APT & C Statement of Particulars Appendix School Support Staff
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APT & C
Statement of Particulars Appendix
School Support Staff
Statement of Particulars Appendix - School Support Staff
LBH&FContents
Appendix A Politically Restricted Posts
Appendix B Allowances for Working Arrangements
Appendix C Scheme for Flexible Working Hours
Appendix D Maternity Leave
Appendix E Disciplinary Procedure
Appendix F Grievance Procedure
Appendix G Managing Sickness Absence
Appendix H Procedures for Dealing with Competency / Poor Performance
Appendix I Code of Conduct
Appendix J Other Terms and Conditions
Appendix K Proof of Employment Status
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix A
Politically Restricted Posts
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix A – Politically Restricted Posts
The Local Government and Housing Act 1989 requires the Council to designate certain
posts as politically restricted. The Council has designated your post as politically
restricted. This means that the Act and regulations made under it debar you from
engaging in certain political activities.
The following is a summary of some of the provisions of the Act and the regulations made
under it. You should refer to your departmental Personnel or Administrative Section if you
require more detailed guidance.
Holding Political Office
By regulations made under the Act if you announce that you intend to stand for election to
a Local Authority, Parliament or the European Parliament your appointment to this post
will terminate forthwith.
Political Activities
The Act and Regulations made under it debars you from:
(a) Acting as an election agent or sub-agent for a candidate.
(b) Participation in the general management of a political party, or branch of such a
party or acting on behalf of a party or branch in dealings with persons other than
those who are members of that party, branch or an associated party.
(c) Canvassing on behalf of a party or a candidate (Displaying a poster in your home
or in your car is specifically exempted from these restrictions).
(d) Speaking in public or allowing a work to be published that has the apparent
intention of affecting public support for a political party.
If you engage in these activities the Council is required to enforce this term of your
contract through the disciplinary procedure.
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix B
Allowances for Working Arrangements
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix B – Allowances for Working Arrangements outside Normal
Hours
The following allowances currently apply for work undertaken outside normal hours and
which are agreed in advance with your line manager/supervisor. Where these allowance
are claimed then no subsistence allowance is payable.
1. Overtime Working
Overtime (other than planned overtime) is payable only to officers in receipt of basic salary
of SCP 28 or less on the following basis:
(i) The basic salary shall be divided by 36 to ascertain the hourly rate of overtime.
(ii) Extra time of less than half an hour on any day shall not count for overtime.
Overtime shall be aggregated for each calendar month (or other appropriate period
where the hours are averaged over a period longer than a week) and only complete
half-hours paid for.
(iii) For overtime on any day other than Sunday or a general or public holiday, payment
shall be at time and a half. For overtime on Sunday, payment shall be at double
time.
2. Weekend Work
For each hour worked on a Saturday or Sunday as part of the normal week - time
and a half for all hours worked
3. Shift Work
(i) Alternating shifts 12.5 % or 14.5% of basic salary
(ii) Rotating shifts 17% or 20% of basic salary
4. Irregular Hours
An irregular hours working allowance shall be payable where as part of the normal
working week an officer's hours of duty during Monday to Friday fall outside the
period one and a half hour before and/or one and a half hours after the authority's
normal office hours.
For an average of four hours but less than eight hours per week beyond the
qualifying period calculated over the working cycle - 7.5% of salary.
For an average of eight hours or more per week beyond the qualifying period,
calculated over the working cycle - 10% of salary.
The premium rate for irregular hours working is not payable to officers when
working at night or employed on shift work.
Statement of Particulars Appendix - School Support Staff
LBH&FNo payment shall be made to officers employed on a part-time basis.
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix C
Scheme for Flexible Working Hours
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix C – Scheme for Flexible Working Hours
1. Introduction
A system of flexible working hours was introduced with the object of giving the staff as
much freedom to decide their hours of work as is possible while maintaining all the
services provided by their department for Members of the Council, for other departments
and for the services of the Council to the public generally. The first principle must be that
the duties and responsibilities of each department are maintained without loss of
efficiency.
2. Supervising Officers
Directors appoint supervising officers in each section of each department to be
responsible for day-to-day running of the flexible working hours scheme. Supervising
officers are responsible for maintaining records of authorised overtime and for
arrangements for officers to take time off in respect of credit hours.
3. Office Opening Hours
Offices are open for work from 7.30 a.m. to 7.30 p.m. on Monday to Friday and staff may
attend for normal working during those hours. Work outside those hours will not be
recorded except where overtime has been authorised. The hours during which offices are
open to the public remain unchanged. Normally officers will not be permitted to work for
more that 9 hours on any one day.
4. Core Time
Core time is 10.00 a.m. to 3.00 p.m. on Mondays to Fridays and all staff must be in
attendance during those hours on each of their working days, subject to the arrangements
for lunch-time set out below.
5. Lunch Break
Officers must take a lunch-break of at least half an hour and may take up to two hours.
Officers should advise the supervising officer of the length of lunch-break which they
intend to take within these limits. The lunch-break will normally be taken between 12.00
p.m. and 2.00 p.m.
6. Minimum Staff on Duty
Between 8.45 a.m. and 10.00 a.m. on each working day, between 3.00 p.m. and 5.00 p.m.
on Monday to Thursdays and between 3.00 p.m. and 4.45 p.m. on Fridays, it will be
necessary for a minimum number of staff to be on duty. Supervising officers should
ensure that sections are adequately staffed.
7. Accounting Period
The accounting period is four weeks. Within that period staff are required to work 144
hours (normally 4 x 36). Officers may accrue credit or debit hours up to a maximum of 10
hours and this credit or debit may be carried forward to the next accounting period.
Statement of Particulars Appendix - School Support Staff
LBH&FCredit hours should be taken by working less hours outside core time but, subject to the
agreement of the supervising officer, officers may take a half day or whole day to work off
credit hours.
On days when a half-day is granted in order to work off credit hours, the officer concerned
must work a minimum of 3 1/4 hours (3 hours on Fridays) continuously. Provided that the
requisite number of hours are completed in any four week accounting period officers may,
subject to prior arrangement with the supervising officer, take one working day off in each
fortnight.
8. Overtime
Where any officer is requested to perform overtime duties on any day, hours in excess of
7 1/4 on Mondays to Thursdays or in excess of 7 on Fridays actually worked during that
day will be recorded and will be paid at overtime rates in accordance with the Scheme of
Conditions of Service for all officers who are eligible for overtime payments. Hours for
which overtime payments are made will not be counted towards any credit hours.
9. Committee Attendance
Hours spent in Committee are not regarded for flexible purposes as 'working' hours. On
any night when an officer is engaged at Committee, he/she will take a break of at least
half an hour between 5.00 p.m. and the time of the Committee Meeting.
10. Calculation of Working Hours
Authorised absence from the office for a whole day on any form of leave or for carrying out
duties outside the office or for courses, day release etc., will be recorded at 7 1/4 hours for
officers on any day from Monday to Thursday and as 7 hours on Fridays.
Where an officer is authorised to leave the office during the course of a day owing to
sickness or for courses or any form of training, a full working day shall be recorded for that
day.
When an officer is authorised to leave the office during the course of a day to carry out
duties away from the office, any time spent on those duties and the time necessary to
travel to the other place of duty will be recorded as working time. Where the officer returns
to the office after such outside duties, the time necessary for the journey back to the office
will be recorded as working time.
Arrangements for annual leave, recess days, sick leave and visits to doctors or dentists
should be discussed with your line manager/supervisor.
11. Subsistence Allowance
Where an officer chooses to work late during office opening hours 7.30 a.m. to 7.30 p.m.
and claims the hours worked under the terms of the flexitime scheme no subsistence
allowance is payable.
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix D
Maternity Leave
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix D – Maternity Leave
MATERNITY LEAVE (updated March 2007) SCHOOL SUPPORT STAFF
1. INTRODUCTION
This procedure sets out entitlements to maternity leave and pay which come from
two sources:
(i) The Employment Act 2002: amendments to maternity leave
(ii) The Work and Families Act 2006
LBH&F Maternity Leave scheme is jointly agreed with the recognised trades
unions.
This document should not be exclusive to management and employees should be made aware of
its existence and be able to refer to it at any time. Employees
should also refer to the Maternity Leave and Pay flowchart at the end of this
document in Appendix 2. Advice can also be sought from either your human
resources representative or trade union.
Entitlement to maternity leave applies to all women.
The duration of time, and pay received; depend on length of service and whether
there is an intention to return to work after maternity leave details of which are
outlined within this procedure.
Arrangements must be made for cover before the departure of the pregnant
employee and for her to meet her replacement before she leaves work wherever
possible.
A copy of the confinement certificate and completed declaration page of the
Maternity Form should be sent to the Human Resources section. The department
and employee should keep their own copies. If the employee is eligible for
Statutory Maternity Pay the original copy of the childbirth certificate should be sent to the
Department of Finance (Payroll).
In order to apply the maternity provisions correctly it is necessary to understand
the following terms:
a) Confinement
The birth of a child, living or dead, after at least 24 weeks of pregnancy.
b) Week
For this purpose, a week starts at midnight Saturday night/Sunday morning.
c) Expected Week of Childbirth (EWC)
This is the week, beginning on a Sunday, in which it is believed the baby will be born as
indicated in the MATB1 form eg: if the baby is due on a
Saturday, the expected week of childbirth starts the previous Sunday.
d) Expected date of Childbirth (EDC)
Statement of Particulars Appendix - School Support Staff
LBH&FThe date on which the baby is due as indicated in the MATB1
e) Eleventh Week before the Expected week of Childbirth
To identify this week, find the Sunday of the expected week of childbirth and count back
eleven weeks before that Sunday. Maternity leave may not be taken prior to the 11th week
before the EDC.
f) Continuous Service
This is subject to the provisions of the national condition of service.
In all cases, continuous service is measured up to the eleventh week before the expected
week of childbirth and includes all continuous Local
Government employment without a break of more than 3 weeks.
g) Maternity Leave
After 1st April 2007 all pregnant employees are entitled to take one year’s (52 weeks)
maternity leave regardless of the length of service with the employer. An employee must
take a minimum of two weeks maternity leave after the birth of the child.
h) Partner
Is defined as a person (whether of a different sex or the same sex) who lives with the
mother, or main carer, and the child in an enduring family
relationship, but is not a relative of the mother, or main carer. Any queries employees have
about their entitlements under this procedure should be
addressed to departmental human resource officers.
NOTIFICATION AND CONFIRMATION OF PREGNANCY
Pregnant employees will be required to produce a Certificate of Expected Childbirth (MATB1 form)
and to complete the Maternity Form Appendix 1 to formally give notification of their pregnancy and
their expected week of childbirth as soon as possible but at least 14 weeks before the EWC. They
will also be required to state when they wish their maternity leave to start. It is acknowledged that
circumstances may change, and as a result an employee may wish to change the date their
maternity leave will start nearer the birth. Where this is the case employees are required to notify
their manager at least 28 days prior to their intended date of maternity leave.
Managers are legally required to respond to this notification within 28 days setting out the
expected date of return to work.
Once initially informed that an employee is pregnant, managers should discuss the employee's
needs during pregnancy and any rearrangements of her work, for example relief from counter
duties, which may be necessary as her pregnancy advances. She should then be asked to
produce a Certificate of Expected Confinement and to complete the Maternity Form as soon as
possible but at least 14 weeks before the confinement week.
A copy of the confinement certificate (MATB1) and completed declaration page of the Maternity
Form should be sent to the Director of Finance. If the employee is eligible for Statutory Maternity
Pay the original copy of the child birth certificate should be sent to the Finance Department.
RIGHT TO TIME OFF FOR ANTE-NATAL CARE
Statement of Particulars Appendix - School Support Staff
LBH&FAll pregnant employees and nominated carers regardless of the length of service or hours worked
are entitled to time off during working hours to enable them to keep an appointment for ante-natal
care. An appointment card can be requested if necessary.
HEALTH AND SAFETY
The Council is obligated to ensure the pregnant employee is safe at work. As soon as notification
is received that a member of staff is pregnant, the line manager, in conjunction with the
Departmental Health and Safety Officer will carry out a risk assessment and action taken as
appropriate. It should also be noted that staff are prohibited from working during a period of two
weeks from the date of childbirth.
Health and Safety advice must be sought from corporate health and safety and occupational
health if an employee wishes to breastfeed on their return to work.
ENTITLEMENT
An employee's individual entitlement to maternity leave and pay depends upon length of service
(as outlined above) and whether there is an intention to return to work after the maternity leave.
During maternity leave, all contractual benefits are preserved with the exception of remuneration.
Benefits other than monetary reward will continue to accrue, e.g. annual leave and entitlements
under the occupational sick scheme (but not sick pay itself during the maternity leave period).
If an employee receives a car allowance they will receive the balance for the calendar month from
the start of their maternity leave, and a further 3 months of full allowance and 3 months of half
allowance. The employee will have to return items such as mobile phone or laptop etc. prior to the
start of their maternity leave.
COMMENCEMENT OF LEAVE
To take advantage of the maternity provisions an employee must work up to at least the 11th week
before the expected week of childbirth but may work beyond if she wishes.
For those women wishing to work past the 4 weeks before childbirth date a doctors certificate is
not required. However if they are absent during this period wholly or partly due to a pregnancy
related reason, this will trigger the start of the maternity leave.
WHILE ON MATERNITY LEAVE
Before an employee goes on leave her manager must discuss with her the contact the Department
will keep up with her while she is on leave and vice versa. This could include notice of
Departmental meetings, group meetings, job vacancies, training courses etc. From 1st April 2007
the employee may return to work during her maternity leave to “Keep in Touch” with the
workplace. Where possible these dates (a maximum of 10 days) should be agreed in advance with
the employee. This will not affect the employee’s statutory maternity entitlement.
The manager is also entitled to make reasonable contact with the employee whilst on maternity
leave.
In situations of reorganisation and redundancy managers have a duty to ensure that employees
are consulted as early as possible on changes affecting their employment.
If an employee is selected for redundancy, they will be placed on the redeployment register as
early as possible as per the procedure. The employee should be consulted as to whether she
Statement of Particulars Appendix - School Support Staff
LBH&Fwants her profile to be taken during her maternity leave, or at the end of the maternity leave
period. Where a suitable alternative vacancy arises anywhere within the Council, (a post on
comparable terms to the post which is being made redundant) the employee on maternity leave
must be offered this post before any other employee who is also on the redeployment register but
who is not on maternity leave.
Where the employee on maternity leave meets the essential criteria for a suitable
alternative vacancy, she will not be required to attend a formal interview and the post will be
reserved for her until her return from maternity leave. The trial period incorporated into the
redeployment procedure will allow her to decline the job on a permanent basis where she feels it is
unsuitable. Where this is the case, the employee would again be placed on the redeployment
register for the remainder of the redeployment period to await another suitable alternative vacancy.
Where no suitable alternative vacancy is found, and the post is deleted, the employee is entitled to
a redundancy payment where they meet the qualifying conditions in the same way as her
colleagues.
There is no provision for a trial period for the new employing department as an employee on
maternity leave is entitled to a suitable alternative vacancy on terms no less favourable than her
previous position.
Managers must ensure that employees on maternity leave are sent the vacancy bulletin each
week where a potential redundancy situation arises.
Where a redundancy situation occurs, an employee on maternity leave will be placed on the
redeployment register at the same time as her colleagues who are present at work. The notice
period for an employee on maternity leave however will not run concurrently with her time on the
redeployment register. Instead her notice period will commence upon completion of her maternity
leave period.
DEATH OF A CHILD
If a baby is still born or a miscarriage occurs after or at the start of the 15th week before the EWC
paid leave of absence for a minimum of six weeks will be provided where required.
If a baby is still born or a miscarriage occurs before the start of the 15th week prior to the EWC
then an employee will be entitled to sick leave and pay as outlined in the Sickness Absence
provisions. This may be extended with the agreement of the Chief Officer.
BIRTH OF A CHILD WITH A DISABILITY
It may be necessary for a mother to extend the maternity leave period beyond the period of
entitlement. This should be discussed and any additional leave agreed with the employee.
NOTICE PERIOD FOR EMPLOYEES WHO DO NOT INTEND TO RETURN TO WORK AFTER
THE BIRTH OF THEIR CHILD
Notification of pregnancy to the department and completion of the maternity form stating the
intention not to return to work will obviate the need for the standard period of notice.
START OF THE MATERNITY LEAVE PERIOD
This can be started in one of three ways:
i) the date notified by the employee
Statement of Particulars Appendix - School Support Staff
LBH&Fii) the first day of absence wholly or partly because of a pregnancy related reason after the start of
the 4th week before the expected date of childbirth (this date could be earlier than the one
originally stipulated by the employee as being the start of maternity leave).
iii) the day on which childbirth occurs.
REQUIREMENT FOR NOTIFICATIONS
i) Establishing right to maternity leave: the employee must notify her department
that she is pregnant and the expected week of childbirth (via form MAT B1). The
notification must be at least 28 days before the start of the maternity leave.
ii) To start maternity leave: the employee must specify a 'notified leave date' at least 28 days in
advance of the date specified as the start of the maternity leave period. The date cannot be earlier
than the 11th week before the expected date of childbirth.
iii) Pregnancy related absence: this requirement applies from the beginning of the 4th week
before the expected date of childbirth. The employee must notify her
department if any absence from work is wholly or partly due to pregnancy or
childbirth as soon as reasonably practicable. The first day of such absence will
trigger the start of the maternity leave period. Where there is doubt about the cause of the
absence the Occupational Health Service adviser will be consulted by management and a view
sought based on the information available (probably a medical certificate). It is not intended that
the employee herself would normally be referred to the OHU for this assessment to be made.
ENTITLEMENTS
From 1st April 2007 all employees, regardless of length of service or hours of work will have a
general right to maternity leave of 52 weeks. Employees may start their leave not earlier than the
11th week before the EWC.
Annual leave will continue to accrue during the paid and unpaid periods of leave according to the
terms and conditions of employment. Employees do not accrue bank holidays during their unpaid
periods of leave.
Where an employee is in receipt of an essential car user allowance this will continue to be paid for
the first calendar month from the start of the maternity leave, and for a further 3 months at full rate
followed by 3 months at half rate. Where an employee receives a mobile phone or laptop purely for
work purposes, this should be returned to the department before commencing maternity leave.
• Employees with less than 6 months service
Women who have less than 6 months service with their employer by the beginning of the
11th week before their EWC are entitled to 52 weeks leave
• Employees with more than 6 months service and who intend to return to work
Women who have completed 26 weeks' continuous service with their employer by the
beginning of the 11th week before their EWC can take up to 63 weeks maternity leave.
PAY
Employees with six months service as outlined above will also receive 40 weeks pay as ollows:
First 16 weeks - Full Pay (Actual average weekly/monthly earnings)
Statement of Particulars Appendix - School Support Staff
LBH&FFollowed consecutively by:
Next 24 weeks - Half Pay (Actual average weekly/monthly earnings)
Any remaining leave will be unpaid or where applicable employees can take any
outstanding annual leave to reduce the length of time the employee is on nil pay at the end of their
maternity leave.
Employees should be informed that it is a qualifying condition of the maternity provisions that they
return to work for at least 3 months. If the employee fails to do so, the Council may require the
employee to refund part or all of the 24 weeks half pay.
There is the option of returning to work half time during the 24 weeks period and receiving full pay.
However, any such arrangement must be agreed by departmental management following an
assessment that indicates:
(i) The costs are minimum
(ii) service delivery is not negatively affected
Women who are interested in exploring this option may put their request in writing to their line
manager before starting maternity leave, or at any time up to one month before they wish to return
to work. If an employee chooses this option annual leave and sickness payment entitlements will
continue to accrue according to the employee's conditions of service. As a consequence any
annual leave or sickness period will be counted again as per the employee's conditions of service.
Where both the mother, partner (including same sex) and the nominated carer are London
Borough of Hammersmith & Fulham's employees the mother may assign any period of her leave
entitlement and con-current benefits to a "nominated carer".
METHOD OF PAYMENT
Employees will be paid at the same intervals and in the same way as they normally receive
salary/wages.
RETURN TO WORK
If an employee has indicated that she wants to take her full entitlement to maternity leave
and has not informed her employer that she wishes to come back at any other time, she
does not need to provide further notice. The employee can change the dates of her return
to work to either come back earlier than anticipated or to take longer, on the condition that
she gives eight weeks’ notice to her employer before the date she expected to return.
If employees have problems which prevent them from returning to work when maternity leave is
exhausted they can request to take a maximum of 4 weeks parental leave (unpaid). Employees
considering this option should refer to the Parental Leave guidelines for further information.
Further unpaid leave may also be granted in exceptional circumstances.
If the employee cannot return on the date given because of ill health the rules of the sick pay
scheme will then apply.
In certain exceptional circumstances the department may need to postpone the employees return
and may do so for a maximum of four weeks at full pay.
Statement of Particulars Appendix - School Support Staff
LBH&FEmployees may request flexible working practices such as job share, part time, term time,
compressed hours etc. Employees who are interested in any of these working practices should
refer to the Flexible Working Application Process.
FURTHER PREGNANCIES DURING MATERNITY LEAVE
If employees become pregnant during their maternity leave, entitlement to future paid maternity
leave will only accrue if the employee returns to work for 3 months before taking another period of
maternity leave.
Where return to work for 3 months is not possible the employee will still be entitled to 52 weeks
unpaid maternity leave starting from the date of the subsequent childbirth and may also have to
repay all or part of their original 24 weeks half pay. These employees will be expected to give their
notice in writing in accordance with their contractual obligations, despite not being required to work
their notice period.
WHERE THE EMPLOYEE DOES NOT RETURN
If an employee does not return to work on the notified date without an explanation advice from
Corporate Human Resources (ER) must be sought before steps are taken to terminate the
contract.
If an employee has completed the maternity form stating that they do not intend to return to work
after their maternity leave they are not required to provide any further notification to this effect.
Employees (with six months continuous service) will receive 16 weeks full pay and a further 10
weeks at the lower rate of Statutory Maternity Pay (subject to eligibility) in a lump sum on her last
day of work.
PENSION
If you are paying into the Local Government Pension Scheme, your pension contributions will be
deducted in the same way from your maternity pay. Membership of the pension scheme is counted
in full during all periods of paid maternity leave, including any periods when the employee is in
receipt of reduced maternity pay.
If you have a period of unpaid maternity absence, this period will not count as membership of the
pension scheme although you have the option of paying voluntary pension contributions to count it
as a period of membership. Any queries regarding pensions should be directed to the pension
section.
SUPERANNUATION
The Pensions Officer should write to every employee who takes paid maternity leave advising her
of the superannuation regulations which apply.
ANNUAL LEAVE
It is not possible to take two forms of statutory leave at the same time. This means that it is not
possible for the employee to take annual leave at the same time as maternity leave. An employee
on maternity leave may transfer her outstanding annual holiday leave entitlement from one leave
year to the next on the understanding that annual leave will be used during the period of unpaid
maternity leave, thus reducing the period of time the employee is without pay. Any variation to this
must be jointly agreed by management and the employee.
An employee should discuss with their manager how they will incorporate their annual leave
arrangements into their planning of their maternity leave. This is particularly important when the
employee plans to take a whole year’s maternity leave.
Statement of Particulars Appendix - School Support Staff
LBH&FThis procedure has been jointly agreed. Management will provide a three month consultation
process when any revisions are being made.
Statement of Particulars Appendix - School Support Staff
LBH&FAppendix E
Disciplinary Procedure
Statement of Particulars Appendix - School Support Staff
LBH&FAPPENDIX E MODEL DISCIPLINARY CODE AND PROCEDURE
CONTENTS
1. INTRODUCTION
2. NOTES OF GUIDANCE
Counselling
General Principles
Investigation
Minor Matters of Misconduct
Serious Matters of Misconduct
Discipline of Trade Union Official
Suspension from Duty
3. PROCEDURE FOR SETTING UP A DISCIPLINARY
5.1.1. COMMITTEE HEARING:
Before the Hearing
At the Hearing
After the Hearing
Dismissal
4. APPEALS
Appeals Panel Procedure
5. DISMISSAL: ACTION BY LEA
APPENDIX 1 - Establishment of Committees
APPENDIX 2 - Summary of Levels of Disciplinary Action
GUIDANCE NOTES:
Criminal Offences in and Outside Employment
Role of the LEA
Disciplinary Warnings
Conduct of Hearings
Access to Employment Tribunal
APPENDIX 3 – Procedure to Apply to Headteachers
Statement of Particulars Appendix - School Support Staff
LBH&FLONDON BOROUGH OF HAMMERSMITH & FULHAM
EDUCATION DEPARTMENT
MODEL DISCIPLINARY CODE AND PROCEDURE
1. INTRODUCTION
1.1 This procedure is applicable to all employees based in the school, who are
responsible to the governing body. If a governing body considers that some
disciplinary action is required against the Headteacher the Director of Education
should be consulted and will advise on the appropriate procedure to be followed.
1.2 The Governing Body, whilst acknowledging that its staff are both responsible and
co-operative, recognises that there is a need for rules of conduct in any place of
work and that proper procedures are an aid to good management and to ensuring
that employees are treated fairly and consistently.
1.3 The procedure is designed to help and encourage all employees to achieve and
maintain standards of conduct. It should therefore not just be viewed as a means of
imposing sanctions or as necessarily leading to dismissal. This procedure only
covers conduct.
1.4 The procedure takes full account of the ACAS Code of Practice on “Disciplinary
Practice and Procedures in Employment”: and the ACAS advisory handbook
“Discipline at Work”.
1.5 Appropriate training, where necessary, shall be provided for those involved in
applying the procedure.
1.6 It is important that the procedures in this document are closely adhered to as failure
to do so may be prejudicial to the outcome of any such disciplinary case, for
example, at an Appeal hearing or Employment Tribunal. Advice may be sought
from Education Human Resources (Employee Relations) prior to and at all stages
of the procedure. It is clearly necessary to maintain confidentiality in relation to all
aspects of the disciplinary process.
1.7 A representative from the LEA is entitled to attend any disciplinary hearing which
may result in dismissal, or subsequent appeal hearing, in an advisory capacity. The
advice of the LEA is not binding. However, the LEA has the power to charge the
school budget for any costs of compensation that result from unfair dismissal where
it has “good reason”, e.g., where it is felt the Governing Body has unreasonably
rejected advice from the LEA representative.
1.8 The disciplinary procedure and rules will be reviewed periodically. Any
amendments and additional rules imposing new obligations shall be introduced
after consultation with the recognised Trade Unions.
Statement of Particulars Appendix - School Support Staff
LBH&F1.9 The procedure should be read in conjunction with the Articles of Government for
the School.
1.10 The term “trade union” is intended to cover recognised teachers association and
support staff trades unions.
1.11 A summary of the levels of disciplinary action that may be taken is contained in
Appendix 2.
2. NOTES OF GUIDANCE - Please read carefully before using the
procedure.
2.1 COUNSELLING
The day-to-day supervision of employees is outside the scope of this procedure. It is the responsibility of
all staff in a supervisory position to monitor their staff and ensure that employees understand what is
expected of them with regard to both work standards and conduct. Counselling may often be a more
appropriate method of resolving problems than a disciplinary interview. It should take the form of a
discussion with the objective of encouraging and helping the employee to improve. In cases of minor
infringements the employee should be counselled with the intention of effecting an improvement/resolution
at an early stage before the disciplinary procedure is invoked.
2.2 GENERAL PRINCIPLES
2.2.1 Gross misconduct is generally seen as misconduct serious enough to destroy the
employment contract and make any further working relationship and trust
impossible. It is normally restricted to very serious offences, for example, physical
violence, theft or fraud or certain sexual of fences.
2.2.2 At all stages in the procedure, the employee will be advised (in writing) of the
nature of the complaint against her/him and will be given the opportunity to state
her/his case before any decision is made.
2.2.3 At all stages in the procedure, the employee will have the right to be represented by
an accredited and recognised Trade Union representative or by a friend of their
choice.
2.2.4 No employee will be dismissed for a first breach of discipline except in the case of
gross misconduct when the penalty may be dismissal without notice or payment in
lieu of notice. The LEA must be consulted in all cases of alleged gross misconduct
and wherever dismissal may be contemplated.
2.2.5 An employee will have the right to appeal against any disciplinary penalty imposed
and should have the right of appearing personally at an appeal hearing either alone
or represented by a Trade Union representative or a friend of their choice.
2.3 INVESTIGATION
Statement of Particulars Appendix - School Support Staff
LBH&F2.3.1 It is essential that all allegations of misconduct be investigated promptly to establish
whether or not there is a case to answer. The investigation should be undertaken
by the Headteacher.
2.3.2 The employee against whom the allegation is made must be informed as soon as
practicable that an investigation into her/his conduct is being made and the reason
for it. If the employee is interviewed during the course of the investigation, s/he
prior to the interview, must be informed of their right to be accompanied by a trade
union representative, or friend of their choice.
2.3.3 The investigation of alleged misconduct shall be primarily concerned with
establishing the facts of the case and defining the complaint, the persons affected
by the problem and obtaining relevant facts and information. Any witnesses to
alleged offences shall be asked to make written statements and to sign and date
their statements.
2.3.4 Only after such an investigation shall the Headteacher decide whether or not there
is a disciplinary case to answer.
2.4 MINOR MATTERS OF MISCONDUCT
2.4.1 Where the Headteacher believes that the misconduct was of a minor nature, i.e.,
would not warrant a penalty more severe than a first written warning (or a second
written warning where there has been a repetition of minor misconduct for which a
first warning is still current) a meeting will be convened with the employee and their
representative.
2.4.2 At the meeting the Headteacher will state the conclusions they have drawn from the
information gathered during the investigation. The employee/ representative will
formally respond (offering further information, alternative explanation of events,
mitigation etc).
2.4.3 At the end of the meeting the Headteacher will consider all the information before
them and decide what action to take.
2.4.4 The decision will be sent in writing to the employee within 3 working days of the
meeting. If a first or 2nd written warning is issued there will be a right of appeal to
the Disciplinary Committee of the governing body.
2.5 SERIOUS MATTERS OF MISCONDUCT
2.5.1 Where the Headteacher believes that the misconduct was of a serious nature
(potential gross misconduct) and that the penalty could be a final warning/dismissal
the case will be referred for a hearing before governors (Disciplinary Committee).
2.5.2 The Headteacher will present the case and the process for the hearing will be as
set out in Section 3.
2.6 DISCIPLINE OF A TRADE UNION OFFICIAL
Statement of Particulars Appendix - School Support Staff
LBH&F2.6.1 No formal disciplinary action should be taken against a Trade Union Official until
the circumstances of the case have been discussed with a more senior
representative or full time official of the union concerned.
2.7 SUSPENSION FROM DUTY
2.7.1 The Headteacher has the authority to suspend staff. It is advisable to consult the
LEA in advance but where this cannot be done the LEA must be informed as soon as possible.
The Chair of Governors must also be informed immediately a suspension occurs.
2.7.2 The employee should be offered the opportunity to be represented. However,
suspension should not be delayed because of unavailability of a trade union
representative. Suspension is not a form of disciplinary action and will be on full
pay. Nor is it a judgement on the merits of the case. It is a reflection of the serious-
ness of the incident. Suspension should be for a brief period and will normally take
place pending investigation and only:
Where there are reasonable grounds to believe that:
(a) an employee has committed gross misconduct;
(b) in other cases falling short of gross misconduct where the continuation of the
employee on duty would significantly affect the ability to investigate the
offence.
2.7.3 Within 5 calendar days, the employee shall be sent by first class post and by
recorded delivery, a formal letter of suspension from the headteacher which shall
include the following:
(a) the reason for suspension
(b) the date and time from which it took effect
(c) the duration of the suspension
(d) the rules of suspension e.g., the employee should not return to the place of
work without permission, entitlement to pay, etc.
2.8 only the governing body may end a suspension.
3. PROCEDURE FOR SETTING UP A DISCIPLINARY COMMITTEE HEARING
3.1 This is a hearing before members of the governing body where the employee is
facing an allegation of gross misconduct.
3.2 BEFORE THE HEARING
3.2.1 The intention of the hearing is to give employees every opportunity of stating their case.
Statement of Particulars Appendix - School Support Staff
LBH&F3.2.2 The employee will be notified in writing at least five working days before the hearing
takes place or, with the agreement of all concerned this may be shorter. The notice
may be extended to allow an employee to be adequately represented.
The notification will include:-
(a) the reason for the Hearing
(b) the date, time and place of the Bearing
(c) the right of the employee to be represented
(d) copies of any relevant documentation which are to be considered
(f) the procedure to be followed at the hearing
(g) advising the employee that it will be held in the employee’s absence unless a reasonable
explanation for failing to attend is provided.
(h) who will be present at the hearing.
3.3 AT THE HEARING
3.3.1 The Hearing will be conducted by the Disciplinary Committee.
3.3.2 It is recommended that the LEA is consulted at all stages and before any
disciplinary action is contemplated. An LEA rep may be invited to attend the
hearing to offer advice on procedure.
3.3.3 An LEA rep must be invited to attend any hearing which may result in an
employee’s dismissal.
3.3.4 This Hearing shall be private and no persons shall be present except the Members
of the Committee, their Secretary and LEA advisers (who shall advise on
procedural aspects only), the school’s representative(s), the employee and her/his
representative and, whilst giving evidence only, the witnesses.
3.3.5 The management case will be presented first (i.e., the Headteacher) and then the
employee (or representative) will present their case in response.
3.3.6 The Headteacher shall put the case in the presence of the employee and her/his
representative and may call witnesses.
3.3.7 The employee or representative will be entitled to ask questions of the headteacher
and any management witnesses.
Statement of Particulars Appendix - School Support Staff
LBH&F3.3.8 The employee or their representative shall then put their case, referring to relevant
documents and calling any witnesses. The Headteacher will be entitled to ask
questions of the employee and any witnesses.
3.3.9 Where the Disciplinary Committee considers that further information or discussion
is required the Hearing will be adjourned until a mutually agreed date. The
Disciplinary Committee is entitled to ask questions of each side at the end of their
presentation and before they sum up.
3.3.10 Both parties shall have the opportunity to sum up their case if they so wish, the
employee going last. New evidence must not be included in the summing up.
3.3.11 At the conclusion of the Hearing the Disciplinary Committee will adjourn to consider
its decision. The employee will be informed of the decision orally in the presence of
her/ his representative if it is practicable to do so. (The decision will be confirmed in
writing within five working days).
3.3.12 Where the Disciplinary Committee consider that the case against the employee has
been proved they will seek the following information before deciding on the level of
punishment:
(i) Whether there are current warnings on file for similar of fences.
(ii) Give the employee an opportunity to present mitigation.
3.3.13 The Disciplinary Committee will then adjourn to consider the level of disciplinary
action to be applied in the circumstances of the case.
3.3.14 This decision will be given orally at the time (if practicable). The decision will in any
case be confirmed in writing within 5 working days.
3.4 AFTER THE HEARING
3.4.1 CASE NOT SUBSTANTIATED - Where the Disciplinary Committee decides no
penalty should be applied this will be communicated in writing by the Disciplinary
Committee to the employee.
3.4.2 WARNING - Where the decision of the Disciplinary Committee is that a written
warning would be appropriate, the warning shall be issued by the Disciplinary
Committee and shall include:
(a) The reasons for the warning, i.e., brief details of the circumstances which
resulted in the warning being given.
(b) Brief details of any relevant previous warnings issued which are not time expired.
Statement of Particulars Appendix - School Support Staff
LBH&F(c) A formal warning relating to the offence(s) and any management action
which has been decided e.g., counselling, attendance at Inset, other forms
of support.
(d) A statement that further disciplinary action may be taken if a further offence
occurs.
(e) The employee’s right of appeal against the warning.
(f) Expiry date of warning.
3.4.3 DISMISSAL
3.4.4 Where the Disciplinary Committee makes a determination to dismiss the Chair of
the Disciplinary Committee must notify the employee in writing within 5 days of the
Committee’s decision, the reasons for this determination, the date from which it is
effective and the right of appeal.
3.4.5 The LEA will not act on the determination of the Disciplinary Committee until either
there has been an appeal hearing, or no appeal was lodged by the employee in the
time period allowed (10 working days after receipt of the letter from the Disciplinary
Committee) The LEA will then take action as described in Paragraph 5, page 10)
4. APPEALS
4.1 Appeals must be communicated in writing to the Headteacher by the employee or
her/his representative not later than 10 working days after receipt of the letter from
the Disciplinary Committee stating the grounds on which they are appealing.
4.2 All appeals from the Disciplinary Committee should be heard by the Appeals Panel
of the Governing Body at the earliest practical date and wherever possible before
the last day of the employee’s notice period where this is applicable.
4.3 At the appeal, any disciplinary penalty imposed will be reviewed but it cannot be
increased.
4.4.1 Employees who wish to appeal against the Disciplinary Committee’s determination
to dismiss or issue a warning shall have the right of appeal to the Appeals Panel of
the Governing Body. The employee or/ her/his representative must state the
grounds on which they are appealing.
4.4.2 The employee shall be given notice in writing at least 14 working days in advance
of the time and place of the Hearing and that s/he shall be able to call witnesses at
the Hearing.
This notice shall be extended if necessary to allow an employee to be adequately represented. An appellant who does not attend
her/his appeal hearing ( either in person or by a representative) shall have her/his appeal dismissed unless the absence is for good
cause.
Statement of Particulars Appendix - School Support Staff
LBH&F4.4.3 Seven working days before the Appeal Hearing the school’s representative and the
aggrieved employee shall submit a written summary of their respective cases to the
Chair of the Appeals Panel and exchange cases at the same time.
4.4.4 This Hearing shall be private and no persons shall be present except the Members
of the Committee, their Secretary and LEA advisers (who shall advise on
procedural aspects only), the school’s representative(s), the employee and her/his
representative and, whilst giving evidence only, the witnesses.
4.4.5 The Employee (or her/his representative) shall present the grounds for the appeal
in the presence of the school’s representative and shall call such witnesses as s/he
wishes.
4.4.6 The School’s representative shall have the opportunity to ask questions of the
appellant and her/his witnesses.
4.4.7 The Panel may ask questions of the employee and his/her representative and
witnesses.
4.4.8 The School’s representative shall put the case in the presence of the employee and
her/his representative and may call witnesses.
4.4.9 The Employee (or her/his representative) shall have the opportunity to ask
questions of any witnesses called.
4.4.10 The Panel may ask questions of the school’s representative and witnesses.
4.4.11 The School’s representative and then the employee (or her/his representative) shall
have the opportunity to sum up their case if they so wish.
4.4.12 The School’s representative and the employee and her/his representative shall
withdraw.
4.4.13 The Panel shall, with the LEA rep, deliberate in private only recalling the school’s
representative and the employee and their representative to clear up points of
uncertainty on evidence already given or where any matter that is relevant is in
doubt. If recall is necessary both parties are to return notwithstanding only one is
concerned with the point giving rise to doubt.
4.4.14 The Panel shall announce the decision to the parties personally or in writing as may
be determined (within 5 working days).
5. DISMISSAL: ACTION BY LEA
5.1 Following receipt of a letter from the Chair of the Disciplinary Committee, or Appeals
Committee the LEA will issue a letter of dismissal to the employee. The letter shall include:
(a) The decision reached and the date from which the decision is effective.
Statement of Particulars Appendix - School Support Staff
LBH&F(b) The reason(s) for dismissal as specified in Section 57 (2) of the EP(C) A
1978. There may, of course, be more than one ground in support of that
reason.
(c) Brief details of any relevant previous warnings issued which are not time expired
(d) The employee’s right of appeal to the Industrial Tribunal (where the
employee has sufficient service).
(e) Details of any notice to be given and holiday entitlement.
Statement of Particulars Appendix - School Support Staff
LBH&FAPPENDIX 1
5.2. ESTABLISHMENT OF COMMITTEES
Schedule 3 of the Education Reform Act 1988 (which relates to dismissal of staff) allows
for decisions concerning dismissal to be delegated to a committee.
The DfES guidance on this aspect of the Act is as follows:
“A committee to which any functions are delegated under Schedule 3, ERA 1988, shall
include not less than 3 members of the governing body and, where a committee is
established to take any initial or preliminary decision as to the dismissal of any member of
staff, no member of that committee shall take part in the proceedings of any committee
established to consider any appeal against that decision”.
The membership of an appeal committee shall include no fewer members of the governing
body than that of the first committee, the decision of which is subject to appeal.”
It is therefore of utmost importance that membership of the 2 committees is established
and that no governor is a member of both committees.
5.3. Role of the Disciplinary Committee
(1) To hear cases where the potential outcome may be a final warning or determination
to dismiss.
(2) To hear appeals against 1st and 2nd warnings issued to staff below the level of
Headteacher. At the appeal the Committee will review any disciplinary penalty
imposed but may not increase it.
5.4. Role of Appeals Committee
1) To hear appeals against a determination to dismiss - its decision will be final.
Statement of Particulars Appendix - School Support Staff
LBH&FAPPENDIX 2
SUMMARY OF THE LEVELS OF DISCIPLINARY ACTION FOR ALL STAFF OTHER THAN
HEADTEACHER
LEVEL OF AUTHORITY TO APPEAL TO REMOVAL OF
WARNING TAKE ACTION WARNING FROM
PERSONAL FILE
AT THE END OF
THE FOLLOWING
PERIODS:
(Maximum length)
Headteacher Disciplinary 12 Months
1ST WRITTEN Committee of the
Governing Body
2ND WRITTEN Headteacher Disciplinary 18 Months
Committee of the
Governing Body
FINAL Disciplinary Appeals Panel of 24 Months*
Committee of the the Governing
Governing Body Body
DISMISSAL Disciplinary Appeals Panel of N/A
AND Committee of the the Governing
SUMMARY Governing Body Body
DISMISSAL (advised by the
LEA Human
Resources
*Exceptionally, there may be circumstances where the misconduct is so serious, verging
on gross misconduct, that it cannot realistically be disregarded for future disciplinary
purposes. In such cases it should be made very clear that the final warning can never be
removed and that recurrence will lead to dismissal.
Employees have the right to be represented at all warning levels. All hearing results will be
notified in writing within 5 working days. All appeals must be lodged within 10 days of
receipt of the written results of the Hearing.
Statement of Particulars Appendix - School Support Staff
LBH&FGUIDANCE NOTE 1
5.5. CRIMINAL OFFENCES IN AND OUTSIDE EMPLOYMENT
Charges brought against an individual by other parties, including the Police, and
investigations by the Police, are procedurally separate from this disciplinary procedure.
Action may be taken irrespective of police or court proceedings. It does not automatically
follow that an employee found guilty of an offence in the courts or taken into custody, will
be the subject of disciplinary action. Neither does it follow that an employee found not
guilty of an offence in the courts will be immune from action by the Governing Body.
It is for the Governing Body in consultation with the LEA to consider such cases on their
merits and decide whether the offence has a material bearing on the individual’s suitability
as an employee. The decision will depend on the nature of the offence, and the
occupation of the employee.
Statement of Particulars Appendix - School Support Staff
LBH&FGUIDANCE NOTE 2
ROLE OF THE LEA
1. Officers of the LEA are available to give advice to schools on any aspect of the
operation of the disciplinary procedure.
2. There are critical points in the procedure where it is strongly urged that advice is
sought from the LEA. These are:
Suspension: where the Headteacher is considering suspension from duty
Serious Misconduct: where potential gross misconduct may have occurred
and a Disciplinary Committee hearing is being considered.
3. Attendance at Disciplinary Committee and Appeal hearings:
Schedule 3 of the Education Reform Act 1988 entitles the Chief Education Officer
to attend disciplinary hearings which could result in dismissal. The schedule
requires governing bodies to consider any advice given before making a decision.
The same principle applies to appeal hearings.
It is therefore recommended that the LEA be contacted before a Disciplinary
Committee is set up in order to arrange for a representative of the Chief Education
Officer to attend the hearing.
Governing Bodies should be aware that under employment case law a dismissal could be potentially unfair when advice is sought
from someone who was not present to hear all the evidence.
If the LEA were not invited to send a representative to attend a hearing, it would not
be possible to offer advice afterwards in relation to the decision to dismiss.
Statement of Particulars Appendix - School Support Staff
LBH&FGUIDANCE NOTE 3
DISCIPLINARY WARNINGS
(i) Level of Warnings
The level of warnings depends on the seriousness of the disciplinary matter under
consideration.
When deciding whether a disciplinary penalty is appropriate and what form it should
take, consideration should be given to:
the penalty imposed in similar cases in the past
any special circumstances which might make it appropriate to lessen the severity of the penalty
the employee’s disciplinary record, general record, age, position and length
of service.
whether the proposed penalty is reasonable in view of all the circumstances.
In normal circumstances a final warning will only be issued after written warnings
have been given for similar of fences. However, serious misconduct can justify a
final warning without prior written warnings.
Gross misconduct is generally seen as misconduct grave enough to destroy the
employment contract. It is restricted to very serious of fences.
(ii) Length of Warnings
The length of warnings specified in Appendix 2 are recommended maximum - depending on the circumstances of each case the
time limit for expiry of the warning can be shorter. In addition, the currency of a warning may be reviewed while it is still in force and
a view taken that the level of performance is such that the warning should be removed from the file at an earlier date than the one
originally specified.
Statement of Particulars Appendix - School Support Staff
LBH&FGUIDANCE NOTE 4
CONDUCT OF HEARINGS
5.6. General Points
(1) The fundamental purpose of the hearing is to give the employee the opportunity to respond fully to the
allegations which have been made.
(2) The Chair of the Hearing is responsible for the proper conduct of the hearing. This
should be on a reasonably formal basis with the Chair adjudicating on any
procedural issues relating to the conduct of the hearing.
(3) Advice on procedural issues can be sought from the LEA representative at any
point in the hearing.
(4) Any witnesses called by either side should only be present for the time it takes to
give their evidence.
(5) If either side wish to present documentary evidence not previously circulated, the
hearing may be adjourned to allow the other side time to consider it.
5.7. Appeal Hearings
(6) The grounds for an appeal will usually fall into (at least) one of these categories:
(i) procedural: that the conduct of the previous hearing was in some way
flawed and therefore unfair.
(ii) matters of fact: where the facts of the case are contested, this could
essentially mean a rehearing of the whole case.
(iii) mitigation: the level of punishment is too severe. The appeal hearing offers
an opportunity for the employee to put forward mitigating circumstances to
seek a “reduction in the sentence
5.8. Reaching a Decision
(7) In deciding whether the alleged misconduct occurred there is no requirement (as in
criminal law) to be “certain beyond all reasonable doubt”. The test under
employment law is based on the “balance of probability” that the offence was
committed
(8) Having decided that misconduct occurred a view then has to be taken as to the
level of disciplinary action that is reasonable in the circumstances of the case.
Statement of Particulars Appendix - School Support Staff
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