Date Amendments/Actions Next Compulsory Review Date

CTC KINGSHURST ACADEMY STAFF DISCIPLINARY POLICY AND PROCEDURE POLICY REFERENCE: POL017S Policy History Policy Ref & Version Date Amendments/Actions Next Compulsory Review Date POL017S V1.0 1 st September 2010 Published & Effective Sept 2012 POL017S V2.0 January 2013 Format changes and standard review Sept 2014 POL017S V2.1 January 2014 Procedure update Jan-April 2016 1.Purpose 1.1 This policy aims to: 1.1.1 help and encourage individuals to achieve and maintain acceptable standards of conduct at work 1.1.2 provide a framework to ensure consistent and fair treatment of all staff; and 1.1.3 protect our interests. 1.2 This Policy does not form part of the CTC s contract of employment. 1.3 The dismissal or disciplining of the Principal shall be dealt with by the Governors of the CTC in accordance with the ACAS Code on Disciplinary & Grievance. 1.4 The dismissal of the Vice Principals and the Director of Finance shall be by the Governors of the CTC after consultation with, and with the agreement of the Principal in accordance with the terms of this policy and the ACAS Code on Disciplinary and Grievance. 1.5 The Disciplining of the Vice / Assistant Principal(s) and the Director of Finance shall be in accordance with this policy. 2. Application of this Policy 2.1 The Policy will be implemented in accordance with the provisions of the ACAS Code of Practice on Disciplinary and Grievance Procedures. 3. Disciplinary Procedure 3.1 Informal Resolution 3.1.1 In the first instance, the line manager or another appropriate manager agreed in consultation with the Director of Finance, will consider whether a disciplinary matter should first be dealt with by informal discussions with the relevant employee. This will be appropriate for minor lapses of acceptable standards of conduct, including for example minor incidences of rudeness, lateness, general conduct or performance. Page 1 of 9

3.1.2 The manager will first investigate the matter and then, if (s)he decides an informal meeting is appropriate, will invite the employee to a meeting where the matter will be discussed and considered further. If, following the meeting, the line manager feels an informal warning is appropriate, (s)he will highlight the unacceptable standard of conduct and provide clear written instructions on the improvements required within a prescribed timescale. The line manager should also confirm to the employee promptly in writing (and generally verbally) that failure to comply with this instruction could lead to formal disciplinary action. 3.1.3 The line manager will make a record of the discussion. This will be issued to the employee, via email or hard copy, in the form of notes or a summary minute of key actions, as soon as practicable after the meeting generally within 7 days. 3.2 Formal Procedure 3.2.1 Where the incidence of misconduct is such that the informal procedure is inappropriate, or where informal resolution has not been successful, the formal procedure will be used. 3.2.2 Misconduct It is not possible to list all types of misconduct capable of meriting formal disciplinary action as each situation depends on its own circumstances. However, acts of misconduct could include: failure to comply with instructions; frequent or persistent lateness or poor time keeping; absenteeism (including unauthorised leave or overstaying leave); inappropriate language or behaviour; disobedience or a refusal to obey a reasonable and lawful instruction;flaunting CTC rules/working practices (e.g. on drinking, smoking and health & safety); wilful poor performance following reviews under the performance procedures; minor incidents of harassment, bullying, victimisation or discrimination; or misuse (but not serious misuse) of CTC facilities including telephones (and mobile phones), e- mail and internet and any other CTC equipment. 3.2.3 Gross Misconduct Serious acts of misconduct may amount to gross misconduct or gross negligence. It is in our discretion to decide what amounts to serious. Examples include: theft, fraud and deliberate falsification of records; physical violence; abusive, aggressive or threatening language or behaviour; serious harassment, bullying, victimisation or discrimination; deliberate damage to property; serious insubordination; serious misuse of CTC property, including telephone/mobiles, e-mail and internet facilities as set out in our Email and Internet Policy; actions which bring, or potentially bring, CTC and its name into disrepute; carrying out work which conflicts with any core business of the CTC without our prior written permission; drinking alcohol or using drugs or other intoxicating substances whilst on duty; serious negligence which causes or might cause serious loss, damage or injury; Page 2 of 9

serious infringement of CTC rules and working practices, including our health & safety rules; serious breach of confidence (although your rights under the Public Interest (Disclosure) Act 1998 are not affected); or a criminal offence, which may, whether it is committed during or outside the individual s hours of work, adversely and seriously affect CTC s reputation or an employee s suitability for the type of work they are employed to perform. 3.3 Investigation 3.3.1 Before any disciplinary action is taken, the line manager, a member of the HR Department or another appropriate employee or, where appropriate, an external representative, will, in consultation with the Director of Finance, conduct a suitable investigation at the earliest opportunity to try to establish the relevant facts. 3.3.2 This may involve carrying out interviews with the employee concerned and third parties such as witnesses, colleagues and managers as well as analysing written records and information. Written statements may be taken from relevant witnesses or the investigating officer may collate his/her own summary of discussions during investigatory meetings to provide a true and adequate summary of what is said. 3.3.3 Following the investigation, the investigating officer will, in consultation with the HR Department, prepare a report summarising their findings to enable an authorised manager as outlined in Section 3.4.7 of this Policy to determine whether or not the matter should proceed to a disciplinary hearing. 3.3.4 Where a decision is made to hold a disciplinary hearing, the employee will be informed as promptly as possible of the nature of the allegation or complaint against them in writing and will be provided with a copy of any relevant evidence which has been collected during the course of the investigation. This will usually be between 2 to 5 working days before the disciplinary hearing takes place. 3.3.5 Where there is reason to believe that an employee may be responsible for an act of gross negligence or gross misconduct, or where there is other good reason or urgent cause, CTC reserves the right to suspend an employee from duty pending an investigation and a possible formal disciplinary hearing. Suspension will not prejudice the outcome of the investigation and will be reviewed on a regular basis to ensure the employee remains fully informed of the progress of the investigation and probable timescales. Employees will receive full pay throughout any period of suspension. 3.4 Formal Disciplinary Hearing 3.4.1 Once the matter has been properly investigated, it may be deemed appropriate to hold a formal disciplinary hearing. 3.4.2 The employee will be notified in writing of the date of the hearing at no later than 2 working days beforehand. The notification will include a summary of the nature of the misconduct alleged. The Employees will also be provided with a copy of the evidence collected as part of the investigation and will be advised of the possible outcomes of the hearing. 3.4.3 The employee will be entitled to be accompanied at the hearing by a colleague or trade union official. A member of the HR Department may also be in attendance to advise the decision-maker on matters of procedure. Page 3 of 9

3.4.4 If either party is to rely on any documentation to be used at the hearing, for example any witness statements or summary of witness statements, this will be exchanged at least 2 days before the date of the hearing. 3.4.5 Witnesses may be questioned at the hearing, although CTC reserves the right to refuse where this is considered impractical or inappropriate. 3.4.6 Hearings may be delayed once by up to 7 working days if the trade union representative or work colleague is unavailable to attend on the date of the scheduled meeting. 3.4.7 If an employee fails to attend without reasonable cause and prior notification, CTC reserves the right to proceed with the hearing in their absence. CTC will judge what is a justifiable reason, and may require evidence to be provided; for example, to demonstrate that non-attendance due to a medical appointment or other formal, pre-arranged commitment. 3.4.8 The hearing will normally be heard by the authorised manager in accordance with Tables 1 & 2 below. An example procedure is attached as Appendix 1. This should be regarded as guidance only. CTC reserves the right to vary the procedure where it is deemed appropriate to do so. Table 1 Personnel Authorised to Conduct Hearings concerning CTC Employees Personnel Authorised to Conduct Hearings for CTC Employees Potential Disciplinary Sanction First written warning Final Written Warning Dismissal Authorised Personnel for Hearing Assistant Principal, Vice Principal, Director of Finance or other line manager specified by the Director of Finance or Principal, who may be accompanied by a senior member staff e.g. line manager or member of the HR Department Assistant Principal, Vice Principal or Director of Finance who may be accompanied by a senior member staff e.g. line manager or member of the HR Department Principal; or Vice Principal or Director of Finance (with delegated authority from the Principal); Authorised Personnel for Appeal Assistant Principal, Vice Principal, or Director of Finance (assuming no previous involvement in the case) Vice Principal, Principal or Director of Finance (assuming no previous involvement in the case) Appeal Panel of 3 Governors; or Principal Page 4 of 9

Table 2 Personnel Authorised to conduct Disciplinary Hearings concerning Vice/ Assistant Principal(s) or the Director of Finance Potential Disciplinary Sanction Informal warning, first, final or other written warning Authorised Personnel for Hearing Principal Authorised Personnel for Appeal Appeal Panel of 3 Governors Dismissal Panel of 3 Governors Appeal Panel of 3 Governors 4 Outcome following a Disciplinary Hearing 4.1 Following a disciplinary hearing, the authorised manager, as defined in Section 3.4.7 will determine what action to take (if any) allowing for the nature of the offence, the statements and answers provided by the employee and/or any witnesses a part of the investigation and/or during the hearing, current disciplinary records, and other factors such as health or length of service. 4.2 Employees may be informed of the decision in writing normally within 7 working days. In some circumstances employees may be informed of the decision verbally at the end of the hearing after a brief adjournment. 4.3 The following table provides an indication of the disciplinary sanctions which may be taken and how long they will apply for: Table 3 Misconduct Serious Misconduct Gross Misconduct 1 st Occasion 2 nd Occasion 3 rd Occasion 4 th Occasion Oral warning Written warning Final written Dismissal or action (6 months) (12 months) warning short of dismissal Written warning (12 months) Dismissal Final written warning (12 months) (12 months) Dismissal or action short of dismissal 4.4 The above Table 3 should be regarded as guidance only. CTC reserves the right to apply alternative or more severe sanctions where it is deemed appropriate to do so. Such circumstances may include, but not be limited to: 4.4.1 A further act of misconduct which occurs while a disciplinary warning is in force (whether or not the misconduct is the same as that which gave rise to the warning), Page 5 of 9

4.4.2 As an alternative to disciplinary action (usuallydismissal), CTC may decide that some other form of action is appropriate, such as removing certain duties and responsibilities from the employee with a commensurate reduction in pay. 4.4.3 If, following an investigation and a disciplinary hearing, it is concluded that an employee has committed an act of gross misconduct, the employee may be summarily dismissed without notice or payment in lieu of notice. 5 Appeals 5.1 An employee will have a right to appeal against a formal disciplinary penalty. Appeals should be presented in writing to the HR Department within 5 working days of receipt of the written decision. The reasons for the appeal must outline specifically the nature of the perceived inadequacies of the procedure used and/or the decision taken and/or the sanction imposed. 5.2 The appeal will be heard by the appropriate person as set out in the Tables 1 and,2. An example procedure is attached as Appendix 2. This should be regarded as guidance only. CTC reserves the right to vary the procedure where it is deemed appropriate to do so. 5.3 The appeal shall normally take the form of a review of the decision, not a rehearing. 5.4 The Employee will be entitled to be accompanied at the appeal hearing from a colleague or trade union official. A representative of the HR Department or other employee, as appropriate, may also be in attendance to advise the decision-maker on matters of procedure and to take notes. 5.5 Appeals will usually be heard within 15 working days of receiving the notice of the appeal. Hearings may be delayed once by up to 7 working days if the trade union representative or work colleague is unavailable on the date of the scheduled hearing. 5.6 The outcome of the appeal hearing, together with the reasons for the decision, will be given in writing as soon as possible after the hearing, normally 5-7 working days. The person holding the appeal hearing will have authority to confirm or overturn the original decision, or to decide on a different outcome. The decision will be final. 5.7 In the event that a school closure period intervenes, the working days will continue into that closure period and the process will not be suspended. 6. General Principles 6.1 All employees are expected to be familiar with, and comply with, their terms and conditions of employment and all policies of the CTC and, if requested, CTC will give appropriate clarification. 6.2 Where appropriate, attempts will be made to resolve disciplinary matters informally although it is accepted that informal resolution will not be appropriate for serious misconduct issues or in general matters such as allegations of bullying, harassment or discrimination. 6.3 Employees have the right to be accompanied by a trade union representative or a work place colleague at any formal and appeal stage of the Policy, and to appeal against any disciplinary penalty imposed. A member of the HR Department will normally be involved at the formal stages if this procedure to advise the decision-maker on matters of procedure and to take notes. Page 6 of 9

6.4 The Policy incorporates times limits into each part of the disciplinary process so that matters are resolved as quickly as possible. CTC reserves the right to alter these time limits where necessary. Any such changes will be explained to relevant employees. 6.6 Formal disciplinary action will be taken only after the matter has been properly investigated. At each stage of the Policy, the employee will be made aware of the nature of the complaint against them and will be given the opportunity to have their say before any decision is made. 6.7 Ultimate responsibility for dismissal resides with the Principal or the Disciplinary Panel of Governors or the Appeal Panel of Governors. However, in certain circumstances this authority may delegated by the Principal to a designated member of the senior leadership team. 6.8 CTC may impose the disciplinary penalty which is considered appropriate in the circumstances (an employee will not be dismissed for a first offence, other than for gross misconduct or gross negligence). The CTC may apply a disciplinary sanction at any level and may choose not to follow the escalation process set out in Table 3, depending upon the seriousness of the offence 6.9 All correspondence and records of disciplinary matters are confidential and held by the HR Department. Members of management will be made aware of disciplinary matters only if necessary. There may be other occasions where it is appropriate to disclose disciplinary records, e.g. for employee references, Court or Tribunal proceedings. 6.10 CTC reserves the right to amend the Policy. Employees and their trade union representatives will be notified of any changes to this policy. 7. Policy Review This policy will be kept under review in order to keep it in line with relevant legislation and modifications authorised in line with the Authorisation and Issue Process set out below. Policy owner: Director of Finance Authorisation & Issue Process Authorisation & Issue Process Action Date Committee/Position Name Signature Review and recommend approval in principle 27/02/14 Facilities, Finance and Personnel Committee (FFP) Chair S.Hackwell Not required Final approval 30/03/14 Governors Chair of Governors David S Moore Notice to issue 30/03/14 Principal Ann Jones Page 7 of 9

Appendix 1 Example Procedure at Hearing 1(a)The Chair will be the authorised person set out in Tables 1, 2 or 3, as appropriate, who will generally have had no prior involvement. (b) The Chair will open the hearing by confirming their role, and then introducing those present, and confirming the purpose of the hearing. (c) The Chair will ensure that an appropriate member of the HR Department or other appropriate member of staff or other appointed person is present at the hearing and makes a contemporaneous minute which records the date and time of the hearing, those present, the main points of the hearing, and where made on the day, the decision; and a copy of which will in due course be sent to all parties. Note: the Chair may choose only to confirm the decision in writing, subsequent to the hearing. (d) A member of the HR Department or other relevant person may be present to advise the Chair/members of the Disciplinary Panel on matters of procedure. 2(a) The basis of the case and the supporting evidence will be set out by the Chair or the investigating officer, if present. (b) The employee and/or their representative may ask questions and/or respond to the points made.. (c) The Chair/members of the Disciplinary Panel may ask questions of the investigating officer if present at the hearing. 3(a) the employee and/or their representative will set out their response and supporting evidence. (b) The investigating officer if in attendance may ask questions of the employee and/or their representative. (c) The Chair/members of the Disciplinary Panel may ask questions of the employee and/or their representative. 5. The investigating officer, if present, will be invited to make any further comments and to sum up. The Chair will sum up in the absence of the investigating officer. 6. The employee or their representative will be invited to make any further comments and to sum up. 7. In the absence of the employee and/or their representative, and the investigating officer if present, the Chair/Disciplinary Panel will consider the decision assisted by a member of the HR Department or other appropriate employee whose only role is to advise on matters of procedure. 8. The Chair/Disciplinary Panel will decide what action to take (if any), allowing for the nature of the offence, the statements and answers provided by the employee and/or any witnesses as part of the investigation or during the hearing, current disciplinary records, and other factors such as health or length of service. 9. When a decision has been made, both parties will be informed of that decision, the reasons for it and that this is a final decision, in writing normally within 5-7 working days of the hearing. Page 8 of 9

Appendix 2 Example Procedure at Appeal Hearing 1(a) The Chair will be the authorised person set out in Tables 1, 2 or 3, as appropriate, who will generally have had no prior involvement.. (b) The Chair will open the hearing by confirming their role, and then introducing those present, and confirming the purpose of the hearing. (c) The Chair will ensure that an appropriate member of the HR Department or other appropriate member of staff or other appointed person is present at the hearing and makes a contemporaneous minute which records the date and time of the hearing, those present, the main points of the hearing, and where made on the day, the decision; and a copy of which will in due course be sent to all parties. Note: the Chair may choose only to confirm the decision in writing, subsequent to the hearing. (d) A member of the HR Department or other relevant person may be present to advise the Chair/members of the Disciplinary Panel on matters of procedure. 2. The appeal will be by way of a re-hearing. 3(a) the basis of the decision and the supporting evidence will be set out by the Chair or the investigating officer if present. (b) The employee and/or their representative may ask questions of the investigating officer if present.. (c) The Chair/members of the Appeal Panel may ask questions of the investigating officer if present. 4(a) the employee and/or their representative will set out the grounds of the appeal and supporting evidence. (b) The investigating officer, if present, may ask questions of the employee and/or their representative. (c) The Chair/members of the Appeal Panel may ask questions of the employee and/or their representative. 5.. The investigating officer, if present, will be invited to make any further comments and to sum up. The Chair will sum up in the absence of the investigating officer. 6. The employee or their representative will be invited to make any further comments and to sum up. 7. In the absence of the employee and/or their representative, and the investigating officer if present, the Chair/Disciplinary Panel will consider the decision assisted by a member of the HR Department or other appropriate employee whose only role is to advise on matters of procedure. 8. The Chair/Disciplinary Panel will decide what action to take (if any), allowing for the nature of the offence, the statements and answers provided by the employee and/or any witnesses as part of the investigation or during the hearing, current disciplinary records, and other factors such as health or length of service. 9. When a decision has been made, both parties will be informed of that decision, the reasons for it and that this is a final decision, in writing normally within 5-7 working days of the hearing. Page 9 of 9