London
Fringe
M1
22,244
27,819
25,880
23,313
M2
24,002
29,270
27,484
25,070
M3
25,932
30,795
29,185
26,999
M4
27,927
32,400
30,992
29,001
M5
30,128
34,893
33,620
31,196
M6
32,831
37,862
36,540
33,909
15. Pay Progression – Process
Performance appraisal process: The Academy has an annual performance appraisal programme
for all teachers, details of which are included in the Academy's Performance appraisal Policy.
Objectives: The Academy will set appropriate objectives within the performance appraisal
process. These objectives will include reference to Attainment, Progress, Teaching & Learning
and personal development.
Monitoring and support: All teachers will receive regular and constructive feedback during their
employment. Where the Academy identifies that a teacher is unlikely to meet their objectives they
will be advised of this and consideration given to what further support is available to help them
improve.
Written report: Following the performance appraisal process the teacher's line manager will
produce a written report which will contain a recommendation on pay.
16. Threshold Assessment
QTS Teachers on M5 or M6 may wish to make application for progression to the Upper Pay Scale,
following an informal discussion with the Executive Principal/Principal regarding Academy
requirements in relation to coaching, mentoring and other forms of professional leadership. Those
wishing to apply should submit application by 30 September. Decisions on progression will be made
by 31 October. Any agreed progressions will be backdated to 1 September.
The LGB will approve threshold progression when it is satisfied that:




The teacher is highly competent in all elements of the teacher standards
The teacher’s achievement and contribution to the Academy are substantial and
sustained.
The teacher is willing and has the ability to provide coaching and mentoring to other
teachers
These judgements are supported by appropriate documentary evidence (i.e. performance
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
appraisal reports) that demonstrate that this performance is prolonged and sustained, over
two performance cycles.
The Academy will pay teachers within the reference points noted below and will have
regard to this scale when considering progression. These points will be reviewed on an
annual basis.
E&W
Inner
London
Outer
London
Fringe
UPS1
35,218
42,756
38,739
36,287
UPS2
36,523
44,857
40,173
37,590
UPS3
37,871
46,365
41,660
38,941
 Following progression, should a teacher fail to meet these standards or it is identified that
a teacher is unlikely to meet their objectives, they will be advised of this and consideration
given to what further support is available and necessary to help them improve.
Note: Upper Pay range for September 2013 – please see Part 3, paras 17-18 of the Document.
17. Pay Progression - Decision Making
Unless otherwise stated, all pay progression decisions will be subject to, and consistent with, the
provisions of the Academy’s Performance appraisal Policy. In accordance with the annual
performance appraisal process, by 31 October teachers will receive clear expectations of the
standards of performance required and the specific objectives they are required to achieve for the
forthcoming year. These objectives will reflect, amongst other issues, Teachers’ Standards.
During the process, standards and objectives will be moderated by the Senior
ensure a measure of consistency.
Leadership Team to
Evidence will be gathered throughout the year to inform the assessment of performance. Such
evidence will include:







Lesson observations
Self-assessment
Pupil performance data, including progression and attainment
Training received/given
Level of challenge of objectives
Contribution to academy life and pupil activities
Objective and verifiable Pupil/Parent feedback such as pupil voice
It is open to the LGB to develop more definition or structure to the evidence required,
such as
minimum grade expectations or performance descriptors. Further advice is available from the
assigned Education Advisor or HR Manager.
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All teachers are encouraged to keep a portfolio of such evidence to inform the
assessment
process at the end of the performance appraisal cycle. The onus is upon the teacher to demonstrate,
with evidence, how far standards have been achieved and specific objectives met.
At the conclusion of the performance appraisal cycle each teacher will receive their annual
performance appraisal report from their reviewer. The reviewer shall then make one of four pay
recommendations:
1. A teacher who meets their objectives will be eligible for progression to the next point
on the scale.
2. A teacher who exceeds their objectives and is making a significant contribution to
the Academy may be awarded additional progression.
3. A teacher who does not meet their objectives will not normally be awarded pay
progression to the next point in the scale, but may be awarded some progression if
reasonable in all the circumstances. With reference to Section 7, affordability cannot
be used as a rationale for a reduced award.
4. There is evidence of standards being achieved (and specific objectives being met)
but the teacher is already at the maximum of the scale so no progression is possible.
A decision not to award pay progression will not necessarily result in the Academy's
Capability Policy being instigated.
Decisions about pay progression for Newly Qualified Teachers will be made with regard to the
statutory induction process. NQTs who successfully complete induction will progress at least to the
next scale point.
To ensure consistency all pay recommendations will be moderated by the Executive
Principal/Principal.
A final summary of pay recommendations shall be submitted in September/October each year to the
Pay Sub-Committee. The Pay Sub-Committee is delegated by the full LGB to accept or decline the
recommendations as it sees fit.
If an individual teacher is dissatisfied with the outcome of the pay recommendation
appeal against the pay determination as set out in Section 18 of this policy.
they
may
18. Leadership Group Pay
The pay spine for members of the leadership group isAnnual determination of salary for a Head of School or Vice-Principal
The LGB will determine the salary of a Head of School/Vice Executive Principal/Principal in
accordance with the following:

save to the extent that movement up the pay spine is necessary to ensure that the salary of
the Head of School/Vice Principal equals the minimum of the range determined for that
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
where the Head of School/Vice Principal is not subject to the 2011 or 2012 Regulations, a
review of the Head of School/Vice Principal’s performance has been completed and there has
been a sustained high quality of performance, having regard to the performance objectives
agreed or set;

where the Head of School/Vice Principal is subject to the 2011 or 2012 Regulations, there has
been a sustained high quality of performance, having regard to the results of the most recent
performance review carried out in accordance with those Regulations.
A Head of School/Vice Principal’s salary must not be less than the minimum of the relevant pay
range and must not exceed the maximum of that range;
Save to the extent that a movement up the pay spine is necessary to ensure that the salary of the
Head of School/Vice Principal equals the minimum of the relevant pay range, salary must not be
increased by more than two points in the course of one school year;
Where the LGB raises a Head of School/Vice Principal’s pay range, any performance points awarded
by the LGB for the previous year must be calculated on the basis of the lower pay range before pay is
assimilated onto the higher pay range.
On appointment at a particular school a Head of School/Vice Principal must be paid a salary equal to
the amount specified for one of the bottom three points of the relevant pay range.
19. Appeals
The arrangements for considering appeals are as follows:
A teacher may seek a review of any determination in relation to his/her pay or any other decision
taken by the LGB that affects his/her pay.
The following list includes the usual reasons for seeking a review of a pay determination, that the
person or committee by whom the decision was made:
 incorrectly applied any provision of the Pay Policy;
 failed to have proper regard for statutory guidance;
 failed to take proper account of relevant evidence;
 took account of irrelevant or inaccurate evidence;
 was biased; or
 otherwise unlawfully discriminated against the teacher.
The order of proceedings is as follows:



The teacher receives written confirmation of the pay determination and where applicable
the basis on which the decision was made.
If the teacher is not satisfied, he/she should seek to resolve this by discussing the matter
informally with the decision-maker within ten working days of the decision.
Where this is not possible or where the teacher continues to be dissatisfied, he/she
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



may follow a formal appeal process. For any formal hearing or appeal the teacher is
entitled to be accompanied by a colleague or union representative.
The teacher should set down in writing the grounds for questioning the pay decision and
send it to the person (or committee) who made the determination, within ten working days
of the notification of the decision being appealed against or of the outcome of the
discussion referred to above.
The committee or person who made the determination should arrange a hearing within
ten working days of receipt of the written grounds for questioning the pay decision. The
teacher will be given an opportunity to make representations in person. Following the
hearing the teacher should be informed in writing of the decision and the right to appeal.
Any appeal should be heard by a panel of three governors who were not involved in the
original determination normally within 20 working days of the receipt of the written appeal
notification. The teacher will be given the opportunity to make representations in person.
The decision of the appeal panel will be final, will be given in writing, and where the
appeal is rejected will include a note of the evidence considered and the reasons for the
decision.
20. Review of Policy
This Policy, its application and outcomes will be reviewed annually.
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Pensions Auto Enrolment
Policy
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1. Purpose
This policy is intended to provide guidance on the operation of the pension scheme available to you
during your employment with E-ACT as set out in your contract of employment. For teaching staff
this is the Teachers' Pensions Scheme and for Support Staff the Local Government Pension
Scheme. For the purpose of this Policy both are referred to as the Scheme. The Policy reflects
legislation which requires employers to automatically enrol employees who meet certain eligibility
criteria into a qualifying pension scheme.
2. Staging date: Is the date notified to E-ACT by the Department for Work and Pensions from when
E-ACT is required to auto-enrol staff in the Scheme (April 2014).
3. Eligibility: Auto-enrolment applies to all employees aged between 22 and state pension age and
earning over the earnings trigger (currently £10,000) as may be changed from time to time.
4. Non-eligible members of staff: Irrespective of auto-enrolment eligibility E-ACT will enrol all new
members of teaching staff aged between 16 and 74 into the Teacher's Pension Scheme and
support staff into the Local Government Pension Scheme on commencement of employment in
accordance with your contract (subject always to the rules of the Scheme).
5. Auto-enrolment: E-ACT is legally required to automatically enrol eligible staff in the relevant
Scheme.

New starters: All new members of staff will be automatically enrolled in the Scheme within
one month of the commencement of their employment. Any new members of staff who wish
to opt out must contact the Teachers' Pension Scheme or the Local Government Pension
Scheme.

Existing members of staff who are already members of the Scheme: There will be no
change for any member of staff who is already a member of the Scheme. You will remain a
member of the Scheme unless you choose to opt out. You will be provided with written
confirmation of your membership and details of how to obtain further information.

Existing members of staff who are not members of the Scheme: Any members of staff
who are not currently members of the Scheme will be automatically enrolled by E-ACT
following the staging date.

For teachers this will apply to staff who have:

previously opted out;

commenced a part-time contract before 01 January 2007, did not make a part-time
election and have continued in that contract (without taking up another post which would
have led to the need to contractually enrol them);

staff on ill health retirement pre 01 April 1997 from when they reach age 60 or cease to be
incapacitated, whichever is the earliest; or
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
become re-employed before 01 January 2007, didn't make an EFE election and have
continued in that contract (without taking up another post which would have led to the
need to contractually enrol them).

For support staff this will apply to staff who have;

Previously opted out
6. Re-enrolment: E-ACT will repeat the exercise of auto-enrolment every three years from the
staging date with any eligible employee who is not a member of the Scheme at the time. This will
include employees who have opted out.
7. Opting out: Should you wish to opt out of the Scheme then teachers must contact the Teachers'
Pension Scheme via their website and support staff must contact the Local Government Pension
Scheme to obtain an opt out notice. If you wish to remain opted-out you will need to repeat this
process every three years each time you are re-enrolled into the Scheme. If you have opted out
but change your mind and wish to join the Scheme you can either wait until the next re-enrolment
date when E-ACT will enrol you, or alternatively, you must contact the Scheme administrator and
elect to opt-in.
8. Information: E-ACT will provide you with information regarding your pension and direct you to
additional sources of information on the Scheme's website. If you have been automatically
enrolled in the Scheme you will be notified in writing and provided with the following information:

the enrolment date;

details of the Scheme and contact information;

amount of contributions;

any tax relief; and

confirmation of your right to opt out and how to do so.
9. Advice: E-ACT cannot offer any advice or guidance in relation to your pension rights or
entitlements so that you must seek your own advice
10.
Personal Data: You will be asked to sign to confirm, understand and agree that E-ACT will pass
your personal details to the Scheme administrator and will maintain certain records for the purpose
of enrolment and membership of the Scheme.
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Performance Management
Policy (Teachers)
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1. Aims
1.1 The intention of this policy is to help to improve and maintain the high standards of
achievement expected in E-ACT academies and to assist teachers to develop as
professionals. E-ACT has decided to continue using the term performance management
rather than appraisal across its academies. Performance management in our academies
aims to improve performance, support morale and motivation, establish an entitlement to
professional development and ensure that teachers are able to improve their professional
practice, ensuring that all teachers have the skills and support they need to carry out their role
effectively. The process will be supportive, developmental and based on a professional
dialogue between manager and teacher.
1.2 The Capability Policy will only be used where there is clear evidence that teachers have fallen
well below the levels of competence expected of them having failed to meet agreed
performance management objectives, which includes the Teachers’ Standards.
2. Scope
2.1 Performance Management of the Principal will be carried out by the Chief Executive or his/her
nominee.
2.2 The Principal will determine who will carry out the performance management of other teaching
staff including members on the Leadership team. Reviewers will normally have line
management responsibilities for any teacher whose performance they are reviewing and will
conduct all aspects of the review, including pay recommendations, for teachers who are
eligible.
3. Setting Objectives
3.1 The LGB will ensure that all teachers and senior leaders clearly understand the activities and
dates within the performance management cycle. Objectives for each teacher will be set
before, or as soon as practicable after, the start of each performance management period.
The objectives set for each teacher will be Specific, Measurable, Achievable, Realistic and
Time-bound and will be the primary focus for the performance management review. They will
be appropriate to the teachers’ role and level of experience. The manager conducting the
process and the teacher will seek to agree the objectives but, if that is not possible, the
manager will determine the objectives. Objectives may be revised if circumstances change.
3.2 The objectives set for each teacher will, if achieved, contribute to the academy’s plans for
improving the academy’s educational provision and performance and improving the education
of pupils at that academy. This will be ensured by quality assuring all objectives against EACT Quality Standards, Academy Improvement Strategy and Strategic Plan and Teachers’
Standards.
3.3 Before, or as soon as practicable after, the start of each performance management period,
each teacher will be informed of the standards which will inform the setting of objectives and
the assessment of that teacher’s performance in that performance management period.
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4. Reviewing Performance
4.1 Observation
4.2 E-ACT believes that observation of classroom practice and other responsibilities is important
both as a way of assessing teachers’ performance in order to identify any particular strengths
and areas of development they may have and of gaining useful information which can inform
improvement more generally in Academies. All observation will be carried out in a supportive
fashion.
4.3 E-ACT expects teachers’ performance to be regularly observed but the amount and type of
classroom observation will depend on the individual circumstances of the teacher and the
overall needs of the academy. Classroom observation will be carried out by those with QTS.
In addition to formal observation, Principals or other leaders with responsibility for standards
of teaching may ‘drop in’ in order to evaluate the standards of teaching and to check that high
standards of professional performance are established and maintained. The length and
frequency of ‘drop in’ observations will vary depending on specific circumstances.
4.4 Teachers with responsibilities outside the classroom will also have their performance of those
responsibilities observed and assessed.
4.5 Development and Support
4.6 Performance Management is a supportive process which will be used to inform continuing
professional development. E-ACT wishes to encourage a culture in which all teachers take
responsibility for improving their teaching through appropriate professional development.
Professional development will be linked to the improvement priorities of the Academy and to
the ongoing professional development needs and priorities of individual teachers.
4.7 Feedback
4.8 Teachers will receive constructive feedback on their performance throughout the year and as
soon as practicable after observation has taken place or other evidence is available.
Feedback will highlight particular areas of strength as well as any areas that need attention.
4.9 Informal support in cases of perceived performance difficulties.
4.10
Where there are concerns about any aspects of the teacher’s performance the
manager leading the process will meet the teacher to:
 give clear feedback to the teacher about the nature and seriousness of the concerns;
 give the teacher the opportunity to comment and discuss the concerns;
 agree the support (e.g. coaching, mentoring, structured observations), that will be
provided to help address those specific concerns;
 make clear how, and by when, the manager leading the process will review progress (it
may be appropriate to revise objectives and it will be necessary to allow sufficient time
for improvement. The amount of time is up to the academy but will reflect the
seriousness of the concerns);
 explain the implications and process if no – or insufficient – improvement is made
4.11
When progress is reviewed , if the manager leading the process is satisfied that the
teacher has made, or is making, sufficient improvement, the performance management
process will continue as normal, with any remaining issues continuing to be addressed
through that process.
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5. Capability
5.1 If the manager carrying out the performance management process is not satisfied with
progress, after providing support as outlined above, the teacher will be notified in writing that
strategies for improvement under the performance management policy have not been
successful and that their performance will now be managed under the E-ACT Academies
Capability Policy. The underperformance must be serious and persistent despite the provision
of appropriate support.
5.2 A meeting will then be arranged with 5 working days’ notice to discuss the transition from
informal support provided as part of performance management to the formal Capability Policy.
The teacher will have the right to be accompanied by a trade union representative or work
colleague and the line manager and/or the Principal may be accompanied by HR. The
purpose of the meeting is to ensure that all possible support and circumstances have been
fully considered and explored to enable the teacher to meet the required standards before
resorting to the formal part of the Capability Process.
6. Annual Assessment
6.1 Each teacher’s performance will be formally assessed in respect of each performance
management period, the timelines of which will be set out clearly by the LGB.
6.2 This assessment will be carried out through a meeting between the designated reviewer and
teacher at the end of the annual performance management cycle. Performance and
development priorities will be reviewed and addressed during the year in interim meetings
which may for example take place in mid cycle or once a term.
6.3 The teacher will receive this as soon as practicable following the meeting at the end of each
performance management period – and have the opportunity to comment in writing on – a
written performance management report. Teachers will receive their written performance
management reports by 31 October. The performance management report will be drawn up
in discussion between the reviewer and teacher and will include:





details of the teacher’s objectives for the performance management period in question;
an assessment of the teacher’s performance of their role and responsibilities against
their objectives and the relevant standards;
an assessment of the teacher’s training and development needs and identification of any
action that should be taken to address them;
a recommendation on pay where that is relevant
an acknowledgement of any exceptional performance or contributions over and above
that required by the objectives
6.4 The written performance management report will also constitute the written planning
statement for the following performance management period and will include details of the
teacher’s objectives, other planned support and CPD provision and success criteria for that
period.
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7. Relationship with Pay Progression
7.1 Pay progression recommendations will be made in accordance with the academy’s pay policy
and will be approved by the appropriate sub-committee of the LGB.
8. Appeals
8.1 If a teacher is dissatisfied with the content or outcome of their performance management
report or any other aspect of the performance management process, they should first discuss
the matter with the designated reviewer and seek to resolve their concerns. If, following
discussion, there remains disagreement on content or outcome the teacher may appeal in
writing within five working days of the discussion, setting out at the same time the grounds for
appeal. Appeals will be heard without unreasonable delay and, where possible, at an agreed
time and place. The employee will be given five working days’ notice of the appeal
arrangements and advised of the right to be accompanied by a companion or trade union
representative will apply. As with other formal meetings, notes will be taken and a copy sent to
the member of staff.
8.2 The appeal will be heard by the Appeals Sub-committee. The member of staff will be informed
in writing of the results of the appeal hearing within five working days.
9. Monitoring and Evaluation
9.1 The LGB and Principal will monitor the operation and effectiveness of the Academy’s
performance management process arrangements.
10. Retention
10.1
The LGB and Principal will ensure that all written performance management process
records are retained in a secure place for six years and then destroyed.
11. Review of Policy
11.1
This Policy, its application and outcomes will be reviewed annually.
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Performance Management
(Support Staff)
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1.
Introduction
1.1 E-ACT recognises the importance that each individual member of staff plays in the provision
of excellent quality education for our students. We are committed to making available to all
staff high quality performance appraisal which will provide an opportunity for review,
reflection, the celebration of success and through professional development and training
opportunities assist to staff in working to a high standard and achieving their full potential.
2.
Roles
2.1 The Line Manager who is responsible for the appraisal of their staff is referred to as the
“Appraiser ” and the member of staff is referred to as the “Appraisee”.
3.
Assessment of Performance
3.1 This procedure sets out the framework for a clear and consistent appraisal of employee
performance, designed to contribute to the overall effectiveness of the Academy and the
quality of teaching and learning for students. It is intended that the appraisal discussion
provides an opportunity for reflection, review, the celebration of success and an
assessment of performance. It is also a forum for the identification of training and
development needs.
4.
Cycle for Performance Appraisal
4.1 The process for review and objective setting will link to the academic cycle of the
Academy and the Academy Improvement Plan. The appraisal meetings will take place in the
autumn term and there should be a planned mid-year review.
5.
Commitment to Professional Development and Training
5.1
Professional development and training requires the commitment of the Academy and the
employee. E-ACT is committed to providing appropriate and reasonable resources and
opportunities to enable the professional development and training of all staff working who
work for us. It is expected that staff will engage seriously with the development and training
opportunities provided. This may be delivered through coaching, mentoring, team meetings,
network meetings, training events, professional studies and e-learning. Wherever
possible these activities will be within normal contracted working hours and where staff
are asked to attend training during non- contracted ,time, such hours will be paid.
6. The Purpose and Benefits of Appraisal
6.1 The purpose of the appraisal system is to improve the performance of staff within the
Academy. This involves:
 Reviewing past performance against principal areas of accountability and previous
objectives.
 Identifying obstacles that may be affecting performance.
 Setting future objectives, both personal and operational.
 Identifying, agreeing and planning training and development needs
 Agreeing a plan of action for the future.
Appraisal discussion enables the Appraisee to:

Gain a clear picture of what is expected of them.
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





Discuss priorities and be given clear
direction.
Discuss their strengths and weaknesses and to receive feedback on their performance.
Be heard and respected.
Be offered constructive guidance on attaining agreed objectives.
Discuss their future development and training needs.
Identify any areas of difficulty and learn from past experiences.
The Appraiser will:






Gain greater insight into the way the appraisee works and performs.
Gain greater understanding of the job-holder’s potential, needs, strengths and
weaknesses.
Have an opportunity to celebrate success and motivate them for the future.
Use the opportunity to develop staff by agreeing future objectives.
Identify training and development needs, particularly for those in new or changing
circumstances.
Develop a consistent approach to guidance and encouragement.
The Academy will: 



Benefit from improved communication with staff and improved efficiency.
Have an increased ability to assess staffing needs and enhance the development of
staff.
Be able to plan and co-ordinate staff training needs.
Have a more accurate assessment of individual potential.
7. Appraisal Cycle and Meetings
7.1 Each Academy will determine locally the exact timing of the appraisal period in order to fit
with the local calendar of activity. However, it is intended that the appraisal cycle will run
from September to the end of August for each academic year and will include the following
stages:
Activity
Meeting 1:
Appraisal
meeting
Timeline
Early autumn
term
Appraiser
writes up
appraisal
report.
Shares with
appraise
Within 5
working days
of meeting
Meeting 2:
Mid-Year
Review
Appraiser
writes up
appraisal
report.
Shares with
appraise
February/March Within 5
working days
of meeting
Note: The time scale is indicative and there will be some variation between Academies
8. Preparing for the Appraisal Review Meeting
8.1 The Appraiser
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8.2 Employees will be appraised annually by their Line Manager, taking into account the need
for the Appraiser to have an understanding of the Appraisee’s duties and responsibilities. The
Principal will make the final decision in the event of any dispute
8.3 Preparing for the Meeting
8.4 Appraiser Preparation:
8.5 The Appraiser should prepare by ensuring that they have a copy of the following
documents:




Academy Improvement Plan
Job description
Previous appraisal document.
Appraisee’s Self Preparation Sheet (see Appendix 1)
8.6 The Appraiser should prepare for the appraisal meeting, by reviewing the objectives set during
the previous appraisal cycle and considering what evidence is available to demonstrate
progress.
8.7 Appraisee Preparation:
8.8 It is important for Appraisees to undertake their personal preparation for the Appraisal Review
meeting. This should include reflection on performance over the past appraisal period, - what
has gone well and what not so well? How has training and development undertaken assisted
the individual in their role?
8.9 Appraisees are encouraged to use the Appraisal Preparation Sheet shown at Appendix 1 to
assist them in their personal reflection. On completion, the Appraisee should provide the
Appraiser with a copy of the Preparation Sheet in advance of the meeting
9.
Date, time and location for meeting
9.1 The Appraisal meeting should be planned in advance. Appraisers will give at least 5 days’
notice of a review meeting to enable their Appraisee to prepare. The meeting should take place
in a confidential and quiet location, which is free from interruptions and disturbance. Sufficient
time, at least 1 hour, should be set aside for the meeting. Wherever possible this meeting
will be within normal contracted working hours and will in all circumstances be paid.
10. The Appraisal Discussion
10.1
The first part of the Appraisal Review discussion will include a reflection on the
previous year. What has gone well and could be even better? There will be a review of
progress with respect to the objectives set and a discussion about the evidence provided to
demonstrate success. Where the Appraisee has engaged in development and training
activities in the past appraisal period, there should be a discussion about what development
has taken place and how this has assisted the individual with their role.
10.2
The second part of the Appraisal discussion should focus on the future. This will
include, setting appropriate objectives (see Section 7), identifying any areas for development
or improvement and discussing what support, training and development may be required to
support the appraise in their role.
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11. Setting Objectives
11.1
Objectives should be relevant to the Appraisee’s job and link to the Academy
Improvement Plan. The scope of the objectives set should be relevant to the level and type of
role undertaken.
11.2
The number of objectives is not specified and it is good practice for this not to exceed
3. The number should be proportionate to the role. For example a lunch time supervisor
working 2 hours a day, might have one objective.
11.3
For some roles, it will be possible to link objectives to relevant professional or
occupational standards, eg HLTA standards or National College competencies for School
Business Managers
11.4
Appraisers should discuss future objectives with the Appraisee, ensuring that they
are relevant to the role and context. Objectives should be: SMART (Specific, Measureable,
Achievable, Realistic and Time bound).
11.5
It is important to discuss and determine what will be used as evidence of success.
This will assist in providing clarity at the next review stage as to whether or not the
objective has been achieved and how it has been achieved. The system of setting SMART
objectives will assist with this.
11.6
Where it is not possible to achieve agreement on the objectives, the decision
of the Appraiser (Line Manger) is final.
12. Recording the Outcome of the Appraisal Discussion
12.1
Outcome of the Appraisal
12.2
The outcome of the appraisal review and planning discussion should be recorded.
This will be a confidential record of what was discussed and proposed. This will include a
record of the objectives agreed and the success criteria aimed for. The record should also
refer to the training and development needs identified and how these might be addressed.
The Appraisee must be given an opportunity to comment on the review and the review
document.
13. Recording Outcomes
13.1
A pro-forma for recording the outcomes is available at Appendix 2. It is important that
the Appraisee and the Appraiser have a copy of the signed document.
14.
Ongoing Monitoring and Review (and mid-year review meeting)
14.1 An effective Appraiser/Line Manager should monitor and review staff performance on an
ongoing basis, providing regular feedback and encouragement.
14.2 It is also good practice to include a planned Mid-Year Review meeting. This will provide an
opportunity for a confidential discussion regarding progress with the objectives, discuss
the role and appraise performance and provide an opportunity to address any issues or
areas of concern which may have arisen. In some cases it may be necessary to adjust an
objective, discuss and seek to resolve issues and challenges and identify additional
support or training. These should be open and honest discussions with aim of ensuring that
there are no surprises at the time of the appraisal review meeting.
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15. Development and Training
15.1 The appraisal discussion should include the identification of development and training
needs and how the identified needs might be most effectively met.
15.2 All staff have a shared responsibility for their own professional development and training
and as part of this should engage fully with training and development opportunities
provided through the Academy. Development and training can be delivered through a
variety of means. For example; coaching, mentoring, team meetings, networking, working
on projects, individual reading and research, attending in-house or external training
events, studying for professional qualifications.
16. Appraisal Training and Briefing Staff
16.1 It is important that all staff with Appraiser responsibilities undertake relevant training in
order to understand the appraisal policy and procedure and to develop the skills, knowledge
and understanding to effectively undertake the appraisal planning and review meetings with
their appraise.
16.2 Academies should also ensure that staff are made aware of the Appraisal Process and
timeline, the purpose of appraisal and the expectations placed on staff to engage with and
participate in relevant development and training opportunities. Staff should be made aware
about how they will be supported if their performance is a cause for concern.
17. Confidentiality
17.1 The appraisal process will be treated as confidential and the documents are confidential to
the Appraiser, the Appraisee and the Principal (academies) and CEO (non-academy
based staff). However, this does not override the need for the CEO/ Principal/ HR
Manager to quality assure the operation and effectiveness of the appraisal system.
18. Monitoring and Evaluation
18.1 The Principal will monitor the operation and effectiveness of the Academy’s appraisal
arrangements.
 This will include the sampling of objectives to ensure that they link to Academy
priorities, are SMART and are appropriate for the role and level of the member of staff.
 The provision of an annual report to the LGB on the appraisal process and its impact
on Academy performance. The report should also identify the overall development and
training priorities that have been identified.
19. Retention of Records
19.1
Paper and electronic appraisal records will be retained in accordance with E-ACTs
Data Protection Principles Policy Appraisal records will be shared with new employers, if
requested, with the agreement of the employee.
20. Equal Opportunities
20.1
E-ACT is committed to ensuring consistency of treatment and fairness and will
abide by all relevant equality legislation. This policy will operate in accordance with the
Trust’s Equality and Diversity.Policy
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21. Appeals
21.1
Where an Appraisee is dissatisfied with the Appraisal Process or the Appraisal
Report, the expectation is that they should first seek to resolve their concerns with the
Appraising Manager directly within 10 days of receiving their Appraisal Report. Should this
not be possible , the Appraisee may appeal in writing to the Principal.
21.2
Appeals will be heard by a more senior manager. If the member of staff reports
directly to the Principal the Appeal may be made to a member of the LGB assisted by an
Human Resources advisor . The Appraisee has the right to be accompanied at an Appeal
hearing by a union or work colleague.
21.3
The Appeal Hearing will be arranged as quickly as possible and within 15 working
days of receipt of the employee’s written appeal and will take into account the flexibility
required for all parties to attend.
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Appendix 1
SUPPORT STAFF PERFORMANCE APPRAISAL – STAFF PREPARATION SHEET
Name:
Date:
These questions are pointers to help you think about your performance – past, present and future
in advance of your Appraisal meeting with your Line Manager. They may assist you to structure
your thoughts about past performance and future activities and enable you to be clear about the
things you would like to discuss. You may choose to share this form with your Line Manager in
advance of your Appraisal meeting if you would like to. Alternatively, bring it with you as an aid to
your discussion.
The past 12 months
1. What have been my achievements over the last year?
2. Where do I feel I have been most successful?
3. Where do I feel I have been least successful?
4. What development and training have you engaged with in the last year and how has this
helped you?
The next 12 months
1. What do I think are the most important tasks and priorities to be achieved in the coming
year?
2. What constraints or obstacles might prevent their achievement and in what way might they
be overcome?
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Appendix 2
Example Appraisal Report
Name:
Job title:
Reviewer:
Date of Review meeting:
1. Note the employee’s comments on what has gone well in the past year and any aspect that has
been difficult.
2.
Review of Objectives set in past period:
Objective:
3.
Progress:
Objective met/partially
met/not met:
Note your discussion about challenges or areas of improvement for the coming year.
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4.
Objectives for the coming year:
Objective:
Evidence of Success:
Note of any Training and
Development needed to
support the achievement of
the objective
5. Comment on the total performance of the employee, including the achievement of
individual objectives
6.
Comments from the job holder
Job holder signature:
Appraiser signature:
Date
Date
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Capability Policy and
Procedure
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1.
Introduction
1.1 This procedure applies only to staff about whose performance there are serious
concerns that the performance management process has been unable to address. The
procedure reflects the ACAS Code of Practice on disciplinary and grievance procedures
and E-ACT’s governance arrangements. The procedure applies to all E-ACT
employees.
1.2 The E-ACT Director of HR or his/her nominee reserves the right to attend any meetings
held in relation to any of the procedures outlined below. They must also be invited to
attend the Decision Meeting. This will ensure that advice is available on procedural
issues and any employment legislation matters.
2.
Transition from Performance Management
2.1 The Capability Procedure covers all staff within E-ACT Academies. Where the term
“performance management process” is used in this document, the reference is to either
the formal performance management policy as that applies or, for those staff not
covered by such a formal policy, the reference is to normal supervisory day-to-day
processes that are expected to be in place. In either case, the transition phase must be
covered before formal capability procedures can be started.
2.2 If the manager carrying out the performance management process has not been
satisfied with progress, the member of staff will have been notified in writing that
strategies for improvement under the performance management procedure had not
been successful and that their performance would now be managed under the E-ACT
Capability Procedure. The underperformance must have been demonstratively serious
and persistent despite the provision of appropriate support.
2.3 A meeting will have taken place to discuss the transition from informal support provided
as part of performance management to formal capability procedures. The member of
staff would have had the right to be accompanied by a trade union representative or
colleague. The purpose of the meeting would have been to ensure that all possible
support and circumstances had been fully considered and explored to enable the
member of staff to meet the required standards before resorting to the formal part of the
capability procedures.
3.
Formal capability meeting
3.1 At least five working days’ notice will be given of the formal capability meeting. The
notification will contain sufficient information about the concerns around performance
and their possible consequences to enable the member of staff to prepare to answer the
case at a formal capability meeting. It will also contain copies of any written evidence,
the details of the time and place of the meeting, and will advise the teacher of their right
to be accompanied by a companion who may be a colleague, a trade union official or a
trade union representative.
3.2 This meeting is intended to establish the facts. It will be conducted by the Principal or
his/her nominee. The meeting allows the member of staff, accompanied by a companion
if they wish, to respond to concerns about their performance and to make any relevant
representations. This may provide new information or a different context to the
information/evidence already collected.
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3.3 The person conducting the meeting may conclude that there are insufficient grounds for
pursuing the capability issue and that it would be more appropriate to continue to
address the remaining concerns through the performance management process. In
such cases, the capability procedure will come to an end. The person conducting the
meeting may also adjourn the meeting if they, for example, decide that further
investigation is needed, or that more time is needed in which to consider any additional
information.
3.4 In other cases, the meeting will continue. During the meeting, or any other meeting
which could lead to a formal warning being issued, the person conducting the meeting
will:
 identify the professional or work shortcomings, for example, which of the standards
expected are not being met;
 give clear guidance on the improved standard of performance needed to ensure that
the member of staff can be removed from formal capability procedures (this may
include the setting of new objectives focused on the specific weaknesses that need to
be addressed, any success criteria that might be appropriate and the evidence that
will be used to assess whether or not the necessary improvement has been made);
 explain any support that will be available to help the member of staff improve their
performance;
 set out the timetable for improvement and explain how performance will be monitored
and reviewed. The timetable will depend on the circumstances of
the individual case but in straightforward cases could be between four and ten weeks.
The period set should be reasonable and proportionate, but not excessively long, and
should provide sufficient opportunity for an improvement to take place; and
 warn the member of staff, formally, that failure to improve within the set period could
lead to further action under this Policy up to and including dismissal. In very serious
cases, this warning could be a final written warning which would invoke an
assessment period not exceeding six weeks.
3.5 Notes will be taken of formal meetings and a copy sent to the member of staff. Where a
warning is issued, the member of staff will be informed in writing of the matters covered
in the bullet points above and given information about the timing and handling of the
review stage and the procedure and time limits for appealing against the warning.
4.
Monitoring and review period following a formal capability meeting
4.1 A performance monitoring and review period will follow the formal capability meeting.
Formal monitoring, evaluation, guidance and support will continue during this period.
The member of staff will be invited to a formal review meeting, unless they were issued
with a final written warning; in which case, they will be invited to a decision meeting (see
below). If at any point during this stage the evidence suggests a more serious problem,
a decision may be taken to move directly to a final written warning.
5.
Formal review meeting
5.1 As with formal capability meetings, at least five working days’ notice will be given and
the notification will give details of the time and place of the meeting and will advise the
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member of staff of their right to be accompanied by a companion who may be a
colleague, a trade union official, or a trade union representative.
5.2 If the person conducting the meeting is satisfied that the member of staff has made
sufficient improvement, the capability procedure will cease and the performance
management process will re-start. In other cases:
 If some progress has been made and there is confidence that more is likely, it may be
appropriate to extend the monitoring and review period;
 If no, or insufficient improvement has been made during the monitoring and review
period, the member of staff will receive a final written warning.
5.3 As before, notes will be taken of formal meetings and a copy sent to the member of
staff. The final written warning will mirror any previous warnings that have been issued.
Where a final warning is issued, the member of staff will be informed in writing that
failure to achieve an acceptable standard of performance (within the set timescale), may
result in dismissal and given information about the handling of the further monitoring and
review period which will include a final evaluation meeting and the procedure and time
limits for appealing against the final warning. Where performance remains
unsatisfactory, the member of staff will be invited to a decision meeting.
6.
Power to dismiss
6.1 The Local Governing Body (LGB) is a committee of E-ACT. The LGB is responsible for
setting out disciplinary rules and procedures for staff, in the context of any procedures
and/or guidance issued by the E-ACT Board, however, they may delegate these
matters, including the power to dismiss to either:



7.
The Principal;
A sub-committee of the LGB; or
A sub-committee and the Principal.
Decision meeting
7.1 As with formal capability meetings and formal review meetings, at least five working
days’ notice will be given and the notification will give details of the time and place of the
meeting and will advise the member of staff of their right to be accompanied by a
companion who may be a colleague, a trade union official, or a trade union
representative.
7.2 If an acceptable standard of performance has been achieved during the further
monitoring and review period, the capability procedure will end and the performance
management process will re-start. If performance remains unsatisfactory, a decision will
be made that the member of staff should be dismissed.
7.3 The member of staff will be informed as soon as possible of the reasons for the
dismissal, the date on which the employment contract will end, the appropriate period of
notice and their right of appeal.
8. Appeal
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8.1 If a member of staff feels that a decision to dismiss them, or other formal action taken
against them, is wrong or unjust, they may appeal in writing against the decision within
five days of the decision, setting out at the same time the grounds for appeal. Appeals
will be heard without unreasonable delay and, where possible, at an agreed time and
place. The same arrangements for notification and right to be accompanied by a
companion will apply as with formal capability and review meetings and, as with other
formal meetings, notes will be taken and a copy sent to the member of staff.
8.2 The appeal will be dealt with impartially and, wherever possible, by managers or
governors who have not previously been involved in the case. The member of staff will
be informed in writing of the results of the appeal hearing as soon as possible.
9. General principles underlying this policy
9.1 ACAS Code of Practice on Disciplinary and Grievance Procedures
The policy will be implemented in accordance with the provisions of the ACAS Code of
Practice.
9.2 Confidentiality
The capability process will be treated with confidentiality. However, the desire for
confidentiality does not override the need for the Principal and LGB to quality-assure the
operation and effectiveness of the performance management process system.
9.3 Consistency of treatment and fairness
E-ACT is committed to ensuring consistency of treatment and fairness. It will abide by all
relevant equality legislation, including the duty to make reasonable adjustments for disabled
staff. The LGB is aware of the guidance on the Equality Act issued by the Department for
Education.
9.4 Grievances
Where a member of staff raises a grievance during the capability procedure, the capability
procedure may be temporarily suspended in order to deal with the grievance. Where the
grievance and capability cases are related, it may be appropriate to deal with both issues
concurrently.
9.5 Sickness
If long term sickness absence appears to have been triggered by the commencement of
monitoring or a formal capability procedure, the case will be dealt with in accordance with EACT’s Absence Management policy and will be referred immediately to the occupational
health service to assess the member of staff’s health and fitness for continued employment
and the appropriateness or otherwise of continuing with monitoring or formal procedures.
9.6 Monitoring and Evaluation
The LGB and Principal will monitor the operation and effectiveness of the Academy’s
performance management process arrangements.
9.7 Retention
The LGB and Principal will ensure that all written performance management process records
are retained in a secure place for six years and then destroyed.
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Sample Letters
1. LETTER OF INVITATION TO A MEETING TO DISCUSS TRANSITIONS FROM
INFORMAL SUPPORT AS PART OF PERFORMANCE MANAGEMENT TO FORMAL
CAPABILITY
Date
Dear
I would like to invite you to a meeting with (Principal or SLT member) at (time, venue) on
(date) to discuss your progress following the implementation of the following strategies for
improvement under performance management :
List strategies which have been put in place
You have the right to be accompanied by a work colleague or trade union representative.
The purpose of the meeting is to ensure that all possible support and circumstances have
been fully considered to enable you to reach the standards required in this academy, before
moving to the formal part of the capability procedure.
Please confirm your attendance and whether you will be accompanied.
Yours sincerely
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2. LETTER OF INVITATION TO FORMAL CAPABILITY MEETING
Date
Dear
I would like to invite you to a formal capability meeting on (date and time) with (Principal or
SLT member) at (venue).
Since concerns were raised with you on (date) the following strategies and interventions
have been put in place to help you to reach the standards required in (academy name):
List all intervention, training and meetings and attach any written evidence to support the
case.
A formal period of review, monitoring, evaluation, guidance and support will be agreed at the
meeting or you may be invited to a formal review meeting where a final written warning may
be issued.
You have the right to be accompanied by a work colleague or trade union representative.
Please confirm your attendance and whether you will be accompanied
Yours sincerely
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3. OUTCOME OF FORMAL CAPABILITY MEETING
Date
Dear
Outcome of Formal Capability Meeting/Decision Meeting
Following the formal capability meeting held on..........................................(date), I write to
confirm that I/the panel has determined that:
You have failed to show sufficient improvement and a further period of monitoring with the
following support will be put in place until ...............(date)
Or
You have failed to show sufficient improvement and a further period of monitoring with the
following support will be put in place until ...............(date) and it has been decided to issue
you with a final written warning which will remain on your file for two years
Or
You have shown sufficient improvement and you will be monitored until further notice to
ensure that the improvement is sustained/ your performance is no longer of concern to the
Academy and there will be no further action under capability.
Or
Following the lack of improvement in the period following the formal capability meeting I
regret to inform you that the I/Panel have decided to dismiss you on the grounds of
capability. You will receive pay in lieu of notice and your last day of service will be....(date)
If you wish to appeal, you must do so in writing stating the grounds of appeal within 5
working days of the date of this letter.
If there is any aspect of this letter you do not understand or on which you require further
clarification, please contact me.
As acknowledgement of this letter, please sign and return to me the enclosed copy within 5
working days. Failure to return the copy does not invalidate either the duration of the
warning, the length of time it will remain on your file or any possible subsequent capability
procedures.
Yours sincerely
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4. INVITATION TO APPEAL
Date
Dear
Appeals Sub-Committee Hearing
In response to your letter of...............................(date) stating that you wish to appeal against
the decision of the Principal/Panel notified to you on ................(date), I write to inform you
that the appeal hearing will be held at...........(time) on ...............(date) in
..........................(venue).
During the hearing you have the right to be accompanied by your trade union representative
or work colleague.
I enclose/will forward copies of the documents to be presented to the appeal panel. If you
wish to submit any new papers please send these to me by.....................
The names of those who will be hearing your appeal are ............................................(names)
As acknowledgement of receipt of this letter, please sign and return to me the enclosed
copy. Failure to return the copy does not invalidate the proceedings of the appeal hearing.
Yours sincerely
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5
OUTCOME OF APPEAL HEARING
Date
Dear
Outcome of appeal hearing
Following the appeal hearing held on.........................................(date) attended by
..............................(names), I write to inform you of the outcome of the hearing.
On the evidence presented to the Appeals Sub-Committee, it was found
that........................(it is important to detail the findings of fact and reasons for reaching the
decision).
On the evidence presented to the Panel it was decided that:
the decision made by the Principal/Panel is upheld and your dismissal is confirmed
or
the decision made by the Principal/Panel is upheld but that the sanction imposed will remain
or be reduced to.....................................................................
or
the Appeals Sub-Committee decided not to uphold the decision of the Principal/Panel.
Therefore no further action will be taken and the matter is closed.
The decision of the Appeals Sub-Committee is final.
Yours sincerely
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Procedure for dismissing teachers under
capability procedures
Final warning
followed by
monitoring & review
Transition
meeting
from PM to
formal
capacity
5 days
notice
Formal
capability
meeting
+
Decision
meeting
1st warning followed
by monitoring &
review period
6-13 weeks
Formal review
meeting
+
Final warning
followed by
further
monitoring
and review
period
6-13 weeks
Decision
meeting
=
13-27 weeks
Note: The timings given above are illustrative only and are offered as minimum periods,
which will be appropriate only in straightforward cases. Academies will need to tailor the
length of their monitoring and review periods to suit individual circumstances.
Procedure for support staff under capability
procedure
Final warning
followed by
monitoring & review
Informal
meetings
Action plan
Formal
capability
meeting
Decision
meeting
1st warning followed
by monitoring &
review period
Formal review
meeting
Formal
stage
5 days
notice
+
6-13 weeks
+
Final warning
followed by
further
monitoring
and review
period
6-13 weeks
Decision
meeting
=
13-27 weeks
Note: The timings given above are illustrative only and are offered as minimum periods,
which will be appropriate only in straightforward cases. Academies will need to tailor the
length of their monitoring and review periods to suit individual circumstances.
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Grievance Policy and
Procedure
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1. Introduction
E-ACT is committed to creating a positive working environment. It is recognised, however,
that there may be occasions where an employee may wish to raise a concern, problem or
complaint arising out of his or her employment. On many occasions the issue will be
resolved quickly and informally but when this is not possible a formal procedure is available.
2. Purpose
This policy aims to:





Enable any employee to have a legitimate grievance heard;
Resolve grievances quickly and equitably;
Determine grievances as close to their source as possible;
Encourage a harmonious working environment;
Promote sound employment practice;
3.
Governance
The Local Governing Body (LGB) is a committee of E-ACT. The LGB is responsible for
setting out disciplinary and grievance rules and procedures for staff, however, they may
delegate these matters to either:



the Principal;
a sub-committee of the LGB;
a sub- committee and the Principal;
Therefore, where this procedure refers to the LGB representative this can be any one of the
above.
4.
Scope
This procedure applies to all employees of E-ACT Academies. It is not a substitute for good
employment practices, and every effort should be made by all parties to resolve grievances
in a fair and just manner at the earliest opportunity without invoking this procedure.
Where the procedure has been invoked all parties should still make every effort to ensure
the grievance is resolved in a fair and just manner.
5.
Equal Opportunities
The grievance procedure must always be applied fairly and in accordance with employment
law and E-ACT Diversity and Equality Policy.
6.
Responsibilities
Management and employee representatives who may be involved in grievance matters
should be competent for the task. They should be familiar with the provisions of the
grievance procedure, and know how to conduct or represent at grievance hearings.
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7.
Timing
Grievance matters should normally be conducted within the timescales laid down in the
procedure. However, if there is a valid reason to do so, timescales can be varied where
possible. If this is initiated by management, the employee should be given an explanation
and informed when a response or meeting can be expected.
All efforts should be made by employees to attend meetings that constitute part of this
procedure. When there are valid reasons to reschedule meetings then these should be
rearranged without undue delay.
8.
Informal Stage
An employee should first raise a grievance orally with their immediate manager. If the
grievance relates to the employee’s immediate manager, or member of the SLT or Principal,
the formal stage of the grievance procedure may be invoked immediately.
The manager will normally meet the employee to discuss the grievance within 5 working
days of receipt of the complaint. A decision will be communicated to the employee within a
further 5 working days of this meeting, normally orally. The manager should keep a written
record of the matter.
In certain circumstances it may, with mutual agreement, be helpful to seek external advice
and assistance during the grievance procedure. For instance, where relationships have
broken down, referral to the Employee Assistance Programme or an external facilitator
might be able to help resolve the problem.
If, following the informal stage, the employee remains aggrieved, or where the manager has
failed to respond to the employee’s concerns despite a written request to do so, they may
progress to the next stage of the procedure. This must be done by writing to the Principal,
giving full details of the complaint, and the redress required within 5 working days of
notification of the immediate managers decision.
9.
Formal Hearing
As delegated by the LGB the person(s) hearing the grievance will write to the employee,
giving details of the hearing, which will normally take place within 10 working days of receipt
of the grievance
A representative from E-ACT may also attend to advise on procedural matters and matters
of precedent. The employee will be entitled to be accompanied by a trade union
representative or a work colleague
The LGB representative may arrange for a preliminary investigation to be conducted prior to
the hearing, and may decide to adjourn the hearing, for up to 10 days, in order to conduct
further investigations.
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The LGB representative will communicate their decision in writing to the employee within 5
working days of the hearing. The employee must be notified of their right to appeal within 10
working days of the decision.
10.
Appeal Sub-Committee
Appeals will be heard by the Appeals Sub-Committee. Appeals against grievance decisions
will usually be considered in relation to one or more of the following grounds:
(i)
(ii)
(iii)
The Procedure – the grounds of appeal should detail how procedural
irregularities prejudiced the grievance decision.
The Facts – the grounds of appeal should detail how the facts do not support
the decision or were misinterpreted or disregarded. They should also detail
any new evidence to be considered.
The Proposed Action – the grounds of the appeal should detail how the
proposed action is inappropriate given the circumstances of the case.
The Clerk to the Governors will write to the employee, giving details of the appeal hearing,
which will normally take place within 15 working days of receipt of the employee’s appeal.
The letter will inform the employee of their right to be accompanied at the appeal hearing by
a trade union representative or work colleague
The Chair will communicate the decision, which will be final, in writing to the employee within
5 working days of the appeal hearing.
11.
Collective Grievances
In circumstances where a grievance is raised by or on behalf of more than one person, the
details of the grievance must be set out in writing and signed by all who are party to the
grievance. The employees should nominate one person to represent the group, in most
cases this will be the trade union representative or trade union representatives where the
employees involved are members of more than one trade union.
12.
Review
This policy will be reviewed every two years in consultation with the recognised trade unions.
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Informal Grievance Procedure Process
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Formal Grievance Procedure Process
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Appendix A: Model Invitation Letter to a Formal Grievance Hearing
Date........................
Dear ......................................
Formal Grievance Hearing
Following receipt of your letter dated............ in which you raised the following concerns
under the Academy’s grievance procedure (list concerns):
I would like to invite you to attend a formal grievance hearing which will be conducted by
name of person(s) delegated by the LGB.............................will attend in order for us to
address the issues and ...............will be taking notes.
You have the right to be accompanied by your trade union representative or a work
colleague.
If there is any aspect of this letter, that you do not understand, please contact me.
Yours sincerely
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Appendix B: Model Letter Stating Outcome of Formal Grievance Hearing
Date................
Dear.......................
Outcome of Formal Grievance Hearing
Following the formal grievance hearing held on .......................................(date), I write to
confirm that I/the panel has decided to :
uphold your grievance (add any recommendations and any redress) and confirm information
also provided to the Principal
or
not to uphold your grievance because (give reasons and include any recommendations)
You have the right to appeal against this decision. If you wish to appeal, you must do so
within 10 working days of the date of this letter.
If there is any aspect of this letter, you do not understand or on which you require further
clarification, please contact me.
Yours sincerely
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Appendix C: Model Letter Notifying and Appeal Hearing
Date........................
Dear .......................
Appeals Sub-Committee Hearing
In response to your letter of ..............................(date) stating that you wish to appeal against
the outcome of the formal grievance hearing notified to you on ..................(date), I write to
inform you that the appeal hearing will be held at ............(time) on..................(date)
in.......................(venue).
During the hearing you have the right to be accompanied by your trade union representative
or work colleague.
The names of those who will be hearing your appeal
are..........................................................(names)
Yours sincerely
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Appendix D: Model Letter Stating Outcome of Appeal Hearing
Date.......................
Dear..........................................
Outcome of appeal hearing
Following the appeal hearing held on .....................................................(date) attended by
...........................(names), I write to inform you of the outcome of the hearing.
On the evidence presented to the Appeal Panel, it is found that..................................(give
findings)
The Appeal Panel has, therefore, decided that:
the outcome of the grievance hearing was correct, therefore, the matter is now closed
or
the outcome of the grievance hearing is not upheld and the Appeal Panel recommend
...................(give recommendations) the Principal has also been informed of these
recommendations
The decision of the Appeal Panel is final.
Yours sincerely
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Sickness Management
Policy
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Part 1: General Policy
1. Introduction
E-ACT is committed to creating a positive working environment. Employees who are absent
from work due to sickness need to be treated with consideration and respect. In particular,
Principals and managers should make every effort to assist staff in their recovery and return
to work. The needs of the individual suffering from sickness must however be balanced
against the needs of the Academy and the pupils.
2.
Purpose
This policy is intended to support staff and enable managers to manage sickness absence in
a way, which is fair and consistent and complies with employment and education legislation.
3.
Governance
The Local Governing Body (LGB) is a Committee of E-ACT. The LGB is responsible for
setting out capability rules and procedures for staff, however, they may delegate these
matters to either:



The Principal;
A sub-committee of the LGB; or
A sub- committee and the Principal.
Therefore, where this procedure refers to the LGB representative, this can be any one of the
above. The Director of HR or his/her nominee may attend any meetings or hearings held as
part of this procedure.
4.
Scope
This procedure applies to all permanent and fixed term employees who have satisfactorily
completed their probationary period.
Other staff will be reviewed in the light of their actual attendance.
The general principles for resolving absence problems are the same for teaching and
support staff. The HR Department at E-ACT can be contacted for advice in more complex
situations.
5.
Equal Opportunities
The absence management procedure must always be applied fairly and in accordance with
employment law and Academy’s Diversity and Equality Policy.
Sickness absence may amount to a disability under the Equality Act 2010. Where this is a
possibility, specialist advice should be obtained (e.g. from Occupational Health and HR) and
reasonable adjustments to the individual’s working systems or environment that may be
appropriate should be considered. Under the legislation, employers have a duty to make
‘reasonable adjustments’ where any aspect of working arrangements (including premises)
places a person with a disability at a substantial disadvantage.
It is acknowledged that disability is by no means generally synonymous with sickness or
absence from work, however, guidance recognises that some people with a disability will
have conditions, which are from time to time relevant in terms of sickness absence
management.
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The legislation defines a person with a disability as a person with a physical or mental
impairment, which has a substantial and long-term adverse effect on their ability to carry out
normal day-to-day activities.
6.
Confidentiality
Information about sickness absence must be handled carefully and in accordance with the
Data Protection Act 1998 to ensure that sensitive details remain confidential.
7.
Responsibilities
The LGB is responsible for maintaining fair, consistent and objective procedures for matters
relating to staff sickness absence.
The Principal is responsible for the management of the policy in their Academy.
E-ACT has a duty of care to all its employees and may decide to involve Occupational
Health at any point where there is a cause for concern.
8.
Reporting Procedures
It is important that all staff absent from work due to sickness follow the Academy’s local
procedure for reporting sickness absence. Any persistent failure to follow the procedure by
an individual could result in the disciplinary procedure being invoked at the LGB
representative’s discretion.
If an employee provides false evidence of incapacity or if an absence is not notified or a valid
reason for absence is not given, it will be dealt with through the E-ACT Disciplinary
Procedure.
9.
Time Off to Attend Medical Appointments
Line managers will allow employees paid time off to attend appointments with their doctor,
dentist, optician or medical specialist and health checks (i.e. Well Man or Well Woman)
during working hours, where these are supported by an appointment card or letter. This is
not recorded as sickness absence. Appointments should be made whenever possible at the
beginning or end of the working day to minimise absence in work time. Term time only staff
are expected to arrange none urgent appointments when the Academy is closed.
10.
Sick Pay and Entitlement
The sick pay and sick leave terms and conditions for employees are as outlined in their
contracts of employment.
11.
Sickness During Holidays
If employees are sick on a public holiday they will not qualify for time off in lieu at a later
date.
If all year round employees are sick whilst taking annual leave, the absence will be classified
as sickness subject to the following criteria:
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

12.
The line manager must be informed at the time of sickness and not after the
period of annual leave; and
A Doctor’s medical certificate must be produced regardless of the length of the
absence.
Support
All employees have access to the Employee Assistance Programme.
All employees can also contact their unions/professional associations for support.
13.
Breaches of the Absence Management Policy
Breaches of the absence management policy or procedure will be dealt with under the
disciplinary procedure. Examples of conduct that may be subject to disciplinary action are:
 Unsatisfactory attendance;
 Taking part in activities that are inconsistent with the cause of absence or
prejudicial to recovery; and
 Failing to comply with the requirements of the Absence Management Policy
and Procedure.
Examples of offences that may be regarded as gross misconduct and could result in
summary dismissal are:
 Making a false claim of incapacity for work due to sickness;
 Altering the contents of medical certificates; and
 Carrying out other employment whilst on sick leave without permission.
Please note that the above list is not exhaustive.
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Part 2: Short-term Absence Management
1.
Occasional short-term sickness
It is good practice for the line manager to hold a return to work discussion with an employee
after every period of short-term absence, no matter how short. This is to ensure that the
employee is fit to return to work, to ask if the Academy needs to take any action to aid the
return to work, as well as to ensure that the relevant certification has been
received/completed.
The manager should document all stages of the procedure.
2.
Repetitive and persistent short-term sickness
Cases of repetitive and persistent short-term sickness need handling in a reasonable and
fair way, but prompt and consistent treatment are essential in order to demonstrate to both
the employee concerned and other employees that repetitive and frequent absence is
regarded as a serious matter.
It is expected that if there is any concern about absences, it should be expressed informally
to the employee at an early stage. This is best dealt with during a return to work discussion
and appropriate advice and support offered as necessary. This should usually occur if there
is a pattern of frequent short-term absence that is considered unsatisfactory and as having a
damaging effect on the pupils’ learning.
In most cases, an informal discussion at a return to work meeting will suffice and the level of
attendance will improve. However, in those circumstances where an employee’s attendance
is unsatisfactory, the formal procedure should be invoked.
Sickness management procedures should be considered whenever an employee meets any
of the following conditions:



Seven days absence within any rolling twelve month period (pro-rata for part
time staff);
Three separate absences within any six month period; or
When a combination of odd days, or longer periods and patterns of absence
causes concern.
The line manager needs to use their discretion and consider individual circumstances when
making a decision as to the particular stage at which the problem should be addressed
through an Attendance Review meeting (see below). If s/he is in doubt as to whether an
individual’s sickness levels warrants informal or formal action, s/he should consult HR for
guidance.
3.
Attendance Review Meeting
A confidential informal meeting between an appropriate manager, and employee should be
arranged as soon as the employee’s manager identifies a short-term sickness problem.
The aims of the Attendance Review Meeting are to:


Signal that the employee’s time off is a cause for concern;
Allow the employee to provide information about any medical problem;
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

Allow the employee to explain other causes of absence; and
Identify any appropriate support for the employee.
A discussion should take place between the appropriate manager and the employee to
register concern about the level of short-term absences, explore reasons for them and seek
an explanation from the employee. If an underlying medical problem is suspected, the
individual should be referred to an Occupational Health Specialist. If there are no underlying
reasons identified for the absences, assurance about a sustained improvement in
attendance pattern should be established. The outcome of the meeting should be recorded
in a report.
Where appropriate, support should be offered in the form of assistance with making
arrangements for treatment or temporary adjustments to working hours.
After this meeting, the employee should be allowed reasonable time to show improved
attendance. This monitoring period should be for a period of up to three months*, although
there may be some occasions where a longer monitoring period will be reasonable and
date(s) for review established.
* In some circumstances the monitoring period may be less than 3 months
4.
First Formal Review Meeting
Where the individual’s attendance record does not improve sufficiently after the Attendance
Review Meeting, a member of the SLT or another appropriate senior manager should
arrange a first formal review meeting.
The employee should be given ten working days notice of the review and advised of their
right to be accompanied by a trade union representative or work colleague at the meeting.
The aims and purpose of the first formal review meeting is to:








Continue to discuss the employee’s sickness absence;
Identify reasons for the lack of improvement;
Agree that the employee be referred or re-referred to an Occupational Health
Specialist, where appropriate, to establish whether there are any medical or
work-related reasons for the employee’s absences;
Discuss any steps which the Academy’s management might take in order to
help the employee;
Advise the employee of the employment implications of their absence;
Check the potential for redeployment (although this will rarely be appropriate
for persistent short-term sickness);
Warn the employee that if there is not significant sustained improvement, a
second formal review meeting or contractual review meeting will take place.
The employee may be given notice (normally up to three months) of the second
review meeting or contractual review meeting at this stage, or at a later stage
during the monitoring period, which may be up to one year in duration; and
Inform the employee that their attendance will be closely monitored for a
specified period
The outcome of the first formal review (which may involve the issue of a first or final written
warning) should be confirmed in a letter to the employee written by the member of the SLT,
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within five working days of the meeting. Where appropriate the manager may decide to
reconvene the first formal review meeting in order to consider further evidence and advice.
Referrals to the Occupational Health Specialist are undertaken in parallel with any formal
action.
If the employee does not give consent for an approach to an Occupational Health Specialist
or the medical advice proves inconclusive, the employee should be seen have a further
meeting with the appropriate manager. During this discussion, the employee must be told
what level of improvement in attendance is required and warned of the likely consequences
if no improvement is made.
If, following a referral to the Occupational Health Specialist, no underlying reasons have
been identified and there is still no or insufficient improvement made, the Academy should
consider the following points whilst deciding further appropriate action:





5.
The employee’s length of service;
The employee’s performance whilst in service;
The possibility of seeing a change in the employee’s attendance;
The availability of alternative work considered suitable for the employee; and
The effect of past and future absences on the Academy.
Second Formal Review Meeting
Where the individual’s attendance record does not improve sufficiently after the first formal
review meeting and/or the issue of a first written warning, a member of the SLT or another
appropriate senior manager should arrange a second formal review meeting.
The second formal review meeting will follow the format of the first formal review meeting
(paragraphs 4.2-4.7 above).
An outcome of the second formal review may be to issue a final or further written warning.
6.
Contractual Review Meeting
Where an employee’s attendance record does not improve sufficiently following the second
review meeting and/or the issue of a first or second written warning, a contractual review
meeting should be rearranged. By this stage, the employee will have been given every
opportunity to improve attendance to an acceptable level. If all efforts have failed, the
Academy has a duty to consider termination of the contract of employment on the grounds
that the employee is unable to meet their contractual obligations to work.
The Academy must clearly emphasise the fact that the employee has been given a chance
to improve their attendance by allowing a reasonable period of time between the first formal
review and the contractual review.
A letter should be sent to the employee, giving them ten working days notice of the
Contractual Review Meeting, and also advised of their right to be accompanied by a
recognised trade union Representative or work colleague. The letter should also outline the
employee’s sickness record to date and inform them that as a result of the review, a decision
may be made to terminate their contract of employment.
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The LGB will delegate a person(s) to hear the case who may invite advisers as appropriate
but should include the Director of HR or his/her nominee if dismissal may be an outcome.
The purpose of the Contractual Review Meeting is to:


Consider medical evidence where it is available or appropriate. Should the
employee wish the Chair of the meeting to consider additional evidence e.g.
further medical reports, this should be supplied to him/her at least five working
days before the Contractual Review Meeting; and
Consider possible ways to improve the employee’s attendance. The Chair may,
if appropriate, defer any decision to terminate the employment contract, in
order to seek further advice.
However, if the Chair is satisfied that the employee is unfit to carry out the duties for which
s/he is employed and is unable to sustain an acceptable level of attendance, a determination
to dismiss the employee will be made on the grounds of incapability. The employee must be
informed in writing of the outcome of the contractual review meeting within five working days,
and advised of their right to appeal against dismissal. Appeals must be made in writing
stating the grounds for the appeal and lodged with the Principal within ten working days of
the written outcome of the contractual review.
7.
Appeal
Appeals will be heard by the Appeals Sub-Committee of the LGB. Appeals must be made in
writing to the Principal within ten working days of receipt of the written outcome of the
Contractual Review Meeting and state the grounds for the appeal.
The Principal will then write to the employee, giving details of the Appeal Hearing, which will
normally take place as soon as possible on receipt of the employee’s written appeal. The
employee will be advised in writing of their right to be accompanied at the Appeal Hearing by
a trade union representative or work colleague.
A quorum of the Appeals Panel will be three.
The Chair will then communicate the decision, which will be final, in writing to the employee
within ten working days of the Appeal Hearing.
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Part 3: Managing long-term absence (Or regular absence covering substantial
periods)
1.
Informal contact
Where an employee has been absent from work due to sickness and this extends into a
second continuous week, the line manager must make every effort to make contact with the
employee, in order to establish the current situation. This should be done in a sensitive
manner, giving due consideration to the employee’s well being. At this point, the frequency
of contact should be discussed and agreed with the employee. It is advised that this should
be approximately every two weeks, unless circumstances dictate otherwise. Moreover, it is
important to keep a record of the contact (including attempted contact) on every occasion.
2.
Formal contact
Long term sickness absence will normally be characterised by an underlying medical
condition resulting in continual absence of 20 working days or more. However, alternatively,
if the absence is shorter but of a serious nature or covers a briefer period but is one of a
series of absences suggesting a possible deep-rooted problem, the manager should make
arrangements for a referral to Occupational Health.
Where sickness absence monitoring indicates a long term absence of more than 4 weeks or
a development of a long term health problem, the manager should refer the member of staff
to Occupational Health, in order to:




Establish the state of the employee’s health;
Offer assistance and support to the employee, and
Obtain an opinion on the likelihood of a sustained return to work.
Consider any recommendations under the Equality Act 2010.
The employee must be informed of the referral to Occupational Health. A letter, telephone
call or home visit by the appropriate manager may be necessary to allay any concerns the
employee may have. This must be done sensitively and home visits should only be
undertaken by mutual consent. The main aim is to maintain contact with the employee and
allay any concerns the employee may have.
If it appears likely that the employee will be absent for a considerable period of time or when
a terminal illness has been diagnosed, the manager will need to assess the situation with the
Principal or his/her nominee. In either circumstance, it may be that no further action will be
necessary, except for maintaining a reasonable level of contact with the employee.
The Director of Finance or his/her nominee in the Academies need to liaise with their payroll
provider when staff members are absent due to long term sickness. This will ensure that
staff members revert to half pay or where they are due in the next pay period to exhaust their
entitlement to occupational sick pay or statutory sick pay (SSP) and thus, overpayments will
be avoided. Employees due to revert to half or nil pay should receive written notification from
the Academy as far in advance as possible.
For Teaching staff, as stated in the Conditions of Service for School Teachers in England
and Wales (“the Burgundy Book”), if a teacher has been absent because of depression,
stress, anxiety or psychiatric illness, and they have been absent for three months or more,
they must be referred to an Occupational Health Specialist before they can return to work. If
the GP has signed the employee fit to return to work form before the referral process has
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been completed, the employee must be medically suspended on full pay pending an
appointment with Occupational Health.
Part 4: Formal contact
1.
Return to work
In many cases following a long absence a phased or gradual return to normal hours and
responsibilities within a fixed timescale is a key way of facilitating a sustained return to work.
There is no single pattern that suits everyone. A meeting to prepare for the employees return
to work will establish a Written Return to Work Programme. Advice from Occupational Health
will be considered, at the meeting where management, the employee and their trade union
representative will be present. Any medical reports and the views of the employee’s General
Practitioner will be taken into consideration.
Where an employee is recovering from a mental health condition, including stress-related
illness, careful consideration will be given to taking steps designed to minimise undue
workplace pressures.
Provision will need to be made that affords the opportunity for those who are recovering from
a long-term illness or injury to return to work in a phased and supported manner.
2.
First Formal Review
If the prognosis for a return to work is uncertain the Principal or his/her nominee will write
inviting the employee to a first formal review, giving ten working days notice. The employee
should be advised of their right to be accompanied by a trade union representative or a work
colleague and they should be provided with details of their sickness record.
The purpose of the first formal review should be to determine:





the medical treatment that the employee is receiving and the prognosis for
recovery within a reasonable length of time;
what the employer can reasonably do to help the employee return to work,
including any reasonable workplace adjustments that may need to be
considered (advice on this may be sought from HR or Occupational Health);
whether in all the circumstances the employer can be expected to wait for the
employee to return to work;
the likely length of continuing or repeated absences;
to advise the employee of the employment implications of their absence.
Outcomes from the first formal review meeting (which may include the issue of a first or final
written warning) should be confirmed to the employee, in writing, within five working days of
the meeting. Where appropriate the manager may decide to reconvene the first formal
review meeting in order to consider further evidence and advice.
3.
Second Formal Review Meeting
Where the individual’s attendance record does not improve sufficiently after the first formal
review meeting and/or the issue of a first written warning, a second formal review meeting
should be arranged.
The second formal review meeting will follow the format of the first formal review meeting
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An outcome of the second formal review meeting may be to issue a final written warning.
4.
Contractual Review Process
Where an employee’s attendance record does not improve sufficiently after a second review
meeting and/or the issue of a final written warning, a contractual review meeting should be
rearranged.
Occupational Health may be asked as to whether a further review of progress is necessary
before any prognosis of the employee’s future state of health can be given.
The employee should be given ten working days notice of the contractual review meeting
and advised of their right to be represented by a recognised trade union or work colleague.
The letter should outline the employee’s absence record to date and inform them that as a
result of the review a decision may be made to terminate the contract of employment.
As delegated by the LGB the person(s) hearing the case may invite advisers as appropriate
and a representative from E-ACT may attend.
The purpose of the meeting is to:






Explain the medical advice received;
Explain the implications for the employee’s colleagues and the service, where
the advice is not encouraging;
Determine the likely duration of the absence or continuation of the condition;
Check the potential for redeployment/job redesign or any other reasonable
adjustments that may need to be considered;
Check the appropriateness of ill-health retirement;
Where a full return is expected but not within the near future, where the
prognosis is indeterminable, or where there is an underlying medical condition
causing persistent short term sickness, the Chair must assess whether in all
the circumstances the employee’s continued absence is tolerable. Where a
determination to dismiss is made, this will be on the grounds of incapability.
The employee must be informed in writing of the outcome of the Contractual Review meeting
within five working days, and advised of their right to appeal against dismissal. (See page 10
paragraph 6 for Appeals)
5.
Leave of Absence and Special Leave
Employees who work on a term time only basis are not expected to take time off during term
time except in exceptional circumstances. However, in such circumstances the Principal can
consider offering paid or unpaid special leave following a request in writing from the
employees and in line with the Academy’s local arrangements. Where such requests are
declined and the employee is absent on the date(s) requested he/she may be asked to
produce a medical certificate.
Where staff do not contact the Academy or produce a medical certificate, this will be
viewed as an unauthorised absence and may be addressed using the Disciplinary
Procedure.
6.
Review
This policy will be reviewed every two years in consultation with the recognised trade unions.
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Appendix A: Process for managing short-term absence
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Appendix B: Process for managing long term absence (or regular absence covering
more than 4 weeks)
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Appendix C: Model invitation to attendance review meeting (short term absence)
Date............................
Dear...........
Attendance Review Meeting
I am concerned about your record of attendance over the past (insert details) and would like
to invite you to attend a meeting to discuss these concerns.
The meeting will take place at...............(time) on....................(date) and be held in
............(place) (At least five working days notice)
You may be accompanied at the meeting by a trade union representative or colleague. I
should be grateful if you could notify me before the date, the name of anyone who will be
accompanying you. At the meeting I will be accompanied by .................................... and
...........................................will be in attendance to take notes.
I enclose a copy of the Academy’s absence management procedure for you to refer to. If you
have any queries please do not hesitate to contact me.
Yours sincerely
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Appendix D: Model invitation to subsequent review meetings
Date..............
Dear.................
Meeting to review attendance record
At the meeting on................................(date) it was agreed that (outline any action or targets
that were agreed) and I would like you to attend a meeting to review these. The meeting will
take place at..............(time) on .................(date) and be held in.....................(place). (At least
five working days notice)............. will be in attendance to take notes
You may be accompanied at the meeting by your trade union representative or colleague.
You may wish to produce additional medical evidence or a report at the meeting to support
your case. You should provide me with copies of any such reports along with the name of
anyone who will be accompanying you at least two working days before the date of the
meeting.
If you have any questions, please let me know.
Yours sincerely
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Appendix E: Model letter notifying the outcome of the review meetings
Date.....................
Dear..........................
Outcome of first/second review meeting
I write to inform you of the outcome of the meeting which took place on ..........(date). Present
at the meeting were .......................................(names and designations of all present).
I explained to you the purpose of the meeting, which was to discuss your attendance record.
I explained that the level of absence was giving cause for concern and your absence was
discussed. You stated that.....................................................................................
I sought to identify any problems or difficulties that you might be experiencing which could be
contributing to your absence. You indicated that.................................................................
Indicate the outcome of the meeting(this list is not exhaustive):
I am satisfied that you intend to return to work on..........(date) and that, should your future
attendance record be satisfactory following a monitoring period of ...........(state length of
time), no further action will be taken.
or
I advised you that we required further medical evidence and will contact OHU/independent
medical adviser for further advice. A date was set for a review meeting to give further
consideration to your attendance. The review meeting is to be held on.............(date)
at.............(time) in................(place), by which time the following targets for improved
attendance should have been met........................................
or
I advised you that your attendance record was not satisfactory. You were given an oral or
first/final written warning that if your attendance continued to be unsatisfactory it could
ultimately result in your continued employment being placed in jeopardy
or
OHU/independent medical adviser has indicated that you are unfit to continue in your
current post and/or are permanently unfit to work. It is therefore necessary for me to ask you
to attend a contractual review meeting with person(s) delegated by the LGB. You will be
notified of the date and time of this meeting as soon as possible.
or
Having considered the details of your attendance record, together with your evidence and
issues which were addressed at the meeting, I regret that it has become necessary for me
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to ask you to attend a contractual review meeting with person(s) delegated by the LGB. You
will be notified of the date of this meeting as soon as possible.
If you wish to appeal the decision you should do so within 10 working days of the date of this
letter in writing to the Principal stating clearly the grounds of your appeal.
If you have any queries or questions about the contents of this letter please do not hesitate
to contact me. I would like to remind you that you have access to the free confidential
Employee Assistance service if you require emotional support.
Yours sincerely
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Appendix F: Model letter of invitation to an appeal hearing
Date,,,,,,,,,,,,,,,
Dear.................
Appeal Sub-Committee hearing
In response to your letter of......................(date) stating you wish to appeal against the
decision notified to you on.......................... on the following grounds..................(state
grounds of appeal). I write to inform you that an appeal hearing will be held on
..........(date).................(time)..........................(place).
You may be accompanied by your trade union representative or a colleague. The appeal
will be heard by...................................................(name of person(s) delegated by the LGB.
I enclose/will forward the documents to be considered by the Appeal Sub-Committee
committee. If you wish to submit any additional documents please send them to me
by.........................(2 working days before the hearing)
If you have any questions please do not hesitate to contact me
Yours sincerely
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SECTION C:
CONDUCT
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Alcohol and other
Substance Misuse Policy
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1. Introduction
1.1
What is Substance Misuse?
1.2
In the context of this policy substance misuse refers to:



the misuse of alcohol
the use of illegal drugs
the misuse of prescribed or over the counter drugs and/or substances such as
solvents, glues or aerosols which impair the individual, interfere with health, affect job
performance and safety at work.
1.3
(The use of the term misuse throughout the policy does not imply that illegal
substances have a correct use).
2.
Policy
2.1
In recognition of the continued and growing problems of substance misuse in society,
E-ACT will act to prevent, in so far as it is reasonably practicable, any such misuse by
employees which increases the potential for ill health, accidents, absence, poor
performance, or which adversely affects E-ACT (including its image, business and
reputation), its employees or its pupils, parents and Governors. If, despite E-ACT’s
attempts at prevention, substance misuse problems do occur, E-ACT will, within
reason, support the employee in a programme to overcome their problem but only with
the full commitment of the employee and under the advice and monitoring of a medical
professional. It is important to deal with these issues in a way that is as consistent and
fair as possible.
2.2
The use of alcohol or the misuse of substances or drugs on the premises is forbidden
and will be regarded as a disciplinary offence should it occur.
2.3
In the case of staff social events, then the Principal has the authority to approve that
alcohol may be brought onto the premises. Staff should not consume alcohol whilst in
charge of, or responsible for, children or vulnerable adults.
2.4
Any member of staff or volunteer taking medication likely to affect behaviour or cause
other noticeable side effects should inform their line manager.
2.5
Staff must not drink or take drugs prior to coming to work to such an extent, or within
the timescale, that it will affect their ability to perform to a high standard in their work.
2.6
If an employee attends for work and the smell of alcohol is evident, or it appears that
the person is under the influence of another substance, then the Principal will ask them
to go home and take a day’s holiday or a sick day and will start an investigation into
whether there is a breach in conduct. Alternative travel arrangements should be made
if appropriate for employees who are sent home from work due to being suspected of
abusing substances.
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2.7
The employee is responsible for their own conduct at all times, but where capability or
disciplinary issues arise, each case will be considered on its merits, with the needs of
the organisation and its responsibilities being paramount.
3.
Procedure
3.1
The following will apply should any member of staff be found to be under the influence
of alcohol or any other substance. This may be noticed through observation, poor
performance or unacceptable conduct.
3.2
Where performance is adversely affected then the use of the capability procedure may
be appropriate with support to improve, which could include medical referral. In the
event that unprofessional conduct or aggressive behaviour is a result of drink or drugs,
the emphasis will still be on appropriate medical referral; in the absence of any
alternatives consideration will be given to suspending the employee if their condition or
behaviour is judged to be a risk to children or a hazard. In such circumstances the
employee will be suspended immediately without prejudice and a disciplinary
investigation ordinarily including obtaining a report from occupational health will follow
3.3
Alternative travel arrangements should be made if appropriate for employees who are
suspended from work due to being suspended of abusing substances
3.4
In the event that an informal approach is felt to be the most appropriate action, the
focus will be on the need for professional help, advice and/or referral to Occupational
Health.
3.5
The Principal will arrange for the person’s work performance and behaviour to be
monitored closely for a specified period.
3.6
Should poor performance continue, or further instances of being incapable be
observed, the capability or disciplinary procedure will be followed.
3.7
Where the capability or disciplinary procedure is invoked, then a final written warning is
likely to be appropriate or, on rare occasions, dismissal will be considered as part of
the disciplinary or capability procedure.
3.8
At all stages of these procedure accurate records will be kept of all communication
between the line manager, Principal and member of staff involved.
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4.
Responsibilities
4.1
All members of staff have a responsibility to be familiar with the policy and procedures
on substance misuse and ask for clarification if there are aspects of it
about
which they are unclear.
5.
Employees
5.1 Employees must behave responsibly at all times to safeguard their own health and
safety, and that of those around them, ensuring that their performance at work is not
affected by alcohol consumption or substance misuse.
5.2 Employees who have a substance misuse problem are advised to seek help from
or more of the following:



one
Their line manager
Their General Practitioner
Occupational Health Provider used by E-ACT
Talk to Frank help line 0800 77 66 00
5.3 Employees must not cover up or collude with colleagues whose behaviour and
performance is, or could be, affected by the taking of a substance, and should urge
those colleagues to seek help if they have problems arising from the use and or abuse
of a substance.
5.4 Employees must advise their doctor or pharmacist of the nature of their job, and thus
find out, as far as is possible, whether, as a result of taking prescribed or over the
counter medication, there could be side effects, which may affect their work
performance/health and safety. This is particularly important if their job is classroom
based.
5.5 Employees must inform their manager (as soon as possible) before they take any
prescribed or over the counter medication that may affect their work
performance/health and safety.
5.6 Employees must understand that they can be sent home by their line manager or
Principal if it is believed that they are considered incapable of performing their duties
efficiently, effectively or safely.
6. Principal and Line Manager
6.1 The Principal and line manager must review relevant health and safety risk
assessments in the knowledge of an employee having a substance misuse problem
which could increase the risk to other members of staff and especially the potential
impact on pupils
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6.2 The Principal and line manager must be alert to, and monitor changes in, work
performance, attendance, sickness and accident patterns and take appropriate
action. The line manager should take an objective and non-judgemental approach
when interviewing employees due to poor work performance.
6.3 If an employee or the Principal (on behalf of the employee) requests a referral to
occupational health for assistance, HR advice should be sought to support E-ACT with
the referral. The occupational health provider should be contacted, to be advised of the
nature of the case and the need for a prompt referral.
6.4 The Principal and line manager must review and monitor the progress of an employee
who is undertaking a programme of assistance.
7. Symptoms
7.1 The following may be symptoms of a problem and as such, a discussion needs to
take place to determine the cause, although conclusions should not be jumped to.











Absenteeism – increase in sickness absence - short (especially Monday and
Friday absences) or long term
Impairment of work performance
Poor co-ordination/judgement, frequent injuries/accidents at work
Sudden change in behaviour pattern – mood swings, irritability, lethargy
Poor time-keeping
Concentration and memory affected
Deterioration in relationships with other people
Neglect of personal care
Financial difficulties
Incursions with the law
Smell of alcohol around the person - this may be noticed by students/parents
and can have a very damaging effect on the reputation of E-ACT so must be
reported to a senior manager and action taken promptly.
8. Off Duty Conduct
8.1 If an employee misuses substances when “off duty”; the issue may be less about the
actual misuse of a substance, but more about the effect on the employment
relationship. E-ACT may be justified in taking action where the use of drugs or another
substance undermines the employer’s reputation and or the confidence they can place
in the employee. E-ACT reserves the right to investigate such instances under the
disciplinary policy including consideration of gross misconduct
8.2 If behaviour which indicates that a member of staff is under the influence of a
substance occurs during an E-ACT event for pupils and/or colleagues such as E-ACT
trips and excursions, or whilst representing E-ACT, the action is likely to constitute
gross misconduct if they are responsible for the care of pupils, or in the presence of
pupils at the time.
8.3 Loss of a licence due to a conviction for driving while over the legal alcohol limit can
have repercussions on employment. Where an employee has to drive as part of their
job, dismissal may be a consequence although the possibility of alternative work during
the period of the driving ban should be first considered. The Academy HR lead should
be consulted for advice.
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Disciplinary Policy and
Procedure
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1.
Introduction
1.1 E-ACT expects all its employees to recognise their obligations to their Academy, the
public, pupils and other employees and to conduct themselves properly at all times and
in accordance with the Academy’s Code of Conduct and all other policies and
procedures. Appendix 1 gives examples of misconduct and gross misconduct but these
lists are not to be treated as exhaustive.
1.2 The procedure is designed to reflect the individual’s right to natural justice, the rights
identified in the Human Rights Act, and the law as set out in Employment Acts and
regulations.
1.3 The Director of HR or his/her nominee reserves the right to attend any meetings held in
relation to any of the procedures outlined below. They must also be in attendance at any
hearings, which may lead to dismissal. This will ensure that advice is available on
procedural issues and any employment legislation matters.
1.4 Where allegations are made against an employee, he/she should be informed of his/her
rights to be represented at all meetings and related hearings by a recognised trade union
representative or other Academy employee.
2.
Purpose
2.1 To achieve excellence in education for all and good employee relations this procedure
aims to:
 Improve conduct primarily by advice and correction rather than by disciplinary
measures; and
 Provide a fair method of dealing with alleged breaches in standards of conduct.
3.
Governance
3.1 The Local Governing Body (LGB) is a committee of E-ACT. The LGB is responsible for
setting out disciplinary rules and procedures for staff, in the context of any procedures
and/or guidance issued by the E-ACT board, however, they may delegate these matters
(including the power to suspend any person employed at the Academy where in the
opinion of the Principal his/her exclusion from the Academy is required) to either:



The Principal;
A sub-committee of the LGB; or
A sub-committee and the Principal.
Therefore, where this procedure refers to the LGB representative this can be any one of the
above.
4.
Scope
4.1 This procedure applies to all employees (teaching and support staff) employed within EACT Academies who either have a permanent contract of employment, or have more
than six months’ continuous service. It does not apply to employees subject to
probation, who are subject to separate procedures. Equal Opportunities
5.
Equal Opportunities
5.1 The disciplinary procedure must always be applied fairly and in accordance with
employment law and E-ACT’s Diversity and Equality Policy.
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6.
Responsibilities
6.1 The LGB is responsible for maintaining fair, consistent and objective procedures for
matters relating to staff discipline in each Academy.
6.2 The Principal is responsible for the management of the Academy.
6.3 Employees have responsibility to:
 Conduct themselves appropriately;
 Obey the reasonable directions of the employer;
 Behave in a trustworthy manner at all times;
 Take care over the work assigned to them; and
 Strive to maintain good employment relationships.
6.4 Employees are expected to observe all reasonable rules, policies and procedures which
cover the following, amongst other things:
 Absence procedure;
 Timekeeping;
 Standard of dress;
 Health and Safety;
 Use of the Academy’s facilities and equipment;
 Anti-discrimination;
 Anti-bullying and harassment.
7
Timing
7.1 Disciplinary matters should normally be conducted within the timescales laid down in the
procedure. However, if there is a valid reason to do so, timescales can be varied. If this
is initiated by management, the employee should be given an explanation and informed
when a response or meeting can be expected.
7.2 All efforts should be made by employees to attend meetings that constitute part of this
procedure. When there are valid reasons to reschedule meetings then these should be
rearranged without undue delay.
8.
Informal Action
8.1 Less serious breaches of conduct (i.e. first occurrences of some types of misconduct)
can be dealt with informally by meeting with and discussing the matter with the
employee.
8.2 This involves drawing the employee's attention to the unsatisfactory conduct, explaining
what conduct is required, and setting a clear and reasonable timescale for the
employee's conduct/behaviour to improve.
8.3 Consideration should be given to any difficulties which an employee may be facing and a
genuine attempt should be made to help the employee to overcome them. Where
considered appropriate, managers should seek Occupational Health advice when
managing staff who may be suffering from mental illness or alcohol or substance abuse.
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8.4 In some cases, it may be beneficial for the employee to contact the Employee Support
Programme for advice and guidance.
9.
Disciplinary Sanctions
9.1 The following formal stages of disciplinary action can be taken for breaches of conduct
(see Appendix 1).
9.2 Warnings are progressive from First to Final except for:

Cases of gross misconduct (which if substantiated through the disciplinary
process may result in summary dismissal with no entitlement to statutory
notice).

Cases which are less serious than gross misconduct but warrant a Final
Warning being issued regardless of prior formal warnings.
Disciplinary Action
Authority to issue
Duration of warning on
personal file
Oral warning
As delegated by LGB
6 months
First written warning
As delegated by LGB
9 months
Final written warning
As delegated by LGB
18-24 months1
Dismissal
As delegated by LGB
Insert text
9.3 Further misconduct may occur during the term of a first written warning. Where this
results in a formal hearing and a final written warning is issued, the duration of the final
written warning will supersede that of the first written warning.
9.4 Upon expiry, all disciplinary warnings will be removed from an employee’s personnel file
except for warnings relating to the safety and welfare of children or young people.
9.5 An employee with a final written warning on file who is alleged to have committed a
further occurrence of misconduct must be treated as if the allegation was of gross
misconduct. This is because if the allegation is substantiated, the employee will be
dismissed. Therefore letters to the employee should include the warning of dismissal (as
for allegations of gross misconduct).
1
A final written warning will remain on the employee’s file for a minimum of 18 months. Depending on the circumstances of the case the
disciplinary panel may determine that the warning may remain on file for up to 24 months.
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9.6 Where a member of staff is dismissed, misconduct cases that relate to the safety of
children and young people will be referred to the Independent Safeguarding Authority
(ISA). This will be dealt with by the Director of HR for E-ACT. All other cases of teacher
misconduct resulting in dismissal will be referred to the GTC (pending the announcement
of new arrangements when it is abolished).
10.
Disciplinary Investigations
10.1 This process is designed to be implemented in complex cases, and it may not always
be necessary to carry out these actions where the evidence is already clear.
11.
The Investigating Officer
11.1
The Principal or his/her nominee is responsible for appointing an Investigating
Officer who must be competent to undertake the role.
11.2
Investigations should normally be carried out by the appropriate line manager. If this
is impractical or inappropriate, another Investigating Officer should be chosen.
Alternatives to the line manager could include an employee of equal or more senior
status within the Academy, or as nominated by E-ACT.
11.3
The process must be completed as quickly as possible, and should usually take no
more than 10 days, ensuring that all parties have the opportunity to present their
version of events.
11.4
The case must be thoroughly investigated, have a clearly written investigation report
and supporting evidence.
12.
Pre-Investigation Stage or Management Investigation
12.1 In certain cases it will be necessary to gather information regarding complaints,
incidents and allegations before the start of a disciplinary investigation.
12.2 This type of information gathering is only appropriate for prima-facie serious
allegations which are particularly sensitive or complex to determine whether:


There is any substance to the complaint and a full disciplinary investigation is
appropriate; and if
The allegations warrant suspension of the employee.
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12.3 This is not a formal stage of the procedure and would not be considered within the
stipulated timescales of the procedure, but must be carried out as speedily as possible.
12.4 Any information uncovered at this stage would be provided to the Investigating
Officer as appropriate.
13.
Timescales for Investigations
13.1 All allegations and complaints against employees must be investigated without delay
(particularly in cases of potential gross misconduct). The Principal or his/her nominee
should ensure the Investigating Officer has reasonable time off from normal duties to
complete the investigation promptly.
13.2 As a guide, from the time the Investigating Officer begins their investigation, the
investigation report should be completed within 15 working days2 for allegations of
misconduct and other cases where the fact finding is relatively straightforward. For
allegations of gross misconduct and more complex cases, the investigation process
should take no longer than 203 working days. In very complex cases or exceptional
circumstances, a reasonable timescale will be agreed by E-ACT.
13.3 On completing the investigation, the Investigating Officer will recommend to the
Principal or his/her nominee whether a formal disciplinary hearing is necessary and, if
so, on what basis.
14.
Employee Representation
14.1 Where allegations are made against an employee, he/she should be informed of their
right to be represented at all meetings and related hearings by a recognised trade union
representative or other Academy employee.
15.
Suspension
15.1 In accordance with the rules set out in the ‘Governance of E-ACT Academies’ the
LGB may delegate responsibility for formally suspending a member of staff to either the
Personnel and Pay Sub-Committee or the Principal**. An employee may be suspended
on full pay when an act of gross misconduct is either suspected or alleged to have been
committed or for "other good and urgent cause", which is normally taken as when the
employee is suspected of, or has been arrested for, doing something which would
render him or her unsuitable to remain in the Academy. The period of suspension
should be as brief as possible and should be kept under review.
15.2 Where the power of suspension has not been delegated to the Principal, the Principal
or his/her nominee can send a member of staff home pending ratification.
2
3
Working days refers to actual Academy days for term-time only staff.
Only the Director General or his/her nominee may suspend the Principal
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15.3 Where suspension occurs, this should be confirmed in writing giving broad details of
the allegation. In all cases the Director of HR at E-ACT needs to be informed.
15.4 The suspension of a member of staff is a neutral act and should only be used to
enable a matter to be investigated, or in the interests of protecting children and/or staff
while a matter is investigated pending any further action that may be necessary.
Suspensions are a precautionary measure and should not be regarded as prejudging
the matter. If at any stage during or at the end of the investigation, or at any stage of
the disciplinary procedure, it is considered that this suspension should be lifted by the
Principal or the Chair of the Personnel and Pay committee where the LGB has
delegated this authority to them, the employee will be informed immediately.
15.5 Suspension from duty is a ‘working arrangement’ whereby the employee must not
enter any Academy building and consideration will be given to restricting contact with
any Academy employee without the express permission of the Principal. Nor must a
suspended employee contact pupils or their parents or anyone else with whom they
would come into contact during the course of their duties. Failure to observe this
requirement may render them liable to disciplinary action.
15.6 Where an employee is suspended and needs to contact witnesses to provide
evidence at a hearing, then this may be achieved via their trade union representative or
by a request to the Principal.
16.
Disciplinary Hearings
16.1 Where the results of the investigation recommends that there are reasonable
grounds to suggest misconduct or gross misconduct, a Disciplinary Hearing should be
arranged as soon as possible but normally within four working weeks of completion of
the investigation. Reasons for any delay in convening a Hearing must be clearly
communicated to the employee.
16.2 The Investigating Officer’s report and/or all relevant documentation should be sent to
the employee and their representative with a letter specifying the date, time and place
for the hearing giving no less than ten working days notice. The letter must contain
sufficient information on the alleged misconduct and its possible consequences. The
letter should inform the employee of their right to be accompanied by a trade union
representative or work colleague. If an employee’s companion cannot attend on a
proposed date, the employee can suggest another date so long as it is reasonable.
Where every effort has been made to re-organise the hearing the employee should be
informed that it may then proceed in his/her absence, with or without their representative
being present.
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16.3 The employee can request to reduce the 10 days notice of a hearing if this is
mutually acceptable.
17.
The Disciplinary Panel
17.1 As delegated by the LGB the person(s) hearing the disciplinary will write to the
employee, giving details of the hearing, normally allowing 10 working days notice.
17.2 A representative from E-ACT HR will be present at any hearing where dismissal is a
possibility.
17.3 For all meetings a note taker will attend to take minutes of the proceedings. It is their
role to minute the significant points of the hearing and the decision of the panel but not
to produce a verbatim record.
18.
Conducting the Hearing
18.1 At the Hearing, all parties present will be given an opportunity to ask questions or
challenge the reports/evidence submitted by all witnesses.
18.2 The employee and their representative should be informed of the decision of the
Disciplinary Hearing as soon as possible (unless there is an adjournment to clarify any
facts) and the Chair of the Panel/the Principal hearing the allegation will confirm this in
writing within five working days. The letter must also confirm the individual's right of
appeal and of the right to be represented by a work colleague or trade union
representative at any appeal hearing.
19.
Appeals Procedure
19.1 Employees have the right of Appeal against any sanction.
19.2 Appeals will be heard by the Appeals Sub-Committee of the LGB.
19.3 Appeals must be registered in writing with the Principal within ten working days of the
date of the letter confirming the disciplinary decision. Appeals received after this period
will not be heard.
19.4 A quorum of the Appeals Panel will be three.
19.5 Employees/appellants may present any new evidence which was unavailable at the
time of submission of the appeal documentation at least five working days prior to the
Appeal Hearing so that management has an opportunity to respond.
19.6 Appeals against the outcome of any disciplinary action may be considered by the
Appeals Sub-Committee in relation to one or more of the following grounds:
I.
The PROCEDURE – the grounds of appeal should detail how any
procedural irregularities prejudiced the disciplinary decision.
II.
The FACTS – the grounds of appeal should detail how the facts do not
support the decision or were misinterpreted or disregarded. They should
also detail any new evidence to be considered.
III.
The DECISION – the grounds of the appeal should state how the act(s) of
misconduct did not justify the level of disciplinary action taken or the act
was one of misconduct rather than gross misconduct.
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19.7 Appeal hearings will be convened as soon as is reasonably practicable and the
employee/appellant will be given no less than 10 working days notice of the time and
place of the Appeal hearing.
19.8 The Appeal will concentrate on the area(s) of dispute only and will not be a re-run of
the whole disciplinary hearing. Accordingly, it is important that the employee is explicit
about the grounds for appeal and must provide clear and specific reasons in writing.
Such written notice of the Appeal must include reference to any new facts the
employee/appellant intends to raise at the Appeal.
The result of the Appeal and the reasons for the decision will be conveyed to the appellant
immediately after the Hearing and will be confirmed in writing to the appellant and his/her
representative within 5 working days by the Chair of the Appeals Sub-Committee.
20.
Child Protection
20.1 If allegations are made against staff which involve child protection issues, the
Academy’s Child Protection Procedure must be followed irrespective of how the
allegation arises. Employees may be suspended on full pay pending the outcome of the
Child Protection procedure, however, suspension should not be the default option. If the
relevant child protection agencies decide not to pursue action against the employee, the
matter will be referred back to the Academy for consideration under the appropriate
procedure.
20.2 If the Child Protection Procedure is involved, other disciplinary procedures will begin
only if and when the matter has been referred back to the Academy. The fact that
external agencies have not taken action should not be taken as an indication of the
employee’s innocence or guilt.
20.3 The Academy will operate within statutory guidance when handling cases of child
protection.
21.
Monitoring
21.1 The Academy will monitor cases in line with its diversity and equality policy to ensure
consistency and fairness in its application.
22.
22.1
Special Situations
Grievances raised during the course of the disciplinary procedure
22.2 Sometimes an employee may raise a grievance during the course of a disciplinary
case. Where this happens and depending on the circumstances, it may be appropriate,
to suspend the disciplinary procedure for a short period until the grievance can be
considered. The employee, will however, have to raise the grievance in accordance with
the E-ACT Grievance Procedure.
22.3 Depending on the nature of the grievance, the Academy may need to consider
bringing in another manager to continue to hear the disciplinary case.
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23.
Discipline of Employee Representatives
23.1 Any Disciplinary action being contemplated in respect of staff representatives of
recognised trade unions within this procedure should not be instigated without
notification in advance to the full-time official or nominee, of the appropriate Trade
union.
24.
Review
24.1 This policy will be reviewed every two years in consultation with the recognised trade
unions.
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Appendix A: Examples of Gross Misconduct
The following are examples of gross misconduct but are not intended to be exhaustive:





















Prolonged unauthorised absence from work (at least 10 working days without
contact);
While purporting to be absent sick, working or engaging in activities, which are
likely to be inconsistent with the reason for absence and/or which are unlikely to
be conducive to recovery;
Inappropriate conduct towards or contact with pupils;
Serious acts of insubordination;
Serious breaches of the Academy’s Financial Regulations or Code of Conduct;
Theft or misappropriation of, or failure to account for, or falsely claiming
entitlement to, the property, assets or funds of the academy or its employees;
Fighting or acts of violence at the work place, serious threatening or abusive
behaviour towards, pupils, parents or fellow employees;
Criminal offences outside work (including fraudulent activities) which may affect
the individual's employment suitability;
Unauthorised removal and use of Academy property;
Failure to report or record any serious matter which it is the employee’s
contractual duty (either expressed or implied) to report;
Falsification of documents likely to be of financial benefit to the employee or
other persons e.g. time sheets, bonus/expense claims, qualifications etc;
Obtaining a job by lies or deception in the course of selection procedures;
Making false claims under any of the Academy’s policies and/or procedures;
Discrimination/harassment against a pupil, employee or parent, on the grounds
of sex, trans-gender status, sexual orientation, religion or belief, marital status,
civil partnership status, age, race, colour, nationality, national origins, ethnic
origin or disability;
Bullying;
Being incapable of adequately performing duties as a result of the intake of
alcohol or misuse of drugs;
Serious breaches of the Academy's Health and Safety policies or practice;
Serious contravention of the Academy’s Policy on Internet Access;
Acts or omissions that would expose the Academy or E-ACT to criticism or
cause reputational damage;
Disorderly or indecent conduct whether at the Academy or otherwise; and
An act committed outside the place of work where the act has an adverse
bearing on the employee’s suitability for the job or which would bring the
Academy into disrepute.
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Appendix B: Examples of Misconduct
The following are examples of misconduct but are not intended to be exhaustive:








Regular lateness for work;
Regular failure to follow employment rules e.g. reporting absence;
Refusal to obey a reasonable instruction of a manager;
Negligence at work leading to loss, damage or wastage of academy or other
property;
Improper, disorderly or unacceptable conduct at, in or near the Academy;
Wilfully inadequate work performance (poor performance or lack of capability
will normally be the subject of Capability procedure);
Private trading;
Consistently poor standards of dress or hygiene.
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Appendix C: Summary of Disciplinary Process
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Appendix D: Conducting the Hearing
Agenda
1. The Chair introduces him/herself and allows an opportunity for all those present
to do so. The Chair ensures that all procedural steps have been adhered to
and confirms the order of the agenda with all those present
2. The Chair checks that all parties have the relevant documents and identifies the
specific allegation/complaint
3. The chair asks the investigating officer/management to present the case
(including questions of witnesses)
4. The Employee and/or representative may ask points of clarification from
management or witnesses
5. Panel members may ask points of clarification from management or witnesses
6. Employee or representative will present his/her case (including questions to
witnesses)
7. Management may ask points of clarification from the employee/representative
(including witnesses)
8. Panel members may ask points of clarification from the
employee/representative (including witnesses)
9. Panel members may wish to ask further questions of either side
10. Final statement by management
11. Final statement by employee/representative
12. The parties then withdraw to allow the panel to discuss the findings and come
to a decision. The HR adviser to the panel will remain. The outcome must be
confirmed in writing with reasons and the right of appeal within 5 working days
to the employee and his/her representative.
The Chair should ensure that there are sufficient breaks. If new information is presented
during the course of the hearing, the Chair of the panel may decide to adjourn to allow all
parties to consider it. Either party may ask for an adjournment to take advice or to compose
themselves if they find the proceedings overwhelming.
Minutes of the meeting should be taken by either the Clerk to the Governing Body or a
person experienced in taking detailed and accurate minutes. These will be circulated to all
parties and will be part of any documentation used as part of an appeal.
Time should be taken to make a decision; an HR advisor will be present to advise the panel
about process and the options available to the panel.
The employee has the right to be accompanied by their trade union representative or a work
colleague and an HR adviser may support management. In cases of gross misconduct, a
representative from the E-ACT HR team will be present to advise the panel.
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Appendix E: The Appeal
The agenda for an appeal hearing will follow the same format as outlined above except the
appellant will be asked to state their case first.
The Chair of the panel for the first hearing will respond by addressing the grounds of appeal
and explaining the rationale behind the decision of the panel. He/she may be supported by
the HR adviser who advised the panel at the first hearing and may ask the person who
presented the management case in the first hearing to appear as a witness.
The Appeal panel will be advised by an HR adviser from E-ACT, the hearing must be
minuted.
All parties should be given the documents presented in the first hearing, along with a copy of
the minutes from the first hearing, a copy of the outcome letter from the Chair of the first
panel and a copy of the letter of appeal from the employee.
The decision of the appeals panel is final and the outcome communicated in writing within
five working days by the Chair of the appeal panel.
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Appendix F: Model Letter Notifying Suspension
Date
Dear .........................................
Notification of Suspension
It is with regret that I write to inform you that you have been suspended from your work
at............................................Academy with effect from........................... You will receive
your full pay throughout the period of your suspension.
Your suspension has been occasioned by the need to investigate the following allegations
made against you/incident in which you were involved................................................
Your suspension is a neutral act and does not imply that any decisions have been taken
regarding the allegations made against you. However, we advise you to arrange for a
member of your trade union to support you during the suspension period. I have asked
....................................... to keep you informed of the general activities taking place at the
Academy until your suspension comes to an end.
You will be kept informed of the progress of the investigations. You will be notified once they
are completed and invited to a meeting as part of these investigations. You may be
accompanied by your trade union representative at that meeting.
You are not permitted under any circumstances to visit the Academy without prior
permission of the Principal. If any of your personal possessions still remain on site, you
should contact the Principal in order to make a convenient appointment to come into the
Academy to collect them.
As acknowledgement of receipt of this letter, please sign and return to me the enclosed copy
within 5 working days. Failure to return the copy does not invalidate any possible disciplinary
procedures.
If you require any additional support you can contact the Employee Assistance Programme
on.........
Yours sincerely
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Appendix G: Model Invitation to an Investigation Meeting
Date
Dear ................
Investigation Meeting
I have been asked by the Principal to investigate the following allegations that have been
made against you which could potentially constitute misconduct/gross misconduct:
The purpose of the investigation is to gather information and to ascertain whether there will
need to be any further action taken under the disciplinary procedure (copy enclosed). You
have the right to be accompanied by a trade union representative or colleague for support.
The meeting will be held time, date, venue.
If you have any questions then please do not hesitate to contact me.
Yours sincerely
Investigating Officer
Enc : Copy of the Disciplinary Procedure
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Appendix H: Model Letter to Request Attendance at a Formal Disciplinary Hearing
Date
Dear............
Formal Disciplinary Meeting
I am writing to advise you that as a result of the investigations into allegations that (set out
summary details of alleged misconduct) You are required to attend a formal disciplinary
hearing.
The hearing will take place on....................(date) at....................(venue) at..............(time).
It will be conducted by name of the delegated LGB representative.
You have the right to be accompanied by your trade union representative or a work
colleague.
You also have the right to produce written statements and to invite witnesses to give
evidence in support of your case. You should ensure that copies of written statements upon
which you wish to rely on at the hearing are given to me by (date 5 days before the hearing)
together with the names of any witnesses that will be attending on your behalf.
Management will be calling the following witnesses to the hearing ..........................
I enclose/will forward an indexed bundle of statements and other documents which
management will be presenting at the hearing.
If there is any aspect of this letter, or the procedure, to the extent that it applies to you, that
you do not understand, please contact me.
As acknowledgement of receipt of this letter, please sign and return to me the enclosed
copy. Failure to return the copy does not invalidate any possible subsequent disciplinary
procedures.
If you require any additional support you can contact the Employee Assistance Programme
on ........
Yours sincerely
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Appendix I: Model Letter Stating Outcome of Formal Disciplinary Hearing
Date
Dear.......................................
Outcome of Formal Disciplinary Meeting
Following the formal disciplinary hearing held on..........................................(date), I write to
confirm that I/the panel has determined that:
the allegations against you have not been substantiated and no further action will be taken;
or
the allegations made against you were deemed to be substantiated;
or
the following allegations (give details) have been upheld against you but I/the panel
concluded that allegations that you (give details) were not substantiated
(Record the findings of fact reached by the Panel and the reasons for reaching the decision)
As a result (my/the panel’s) decision that you (give details of misconduct), (I/the panel)
have/has decided that
you should receive a first/final written warning, and this letter constitutes notice of the same;
or
you are to be dismissed and your employment terminated with effect from (date)
or
no formal action will be taken on this occasion but I/the panel requires you to (details of
standards of conduct required) and remind(s) you that failure to maintain such standards
may result in further disciplinary action being taken against you.
The warning will remain on file (9/24 months) from this date.
You have the right to appeal against this decision. If you wish to appeal, you must do so in
writing stating the grounds of appeal within 10 working days of the date of this letter.
If there is any aspect of this letter you do not understand or on which you require further
clarification, please contact me.
As acknowledgement of this letter, please sign and return to me the enclosed copy within 5
working days. Failure to return the copy does not invalidate either the duration of the
warning, the length of time it will remain on your file or any possible subsequent disciplinary
procedures.
Yours sincerely
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Appendix J: Model Letter notifying an appeal hearing
Date..................
Dear..........................................
Appeals Sub-Committee Hearing
In response to your letter of...............................(date) stating that you wish to appeal against
the decision of the Principal/Panel notified to you on ................(date), I write to inform you
that the appeal hearing will be held at...........(time) on ...............(date) in
..........................(venue).
During the hearing you have the right to be accompanied by your trade union representative
or work colleague.
I enclose/will forward copies of the documents to be presented to the appeal panel. If you
wish to submit any new papers please send these to me by.....................
The names of those who will be hearing your appeal are ............................................(names)
As acknowledgement of receipt of this letter, please sign and return to me the enclosed
copy. Failure to return the copy does not invalidate the proceedings of the appeal hearing.
Yours sincerely
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Appendix K: Model Letter stating outcome of appeal hearing
Date........................
Dear
Outcome of appeal hearing
Following the appeal hearing held on.........................................(date) attended by
..............................(names), I write to inform you of the outcome of the hearing.
On the evidence presented to the Appeals Sub-Committee, it was found
that........................(it is important to detail the findings of fact and reasons for reaching the
decision).
On the evidence presented to the Panel it was decided that:
the decision made by the Disciplinary Panel is upheld and your dismissal is confirmed
or
the decision made by the Disciplinary Panel is upheld but that the sanction imposed will
remain or be reduced to.....................................................................
or
the Appeals Sub-Committee decided not to uphold the decision of the Disciplinary Panel.
Therefore no further action will be taken and the matter is closed.
The decision of the Appeals Sub-Committee is final.
Yours sincerely
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Appendix L: Hearing
Agenda
1. The Chair introduces him/herself and allows an opportunity for all those present
to do so. The Chair ensures that all procedural steps have been adhered to
and confirms the order of the agenda with all those present
2. The Chair checks that all parties have the relevant documents and identifies the
specific allegation/complaint
3. The chair asks the investigating officer/management to present the case
(including questions of witnesses)
4. The Employee and/or representative may ask points of clarification from
management or witnesses
5. Panel members may ask points of clarification from management or witnesses
6. Employee or representative will present his/her case (including questions to
witnesses)
7. Management may ask points of clarification from the employee/representative
(including witnesses)
8. Panel members may ask points of clarification from the
employee/representative (including witnesses)
9. Panel members may wish to ask further questions of either side
10. Final statement by management
11. Final statement by employee/representative
12. The parties then withdraw to allow the panel to discuss the findings and come
to a decision. The HR adviser to the panel will remain. The outcome must be
confirmed in writing with reasons and the right of appeal within 5 working days
to the employee and his/her representative.
The Chair should ensure that there are sufficient breaks. If new information is presented
during the course of the hearing, the Chair of the panel may decide to adjourn to allow all
parties to consider it. Either party may ask for an adjournment to take advice or to compose
themselves if they find the proceedings overwhelming.
Minutes of the meeting should be taken by either the Clerk to the Governing Body or a
person experienced in taking detailed and accurate minutes. These will be circulated to all
parties and will be part of any documentation used as part of an appeal.
Time should be taken to make a decision; an HR advisor will be present to advise the panel
about process and the options available to the panel.
The employee has the right to be accompanied by their trade union representative or a work
colleague and an HR adviser may support management. In cases of gross misconduct, a
representative from the E-ACT HR team will be present to advise the panel.
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Appendix M: The Appeal
The agenda for an appeal hearing will follow the same format as outlined above except the
appellant will be asked to state their case first.
The Chair of the panel for the first hearing will respond by addressing the grounds of appeal
and explaining the rationale behind the decision of the panel. He/she may be supported by
the HR adviser who advised the panel at the first hearing and may ask the person who
presented the management case in the first hearing to appear as a witness.
The Appeal panel will be advised by an HR adviser from E-ACT, the hearing must be
minuted.
All parties should be given the documents presented in the first hearing, along with a copy of
the minutes from the first hearing, a copy of the outcome letter from the Chair of the first
panel and a copy of the letter of appeal from the employee.
The decision of the appeals panel is final and the outcome communicated in writing within
five working days by the Chair of the appeal panel.
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Allegations of abuse against
staff and volunteers policy
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1.
Introduction
1.1 The Academy will determine its policy for responding to allegations of abuse of a student
made against members of the staff which aim to strike a balance between the need to
protect children from abuse and the need to protect staff and volunteers from false or
unfounded allegations. These procedures follow Part 4 of Keeping children safe in
education
2. Process
2.1 Any allegation of staff abuse must be reported to the Principal and the Nominated
Governor.
2.2 Where appropriate, the Principal will consult with the Designated Safeguarding Lead,
and the allegation will be discussed immediately with the designated officer at the local
authority before further action is taken. If the allegation concerns the Designated
Safeguarding Lead, the Principal will immediately consult the designated officer before
further action is taken.
2.3 Where an allegation or complaint is made against the Principal or Designated
Safeguarding Lead, the matter should be reported immediately to the Nominated
Governor or in his /her absence the Chair of the Local Governing Body without first
notifying the Principal. Again, the allegation will be discussed immediately with the
designated officer before further action is taken.
2.4 Such allegations must also be reported to the Director of HR in E-ACT.
2.5 If it is not possible to report to the Principal or Chair of Governors, or nominated
governor in the circumstances set out above, a report should be made immediately to
the Designated Safeguarding Lead or, if he/ she is unavailable, the Deputy Designated
Safeguarding Lead. The Designated Safeguarding Lead will take action in accordance
with these procedures and will as soon as possible inform the Principal or, where
appropriate, the Chair of Governors/nominated governor.
2.6 The person taking action in accordance with the procedures is known as the “case
manager”.
3. Disclosure of information
3.1 The case manager will inform the accused person of the allegation as soon as possible
after the designated officer has been consulted.
3.2 The parents or carers of the child[ren] involved will be informed of the allegation as soon
as possible if they do not already know of it. They will also be kept informed of the
progress of the case, including the outcome of any disciplinary process.
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3.3 Where the designated officer advises that a strategy discussion is needed, or the police
or children's social care need to be involved, the case manager will not inform the
accused or the parents or carers until these agencies have been consulted and it has
been agreed what information can be disclosed.
3.4 The reporting restrictions preventing the identification of a teacher who is the subject of
such an allegation in certain circumstances will be observed.
4. Action to be taken against the accused
4.1 An academy has a duty of care towards its employees and as such, it must ensure that
effective support is provided for anyone facing an allegation. Individuals will be
informed of concerns or allegations as soon as possible and given an explanation of the
likely course of action, unless external agencies object to this. A representative will be
appointed to keep him or her informed of the progress of the case and to consider what
other support is available for the individual, as appropriate.
4.2 Where an investigation by the police or children's social care is unnecessary, the
designated officer will discuss the steps to be taken with the case manager. The
appropriate action will depend on the nature and circumstances of the allegation and will
range from taking no further action to dismissal or a decision not to use the person's
services in the future.
4.3 It may be necessary to undertake further enquiries to determine the appropriate action.
If so, the designated officer will discuss with the case manager how and by whom the
investigation will be undertaken. The appropriate person will usually be a senior
member of staff, but in some instances it may be appropriate to appoint an independent
investigator as advised by the [● name of county / borough] Safeguarding Children
Board.
5. Suspension
5.1 Suspension will not be an automatic response to an allegation and will only be
considered in a case where:

there is cause to suspect a child or other children at the Academy is or are at risk
of significant harm or

the allegation is so serious that it might be grounds for dismissal.
5.2 Suspension will not be automatic and consideration will be given to whether the result
that would be achieved by suspension could be obtained by alternative arrangements,
for example, redeployment either within or outside of the Academy or providing an
assistant when the individual has contact with children. The designated officer will be
contacted for advice if necessary.
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5.3 A member of staff will only be suspended if there is no reasonable alternative. If
suspension is deemed appropriate, the reasons and justification will be recorded and
the member of staff notified of those reasons in writing within one working day.
Appropriate support will be provided for the suspended individual and contact details
provided.
6. Criminal proceedings
6.1 The Academy will consult with the designated officer following the conclusion of a
criminal investigation or prosecution as to whether any further action, including
disciplinary action, is appropriate and if so, how to proceed. The options will depend on
the circumstances of the case, including the result of the police investigation or trial and
the standards of proof applicable.
7. Return to work
7.1 If it is decided that the person who has been suspended should return to work, the
Academy will consider how best to facilitate this, for example, arranging a phased return
and / or the provision of a mentor to provide assistance and support in the short term.
The Academy will also consider how to manage the contact with the child[ren] who
made the allegation.
8. Ceasing to use staff
8.1 If the Academy ceases to use the services of a member of staff or volunteer because
they are unsuitable to work with children, a settlement/compromise agreement will not
be used and a referral to the Disclosure and Barring Service will be made as soon as
possible if the criteria are met. Any such incidents will be followed by a review of the
safeguarding procedures within the Academy, with a report being presented to the
Governors without delay.
8.2 If a member of staff or volunteer tenders his or her resignation, or ceases to provide his
or her services, any child protection allegations will still be followed up by the Academy
in accordance with this policy and a referral will be made to the Disclosure and Barring
Service as soon as possible if the criteria are met.
8.3 Where a teacher has been dismissed, or would have been dismissed had he / she not
resigned, separate consideration will be given as to whether a referral to the National
College for Teaching and Leadership should be made.
9. Timescales
9.1 All allegations must be dealt with as a priority so as to avoid any delay. Where it is clear
immediately that the allegation is unsubstantiated or malicious, the case should be
resolved within one week. It is expected that most cases of allegations of abuse against
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staff will be resolved within one month with exceptional cases being completed within 12
months. If the nature of the allegation does not require formal disciplinary action, the
Principal should institute appropriate action within three working days. If a disciplinary
hearing is required and can be held without further investigation, it should be held within
15 working days.
10. Unsubstantiated or malicious allegations
10.1 Where an allegation by a pupil is shown to have been deliberately invented or
malicious, the Principal will consider whether to take disciplinary action in accordance
with the Academy's behaviour and discipline policy.
10.2 Whether or not the person making the allegation is a pupil or a parent (or other
member of the public), the Academy reserves the right to contact the police to determine
whether any action might be appropriate.
11. Record keeping
11.1
Details of allegations found to be malicious will be removed from personnel records.
11.2 For all other allegations, full details will be recorded on the confidential personnel file
of the person accused. The record will be retained at least until the individual has
reached normal retirement age or for a period of ten years from the date of the
allegation, if this is longer.
11.3 An allegation proven to be false, unsubstantiated or malicious will not be referred to
in employer references.
11.4
Early Years Foundation Stage (EYFS) – delete as appropriate.
11.5 The Academy will inform Ofsted of any allegations of serious harm or abuse by any
person living, working or looking after children on the premises of the Nursery (whether
that allegation relates to harm or abuse committed on the premises or elsewhere), and
will provide details of the action taken in respect of those allegations.
11.6 These notifications will be made as soon as reasonably practicable, but in any event
within 14 days of the allegations being made.
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Social Media Policy
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Social media policy
1
Introduction: E-ACT recognises that the internet provides unique opportunities to
participate in interactive discussions and share information on particular topics
using a wide variety of social media, such as Facebook, Bebo, LinkedIn, Twitter,
and all other internet postings including blogs and wikis. It is also a valuable
educational tool.
2
Purpose: This policy applies to the use of social media for School and your own
personal purposes, whether during normal working hours or in your personal time.
Its purpose is to help staff avoid the potential pitfalls of sharing information on such
social media sites and should be read in conjunction with the Acceptable Use
Policy for pupils.
3
IT facilities: The policy applies regardless of whether the social media is
accessed using E-ACT's IT facilities and equipment or your personal equipment.
4
Personal use: E-ACT permits the incidental use of the internet and social media
so long as it is kept to a minimum and takes place substantially out of normal
working hours. Use must not interfere with your work commitments (or those of
others). Personal use is a privilege and not a right. If E-ACT discovers that
excessive periods of work time have been spent on the internet provided by E-ACT
either in or outside working hours, disciplinary action may be taken and internet
access may be withdrawn without notice at the discretion of the Principal or Chief
Executive Officer.
5
Guiding principles: Staff are required to behave responsibly at all times and
adhere to the following principles:
5.1
[• You are prohibited from accessing social media from School computers at
any time or from a personal laptop or mobile phone device during School
hours – Academy to delete as appropriate]
5.2
You should not be "Friends" with pupils on any social media network. It
would be considered inappropriate to add pupils as Friends on a personal
account. Depending on the circumstances, it may also be inappropriate to
add parents, guardians or carersas Friends.
5.3
You must be mindful of how you present yourself and E-ACT on such media.
Staff are entitled to a social life like anyone else. However, the extracurricular life of an employee at E-ACT has professional consequences and
this must be considered at all times when sharing personal information.
5.4
You should always represent your own views and must not allude to other
people's personal views in your internet posts.
5.5
When writing an internet post, you should consider whether the contents
would be more appropriate in a private message. While you may have strict
privacy controls in place, information could still be shared by others. It is
always sensible to consider that any information posted may not remain
private.
5.6
You should protect your privacy and that of others by omitting personal
information from internet posts such as names, email addresses, home or
work addresses, phone numbers or other personal information.
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5.7
You should familiarise yourself with the privacy settings of any social media
you use and ensure that public access is restricted. If you are not clear about
how to restrict access, you should regard all your information as publicly
available and behave accordingly.
5.8
You must not post anything that may offend, insult or humiliate others,
particularly on the basis of their sex, age, race, colour, national origin,
religion, or belief, sexual orientation, disability, marital status, pregnancy or
maternity.
5.9
You must not post anything that could be interpreted as threatening,
intimidating or abusive. Offensive posts or messages may be construed as
cyber-bullying.
5.10
You must not post disparaging or derogatory remarks about E-ACT or its
Governors, staff volunteers, pupils or parents, guardians or carers.
5.11
You must not use social media in a way which could constitute a breach of
any policies contained in this Employment Manual.
6
Removing postings: You may be required to remove internet postings which are
deemed to constitute a breach of this policy. If you fail to remove postings, this
could result in disciplinary action.
7
Breach: A breach of this policy may be treated as misconduct and could result in
disciplinary action including in serious cases, dismissal.
8
Monitoring: E-ACT regularly monitors the use of the internet, social media and
email systems to check that the use is in accordance with this policy. If it is
discovered that any of the systems are being abused and / or that the terms of this
policy are being infringed, disciplinary action may be taken which could result in
your dismissal.
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Reference Policy
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Reference policy
1
Professional references: This policy only relates to professional references
which bear E-ACT's name and represent an official statement of E-ACT's
assessment of an existing or a former employee. These are written on E-ACT's
notepaper.
2
Authorised referees: The only employees authorised to give a professional
reference will be the Principal, Business Manager, Head of HR or Chief Executive
Officer.
3
Content of references: All professional references will be provided on a
reference pro forma. It is E-ACT's policy that the reference will be limited to this
format and content. E-ACT will respond to any reference request in accordance
with safer recruitment guidance in force from time to time.
4
Personal references: Employees will not be required to follow this procedure
when writing personal references. Personal references will not be written on EACT's notepaper nor refer to a person's professional performance or their
relationship with E-ACT. Personal references simply record one person's
experience of another. Any individual giving such a personal reference is
personally responsible for anything said in that reference. Such references must
state that they are personal references and do not represent the views of E-ACT.
5
Telephone: References will not be given over the telephone. References given in
writing will not be discussed further over the telephone.
6
Confidentiality: References provided by E-ACT are not intended to be seen by
the employee and will normally be marked "confidential for the purposes of the
Data Protection Act 1998". The same will apply to references received by E-ACT.
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SECTION D: WORK-LIFE
BALANCE
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Maternity Policy and
Procedure
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Policy
1.1 The policy of E-ACT is to apply the contractual maternity provisions applicable to
teachers as laid out in the School Teachers Pay and Conditions Document (STPCD),
and to apply the provisions laid out in the NJC Green Book to all other employees
employed by the academy.
1.2 The schemes will apply to all pregnant employees, regardless of how many hours
they work and the length of service they have, although certain parts of the
contractual scheme only apply to staff with 1 or more years’ service.
1.3 The academy will ensure that a risk assessment is carried out for the work being
undertaken by the employee who becomes pregnant, to minimise any risk to
themselves, their unborn child and everyone at the academy.
2.
Ante Natal Care
2.1 Before the baby is born, all pregnant employees are entitled to paid time off work to
keep appointments made on the advice of a doctor, midwife or health visitor.
2.2 The employee should give the academy reasonable notice of appointments and be
prepared to produce evidence of the appointment.
3.
Health and Safety
3.1 Risk assessments must be carried out of the work area and the work being done by
the employee to ensure that any risks to her, her unborn child and anyone at the
academy are minimised.
3.2 The risk assessments must include the time when the new mother returns to work if
she is still breast feeding. Adequate provision must be made for breast feeding
mothers to enable them to express and store breast milk during the day.
3.3 In exceptional circumstances, risk assessment may identify employees who may
become incapable of adequately undertaking full duties through their pregnancy and
breast feeding period. Under no circumstance should a manager enter into
discussion about making changes to a role occupied by an expectant or new
mother without consulting with the Academy Business Manager or Principal.
3.4 Risk assessment should also identify control measures to minimise the risk of the
pregnant employee coming into contact with infection e.g. a pupil who contracts
rubella.
4. Maternity Leave
4.1 Regardless of length of service, the employee will be entitled to maximums of 26
weeks Ordinary Maternity Leave (OML) and 26 weeks Additional Maternity Leave
(AML). Compulsory Maternity Leave is not less than two weeks following the
childbirth.
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4.2 All maternity leave must be taken in a single continuous period. It is up to the
employee to decide how much maternity leave to take (up to the maximum) but they
must take the compulsory maternity leave.
4.3 The employee can choose when she wants to start her maternity leave, any time
from 11 weeks before the EWC up until the birth itself.
4.4 The employee must inform the academy of the date she will start her maternity leave
in writing 28 days beforehand.
4.5 Maternity leave will start automatically if the pregnant employee is absent from work
because of a pregnancy related illness during the four weeks before the start of their
Expected Week of Childbirth (EWC).
4.6 The employee will be able to transfer the last six months of her maternity leave to the
child's father, partner or civil partner of the mother. Please see Handbook Section on
Paternity Leave Policy.
4.7 If the baby is born before the employee had planned to commence maternity leave,
the maternity leave will commence the day after the birth.
4.8 If the baby is stillborn after 24 weeks of pregnancy, the employee will be entitled to all
of the maternity rights and benefits outlined in this policy
4.9 If the baby is born alive at any stage during the employees pregnancy but
subsequently dies, the employee will be entitled to all of the maternity rights and
benefits outlined in this policy.
4.10
If the employee suffers a miscarriage up to 24 weeks of a pregnancy, any
subsequent absence will be sickness absence.
5. The Contract of Employment During Maternity Leave
5.1 The contract of employment continues throughout the 52 weeks of OML and AML,
unless either the employer or employee expressly ends it (or it expires).
5.2 The employee continues to benefit from all of the same contractual benefits, terms
and conditions which would have applied to her had she been at work, with the
exception of her wages or salary which are detailed under maternity pay.
5.3 Along with her contract, the rights to consultation and continuous employment (for
the purposes of entitlement to other statutory employment rights) also continues
during her maternity leave. AML time may not be counted for some assessments of
continuous service such as pension and pay increases linked to length of service.
5.4 An employee on maternity leave must receive any pay rise awarded before or due to
be awarded during her maternity leave if, but for her absence, she would have
received it, and the pay rise must be taken into account in calculating her statutory
maternity pay (SMP).
6. Statutory Maternity Pay (SMP)
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6.1 To qualify for SMP an employee must:





Have been continuously employed for 26 weeks by the qualifying week, with the
employer liable to pay Class 1 NIC for the pregnant employee throughout the 26
week period.
Have earned at least as much as the lower earnings limit for paying National
Insurance contributions during the qualifying week.
Still be pregnant at the 11th week before her expected week of childbirth or have
given birth by that time.
Have stopped working for the employer or left her employment for a reason
connected with her pregnancy.
Provide evidence of her expected week of childbirth - this will usually be form Mat B1.
This is a certificate issued by a doctor, midwife or health visitor at the 14th week
before the EWC. An employer cannot accept this form if a midwife or doctor signs it
more than 20 weeks before the baby is due.
Provide written notification 28 days before, or as soon as is reasonably practicable
thereafter, of when she expects her maternity leave is to start.
6.2 SMP will be payable even if her contract of employment ends at the start of her
maternity absence or while SMP is being paid. A qualifying employee may continue
working right up to the date that her baby is born and still retain her full entitlement to
SMP.
7. Contractual Maternity Pay
7.1 Teachers will be paid maternity pay as provisioned in the Conditions of Service for
School Teachers in England and Wales (Burgundy Book) and updated from time to
time; these payments are set out in Table 1 at Appendix 1.
7.2 All support employees will be paid maternity pay as provisioned by the NJC (green
book); these payments are set out in Table 2 at Appendix 2.
8. Occupational Pension Schemes During OML and AML
8.1 During the period of paid maternity leave, pension contributions continue to be paid
based on the pay the employee would have received had they been at work. The
employer’s pension contribution is calculated as if they were working normally and
receiving the normal pay for doing so.
8.2 “Paid maternity leave” is when the employee is receiving statutory maternity pay or
contractual (occupational) maternity pay, or a combination of both. 26 weeks of OML
followed by 13 weeks of AML.
8.3 During the remaining 13 weeks of AML, should these be taken, during which no
salary is paid, no contributions are made.
8.4 After the end of maternity leave the employee can, within 30 days, elect to pay the
contributions for this unpaid period to count as pensionable service. The academy (or
its payroll provider) should write to the employee asking if they wish to elect to pay
the contributions
8.5 If the rules of the pension scheme require the employee to contribute towards her
occupational pension, her contributions should be based on the amount of pay she
receives during the maternity leave period, whether SMP, contractual pay, or a
combination of both
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Appendix 1 - Table 1. Maternity Pay and Leave Provisions for Teachers
Continuous service by the end
th
of the 15 week before EWC
Continuous service
At least 26 weeks
At least 1 year
Less than 26 weeks
At least 1 year
At least 26 weeks
Less than 1 year
Less than 26 weeks
Less than 1 year
Maternity pay
SMP Statutory Maternity Pay
MA
Maternity Allowance
39 weeks occupational and statutory pay as follows:
4 weeks @ full pay inclusive of SMP
2 weeks @ 90% of week’s salary inclusive of SMP
12 weeks @ half pay* plus SMP
21 weeks @ the lower of SMP or 90% weekly earnings
39 weeks occupational and statutory pay as follows:
4 weeks @ full pay inclusive of MA if eligible
2 weeks @ 90% of week’s salary inclusive of MA if
eligible
12 weeks @ half pay* plus MA if eligible
21 weeks @ the lower of MA if eligible or 90% weekly
earnings
No entitlement to SMP
39 weeks statutory pay as follows:
6 weeks @ SMP equal to 90% of weekly salary
33 weeks @ the lower of SMP or 90% weekly earnings
No entitlement to occupational pay
No occupational pay
No SMP
MA if eligible
Maternity leave
OML Ordinary Maternity Leave
AML Additional Maternity Leave
26 weeks OML
26 weeks AML
26 weeks OML
26 weeks AML
26 weeks OML
26 weeks AML
26 weeks OML
26 weeks AML
*NOTE. See section on returning to work after maternity leave. This table is provided by the Local Government Employers.
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Appendix 2 - Table 2. Maternity Pay and Leave Provisions for Support Employees
Continuous service by the end
th
of the 15 week before EWC
Continuous service
At least 26 weeks
At least 1 year
Less than 26 weeks
At least 1 year
At least 26 weeks
Less than 1 year
Less than 26 weeks
Less than 1 year
Maternity pay
SMP Statutory Maternity Pay
MA
Maternity Allowance
39 weeks occupational and statutory pay as follows:
6 weeks @ 90% of week’s salary inclusive of SMP
12 weeks @ half pay* plus SMP
21 weeks @ the lower of SMP or 90% weekly earnings
39 weeks occupational and statutory pay as follows:
6 weeks @ 90% of week’s salary inclusive of MA if
eligible
12 weeks @ half pay* plus MA if eligible
21 weeks @ MA if eligible
No entitlement to SMP
39 weeks statutory pay as follows:
6 weeks @ SMP equal to 90% of weekly salary
33 weeks @ the lower of SMP or 90% weekly earnings
No entitlement to occupational pay
No occupational pay
No SMP
MA if eligible
Maternity leave
OML Ordinary Maternity Leave
AML Additional Maternity Leave
26 weeks OML
26 weeks AML
26 weeks OML
26 weeks AML
26 weeks OML
26 weeks AML
26 weeks OML
26 weeks AML
*NOTE. See section on returning to work after maternity leave. This table is provided by the Local Government Employers.
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9. Returning to work after maternity leave
9.1 The employee on maternity leave must give 21 days notice of her intended date of
return to work. The academy has the option to postpone the date of return if the
correct notice period has not been given.
9.2 A subsequent obligation, as a qualifying condition to retain her occupational
maternity pay, is for the employee to return to her job for at least 13 weeks in the
case of teachers or 3 months in the case of support employees (including periods of
academy closure). This time may be reduced at the discretion of the Principal in
certain circumstances.
9.3 The period of return (or part-time equivalent) starts from the date the employee
returns to work, or the date during the academy holiday on which the person is
declared medically fit to be available to work.
9.4 If the employee is not available, or is unable, to return to her job for the required
period, she must refund the contractual element of the maternity pay paid after the
first six weeks payments. Payments made by way of SMP are not refundable.
9.5 Requests for flexible working and support facilities for new mothers returning to work
should be considered. The needs of mothers still breastfeeding should be taken into
account; they may for example need somewhere to safely express and store breast
milk. Such requests should be considered to facilitate an easy return to work while
meeting the needs of the mother.
9.6 An employee returning to work after maternity leave is entitled to return to the same
job on the same terms and conditions. If a redundancy situation has arisen, or there
is some other reason why this is not reasonably practicable, the employee should be
offered a similar job which has the same or better status and terms and
conditions as the old job.
9.7 If the employee decides not to return after her maternity leave, then she must give
the required contractual notice.
10. Reasonable Contact During Maternity Leave
10.1
The 2006 Regulations allow for the employer and the employee to make
reasonable contact during her maternity leave. This is designed to give greater
certainty to the employer about the intentions of the employee when she is due to
return from maternity leave, and also give the employee some assurance about the
status of her job.
10.2
The method for staying in touch with each other should suit both parties and it
will be helpful to discuss the arrangements before maternity leave starts. The
frequency, who initiates the contact, and the topics for discussion could also be
discussed to avoid any confusion as to the intentions of either party.
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10.3
It should be noted that the academy must, in any event, keep the employee
informed of promotion opportunities and other information relating to her job that she
would normally be made aware of if she was working.
10.4
This contact is separate to the keeping in touch (KIT) days.
11. Keeping in Touch (KIT) Days
11.1
During her maternity leave the employee may, by agreement, do up to ten
days work known as “keeping in touch days” at any time (except during the
compulsory maternity leave period).
11.2
During KIT days, the employee can undertake duties, for which they will be
paid, without losing their statutory payments for the week, or bringing the maternity
leave to an end.
11.3
Any work undertaken on any day during the maternity pay or maternity leave
period will count as a whole (1) KIT day, even if the employee only comes in for a
one-hour training session and does no other work that day.
11.4
The type of work that the employee will undertake on KIT days should be
agreed beforehand.
11.5
Under the 2006 Regulations, “work”, for the purposes of the KIT provision,
means any work normally undertaken by the employee under the contract of
employment, and may include training or any other activity undertaken for the
purpose of the employee keeping in touch with the employer, such as attendance at
team meetings or conferences.
11.6
The academy cannot force an employee to work KIT days during her
maternity leave, nor does an employee have the right to work KIT days if the
academy does not agree to them.
11.7
As the employee is doing work under her contract of employment she is
entitled to be paid for the work done on KIT days. Her normal contractual rate of pay
should be used.
11.8
The employee should continue to receive SMP whilst working her KIT days
however the academy may, if they wish, offset this against the pay received. In
principle the employee should not receive more pay for a KIT day than she would for
a day’s work in normal circumstances.
12. Annual Leave During Maternity Leave
12.1
The employee will retain their entitlement to statutory annual leave (5.6 weeks
paid leave per year (capped at 28 days)) throughout ordinary and additional
maternity leave. If they also get additional contractual annual leave they will continue
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to accrue this additional contractual entitlement during OML, but not during AML,
unless the academy has agreed otherwise.
12.2
It is not possible for an employee to take annual leave at the same time as
maternity leave. Arrangements should be made for the employee to take any unused
leave either before she starts her maternity leave, or once her maternity leave has
finished. This should be in academy closure periods.
12.3
If there is insufficient academy closure days left in the leave year, then the
employee must be allowed to take leave during term time.
12.4
It is good practice to incorporate the arrangements for taking annual leave
into the discussions when an employee gives notice that they are pregnant. This is
particularly important if the employee plans to take a whole year of maternity leave,
as it is not possible to pay the employee in lieu of any untaken statutory annual leave
unless the contract is terminated (although the contractual element may be paid by
agreement).
12.5
If the return from maternity leave is so close to the end of the leave year that
there is not sufficient time to take all of the leave owed, advice should be taken at the
time from the Business Manager or HR Business Partner.
Related Documents:
Paternity Leave Policy
Right to Ask and the Duty to Consider Flexible Working
Shared Parental Leave (in development)
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Paternity Policy and
Procedure
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1.
1.1
Policy
E-ACT will apply all elements of the statutory paternity provisions fairly to all eligible
employees employed by the academy, regardless of their post, hours of work or
contract status.
The policy will apply equally to child birth or adoption and, in the case of adoption, to
either partner of either sex in the relationship.
1.2
2
Eligibility
2.1
In order to qualify for Statutory Paternity Leave (SPL) the employee must notify the
academy of their intention to take SPL and:






2.2
Have or expect to have responsibility for the child’s upbringing;
Be the biological father of the child and/or be the mother’s husband or partner
(including same-sex partner or civil partner). A partner is someone who lives with the
mother of the baby or child in an enduring family relationship but is not an immediate
relative;
Have worked continuously for the academy for 26 weeks up to the 15th week before
the baby is due or up to the week in which they are notified of being matched with a
child for adoption (the qualifying week)
Be working from the qualifying week up to the date of birth or the date of the
placement. If the employee contract ends before the birth, the employee does not
qualify for SPL unless the subsequent employer recognises the continuous service.
If the employee contract ends after the birth, the employee retains the right to SPL
(and pay if they qualify).
Be taking the time off to support the mother and/or care for the baby or child
The employee will still qualify for SPL in the event that :




3.
The baby is born earlier than the 14th week before the EWC;
The baby is born early, but if this hadn't occurred early, the employee would have
been employed continuously by the academy for the 26 weeks;
The baby is stillborn after 24 week of the pregnancy;
The baby is born alive but then dies later
Notification of Paternity Leave
3.1
The new parent is entitled to either 1 or 2 consecutive weeks of paternity leave but
not days. The leave must be taken either:



from the date of the child’s birth or placement (whether this is earlier or later than
expected); or
from a chosen number of days or weeks after the date of the child’s birth or
placement (whether this is earlier or later than expected); or
From a chosen date.
Leave can start on any day of the week on, or following, the child’s birth, but must be
completed:
3.2

within 56 days of the actual date of birth, or placement, of the child; or
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
3.3
if the child is born early, within the period from the actual date of birth up to 56 days
after the expected week of birth
In order to qualify for paternity leave, the employee must inform their line manager, or
the academy office, of their intention to take paternity leave by the 15th week before
the baby is expected, or no more than 7 days after they have been notified of their
being matched with a child, or as soon as is reasonably practicable thereafter. They
will need to tell the academy in writing:






4.
4.1
the expected week the baby is due or the child is to be placed;
whether they wish to take one or two weeks leave;
when they want their leave to start
They should also declare at the same time that they are eligible for SPL as per the
criteria listed above. This should be done using the form ‘SC3 (births) or SC4
(adoption) statutory paternity pay/paternity leave’ from HMRC.
The academy should accept at face value the request and declaration, unless they
have suspicions that it is false.
The employee can change their mind about the start date but they must give the
academy 28 days’ notice.
Paternity Pay
An employee taking SPL may be entitled to Statutory Paternity Pay (SPP). The rate
of SPP is the same as the standard rate of Statutory Maternity Pay.
An employee will qualify for SPP if they have:
4.2



5.
5.1
at least 26 weeks continuous service by the end of the 15th week before the
expected week of childbirth, or by the week in which they are notified of being
matched with a child for adoption
average weekly earnings at or above the lower earnings limit for National Insurance
contributions
declared their eligibility for SPP by giving you a completed form SC3 or SC4 at least
28 days before they want their SPP to start (or as soon as reasonably practical)
The Contract of Employment during Paternity Leave
The contract of employment continues throughout SPL unless it is expressly ended
by either side.
The employee continues to benefit from all of the same contractual benefits, terms
and conditions which would have applied had they been at work, with the exception
of their wages or salary.
The period of SPL does not break continuity of service wherever this would be relied
on.
Pension contributions will continue to be paid by the academy as if they were still at
work; the employee contributions should be calculated on the amount of pay they are
receiving during their paternity leave period. If this amount is nil then the pension
scheme may allow for voluntary contributions to be made to make up the lost period.
5.2
5.3
5.4
6.
Returning to work after paternity leave
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6.1
The employee returning to work after their paternity leave is entitled to come back to
the same job and the same terms and conditions that they had before the leave of
absence.
If the employee takes a period of parental leave of 4 weeks or less, directly after their
SPL, then the rights to return to their same job are unaffected.
If the parental leave is over 4 weeks then they retain the right to return to their same
job but if this is not practicable, then they must be offered an equivalent suitable job
on terms and conditions no less favourable than the old terms and conditions.
Considerations should be given to any request for flexible working, using the
academies procedure on flexible working requests.
6.2
6.3
6.4
7.
Protection against Detriment
7.1
The employee taking SPL must not suffer any detriment or dismissal from exercising
their right. This includes missing out on promotion or training, selection for redundancy or
preventing them returning to work.
8.
Additional Statutory Paternity Leave and Pay (ASPL)
8.1 The employee has the right to take additional statutory paternity leave.
8.2 ASPL will allow a partner to take up to 26 weeks leave to care for the child, if the
mother has forfeited up to 26 weeks maternity or adoption leave. This can then be
taken in one continuous block.
8.3 The ASPL will be in addition to the current entitlement to two weeks statutory paternity
leave.
8.4 The employee will only be able to start their ASPL:
 20 or more weeks after the child's birth, or after the child is placed for adoption
 once their partner has returned to work from statutory maternity or adoption leave
8.5 The employee's ASPL will have to have ended by the point at which their partner's
additional maternity or adoption leave would have ended, i.e. the end of the 52nd
week after their partner’s statutory maternity or adoption leave began.
8.6 The rate of pay will be the same as statutory paternity pay (SPP), i.e. the lesser of the
prescribed rate, or 90 per cent of their normal weekly earnings.
8.7 The employee will only receive ASPL pay during the time their partner would have
been receiving statutory maternity or adoption pay.
8.8 The eligibility criteria for ASPL pay are the same as they are for 'ordinary' statutory
paternity leave detailed as above.
Related Documents
Maternity Policy and Procedure
Adoption Policy and procedure
The Right to Ask and the Duty to Consider Flexible Working.
Shared Parental Leave (under development)
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The forms SC3 and SC4 can be downloaded from the HMRC web site at
http://www.hmrc.gov.uk/forms/sc3.pdf for birth parents and
http://www.hmrc.gov.uk/forms/sc4.pdf for adoptive parents. There is also an employer
helpbook for Statutory Paternity Pay at http://www.hmrc.gov.uk/helpsheets/e19.pdf
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Shared Parental Leave
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1
Purpose
1.1
To apply the statutory and contractual Shared Parental Provisions applicable to
teachers and non-teaching employees.
2
Organisational Scope
2.1
This policy applies to working parents following the birth or adoption of a child. It
applies in respect of children who are expected to be born, or where an adoption
agency is expected to place a child with parents, on or after 5 April 2015.
2.2
Anyone with management responsibility for an employee who is pregnant or on
maternity leave.
2.3
Anyone with management responsibility for an employee whose partner or spouse is
pregnant or on maternity leave.
2.4
Anyone with management responsibility for an employee where an adoption agency
is expected to place a child with them, on or after 5 April 2015.
3
Aims
3.1
The SPL regime is aimed at enabling eligible parents to choose how to care for their
child during the first year of birth or adoption.
3.2
Its purpose is to give parents more flexibility in considering how best to care for their
child.
4
Eligibility for Shared Parental Leave
4.1
Not all employees will meet the criteria to qualify for SPL but even those who are
eligible may find that other arrangements are more appropriate to their family plans
and circumstances.
4.2
Parents should give serious consideration to the options available and which will be
most beneficial to their situation. Any employee opting in to the SPL scheme,
will forgo any remaining rights under E-ACT's maternity or adoption policy.
5
5.1
Eligibility (Birth)
Parents are entitled to SPL in relation to the birth of a child if:

they are the child's mother, and share the main responsibility for the care of
the child with the child's father (or partner, if the father is not the partner);

they are the child's father and share the main responsibility for the care of the
child with the child's mother; or

they are the mother's partner and share the main responsibility for the care of
the child with the mother (where the child's father does not share the main
responsibility with the mother).
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6
6.1
7
Eligibility (Adoption)
Employees are entitled to SPL if:

an adoption agency has placed a child with them and / or their partner for
adoption; and

they intend to share the main responsibility for the care of the child with their
partner.
Conditions
7.1
the employee must have been continuously employed by E-ACT for 26 weeks at the
end of the 15th week before the expected week of childbirth (EWC) or the week the
adoption agency notifies them that they have been matched with a child for adoption
and still be employed by E-ACT in the week before the leave is to be taken; and
7.2
the other parent must have worked (in an employed or self-employed capacity) in at
least 26 of the 66 weeks before the EWC or the week the adoption agency notifies
them that they have been matched with a child for adoption and had average weekly
earnings of at least £30 during 13 of those weeks; and
7.3
the employee and the other parent must give the necessary statutory notices and
declarations as summarised below, including notice to end any maternity leave,
statutory maternity pay (SMP), periods of maternity allowance (MA) or adoption
allowance (AA), statutory adoption leave (SAL) or statutory adoption pay (SAP).
8
8.1
9
9.1
10.
Entitlement
The total amount of SPL available is 52 weeks, less the weeks spent by the child's
mother or the primary adopter on maternity or adoption leave (or the weeks in which
the mother or primary adopter has been in receipt of SMP, MA, AA or SAP if the
mother or your partner is not entitled to maternity or adoption leave).
Compulsory maternity or adoption leave
If the employee is the mother or primary adopter they cannot start SPL until after the
compulsory maternity or adoption leave period, which lasts until two weeks after birth
or placement.
Paternity Leave
10.1
If the employee is the child's father or the mother's partner, or if the partner is
claiming SAP, the employee may be entitled to paternity leave and pay. For further
details please refer to E-ACT's paternity leave policy.
10.2
The employee should consider using the two weeks' paternity leave before taking
SPL. Once the employee starts SPL they will lose any untaken paternity leave
entitlement. SPL entitlement is in addition to paternity leave entitlement.
11
Choosing Shared Parental Leave
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11.1
Employees who wish to choose the SPL regime will need to comply with the
notification requirements which are set out within this policy. E-ACT may also require
the employee to provide further evidence of eligibility. The details are provided below
but in overview the steps required are:
11.2
step 1: provision of a curtailment notice: bringing maternity or adoption leave (and
pay) to an end. See Form 1;
11.3
step 2: provision of an opt-in notice: entitlement and intention to take SPL. See
Forms 2a or 2b;
11.4
step 3: provision of the period of leave notice: requesting SPL dates. See Form 3.
12
Consequences of choosing Shared Parental Leave
12.1
Employees should familiarise themselves with the consequences of opting in to SPL
before making any decisions.
12.2
Mothers and primary adopters will reduce their own maternity or adoption leave by
choosing SPL and may also forgo any right to enhanced maternity or adoption pay
accordingly.
13
13.1
Ending maternity or adoption leave
Curtailment notice If the employee is the child's mother or the primary adopter and
is still on maternity or adoption leave, they must give at least eight weeks' written
notice to end the maternity or adoption leave before they can take SPL.
13.1.1 The curtailment notice must state the date the maternity or adoption leave will
end.
13.1.2 The employee can give the notice before or after they give birth or adoption
leave starts, but they must take the two weeks' compulsory maternity or
adoption leave.
13.1.3 The employee must also, at the same time as the curtailment notice, submit a
notice to opt-in to the SPL scheme or a written declaration that the child's
father or employees partner has given his or her employer an opt-in notice
and that the employee have given the necessary declarations in that notice.
13.2
Other employer: The other parent or partner of an employee may be eligible to take
SPL from their employer before the employee’ maternity or adoption leave ends,
provided the employee has given the curtailment notice.
13.3
Revocation: The curtailment notice is usually binding and cannot be revoked. The
employee can only revoke a curtailment notice if maternity or adoption leave has not
yet ended and one of the following applies:
13.3.1 if neither the employee nor the other parent are in fact eligible for SPL or
statutory shared parental pay (ShPP), the curtailment notice may be revoked,
in writing up to eight weeks after it was given;
13.3.2 if the employee gave the curtailment notice before giving birth, it may be
revoked in writing up to eight weeks after it was given, or up to six weeks after
birth, whichever is later; or
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13.3.3 if the other parent dies.
14
14.1
Opting-in to Shared Parental Leave and Pay
the employee should, at the same time as providing the curtailment notice, provide a
written opt-in notice, not less than eight weeks before the date the employee intends
to start SPL, confirming:
14.1.1 employee name and the name of the other parent or partner's name
14.1.2 if the employee is the child's mother, the start and end dates of maternity
leave or if taking adoption leave, the start and end dates of adoption leave
14.1.3 if the employee is the child's father or the mother's partner, the start and end
dates of the mother's maternity leave, or if she is not entitled to maternity
leave, the start and end dates of any SMP or period of MA
14.1.4 if the employees partner is taking adoption leave, the start and end dates of
the partner's adoption leave, or if the partner is not entitled to adoption leave,
the start and end dates of any SAP or period of AA
14.1.5 the total SPL available, which is 52 weeks minus the number of weeks'
maternity leave, SMP, MA, SAL, SAP or AA period taken or expected to be
taken by the employee or partner
14.1.6 how much of the available SPL will be allocated to the employee and how
much to the other parent or partner
14.1.7 if the employee is claiming ShPP, the total ShPP available, which is 39 weeks
minus the number of weeks of the SMP, MA, SAP or AA period taken (or
expected to be taken)
14.1.8 how much of that will be allocated to the employee and how much to the other
parent or your partner.
14.1.9 declarations by the employee and the other parent or partner that you meet
the statutory conditions for entitlement to SPL and ShPP
14.1.10 an indication of the pattern of leave the employee expects to take, including
suggested start and end dates for each period of leave. Evidence of
entitlement
14.2
the employer has the right to ask the employee to provide evidence of entitlement
within 14 days of receiving the notice opting-in to SPL. The employee must also
provide within 14 days of a request:
14.2.1 a copy of the birth certificate (or if not yet obtained a birth certificate, a signed
declaration of the child's date and place of birth) or
14.2.2 one or more documents from the adoption agency showing the agency's
name and address, and the expected placement date
14.2.3 the name and address of the other parent's, or partner's, employer (or a
declaration that they have no employer)
14.3
The employer may also ask the employee to gain consent from the other parent or
partner to contact their employer in order to co-ordinate arrangements.
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15
15.1
Process
Notification of periods of SPL and providing intended dates
15.1.1 Having opted into the SPL system the employee will need to give a period of leave
notice informing the employer of the start and end dates of leave.
15.2
Timing of SPL:
15.2.1 If the employee is the child's father or the mother's partner, or if the partner is taking
adoption leave, the employee will only be able to take SPL once the mother or
primary adopter has either:

returned to work;

given her employer a curtailment notice to end maternity or adoption leave;

given her employer a curtailment notice to end her SMP or SAP (if they are entitled to
SMP or SAP but not maternity or adoption leave); or

given a curtailment notice to the Benefits Office to end her MA or AA (if she is not
entitled to maternity or adoption leave, SMP or SAP).
16
16.1
Periods of Shared Parental Leave
The employee may either request a single continuous block of SPL or discontinuous
periods of leave.
16.1.1 SINGLE LEAVE PERIOD: If the period of leave notice gives dates for a
single continuous block of SPL the employee will be entitled to take the leave
set out in the notice.
16.1.2 MULTIPLE PERIODS OF LEAVE: The employee is able to give up to three
period of leave notices.
16.1.3 DISCONTINUOUS LEAVE: The employer may, in some cases, be willing to
consider a period of leave notice where the SPL is split into shorter periods
(of at least one week) with periods of work in between.
Deliberation of request for discontinuous leave. the employer is will have
two weeks within which to consider a request from an employee which
will include a meeting with the employee where this can be
accommodated. This meeting will consider how and whether the
request, or a modified version of it, can be agreed. At the end of the
two week period, the employer will confirm any agreed arrangements
in writing.
Refusal of request for discontinuous leave. If the employer has
been unable to reach an agreement, the employee will be entitled to:

take the full amount of requested SPL as one continuous block, starting on the start
of notice date or

choose a new start date (which must be at least eight weeks after the original period
of leave notice was given), or
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
withdraw the period of leave notice within two days of the end of the two-week
discussion period
16.1.3.1
Grounds for refusal of discontinuous leave: The employer
will consider all requests for discontinuous periods of leave but is not
obliged to agree to these. The employer will consider the benefits to
the employee and to the need of the business.
17
18
19
Changing the dates or cancelling Shared Parental Leave
17.1
The employee may cancel a period of leave by notifying the employer in writing
at least eight weeks before the start date communicated in the period of leave.
17.2
The employee may change the dates for a period of leave by giving the
employer at least eight weeks' notice in writing before the original start date and
by communicating the new start date.
17.3
If the baby is born early, the employee does not need to give eight weeks' notice
to change SPL but should give as much notice as possible.
Keeping in touch
18.1
The employee may attend work for up to 20 split days during SPL without
bringing SPL or ShPP to an end. This is in addition to any keeping in touch
days that the employee may have taken during maternity or adoption leave.
18.2
The employee may use KIT days for any activity that would normally be
considered part of their job, including attending training events or team
meetings.
18.3
The employee may not work KIT days within two weeks of the birth of the baby.
18.4
Any part of a full day worked by the employee as a KIT day will constitute as 1
split KIT day.
18.5
The employer cannot force the employee to work a KIT day during SPL nor does
an employee have the right to work a KIT day if the employer does not agree.
Returning to Work
19.1
If the employee wishes to return to work earlier than the end of the period of
leave requested they must notify the employer in writing of the intention to do so
not less than eight weeks before your expected return to work.
19.2
The employee will not under any circumstances be allowed to return to work
during the two weeks immediately following childbirth or the placement of a
child. Failure to notify the employer of an intention to return to work early may
result in a return to work being postponed.
19.3
If the employee wishes to return later than the end of full period of leave, they
should either:
submit a new period of leave notice at least eight weeks before the date
due to return to work,
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
request unpaid parental leave in accordance with the parental leave
policy),

or request paid annual leave
19.4
If the employee is unable to return to work due to sickness or injury, this will be
treated as sickness absence.
19.5
In any other case, late return will be treated as unauthorised absence.
19.6
The employee will be employed in the same position upon return to work from.
19.7
The employee will be entitled to return on the same terms and conditions as if
they had not been absent if leave period has been 26 weeks or less.
19.8
If an employee has taken more than 26 weeks leave in total (whether or not
taken consecutively) or if they have taken consecutively with more than four
weeks' ordinary parental leave, and it is not reasonably practicable for the
employee to return to the same position upon the return to work, the employee
will be redeployed to a job which is suitable and appropriate.
19.9
The employee will be entitled to return on terms and conditions no less
favourable than would have been entitled to had not been absent, and with the
seniority, pension rights and similar rights as would have had if the period of
employment prior to your SPL period was continuous with the period of
employment following it.
19.10 If the employee does not intend to return to work, or is unsure whether to return,
they should notify the employer as early as possible.
19.11 If the employee decides not to return they should give notice of resignation in
accordance with their employment contract. The amount of SPL left to run must
be at least equal to the contractual notice period; otherwise the employee may
be required to work for the remainder of the notice period.
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Shared Parental Leave forms
Form 1: curtailment notice: bringing maternity / adoption leave (and pay)
to an end
Name
Department
I wish to bring my [• ordinary / additional] maternity / adoption leave and maternity /
adoption pay (if applicable) to an end to be able to take shared parental leave. I have also:
 completed a form providing an opt-in notice to take shared parental leave; or
 provided a declaration that my partner has provided an opt-in notice to take shared
parental leave to his / her employer and consent to the amount of leave that he/she
intends to take.
I confirm that the date on which I wish to end my maternity / adoption leave is at least:
 eight weeks after the date of this curtailment notice; and
 two weeks after I have given birth (where appropriate) or two weeks after the child has
been placed with me for adoption; and
 one week before what would have been the end of my additional maternity / adoption
leave.
I confirm that my entitlement to enhanced maternity / adoption pay will cease when I opt in
to shared parental leave.
I wish to end my [• ordinary / additional]
maternity /adoption leave on:
………………………………………….
I wish my maternity / adoption pay period (if
applicable) to end on:
………………………………………….
Signed …………………………………………
Dated ………………………………………….
Notes
This form should be used by members of staff wishing to curtail their maternity / adoption
leave in accordance with the shared parental leave policy set out in the employment manual.
Full details of the shared parental leave policy are contained in the employment manual.
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Form 2A: opt-in notice: mother / primary adopter's entitlement and
intention to take SPL
Name
Department
I wish to provide E-ACT with an initial indication of my proposed shared parental leave, as
well as the required declarations from myself and my partner.
Section A: information which must be provided by employee
My partner's name is
………………………………………….
My maternity / adoption leave [• started / is
expected to start] on
………………………………………….
My maternity / adoption leave [• ended / is
expected to end] on
………………………………………….
My [• child's expected week of birth is / child
was born on / child is expected to be placed
with me / child was placed with me]
………………………………………….
The total amount of shared parental leave
my partner and I have available is
………………………………………….
I intend to take the following number of
weeks' shared parental leave
………………………………………….
My partner intends to take the following
number of weeks' shared parental leave
………………………………………….
The total amount of shared parental pay (if
applicable) my partner and I have available
is
………………………………………….
I intend to take the following number of
weeks' shared parental pay (if applicable)
………………………………………….
My partner intends to take the following
number of weeks' shared parental pay (if
applicable)
………………………………………….
Indication of SPL dates (if known)
I intend to take shared parental leave on the
following dates (please include the start and
end dates for each period of leave that you
intend to take)
………………………………………….
………………………………………….
………………………………………….
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Section B: declaration which must be completed by employee
I [• satisfy / will satisfy] the following eligibility requirements to take shared parental leave
(tick and sign as appropriate)
I [• have / will have] 26 weeks' continuous
employment ending with the 15th week
before the expected week of childbirth or the
week the adoption agency notifies me that I
have been matched with a child for adoption
and, by the week before any period of
shared parental leave that I take, I will have
remained in continuous employment with EACT.
………………………………………….
At the date of the child's birth or placement
for adoption, I [• have / will have] the main
responsibility, apart from my partner, for the
care of the child.
………………………………………….
I am entitled to statutory maternity / adoption
leave in respect of the child.
………………………………………….
I have [• complied with E-ACT's
maternity / adoption leave curtailment
requirements / returned to work before the
end of my statutory maternity / adoption
leave period], and will comply with E-ACT's
shared parental leave notice and evidence
requirements.
………………………………………….
The information that I have provided is true
and accurate.
………………………………………….
I will immediately inform E-ACT if I cease to
care for the child.
………………………………………….
Section C: declaration which must be completed by employee's partner
Name
………………………………………….
Address
………………………………………….
………………………………………….
………………………………………….
National Insurance number
………………………………………….
(Please confirm if no National Insurance
number)
I [• satisfy / will satisfy] the following eligibility requirements to enable the mother/primary
adopter to take shared parental leave (all boxes must be ticked)
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I have been employed or been a self-employed earner in at least 26 of the 66
weeks immediately preceding the expected week of childbirth or the week the
adoption agency notifies me that I have been matched with a child for adoption.
I have average weekly earnings of at least £30 for any 13 of those 66 weeks.
At the date of the child's birth or placement for adoption, I [• have / will have] the
main responsibility, apart from the mother, for the care of the child.
I am the father of the child, or am married to / the civil partner of / the partner of, the
mother / primary adopter.
I consent to the amount of shared parental leave that the mother / primary adopter
intends to take.
I consent to E-ACT processing the information provided in this form and contacting
my employer for the purposes of verifying this information.
Signed …………………………………………
Dated ………………………………………….
(Mother / primary adopter)
Signed …………………………………………
Dated ………………………………………….
(Partner)
Notes
Full details of SPL entitlement are contained in the employment manual.
You should inform your Head of Department of this notice. The form should then be passed
to the Academy Business Manager who maintains a central record. Should you cease your
employment with E-ACT at any time your record will be sent, upon request, to your new
employer.
If you submit a SPL request form and then subsequently wish to change or cancel the dates,
Form 4 should be sent to the Academy Office. This is your responsibility.
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Form 2B: opt-in notice: partner's entitlement and intention to take SPL
Name
Department
I wish to provide E-ACT with an initial indication of my proposed shared parental leave, as
well as the required declarations from myself and the mother.
Section A: information which must be provided by employee
The mother / primary adopter's name is
………………………………………….
The mother's / primary adopter's
maternity / adoption leave [• started / is
expected to start] on
………………………………………….
The mother's / primary adopter's
maternity / adoption leave [• ended / is
expected to end] on
………………………………………….
The mother / primary adopter [• received / is
expected to receive] the following periods of
[• statutory maternity / adoption pay /
maternity / adoption allowance]
………………………………………….
My [• child's expected week of birth is / child
was born on]
………………………………………….
The total amount of shared parental leave
the mother and I have available is
………………………………………….
I intend to take the following number of
weeks' shared parental leave
………………………………………….
The mother / primary adopter intends to take ………………………………………….
the following number of weeks' shared
parental leave
The total amount of shared parental pay (if
………………………………………….
applicable) the mother / primary adopter and
I have available is
I intend to take the following number of
weeks' shared parental pay (if applicable)
………………………………………….
The mother / primary adopter intends to take ………………………………………….
the following number of weeks' shared
parental pay (if applicable)
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Indication of SPL dates (if known)
I intend to take shared parental leave on the
following dates (please include the start and
end dates for each period of leave that you
intend to take)
………………………………………….
………………………………………….
………………………………………….
Section B: declaration which must be completed by employee
I declare that I [• satisfy / will satisfy] the following eligibility requirements to take shared
parental leave (tick and sign as appropriate)
I [• have / will have] 26 weeks' continuous
employment ending with the 15th week
before the expected week of childbirth or the
week the adoption agency notifies me that I
have been matched with a child for adoption
and, by the week before any period of
shared parental leave that I take, I will have
remained in continuous employment with EACT.
………………………………………….
At the date of the child's birth or placement
for adoption, I [• have / will have] the main
responsibility, apart from the mother /
primary adopter, for the care of the child.
………………………………………….
I will comply with E-ACT's shared parental
leave notice and evidence requirements.
………………………………………….
The information that I have provided is true
and accurate.
………………………………………….
I am the father of the child, or am married to,
the civil partner of, or the partner of, the
mother / primary adopter.
………………………………………….
I will immediately inform E-ACT if I cease to
care for the child or if the child's
mother / primary adopter informs me that
she has revoked the curtailment of her
maternity / adoption leave or pay period.
………………………………………….
Section C: declaration which must be completed by the mother / primary adopter
Name
………………………………………….
Address
………………………………………….
………………………………………….
………………………………………….
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National Insurance number
………………………………………….
(Please confirm if no National Insurance
number)
I [• satisfy / will satisfy] the following eligibility requirements to enable my partner to take
shared parental leave:
I have been employed or been a self-employed earner during at least 26 of the 66
weeks immediately preceding the expected week of childbirth or the week the
adoption agency notifies you that you have been matched with a child for adoption.
I have average weekly earnings of at least £30 for any 13 of those 66 weeks.
At the date of the child's birth or placement for adoption, I [• have / will have] the
main responsibility, apart from my partner, for the care of the child.
I am entitled to statutory maternity / adoption leave, statutory maternity / adoption
pay or maternity / adoption allowance in respect of the child.
I have [• curtailed my maternity / adoption leave / returned to work before the end of
my statutory maternity / adoption leave period].
I consent to the amount of shared parental leave that my partner intends to take.
I will immediately inform my partner if I no longer meet the requirements to curtail
my maternity / adoption leave (and pay, if applicable).
I consent to E-ACT processing the information provided in this form and contacting
my employer for the purposes of verifying this information.
Signed …………………………………………
Dated ………………………………………….
(Partner)
Signed …………………………………………
Dated ………………………………………….
(Mother / primary adopter)
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Form 3: period of leave notice: requesting SPL dates
Name
Department
I confirm that:
 I have already submitted an opt-in notice of entitlement and intention; and
 the start date of my first period of shared parental leave that I wish to take in this request
is at least eight weeks after I have provided this notice.
Please complete either section A or section B.
Section A: please complete if your child has already been born or placed with you
for adoption or if you know the exact dates on which you would like to take shared
parental leave.
I intend to take shared parental leave on the
following dates (please include the start and
end dates for each period of leave that you
intend to take).
………………………………………….
………………………………………….
………………………………………….
Section B: please complete if your child has not been born or placed with you for
adoption yet and you wish your shared parental leave to start either on the day on
which your child is born or placed with you for adoption, or a specified number of
days after the day on which your child is born or placed with you for adoption.
I wish my shared parental leave to start [• on ………………………………………….
the day on which my child is born / the
following number of days after the date on
which my child is born / placed with me for
adoption]
I wish my shared parental leave to end the
following number of days after the date on
which my child is born / placed with me for
adoption
………………………………………….
Signed …………………………………………
Dated ………………………………………….
Notes
You can request to take shared parental leave in one continuous block, or as a number of
discontinuous blocks of leave (with E-ACT's agreement). A maximum of three requests for
leave can normally be made by each parent.
Apart from in exceptional circumstances, you can submit a period of leave notice or a
notice that you have changed your mind about shared parental leave dates on a combined
total of three occasions. E-ACT therefore recommends that you and your partner think
carefully about your shared parental leave before submitting this form.
Full details of the shared parental leave policy are contained in the employment manual.
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Form 4: variation / cancellation of a notice of a period of leave request
Name
Department
I previously provided E-ACT with notice of my proposed shared parental leave in a period
of leave notice dated [• 00 month year]. I now wish to amend my shared parental leave
request.
I had already notified E-ACT in my period of
leave notice or a variation of period of leave
notice (if applicable) that I would be taking
the following periods of shared parental
leave
………………………………………….
………………………………………….
………………………………………….
I wish to cancel my period of leave notice.
Variation of leave request
I now intend to take shared parental leave
on the following dates instead (please
include the start and end dates for each
period of leave that you now intend to take)
………………………………………….
I have already notified E-ACT of the
following periods of statutory shared
parental pay (if applicable):
………………………………………….
Signed …………………………………………
Dated ………………………………………….
Notes
This notice cancels or amends a period of shared parental leave that you provided in a
previous period of leave notice.
You are able to give three request notices for SPL. A variation notice counts towards your
three requests for SPL.
Full details of the shared parental leave policy are contained in the employment manual.
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Form 5: revocation notice: revoking a maternity / adoption leave
curtailment notice
Name
Department
Date of maternity / adoption leave
curtailment notice
………………………………………….
I previously notified you that I wished to end
my maternity / adoption leave on
………………………………………….
I no longer wish to end my maternity / adoption leave and would like to revoke my
maternity / adoption leave curtailment notice. I would also like to revoke my
maternity / adoption pay period curtailment notice (if applicable).
I wish to withdraw my maternity / adoption leave curtailment notice because:
(please tick one)
I have realised that neither the other parent or I are entitled to shared parental
leave or statutory shared parental pay and this revocation is within eight weeks of
providing my maternity / adoption leave curtailment notice; or
I gave the maternity leave curtailment notice before the birth of my child and I
withdraw my maternity leave curtailment notice within six weeks of my child's birth;
or
The other parent has died
Signed …………………………………………
Dated ………………………………………….
Notes
Full details of the shared parental leave policy are contained in the employment manual.
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Adoption Policy and
Procedure
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1.
Policy
1.1 The policy of E-ACT is to apply the statutory adoption provisions fairly to all employees
regardless of how many hours they work and the length of service they have.
2.
Adoption Leave and Pay
2.1 To qualify for adoption leave and pay, an employee must have 26 weeks continuous
service before receiving notification of matching from the adoption agency, and
immediately before the start of the leave, and be newly matched with a child for adoption
by an approved adoption agency.
2.2 It should be noted that adoption leave and pay is not available in circumstances where a
child is not newly matched for adoption, e.g. when a step-parent is adopting a partner’s
children or where the child has been adopted by existing foster-carers.
2.3 All employees who are eligible are entitled to 52 weeks leave, 26 weeks Ordinary
Adoption Leave (OAL) and a further 26 weeks Additional Adoption Leave (AAL). 39 of
these weeks may be paid, dependant on length of service. All adoption leave must be
taken in a single continuous period. It is up to the employee to decide how much
adoption leave to take (up to the maximum).
2.4 The leave can start either on the day that the child is placed, or from a date fixed by
agreement up to 14 days prior to the expected date of placement. Placement is defined
as when the child arrives to live permanently with the adopter.
2.5 If adopting with a partner, the couple can nominate either person to receive the adoption
leave and pay; the other person may then take paternity leave and pay. Each employee
must notify both of their employers of the arrangement and the employee must provide
evidence of being matched for adoption - this will be a matching certificate from the
agency confirming the adoption.
2.6 Notification of the intention to adopt must be given in writing within 7 days of their
notification by the agency that they have been matched with a child. The employee may
vary this date giving 28 days’ notice. The academy must acknowledge the
notification
within 28 days and respond informing the employee of the date the
adoption leave will
end.
2.7 Under the regulations providing for additional paternity leave, which became law on 6
April 2010, where a child is placed on or after 3 April 2011 the adopter will be able to
transfer the last six months of their adoption leave to their partner or civil partner. Please
see Handbook Section on Paternity Leave Policy.
3.
Exceptions
3.1 Employees do not qualify for Statutory Adoption Leave or Pay if they: arrange for a private adoption
 become a special guardian or kinship carer
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


4.
adopt a stepchild
have a child through surrogacy
adopt a family member or stepchild
Overseas Adoptions
4.1 The conditions are the same as adoptions within the UK except for both leave and pay
employees must:
 have 26 weeks continuous service before receiving official notification. The official
notification is permission from a UK authority that the employee can adopt
from abroad
 advise their manager of the date of the official notification
 advise their manager of the estimated date the child arrives in the UK (within 28 days
of notification)
 advise their manager of the actual date the child arrives in the UK
 Sign a form SC6 if they are adopting a child with a partner. Form SC6 confirms that
the employee is not taking paternity leave or pay.
5.
Proof of Adoption
5.1 Employees must give proof of adoption to qualify for Statutory Adoption Pay.
5.2 Proof is not required for Statutory Adoption Leave unless the manager requests it.
5.3 The proof must show the:





employee name and address and that of the agency
the match date - eg the matching certificate
the date of placement - eg a letter from the agency
the relevant UK authority’s ‘official notification’ confirming you’re allowed to adopt
(overseas adoptions only)
the date the child arrived in the UK - eg plane ticket (overseas adoptions only)
6. Adoption Pay
6.1 An eligible employee is entitled to 39 weeks Statutory Adoption Pay (SAP) or 90 per cent
of normal weekly earnings if this is lower. This is set by the government each year and
mirrors maternity and paternity pay.
7. The Contract of Employment During Adoption Leave
7.1 The contract of employment continues throughout the 52 weeks of OAL and AAL, unless
either the employer or employee expressly ends it (or it expires). The employee
continues to benefit from all of the same contractual benefits, terms and
conditions
which would have applied to them had they been at work, with the
exception of their
wages or salary, which are detailed under adoption pay.
7.2 Along with their contract the rights to consultation and continuous employment (for the
purposes of entitlement to other statutory employment rights) also continues during their
adoption leave. AAL time may not be counted for some assessments of
continuous
service such as pension (this should be checked with the pension
provider), and pay
increases linked to length of service (this should be checked in the
academy pay
policy or contract).
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7.3 An employee on adoption leave must receive any pay rise awarded before or due to be
awarded during their adoption leave if, but for their absence, they would have received it
and the pay rise must be taken into account in calculating the SAP.
8.
Occupational Pension Schemes During OAL and AAL
8.1 During the period of paid adoption leave, pension contributions continue to be paid
based on the pay the employee would have received had they been at work. The
employer’s pension contribution is calculated as if they were working normally and
receiving the normal pay for doing so.
8.2 “Paid adoption leave” is when the employee is receiving SAP (or contractual
(occupational) adoption pay, or a combination of both). In other words 26 weeks of OAL
followed by 13 weeks of AAL.
8.3 During the remaining 13 weeks of AAL, should these be taken, during which no salary is
paid, no contributions are made, however after the end of adoption leave the employee
can, within 30 days, elect to pay the contributions for this unpaid period to
count as
pensionable service.
8.4 If the rules of the pension scheme require the employee to contribute towards their
occupational pension, the contributions should be based on the amount of pay they
received during the adoption leave period, whether SAP, contractual pay, or a
combination of both
9.
Returning to work after Adoption Leave
9.1 An employee returning after adoption leave does not have to give the academy notice of
their intended date of return to work, provided they are returning on the date originally
confirmed by the academy. If an adopter wants to return at an earlier date then they
must give 8 weeks notice.
9.2 The academy should consider requests for flexible working for adopters with a new
family returning to work.
9.3 An employee returning to work after adoption leave is entitled to return to the same
on the same terms and conditions.
job
9.4 If a redundancy situation has arisen or there is some other reason why this is not
reasonably practicable, the employee should be offered a similar job which has the same
or better status and terms and conditions as the old job.
9.5 If the employee decides not to return after their adoption leave, then they must give the
required contractual notice.
10.
10.1
Reasonable Contact During Adoption Leave
The regulations allow for the employer and the employee to make reasonable contact
during the adoption leave. This is designed to give greater certainty to the employer
about the intentions of the employee when they are due to return, and also give the
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employee some assurance about the ongoing status of their job during the period of
absence.
10.2
The method for staying in touch with each other should suit both parties and it will be
helpful to discuss the arrangements before the adoption leave starts. The frequency,
who initiates the contact, and the topics for discussion could also be discussed to
avoid any confusion as to the intentions of either party.
10.3
It should be noted that the academy must, in any event, keep the employee informed
of promotion opportunities and other information relating to their job that they would
normally be made aware of if they were working.
10.4
This contact is separate to the keeping in touch days.
11.
Keeping in Touch (KIT) Days
11.1
During adoption leave the employee may, by agreement, do up to ten days work
known as “keeping in touch days” at any time. During KIT days, employees can
actually carry out work for which they will be paid without losing their statutory
payments for the week or bringing the adoption leave to an end.
11.2
Any work done on any day during the adoption pay or adoption leave period will
count as a whole KIT day, even if the employee only comes in for a one-hour training
session and does no other work that day.
11.3
The type of work that the employee will do on KIT days should be agreed
beforehand. Under the 2006 Regulations, “work”, for the purposes of the KIT
provision, means any work normally done by the employee under the contract of
employment and may include training or any other activity undertaken for the
purpose of the employee keeping in touch with the employer such as attendance at
team meetings or conferences.
11.4
The academy cannot require an employee to work during adoption leave if they do
not wish to, nor does an employee have the right to work KIT days if the academy
does not agree to them. It should be noted though that is unlawful for the employee
to be dismissed or suffer detriment for not agreeing to work KIT days, or for working
or considering such work.
11.5
As the employee is doing work under her contract of employment she is entitled to be
paid for the work done on KIT days. The normal contractual rate of pay should be
used although a different rate of pay may be agreed on a case by case basis in
certain circumstances. The employee should continue to receive SAP whilst working
their KIT days, however the academy may if they wish offset this against the pay
received. In principle the employee should not receive more pay for a KIT day than
she would for a day’s work in normal circumstances.
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12.
12.1
Annual Leave During Adoption Leave
Employees on adoption leave retain their entitlement to statutory annual leave (5.6
weeks paid leave per year (capped at 28 days)) throughout ordinary and additional
adoption leave. If they also get additional contractual annual leave, they will continue
to accrue this additional contractual entitlement during OAL but not during AAL
unless the academy has agreed otherwise.
12.2
Note that it is not possible for an employee to take annual leave at the same time as
adoption leave. Arrangements should be made for the employee to take any unused
leave either before they start their adoption leave, or once their adoption leave has
finished. This should be in academy closure periods. If there are insufficient academy
closure days left in the leave year, then they must be allowed to take leave during
term time.
12.3
It is good practice to incorporate the arrangements for taking annual leave into the
discussions when an employee gives notice that they have been matched for
adoption. This is particularly important if the employee plans to take a whole year of
adoption leave, as it is not possible to pay the employee in lieu of any untaken
statutory annual leave unless the contract is terminated (although the contractual
element may be paid by agreement).
12.4
The right to carry over leave to the following leave year is complicated in law. If the
return from adoption leave is so close to the end of the leave year end that there is
not sufficient time to take all of the leave owed, advice should be taken at the time,
however it is good practice to allow carryover of the leave to the following leave year,
with the leave being taken in academy closure periods, given that the contract allows
for this.
13.
Procedure
13.1
7 days after they have been informed that they have been matched with a child and
at least 28 days before they wish to start adoption leave, or as soon after as
reasonably practical the employee must notify their line manager:
13.2

That they have been matched with a child for adoption

The date the match will take place

When they wish to start adoption leave - in writing

Provide a matching certificate

How much leave they wish to take.
The academy should write back within 28 days acknowledging their letter and telling
them when the leave will end.
Related Documents



Paternity Leave Policy
The Right to Ask and the Duty to Consider Flexible Working
Shared Parental Leave (under development)
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Time off for dependents
Policy
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Policy
1
E-ACT will apply the right of every employee to take reasonable time off to care for a
person dependant on them.
2
The E-ACTacademy will apply sensible consideration to all requests for time off to
care for a dependant. Equal consideration will be given to requests from all eligible
staff employed by the academy, regardless of their post, hours of work or contract
status.
Eligibility
3
All employees are eligible to request time off for dependants, providing they are
employed by the academy and have/are eligible to have a contract. The right applies
from day 1 of their employment.
Entitlement
4
The right to time off is to allow employees to take a reasonable amount of time off
work to deal with an unexpected or sudden emergency associated with a person
dependant on the employee, and to make any necessary longer-term arrangements.
A dependant is someone who is the partner, parent or child of the employee, or
someone who lives in the same household as part of the family, however not a lodger
or a tenant. It may also be someone who reasonably relies on the employee for
assistance to make care arrangements where that person has fallen ill, or been
injured or assaulted.
5
The problem may be (but not exclusively):





to provide help when a dependant falls ill, gives birth or is injured or assaulted
to make longer term care arrangements when a dependant falls ill or is injured
to deal with the arrangements for caring for a dependant when their care
arrangements unexpectedly break down
to deal with the death of a dependant
to deal with an unexpected incident involving the employee's child during school time
Note. The right is not there to allow a parent time off to care for an ill child, but to allow them
time to provide the initial care whilst making arrangements for longer term care.
Notification of the Need to Take Time Off
6
The employee must give the academy as much notice as possible, and indicate the
amount of time off they will need to take. A formal notification procedure will not
always be appropriate, as the nature of an emergency may force the notification to be
‘after the fact’, or be a very quick conversation before needing to leave.
8
By its nature, requests of this type will be sudden and unexpected, but this does not
always have to be the case. An employee may learn in advance of an unexpected
disruption to care arrangements. The time between the employee’s discovery of the
forthcoming disruption of care arrangements and that disruption taking effect must be
considered in deciding whether it was “necessary” for the employee to take the time
off. Each case must be judged on the facts, and the efforts that the employee has
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taken to make alternative arrangements, and these should all be fairly taken into
account in the decision.
Pay
9
All time off taken is unpaid unless it is covered by another E-ACT policy such as the
other time off work arrangements which cover issues such as bereavement leave.
10
When taking unpaid time off, pension contributions will not be paid during this period.
The pension scheme may allow for voluntary contributions to be made to make up
the lost period.
Amount of Time Off
11
The amount of time is not fixed; it is for ‘reasonable time off’ and should be judged on
a case by case basis. The amount of time should simply be enough to allow the
employee to deal with the immediate problem, and/or put any other necessary care
arrangements in place.
12
An example could be that an employee would not normally be able to take two weeks
off to care for a sick child, but they could take one or two days to take the child to the
doctor and arrange for someone else to look after them.
13
If longer time off is predicted, this could be given as annual leave, or parental leave. If
the issue is ongoing, the employee may request a flexible working arrangement.
Protection against Detriment
14
An employee exercising their right to request time off must not suffer any detriment or
dismissal from exercising their right. This includes missing out on promotion or
training, selection for redundancy or preventing them returning to work.
15
If the academy thinks an employee is abusing the right to request time off, they
should deal with this through the disciplinary procedures - informally first, then
formally if necessary.
16
In the event of complaint or dispute arising about the right to take time off for
dependants, the employee should first use the academy’s grievance procedure. If the
issue cannot be resolved this way, then they could complain to an employment
tribunal within 3 months of the refusal or ‘detriment’ or dismissal.
Record Keeping
17
The academy should keep accurate records of all periods of leave and the
correspondence relating to them in case of dispute. This is not a requirement under
law but is good practice.
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Related Documents
Contract of employment
Grievance Policy and Procedure
The Right to Ask and the Duty to Consider Flexible Working
Parental Leave Policy and Procedures
Leave Arrangements
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SECTION E:
FAIRNESS AT WORK
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Equality and Diversity
Policy
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Policy Statement
1
E-ACT is firmly committed to the principles of equality, diversity and inclusion in both
employment and the accessibility and delivery of services.
2
This means:


Promoting equality and making services and employment accessible to all;
Treating people fairly, regardless of their race (colour; ethnic or national origin),
religion or belief, gender or gender identity, sex or sexuality, marital or civil partner
status, pregnancy or maternity, disability, age or because of their association with
someone who has that characteristic. These are known as “protected
characteristics”.
3
In order to provide the best possible service to our customers, E-ACT aims to have a
workforce that is representative of the communities that it serves.
4
Fairness at work and good job performance go hand in hand therefore; tackling
discrimination helps to attract, motivate and retain staff and enhances E-ACT’s
reputation as a good employer. By having fair and robust employment policies, EACT will ensure that all staff have equal access to work and to develop their skills.
5
E-ACT is opposed to all forms of unlawful and unfair discrimination and harassment
of any kind, and will work to eliminate it, to create a working environment where
everyone is treated with dignity and respect. All staff are expected to be accountable
and to challenge discrimination.
6
This policy covers all individuals working at all levels and grades, including staff at all
levels, consultants, contractors, trainees, home-workers, part-time and fixed-term
staff, volunteers, casual workers and agency staff (collectively referred to as
staff in this policy).
7
As an employer, service provider and contractor, E-ACT will also challenge social
exclusion and discrimination, promote equality and celebrate diversity to achieve
excellence.
The Legal Framework
8
E-ACT’s legal obligations and duties include those defined by the Equality Act 2010
in relation to discrimination and social inclusion. The Equality Act 2010 provides
further guidance.
Forms of discrimination
9
Discrimination by or against an employee is generally prohibited unless there is a
specific legal exemption. Discrimination may be direct or indirect and it may occur
intentionally or unintentionally.
10 Direct discrimination occurs where someone is treated less favourably because of
one or more of the protected characteristics set out above.
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11 Indirect discrimination occurs where someone is disadvantaged by an unjustified
provision, criterion or practice that also puts other people with the same protected
characteristic at a particular disadvantage.
12 Harassment related to any of the protected characteristics is prohibited. Harassment
is unwanted conduct that has the purpose or effect of violating someone's
dignity, or creating an intimidating, hostile, degrading, humiliating or offensive
environment for them.
Managing diversity
13 Managing diversity goes much further than having an equality policy. It is about
recognising, respecting and responding to individual differences and needs and
treating people fairly and equally but not necessarily in the same way.
14 The ownership of managing diversity is a core part of E-ACT’s business, integrated
within E-ACT’s and each academy’s strategic goals, annual plan and service plans.
All staff are required to work within the ethos of equality and diversity and will be
given appropriate training and guidance to do this.
Recruitment and employment
15 E-ACT aims to ensure that no job applicant suffers discrimination because of any of
the protected characteristics above. Recruitment procedures are reviewed regularly
to ensure that individuals are treated on the basis of their relevant merits and
abilities. Job selection criteria are regularly reviewed to ensure that they are relevant
to the job and are not disproportionate.
16 E-ACT has implemented and will continue to develop policies and practices to
achieve equality of opportunity for job applicants and staff.
17 E-ACT will ensure that applicants are drawn from the widest possible pool.
Conditions of service, benefits and facilities are reviewed regularly to ensure that
they are available to all staff who should have access to them and that there are no
unlawful obstacles to accessing them.
Learning and development
18 All staff will be given appropriate access to training to enable them to progress within
the organisation and all promotion decisions will be made on the basis of merit.
19 Learning and development needs will be regularly monitored to ensure equality of
opportunity at all levels of the organisation. Where appropriate, steps will be taken to
identify and remove unjustified barriers and to meet the special needs of
disadvantaged or underrepresented groups.
Disability Discrimination
20 Staff who are disabled or become disabled are encouraged to tell E-ACT about their
condition so that they can be supported as appropriate.
21 If staff experience any difficulties at work because of their disability, they should
contact their line manager to discuss any reasonable adjustments that would
help overcome or minimise the difficulty. The line manager should consult with the
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member of staff and their medical adviser(s) about reasonable adjustments. EACT will consider the matter carefully and try to accommodate needs.
22 E-ACT will monitor the physical features of all premises to consider whether they
place disabled workers, job applicants or service users at a substantial disadvantage
compared to other staff. Where reasonable, E-ACT will take steps to improve access
for disabled staff and service users.
Breaches of this Policy
23 Staff who believe that they may have been discriminated against are encouraged to
raise the matter through E-ACT’s Grievance Procedure.
24 Allegations regarding potential breaches of this policy will be treated in confidence
and investigated in accordance with the relevant policy. Staff who make such
allegations in good faith will not be victimised or treated less favourably as a result.
False allegations which are found to have been made in bad faith will, however, be
dealt with under E-ACT’s Disciplinary Policy.
25 Any member of staff who is alleged to have committed an act of discrimination or
harassment will be subject to an investigation under the disciplinary policy. Such
behaviour if substantiated may result in a formal disciplinary sanction including
dismissal without notice fro gross misconduct . E-ACT adopts a strict approach to
serious breaches of the policy.
Discrimination ‘by association’ or ‘perception’
26 Protection is provided for people who are discriminated against because they are
perceived to have or are associated with someone who has, a ‘protected
characteristic’.
Occupational Requirements
27 Schedule 9 of the Equality Act 2010 allows E-ACT to lawfully treat people differently
in very limited circumstances, as a proportionate means of achieving a legitimate
aim, where a specific and justifiable occupational requirement exists.
28 When deciding if this applies it is necessary to consider the nature of the work and
the context in which it is carried out. Jobs may change over time and E-ACT
should consider whether the requirement continues to apply, particularly when
recruiting to a role where an occupational requirement has previously been justified.
Responsibilities
29 The CEO, Principals and local governing bodies have day to day responsibility for
embedding diversity into the culture of each academy. E-ACT is responsible for
implementing and monitoring any diversity issues.
30 The CEO and Principals will ensure that opportunities for promotion, learning and
development are accessible to all staff and are available on a fair and equal basis.
New staff will undertake an appropriate induction which covers equality and diversity.
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31 The CEO and Principals understand that discrimination and harassment are unlawful
and totally unacceptable and will challenge any inappropriate or discriminatory
behaviour they become aware of.
32 The CEO and Principal are responsible for ensuring that all staff understand that if
they harass colleagues they may be subject to disciplinary action and could also be
held personally liable.
Individual Responsibilities
33 Staff are expected to take an active part in promoting equality and diversity in
everything that they do at work and to treat everyone in their working
environment with dignity and respect.
34 E-ACT requires all staff to behave in a non-discriminatory way towards colleagues,
pupils and members of the public. Failure to do so will be taken seriously and
could lead to disciplinary action.
35 Staff may challenge inappropriate or discriminatory behaviour where they feel
confident to do so or to report it to their senior manager. They can also raise
concerns about behaviour they find offensive even if it is not specifically directed at
them.
36 Staff who make unfounded or malicious complaints or operate those procedures
vexatiously may be subject to disciplinary action.
Monitoring of this Policy
37 E-ACT will continue to review the effectiveness of this policy to ensure it is achieving
its objectives. As part of this process E-ACT will monitor the composition of job
applicants and the benefits and career progression of its staff.
Accountability
38
Academy Principals hold delegated responsibility for discharging the sound
application of all E-ACT policies.
39
In accordance with E-ACTs terms of reference, the Chief Executive Officer has
delegated responsibility for direct line management of Academy Principals and day to
day oversight of the Local Governing Body of each Academy.
40
Therefore, should the subject of the application of this policy be the Academy
Principal, the CEO will be responsible for discharging the relevant policy.
41
Academy Principals should inform the CEO of all matters relating to serious breaches
of this policy including any major incident to be addressed under this policy
promptly, preferably prior to action being taken insofar as is reasonably practicable.
Policy Status
This policy does not form part of any employee's contract of employment.
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EQUALITY STATEMENT
E-ACT is committed to ensuring equality of opportunity in line with the Equality Act 2010.
E-ACT seeks to reduce disadvantages, discrimination and inequalities of opportunity, and
promote diversity in terms of its students, workforce and the communities it serves
E-ACT will assist students in achieving their very best potential. Where students
experience barriers to their success E-ACT will work with them to address these in a
sensitive and sympathetic way. E-ACT will teach students the importance of equality and
what forms discrimination can take and the impact discrimination can have. E-ACT will
also encourage students to make their own commitment to promoting equality.
E-ACT will not discriminate on any of the grounds listed below (known as the Protected
Characteristics) save where such discrimination is permitted by law. Examples of
permitted discrimination are:
1.
2.
An academy may arrange pupils in classes based on age.
An academy may take positive action to deal with particular disadvantages
affecting pupils of one racial group if this is a proportionate means of dealing with
the issue.
The Protected Characteristics that apply to academies are:









Promoting equality and making services and employment accessible to all
Treating people fairly, regardless of their race (colour; ethnic or national origin)
Religion or belief
Gender or gender identity
Sex or sexuality
Marital or civil partner status
Pregnancy or maternity
Disability
Age
E-ACT will not tolerate any of the following:
 Direct or Indirect Discrimination
 Harassment
 Victimisation
E-ACT will comply with the Public Sector Equality Duty giving due regard to that duty
when making decisions, taking actions and developing policies. In line with its specific
duties under the Equality Act 2010, E-ACT will publish its equality objectives and will
publish information about how it is complying with the Public Sector Equality Duty.
Published Information will be updated annually and objectives will be updated every four
years. This information will be available on E-ACT website.
Accountability
Academy Principals hold delegated responsibility for discharging the sound application of all
E-ACT policies.
In accordance with E-ACTs terms of reference, the Chief Executive Officer has delegated
responsibility for direct line management of Academy Principals and day to day oversight of
the Local Governing Body of each Academy.
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Therefore, should the subject of the application of this policy be the Academy Principal, the
CEO will be responsible for discharging the relevant policy.
Academy Principals should inform the CEO of all matters relating to serious breaches of this
policy including any major incident to be addressed under this policy promptly, preferably
prior to action being taken insofar as is reasonably practicable.
Policy Status
This policy does not form part of any employee's contract of employment.
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Dignity at Work Policy and
Procedure
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Policy
1
E-ACT values all of its employees and believes that they should be able to come to
work in an environment of respect for the individual, free of harassment and
intimidation, and will work towards this aim.
2
Behaviours which could be interpreted as harassment or bullying will not be tolerated
and will be investigated using the grievance procedures (Employee Manual Section
on Grievance Policy and Procedure).
Eligibility
3
All people who work for E-ACT, contractors, volunteers as well as job applicants, and exemployees are to be protected from harassment. This is both at work and outside of
work, for example at a work related function. The harassment can be from a work
colleague but also from a visitor or client of the school such as a parent.
4
Because of the nature of harassment and bullying, staff will not always talk to their line
manager or the Principal. or the CEO. A member of staff being bullied may confide in a
colleague, or simply resign. Indicators such as uncharacteristic behaviour or poor
performance should be looked out for, and questioned early on. It is incumbent on the
Employer to be proactive in tackling harassment or bullying behaviours to avoid all of
the negative consequences and possible claims of unfair dismissal or discrimination.
Entitlement
5
The Employer has a duty in law to ensure that the workplace is free from discrimination
and harassment. It is liable for the discriminatory acts of its employees in the course of
their employment, whether or not they are carried out with the knowledge or approval of
the academy, unless it can be shown that all reasonable steps were taken to prevent
employees carrying out unlawful discrimination.
6
Harassment of an employee may be carried out by a third party. The employer must take
reasonably practicable steps to prevent the third party from harassing the victim where
they know or ought to know that harassment is occurring.
7
All staff are duty bound to comply with this policy and help the Employer comply with
their legal duties. They must co-operate to keep the workplace free of attitudes or
behaviours which may cause offence to others, to assist the academy in dealing with
cases of harassment or bullying by giving evidence in investigations or hearings, and
generally to take reasonable care of their own health and safety and that of their
colleagues.
8
Staff should be made aware that if they are accused of harassment then this will be
investigated under the disciplinary policy and that the allegations if upheld may result in
a formal disciplinary sanction including dismissal without notice for gross misconduct
9
Harassment on the grounds of age, disability, gender reassignment, race, religion or
belief, sex, and sexual orientation is prohibited in equality law. Sexual harassment and
disability harassment is extended to cover harassment of someone associated with the
claimant, or harassment witnessed by the claimant, or harassment because of the
claimants association with a person who has one of the protected characteristics.
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10
Protection from harassment is legislated for under the Protection from Harassment
Act 1997, the Equality act 2010 and several other acts including the Public Order Act
1986 (as amended) which make intentional harassment a criminal act. An
employee may be able to pursue criminal charges against an alleged harasser
through a court of law in these circumstances.
Definitions
11
Harassment can be defined as unwanted conduct affecting the dignity of men and
women in the workplace. It may be related to age, disability, gender reassignment,
race, religion or belief, sex, and sexual orientation or any personal characteristic of
the individual, and may be persistent or an isolated incident. The key is that the
actions or comments are viewed as demeaning and unacceptable to the recipient.
12
Bullying may be characterised as offensive, intimidating, malicious or insulting
behaviour; an abuse or misuse of power through means intended to undermine,
humiliate, denigrate or injure the recipient.
Examples from the ACAS guide of these behaviours may be:

spreading malicious rumours, or insulting someone (particularly on the grounds of
race, sex, disability, sexual orientation and religion or belief);

copying memos that are critical about someone to others who do not need to know;

ridiculing or demeaning someone—picking on them or setting them up to fail;

exclusion or victimisation;

unfair treatment;

overbearing supervision or other misuse of power or position;

unwelcome sexual advances - touching, standing too close, display of offensive
materials;

making threats or comments about job security without foundation;

deliberately undermining a competent worker by overloading and constant criticism;

preventing individuals progressing by intentionally blocking promotion or training
opportunities.
13
Such bullying may not always be “face-to-face”, but by written communication, email,
telephone or by automatic supervision methods, such as computer recording of
downtime from work, or recording of telephone conversations – if these are not
universally applied to all staff. There may be a series of trivial acts, but another
bullying action may be the “final straw”. ACAS does stress that behaviour that is
considered bullying by one person may merely be considered firm management by
another.
14
It must be recognised that it is how the recipient perceives such behaviour, not the
intent of the person accused of the harassment that is important in determining
whether harassment has occurred. The examples should be
used
in
communications with employees to help increase the understanding of the
nature, effect and causes of harassment.
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15
The ACAS guide on bullying and harassment is a good reference point and the
academy is advised to have a copy available for use in management and awareness
training.
The
leaflet
can
be
downloaded
from
http://www.acas.org.uk/index.aspx?articleid=797
Procedures
16
Allegations of harassment should be dealt with using the Employer’s grievance
procedure.
Initially claims of harassment should, when possible, be resolved
using an informal
approach. This can not only be a quicker approach, but can
avoid adversarial
relationships building and remaining. If the informal approach
does not work, or the person raising the grievance does not want to use this route,
then the formal
approach will be the next step.
17
The procedure should remain confidential and all people involved or interviewed
should be asked to respect the confidential nature of a complaint of harassment or
bullying.
Informal Procedure
18
The recipient should, as a first step, tell the person who is causing the problem that
the behaviour in question is unwanted and/or offensive to them and ask for it to stop.
This could be done verbally or in writing. This will hopefully achieve the result that the
victim wants, and the person who is accused of the harassment may not have
realised that their actions were causing an issue/offence, and may stop immediately.
19
If the employee finds it difficult or embarrassing to raise the issue directly with the
person creating the problem, they should, whenever possible, ask their immediate
line manager or a colleague for help. Alternatively, they could ask another manager
or member of the senior leadership team to support them at this stage, particularly if t
the complaint is about the alleged behaviour of their immediate line manager, or
another manager.
20
The employee should keep a record of incidents, noting the date, time, nature of the
incident, the names of those involved and any witnesses. Such information will be
vital if there is recourse to the formal procedure.
Training, Communication and Awareness
21
All managers and staff should receive training in recognising and tackling harassment
and bullying behaviours. This should start at induction, be reinforced through
briefings on the employment policies and procedures, and re-trained if a case of
bullying or harassment arises in the academy.
Record Keeping
22
The Employer should keep accurate records of all training and monitoring to ensure
that they are fulfilling their obligations under the law, and can demonstrate that they
have been pro-active in their approach to tackling harassment or bullying behaviour
in the event of a complaint to a tribunal or court of law of harassment.
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Related Documents
Grievance Policy and Procedure
Disciplinary Procedure
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Compassionate Leave
Policy
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1
Purpose:
This policy is intended to provide guidance on E-ACT's discretionary right to allow you to
take paid leave in the event of a death of someone close to you.
2
Entitlement:
You may be entitled to the following paid leave from work in the event of a death of
someone close to you. This entitlement includes any time off to attend the funeral:
3
Person
Entitlement
Death of a spouse, civil
partner, partner, child or
parent
Up to two weeks
Death of another relative
One day
Other person:
Any request for leave following the death of any other person who is close to you will be
considered by E-ACT.
4
Notice:
Whenever practicable, you will be required to request the leave of absence from your line
manager / the Business Manager / the Principal giving at least one day's notice. Where
this is not possible, you (or someone else on your behalf) should contact your line
manager / the Business Manager / the Principal as soon as practically possible.
5
Abuse of entitlement:
E-ACT may require explanation and evidence justifying your request for leave.
Unauthorised absence or abuse of this policy may constitute gross misconduct and
disciplinary action may be taken against you.
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Flexible Working Policy
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Flexible working policy
Introduction
1
Purpose: This policy is intended to provide guidance on your statutory entitlement
to request flexible working. E-ACT will consider all requests in a reasonable
manner and in accordance with this policy.
2
Timeframes: Requests will be considered and a decision reached within 3
months from receipt of the request, unless mutually agreed otherwise. The
timeframes set out in this policy are otherwise indicative only and may be extended
or varied at E-ACT's reasonable discretion.
3
Consideration: E-ACT will consider each flexible working request on a case by
case basis. The fact that E-ACT has been able to agree one request does not
necessarily mean that E-ACT will be able to agree future requests.
Right to request flexible working
4
Entitlement: If you have been continuously employed by E-ACT for 26 weeks,
you have the statutory right to request a change to one or more of the terms and
conditions of employment referred to in the paragraph below (a request).
5
Request: You are only able to make one request in a 12 month period.
6
Type of request: Your Request must relate to one or more of the following terms
and conditions of employment:
6.1
your hours of work;
6.2
your times of work;
6.3
whether you carry out work from home or your normal place of work.
7
Non-eligible staff: Although you will not have the right to make a request if you do
not meet the above criteria, E-ACT will still carefully consider a request to change
one or more of the terms and conditions of employment. You should make your
request in writing to your Line Manager, Business Manager or the Principal.
8
A Request: A Request should be made in writing by completing the Flexible
Working Request Form and passing it to your Line Manager, the Principal or the
Business Manager.
9
Consultation meeting: As soon as possible, but in any event usually within 28
days of your Request being received, your Line Manager shall either notify you in
writing that your Request has been agreed, stating the variation agreed to and the
date from which it is to take effect, or a meeting shall be held to discuss your
Request (Consultation Meeting).
10
Right to be accompanied: You have the right to be accompanied to the
Consultation Meeting by a fellow worker.
Considerations: On receipt of a request the Academy will carefully consider the
benefits of the requested changes in working conditions for you and the Academy/EACT and weigh these against any adverse impact of implementing the changes.
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11
12
Grounds for refusal: Your Request (and your appeal) may be refused where the
Academy or E-ACT considers that one or more of the following grounds apply:
11.1
the Request would, if agreed, impose a burden of additional costs on the
Academy/E-ACT
11.2
the Request would, if agreed, have a detrimental effect on the ability to meet
parents', guardians' or carers' or pupils' demands
11.3
The Academy or E-ACT is unable to reorganise work among existing staff
11.4
The Academy or E-ACT is unable to recruit additional staff
11.5
the Request would, if agreed, result in a detrimental impact on the level of
quality at the Academy or E-ACT
11.6
the Request would, if agreed, result in a detrimental impact on the level of
performance at the Academy or E-ACT
11.7
the work available to be done during the periods you propose to work under
your Request would be insufficient
11.8
planned structural changes mean that the Academy or E-ACT cannot agree
to your Request.
Notification of decision: As soon as possible, but in any event usually within 14
days of the Consultation Meeting, we will notify you in writing of the decision.
Where the Academy agrees to your Request, we will also confirm the variation
agreed to and the date from which it is to take effect. Where your Request is not
agreed, we will also confirm the grounds for refusal, explaining why the grounds
apply in the circumstances and also confirm your right to appeal.
Appeal
13
Your right to appeal: You have the right to appeal the decision not to agree to
your Request. Such an appeal must be exercised in writing within 14 days after
the day the decision is given, giving full details of why you wish to appeal. Your
notice of appeal must be dated and sent to the Principal or the Head of HR.
14
Appeal meeting: The Principal and member of E-ACT’s HR team will hold a
meeting to discuss your appeal as soon as possible, but in any event usually within
14 days of your notice of appeal being given. The appeal meeting will normally be
held by the Principal, unless the Principal is the immediate line manager to the
applicant and whom made the original decision regarding the flexible working
request. In such an instance, a member of the local governing body will lead on the
appeal meeting.
15
The right to be accompanied: You may be accompanied to the appeal meeting
by a fellow worker.
16
Notification of appeal decision: We will notify you in writing of the decision on
your appeal as soon as possible, but in any event usually within 14 days of the
appeal meeting. Where we uphold your appeal, we will also specify the variation
agreed to and the date from which it is to take effect. Where your appeal is
dismissed, we will also confirm the grounds for refusal and explain why the
grounds apply in the circumstances.
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General
17
Withdrawal of application: You may withdraw your Request or your appeal at
any time before we reach a decision. We may regard your application as
withdrawn (and will notify you as such) where you have failed without good reason
to attend a Consultation Meeting or an appeal meeting more than once, or you
have refused without good reason to provide us with the information that is
required to assess whether the Request should be agreed.
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