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April 2016 Cambridge Meridian Academies Trust of 27 For Review: Grievance Procedure

Cambridge Meridian Academies Trust

Grievance Policy and Procedure

Document Control

Version Number: 8

Applicable To:

Committee: JCNC / Personnel committee

Agreed On: 10.03.2016

Review Cycle: 1 years

Date of Next Review: 10.03.2017


Contents page

REF DESCRIPTION PAGE

1.0 Introduction 3

2.0 Scope 3

3.0 Purpose 4

4.0 Grievance after termination of employment

4

5.0 Representation 4

6.0 Time Scales 5

7.0 Informal Procedure 5

8.0 Formal procedure stage 1

6

9.0 Appeal procedure stage 2

7

10.0 Decision 7

11.0 Collective Grievances 8

12.0 Collective Disputes 8

13.0 Record Keeping 8

14.0 Monitoring and evaluation

9

Appendix A Grievance form stage 1 10

Appendix B Grievance form Appeal 11

Appendix C Procedure at grievance meetings

12

Appendix D EPM: Guidance notes for Investigating Officers conducting Disciplinary / Grievance investigations

13


1 Introduction

This Policy provides for individual employees to raise grievances related to their employment. The intention is that grievances should be settled quickly and fairly and should be first dealt with as close to the source as possible. This Policy has been developed to comply with the ACAS code of Practice, Disciplinary and Grievance processes. The grievance procedure must always be applied fairly and in accordance with the Trust’s Equal Opportunities Policy as well as the Equality Act 2010 and all relevant employment law.

1.1 It is essential that when an employee raises a grievance either informally or formally

that they have a clear picture of the required outcome / resolution to their complaint. This must be stated within their written grievance. It also advised that contact is made with the relevant Trade Union representative at the earliest possibility.

2 Scope

2.1 This Policy applies to all members of the Academy’s / Trust’s staff, including the Chief Executive Officer (CEO,) Chief Operating Officer (COO,) Principals and other full and part-time, permanent and temporary employees but not to contractors’ employees.

2.2 Where the Principal is referred to in the Policy and the grievance is against the Principal the Grievance Manager will revert to CEO or COO of the Trust. In regards to a grievance being raised by the Principal or member of the Core Trust, the grievance will be referred to the Chief Operating Officer (COO.)

2.3 A grievance is a complaint by an employee about any aspect of his/her employment. Grievances include complaints of victimisation, discrimination or other unfair treatment by the Trust or its employees.

2.4 The Policy will permit employees to raise grievances against employers, governing bodies, individual governors, Principals, line managers and fellow workers on:

terms and conditions of employment;

health and safety;

work relations;

bullying and harassment;

new working practices;

working environment;

organisational change;

discrimination.

2.5 The grievance process should not be used instead of the normal appeals process in other procedures, these being the Academy’s application of its Pay Policy, Disciplinary Procedure, Sickness Absence Procedure or Capability Procedure including appeals. However, where an appeal in relation to any of these procedures relates to any potentially discriminatory action under the Equality Act 2010, then the grievance procedure should be followed. There is a separate Dignity at Work Policy which should be used in the first instance to deal with any allegation of harassment, bullying or victimisation.

2.6 This Policy may not be used for complaints that lie outside the power of the Academy to resolve; for instance relating to legislation, regulation or collective agreement.

2.7 The Trust will ensure that all grievances are dealt with in a fair and equitable manner.


2.8 Status Quo - The working arrangements at the time of the grievance is raised will be

maintained during the process or until the matter is resolved. Specifically, the working arrangements which were in place prior to the dispute arising should be maintained until the matter is either resolved or the process is exhausted. Management reserves the right to vary this provision where it is considered that the maintenance of the “status quo” might be detrimental to the health, safety and welfare of employees, students or members of the public.

2.9 Where an employee raises a grievance during a disciplinary, capability or sickness absence process, that process may be temporarily suspended in order to deal with the grievance. Where the two cases are related, it may be appropriate to deal with both issues concurrently.

3 Purpose

3.1 This Policy explains the process for both informal and formal grievances and must be

referred to by managers when dealing with a complaint. It is in the management’s interest to resolve problems before they develop into major difficulties, resolving, where possible, at the informal stage. The aim of this Policy is to enable any member of staff to have his/her grievance heard and to seek redress where appropriate. In particular:

It will ensure that employees’ grievances will be addressed and if possible, resolved as near as possible to the point of origin.

It is intended to promote fairness and transparency by ensuring that there are specific and clear rules and procedures for handling grievance situations and that employees who have a grievance about their employment are aware of their rights.

Employees raising a grievance about their employment should be able to do so without fear of victimisation as a result of the grievance or any subsequent investigation or management action.

All grievances shall be dealt with in a non-discriminatory and consistent way.

3.2 At any stage of the procedure the CEO, COO, Principal and / or Chair of Governors / Trust may wish to refer to an adviser external to the Academy / Trust for guidance to bring about a resolution of the grievance acceptable to both sides outside the formal hearing within the procedure. Such conciliation is without prejudice to the position of both parties in the procedure.

4 Grievance after Termination of Contract

4.1 The staff grievance procedure is intended to benefit employees in current employment. Where an employee’s contract has been terminated with a grievance still outstanding, the grievance procedure should be terminated unless it concerns matters that survive the termination of contract. The ACAS code makes no reference to ex- employees and therefore any outstanding grievance will be considered on a case by case basis, in consultation with CMAT’s legal advisors. Managers will be mindful to take appropriate HR advice and engage Trade Union representatives where appropriate (formal grievance, for example.)

5 Representation

5.1 Throughout each stage of the formal process both the complainant (the person making the complaint) and the respondent may be accompanied by a colleague or Trade Union representative. Meetings that are arranged in connection with informal grievances are normally attended by the complainant and the grievance manager and if appropriate the respondent. However, depending on the grievance it may at times be appropriate for a Trade Union representative to be in attendance to support the complainant. All requests for Trade Union support in an informal meeting should be reasonably


considered and discussed with the HR Advisor. If the complainant is accompanied at the informal stage then the respondent must also be allowed representation.

5.2 The complainant and respondent should make their own arrangements to be accompanied by a representative. Where the chosen representative is not available at the proposed time and date, the employer, employee and Trade Union representative will attempt to agree a mutually convenient date as quickly as practicably possible.

5.2.1 Employees will be allowed reasonable time away from work to meet with their representative. This must be agreed by the employee’s line manager and will be in accordance with service requirements. It is at the discretion of the line manager what amount of time is reasonable dependent on the complexities of the grievance issue. Trade Union representatives will be afforded the necessary time off.

6 Timing

6.1 Grievances should be conducted without any unnecessary delay and normally well within the timescales specified. However, where there is a valid reason to do so, timescales can be varied with the approval of the CEO, COO, Principal or Chair of Governors/Trust. The complainant, or complainants if a collective grievance, and the respondent (if they have already been informed of the grievance) should be given an explanation if this occurs and informed when a response or meeting can be expected. Delays should not exceed 15 working days without good reason. The only exception to this will be where a grievance is raised very near a school term closure or the time line is interrupted by school term closures. Grievances can be resolved during these times, but it must be at the agreement of all parties.

7 Preliminary Informal Procedure

7.1 Most routine complaints and grievances are best resolved informally between the complainant and the person perceived to be the source of the grievance. Alternatively, if this is not possible, the complainant should raise the informal grievance with the line manager. If the line manager is the source of the complaint, the informal grievance should be sent to the Principal, who will decide who is best placed to resolve the complaint. This can often lead to a speedy resolution of the problem. It is important that when raising an informal grievance that the outcome sought from the employer is clear. It is also advised that the appropriate Trade Union representative is contacted for advice at the earliest opportunity.

7.2 It is recognised that employees may be reluctant to engage in such discussions without the support of a companion, a mediator or an intermediary. Persons able to fulfil this role, subject to the agreement of all parties, may include a Trade Union representative. HR advice should be sought in all cases where a request is made by an employee to be supported. In such informal meetings, either party may withdraw at any time.

7.3 In all circumstances, even where the complainant submits a grievance under the formal procedure without first raising the complaint with their line manager, managers should try to resolve the underlying problem informally as part of good management practice and not rely upon a strictly procedural approach. However the complainant must agree to this.

7.4 In certain circumstances and by mutual agreement, the advice or services of an external conciliator may be sought to help resolve the grievance. This may include the services of ACAS, or another person trained in mediation.

7.5 Where the grievance cannot be resolved informally, then the employee should consider whether or not they wish to refer to the Formal Stage 1 Procedure. This also applies where an employee feels unable to pursue the grievance through the informal process.

7.6 Employees will be given a copy of any action / outcome in regards to an informal grievance. In addition to this, employees are strongly advised to consider making their own notes as a record of any action agreed. Notes from the meeting will be circulated


no later than 5 working days from the meeting date, wherever possible. Any delay must be communicated to the employee.

8 Formal Procedure – Stage 1

8.1 The complainant should put the grievance in writing to the CEO or COO (in the case of Core Trust employees and cases regarding Principals) or the Principal (for all other examples,) using the Stage 1 Grievance Form (see Appendix A.) If the Principal has been the person managing the informal grievance, then any subsequent formal grievance should be made to the CEO.

8.2 A formal grievance should be submitted in writing using the Trust’s Grievance Form no later than 25 working days after the act or omission complained of, or as soon as possible after the last act or omission in a series of linked events, unless there is a good reason for the delay, or within 25 days of receiving an outcome to an informal grievance.

8.3 As much detail as possible should be provided on the form. The nature of the grievance should be described, indicating what is alleged to have occurred, by whom and when. The complainant should state what outcome they seek by raising the formal complaint. The employee should make reference to any informal actions and remedies that have been sought.

8.4 The CEO, COO or Principal should nominate a member of staff to take responsibility as the Grievance Manager. The appointed Grievance Manager will be a competent member of staff. The Grievance Manager will conduct / chair any formal meetings or grievance hearing, except where the CEO, COO or Principal is the respondent or one of the respondents, in which case the Chair of the Trust should nominate a CMAT Trustee who is not an Academy / Trust employee to be responsible for chairing the meeting or hearing. The Grievance Manager may not be the respondent (the person against whom the complaint is made) or a person who has considered the case or represented either party at an earlier stage, or where their prior involvement is likely to prejudice their objectivity. The person to whom the grievance is sent, should acknowledge receipt within 5 working days and advise the complainant of the next steps in the process.

8.5 The Grievance Manager will initially meet with the complainant with a view to understand the context of the complaint, the outcome required and to ascertain whether or not a formal investigation is required. In the event that it is decided that an investigation is required, the Grievance Manager may undertake this or may appoint an Investigating Officer. In this case, it is reasonable to consider that the timeline will be delayed. (More information as to how an investigation should be conducted is attached to this Policy as Appendix D.) The Investigating Officer will be independent to the grievance and will not be a respondent. A further 2 weeks should be allowed for a full investigation to take place. Depending on the nature of the complaint, the Grievance Manager will consider whether or not a formal grievance hearing is required or whether a formal meeting with the complainant and their representative is sufficient for the outcome to be delivered. The complainant may request a full grievance hearing at the outset, in which case the complainant and respondent have the right to both be represented at the meeting. The representative should be allowed to address the hearing to put forward and sum up the employee’s case, respond on behalf of the employee any views expressed at the meeting and confer with them during the hearing / meeting. The representative does not however, have the right to answer questions on the employee’s behalf. Alternatively, the complainant may request that the outcome is provided in writing only. Appendix C sets out the procedure for a full grievance hearing. The Grievance Manager will be supported by a HR Advisor.

8.6 The Grievance Manager should arrange for the outcome meeting or grievance hearing to take place within 15 working days of the Chief Executive Officer or Principal’s receipt of the Stage 1 Grievance Form unless an investigation is to be undertaken – see paragraph 8.5, or unless there is a break due to the school terms.


8.7 In the event that a grievance hearing is arranged, the Grievance Manager, employee and Trade Union representative will agree timeframes for relevant documents to be received by all parties. This will take into account the time required by the employer, HR Manager / Advisor, the employee and the Trade Union representative to consider all evidence and prepare their case.

8.8 The Grievance Manager should inform the complainant and the respondent in writing of the outcome of the meeting or grievance hearing together with a summary of the reasons for the decision within 5 working days. If the grievance is not upheld, the complainant should be informed of their right to appeal by calling for a Stage 2 hearing.

9 Formal Procedure – Stage 2 (Appeal)

9.1 If the complainant is dissatisfied with the response at Stage 1, they should notify the CEO / COO / Principal within 10 working days of receiving written notice of the outcome using the Academy’s Stage 2 Grievance Form (see Appendix B.) The complainant must specify one or more reasons why they are dissatisfied with the Stage 1 outcome. The grounds of appeal must be clearly set out.

9.2 The CEO, COO or Principal (or where the CEO is the respondent, the Chair of the Trust) will be responsible for the role of Appeal Manager and will chair the hearing. However, there may be circumstances where the CEO, COO, Principal or Chair of the Trust decides for good reason that another senior member of staff, Trustee or Governor should be nominated to chair it.

9.3 The Appeal Manager may choose to hear the appeal or may wish to arrange an appeal panel. If an appeal panel is to be arranged this will consist of 2 other Trustees or members of the Local Governing Body to act as Chair assistants to help in hearing the grievance, considering the evidence and reaching a decision. No person may be nominated as Chair’s assistant who has previously been involved in hearing the grievance or who may not be impartial towards the grievance, the complainant and the respondent. The Appeal Manager or panel will be supported by a HR Advisor.

9.4 The Appeal Manager should arrange for the hearing to take place within 10 working days and if this is not practicable no later than 15 working days of the receipt of the Stage 2 Grievance Form.

9.5 Both complainant and respondent are entitled to attend the appeal hearing and to be accompanied by a representative. The names of all witnesses and documents to be used by both the complainant and respondent during the hearing should be provided to the Appeal Manager at least 5 working days before the hearing and the Grievance Manager should arrange for copies to be distributed to the other party at least 3 working days before the hearing.

9.6 The decision of the Appeal Manager will be final. They should inform the complainant and the respondent in writing of the outcome of the hearing together with a summary of the reasons for the decision within 5 working days.

10 Decision

10.1 If the Grievance Manager decides to uphold the grievance this may include a decision or recommendation on how the issue can best be resolved and the grievance remedied to the satisfaction of the complainant.

10.2 If the Grievance Manager decides to uphold the grievance and also decides that it is a matter of a serious nature as defined in the Trust’s Code of Conduct, the Disciplinary Procedure may also be invoked in relation to the respondent.

10.3 If the Chair decides to dismiss the grievance the decision is final and the matter is concluded.


11 Collective Grievances (grievances raised by more than one employee)

11.1.1 From time to time, a number of employees may raise the same issue as a grievance. When this happens, the intention is to deal with the matter as a single grievance by joining together the individual submissions. For there to be a collective grievance on behalf of a group of individuals, all of the individuals should give written consent. The process for grievances raised by multiple employees mirrors that for individual employees. All of the Stages should be followed, including the Informal Stage, which can be used effectively in grievances raised by more than one employee. It may be possible for each employee to speak at the grievance meeting, or it may be more practical for the employees to appoint a spokesperson to relay their grievances on their behalf. Similarly, employees may find it more practical to select one person to act as their companion or Trade Union representative, at relevant meetings. Consideration should be given as to whether or not all of the aggrieved are union members, or a mixed group, and therefore the best approach to be adopted. In grievances raised by multiple employees, and depending on their complexity, it is to be expected that the timescales may be longer than for individual grievances. All the parties should agree the revised timescales at the beginning of the procedure, and a commitment made to adhere to them. In resolving multiple grievances, particular consideration should be given to options such as mediation.

12 Collective disputes

12.1.1 In order to resolve collective disputes arising from a failure to agree in the JCNC, the parties may, by agreement, refer the matter for resolution to a further meeting of the JCNC, which will, on such occasion, be attended by representatives of the Trust.

12.2 In the event of both sides still being unable to reach agreement the matter may be

referred to ACAS by either side for conciliation or, with the agreement of both sides, for arbitration. The outcome of any arbitration would be binding for both parties.

12.3 Whilst these procedures are being followed the Trust will honour the “Status Quo” and the trade unions will not enter into any form of industrial action.

Reference should be made to Section 7 and paragraph 1.2 appendix IV of the Burgundy Book (teachers) and Part 2 paragraph 16 of the Green Book (support staff) which contains further advice as to the national agreement in regards to grievances, collective grievances and collective disputes.

13 Record Keeping

13.1 It is important that accurate and contemporaneous records are kept throughout the process, including details of any initial informal process. In particular records should include:

the nature of the grievance

what was decided and actions taken

the reason for the actions

whether an appeal was lodged and the corresponding documents

the outcome of the appeal

any subsequent developments

13.2 Copies of meeting records must be given to the employees concerned, including copies of any formal minutes that may have been taken and should normally be provided within 5 working days of any meeting, other than in exceptional circumstances.


13.3 Records should be held in a secure and confidential manner and kept no longer than necessary in accordance with the Data Protection Act 1998.

14 Monitoring, Evaluation and Review

14.1 The CMAT Executive Personnel Meeting will review this procedure within three years and assess its implementation and effectiveness, including monitoring against protected characteristics in the Equality Act.

15 Trade Union Consultation

This policy has been negotiated and agreed with Trade Unions and Teacher Associations that make up the members of the JCNC.

March 2016


Appendix A

Grievance Form – Formal Stage 1 All complainants are advised to contact their Trade Union representative at the earliest opportunity.

Name of Complainant:

Nature of the grievance. Please include dates and times of incidents.

Required outcome:

Signed __________________________________________ Date ___________________

Date Received by Principal ________________ Date of Hearing ___________________

Please continue on a separate sheet if necessary. Once completed, send this form to the Principal who will arrange for your grievance to be heard.


Appendix B

Grievance Form – Appeal Stage 2

Name of Complainant:

Date Stage 1 Submitted Date Stage 1 Heard

I am dissatisfied with the outcome of the above grievance and would like a Stage 2 Hearing for the following reasons:

Signed __________________________________________ Date ___________________

Date Received by Principal ________________ Date of Hearing ___________________

Please continue on a separate sheet if necessary. Once completed, send this form to the Principal who will arrange for your grievance to be heard.


Appendix C

Procedure at Hearings: Formal Grievance and Appeal Hearing

The following procedure should be followed where a formal grievance hearing is required. This also applies to an appeal hearing. At an appeal hearing up to two other Chair assistants may make up the panel.

The Grievance Manager should seek to achieve a balance between structured formality and cordial informality in order to ensure that both participants’ views are fully explored and all the evidence is made available to the hearing.

At the start of the hearing, the Chair (Grievance Manager) should:

check that everyone has the appropriate papers;

explain the way that the meeting will be structured, including any time constraints;

provide an opportunity for comments and clarification before commencement of the meeting;

Advise that should it become necessary to adjourn the meeting, a target timescale for this will be agreed at the meeting.

The Chair should ensure the following procedure is observed:

The complainant or their representative should give details of their complaint. At Stage 2, the complainant or their representative should also explain why they are dissatisfied with the Stage 1 outcome.

The Chair, and Chair’s assistants may ask questions during or after the presentation by the complainant or their representative.

The respondent or their representative may ask questions at the end of the presentation.

The complainant may present and question witnesses who may also be questioned by the Chair, Chair’s assistants, the respondent or the respondent’s representative.

The respondent or their representative should then respond to the complaint.

The Chair and Chair assistants may ask questions during or after the presentation by the respondent or their representative.

The complainant or their representative may ask questions at the end of the presentation.

The respondent may present and question witnesses who may also be questioned by the Chair, the Chair’s assistants, the complainant or the complainant’s representative.

Both parties should be given the opportunity to sum up (but not to introduce new evidence), beginning with the complainant or their representative.

The Chair and the Chair’s assistants have a final opportunity to ask further questions to clarify any matter.

The Chair should then adjourn the hearing to consider the complaint. All parties except the Chair and the Chair’s assistants, should withdraw

The Chair should consider the evidence presented, including what was said by all parties together with any written submissions. The Chair’s assistants may offer advice to the Chair.

In exceptional circumstances, if the Chair believes there is insufficient evidence to reach a decision, they may arrange for a second full hearing to take place within 10 working days.

Once the Chair has reached a decision, they may communicate it orally to both parties at the conclusion of the hearing.


APPENDIX D

Guidance Notes for Investigating Officers Conducting Disciplinary Investigations

1. Introduction 1.1 The disciplinary investigation is key to the process that must be followed

prior to carrying out a disciplinary hearing or fair dismissal. Prior to the commencement of the investigation decisions will have been made based on the facts known at the time, as to the allegations to be investigated, as to whether the allegations may constitute misconduct or gross misconduct, and as to whether it is necessary to suspend the employee concerned without prejudice whilst the investigation takes place.

1.2 The rules of natural justice require that the employee should know the nature of the allegation/s against him or her and should be given the opportunity to state his or her case. The evidence collected during the investigation will be put to the employee in the disciplinary hearing and will enable the employee to state his or her case in response.

1.3 You should be aware of the ACAS Code of Practice on Disciplinary and Grievance Procedures (‘the ACAS Code’) and the non statutory ACAS guidance. Tribunals have discretion to increase or reduce awards by up to 25% where the employer or employee unreasonably fails to comply with the ACAS Code.

1.4 It is essential that all complaints, incidents and allegations are investigated and resolved without any unnecessary delay. The aim should be to complete a disciplinary investigation within ten working days of the Investigating Officer receiving instructions from the Headteacher or other person who instigated the process. For ease of reference this person is referred to as the Headteacher for the rest of this guidance. If delays do occur then keep the employee or his/her representative informed.

1.5 If allegations concerning safeguarding come to light an investigation should not commence until advice has been sought from the Local Authority Designated Officer (LADO), usually via the Local Authority’s Duty Assessment and Referral Team. If a Police or Section 47 Child Protection Enquiry commences, no disciplinary investigation should commence until the outcome of that investigation is known. In exceptional circumstances the Police or responsible parties acting on behalf of the Local Authority may grant permission for the school to proceed.

2. The Purpose of a Disciplinary Investigation/ The Investigating Officer’s

role


2.1 The disciplinary investigation is the process where all pertinent facts are collected by the Investigating Officer. Facts which relate to a disciplinary issue come in many forms. Some are quite clear e.g. incorrect entries on timesheets/flexisheets, etc. However, in many cases the facts relating to a disciplinary incident are less evident. The role of the Investigating Officer is to establish the facts of the case by interviewing the relevant people and preparing a comprehensive report which contains all of the relevant factual information, copies of any statements received and any other relevant documentary evidence.

2.2 Disciplinary procedures are an internal management process. Therefore, the Investigating Officer must come to a conclusion based on what s/he thinks probably occurred or happened. The conclusion must be logical and in keeping with the facts discovered during the investigation. The Investigating Officer must act impartially and ensure that any issues/ points made during the investigation report can be evidenced. You are responsible for reaching a recommendation as to whether or not there is a disciplinary case to answer at the end of the report and for providing a list of issues and factors to be considered.

2.3 A Disciplinary Hearing should be recommended if the Investigating Officer concludes that there is a case to answer. The role of the Investigating Officer is not to recommend what disciplinary outcome is appropriate e.g. “The employee should be issued with a first written warning”. It is for the Chair of the Disciplinary panel to decide whether the allegations should be upheld or dismissed and what, if any, sanction is appropriate.

2.4 It is important that the Investigating Officer carries out a reasonable and open-minded investigation. The Investigating Officer should not be connected in any way to the facts giving rise to the disciplinary allegation/s in order to avoid any suggestion of bias in the way that the investigation is conducted.

2.5 Investigating Officers must not be selective in fact finding to suit a certain outcome. They must ensure that their investigation is as comprehensive as practicably possible by interviewing all key people involved with the case (and re-interviewing if new information is received or if matters arise which need to be checked) and collating all documentation. The aim is to allow a fair and balanced recommendation to be reached on the balance of probability.

3. Carrying out a Disciplinary Investigation 3.1 A crucial ingredient in the handling of a disciplinary matter in terms of

employment legislation is an “adequate investigation”. This does not mean exploring every possible avenue, but it does mean:-

enquiring into the circumstances surrounding the suspected or alleged misconduct

giving the employee a chance to offer an explanation

taking a balanced view of the information that emerges

reaching a recommendation whether or not there are sufficient grounds to substantiate an allegation of misconduct; if so, recommending whether it should be dealt with informally (i.e. by an informal warning or guidance/training) or by formal action under the disciplinary procedure.

3.2 The investigation must be adapted to the circumstances of the alleged misconduct. If, for example, complaints have been made from


colleagues about an employee’s conduct it will be necessary not only to meet with the complainants and obtain witness statements from them, but also to interview some of those who have not complained but who can be expected to know, or have an opinion about, whether the complaints are justified.

3.3 The Investigating Officer should arrange to meet individually with the witnesses to the incident or events giving rise to the investigation. Preparation prior to the interview is necessary. Appendix 1 contains model templates for use in the employee and witness interviews. The Investigating Officer should ask the employee and witness/es to give an account in his/her own words of what took place. This should be in terms of what s/he personally witnessed or had involvement with. Witnesses should be told that the matter is a confidential one and the Investigating Officer should only give information about the investigation to those who need to know and tell all witnesses to treat the information as confidential. Witnesses should also be told that they may need to be re-interviewed at a later date depending on the facts uncovered as part of the investigation.

3.4 There may be occasions when the witnesses are not the employer's employees. If this is the case an Investigating Officer may consider if they should be asked to assist in the disciplinary investigation, for example by providing a written statement. This will help to show that reasonable steps have been taken to complete a thorough investigation. Care should be taken to maintain confidentiality and whether to approach external witnesses will depend on the circumstances and the nature of the allegations. The Investigating Officer will be reliant upon their voluntary cooperation if the witnesses are not employees of the organisation.

3.5 Following the meetings with the witnesses, statements should be typed up and the witnesses should be asked to check and sign them. They should be given the opportunity to make any necessary amendments in order to ensure accuracy.

3.6 If the allegation is made by a line Manager about a member of staff under their control, it may be necessary to question other employees. If this direction is pursued, care must be taken not to give employees the impression that the Manager’s word is being doubted, or that their authority is being undermined.

3.7 If there are no witnesses to an incident, it may be worthwhile interviewing those people who last spoke to the employee before the incident took place, and those to whom s/he spoke immediately after it.

3.8 If the employee readily admits to a complaint of misconduct, then the investigation may well be confined to that, or to obtaining a measure of confirmation of it.

3.9 In a disputed case, the investigation will need to be as sufficient as is reasonable in the circumstances. Only this way will the person(s) conducting the disciplinary hearing be able to make a recommendation on the balance of probabilities and answer the question, “Is there a reasonable suspicion amounting to a belief in the guilt of the employee of the alleged misconduct, and is there reasonable grounds for that belief?”

3.10 There are a number of things to remember when conducting a disciplinary investigation, amongst these considerations the investigating Officer must:-

(i) Handle the matter promptly


It must be remembered that for all employees subject to possible disciplinary action it is a tense and stressful time and it is in the interests of good employment relations to conclude disciplinary matters as quickly as possible.

(ii) Gather Facts/Information The Investigating Officer must gather as much pertinent information as possible to the case without going beyond their original remit. The Investigating Officer is aiming to discover the truth and the disciplinary panel will not want a distorted picture. Statements must be obtained from witnesses as quickly as possible to avoid memory loss. The Investigating Officer should also collect any documents that are relevant to the allegation/s or could help to corroborate or refute the allegation/s.

(iii) Be Fair Maintaining standards of acceptable conduct and work performance calls for objectivity and fairness. It is important to keep an open mind and not prejudge the issues.

(iv) Be Consistent The attitude and conduct of all employees will be seriously undermined if management fail to apply the same rules and conditions to each case. The Investigating Officer must be able to demonstrate that s/he has arrived at the conclusions objectively and rationally.

3.11 The Investigating Officer should stop when s/he feels they have a complete picture. The Investigating Officer has to do as much investigating as is reasonable to explore all of the issues/allegations. Exhaustive detail is only needed where there is a particularly complex issue. The Investigating Officer should stop when s/he feels that s/he knows what happened and further enquiries are unlikely to yield new material. The disciplinary panel considering the report is going to decide whether, on the balance of probabilities it has a reasonable belief that the alleged event/s occurred. The Investigating Officer should:

Be objective.

Critically examine all documents that might be relevant.

Avoid putting answers into an interviewee’s mouth.

Test what an interviewee says, in a non-confrontational way.

Concentrate on facts, not opinions.

Collect evidence, and not make judgements.

Probe the interviewee’s memory.

Make notes and agree them with the interviewee. 4. Conducting an Investigation Interview with the Employee

4.1 All interviews should be conducted in a private setting and away from disturbance and interruption. The person being interviewed should be allowed to be accompanied if s/he so wish. The Investigating Officer should refer to the disciplinary procedure or speak to EPM about who can accompany the employee if s/he is in any doubt. The Investigating Officer may need to make specific provision where the person’s first language is not English or where the person has a disability. The Investigating Officer should prepare questions before s/he begins the interview process. If there is no trade union representative or colleague present the Investigating Officer should confirm with the employee that s/he has chosen not to be accompanied at the interview.

4.2 The statutory right to be accompanied at a disciplinary hearing under the Employment Relations Act 1999, section 10 applies to a disciplinary


hearing that could result in the administration of a formal warning to a worker by an employer; the taking of some other action in respect of the worker by the employer; or the confirmation of a warning issued or some other action taken. This does not encompass an investigatory meeting. However, the employer should check whether its own disciplinary procedure gives a right to be accompanied at an investigatory meeting. In addition, if employees have been allowed to be accompanied in the past, this past custom and practice should be followed

4.3 At the start of the interview, the Investigating Officer should tell the interviewee of the format of the interview and that the Investigating Officer (or another) will be taking notes. The Investigating Officer should tell the interviewee that s/he will receive a written statement of the interview and that s/he will have an opportunity to comment on this statement prior to it being used as part of the investigation. The Investigating Officer should state that s/he will be required to sign and date the statement. The interviewee should be reminded of the confidential nature of the interview. The Investigating Officer should advise that what happens thereafter will depend on the information obtained as part of the investigation, but that it could result in disciplinary hearing/disciplinary sanction for the employee.

4.4 The Investigating Officer should meet and take a statement from the employee who is the subject of the disciplinary allegation(s), so as to obtain his/her account of the events. It would also be advisable for the investigating Officer to ask the employee whether s/he is aware of any other witnesses to the incident or any other documents or issues that s/he believes are relevant so that the Investigating Officer can follow these up. At the interview it is good practice to try and put the employee at his/her ease. An accusatory tone from the outset is likely to discourage the employee from giving an explanation other than a flat denial. It is an investigation not an interrogation!

4.5 The Investigating Officer should begin by outlining the matters to be discussed, even if the employee has been informed of them already. Then the employee should be invited to say anything s/he wants about them.

4.6 If the employee responds to this suggestion, the Investigating Officer should refrain from interrupting, other than with prompts as necessary, such as “and what happened after that?” The Investigating Officer should prompt but not lead the witness and should ask questions as openly as possible.

4.7 The Investigating Officer should not accuse any person but should allow accusations to be put forward and responses noted. Closed questions should be asked to obtain a response to specific facts. Draw the interviewee back to the matter being investigated as often as necessary.

4.8 Although questions about motivation and state of mind at the time are important e.g. how and why questions – ‘Why did you do that?’, greater emphasis should be placed on the ‘hard facts’ of what was said, heard, seen and done. Questions which seek precise detail about the physical aspects of the events which the interviewee is describing – ‘Who sat where? Who said what? What time did it happen? What words were used?’ – will usually give a reliable impression of the strength of an interviewee’s evidence.

4.9 The objective should be to encourage the employee to speak and then to listen carefully to what s/he has to say, jotting down salient points as necessary. If the employee chooses to gloss over an important point,


rather than jumping in immediately, it may be better to revisit by asking probing questions such as “I am not quite sure what you meant when you said ‘...............’ would you like to explain it?” this may be a useful tactic to highlight inconsistencies and help clarify misunderstandings.

4.10 Specific probing questions may be put to the employee at the end of the interview, such as “I can’t quite see how that matches up with what you said about..............what is it you are really saying?”, can be very valuable.

4.11 The Investigating Officer should make notes that should be written up as soon as possible and signed as accurate by the interviewee. The interviewee can then correct any misunderstandings. It may be appropriate for the Investigating Officer to be accompanied by a notetaker at investigation interviews, as it can be difficult to listen to a witness, formulate appropriate questions and take notes at the same time.

4.12 If an employee’s explanation, or any of the other information which emerges from the interview, introduces points which have not hitherto been considered, it may be sensible to adjourn so that further enquiries can be made.

. 5. Receipt of new information/allegations

5.1 Occasionally during the investigation, the Investigating Officer is alerted to new allegations, which appear to warrant further investigation. If these relate to an employee who is not being investigated, the Head Teacher should be informed, and may decide to start a second and separate investigation.

5.2 If further allegations are made regarding the employee currently under investigation, the options for the Headteacher to consider are:

(i) a new investigation may be started, possibly with a different Investigating Officer

(ii) the new allegations may be added to the current investigation (iii) whether the allegations need to be ‘upgraded’ from misconduct

to gross misconduct, in which instance suspension should be considered

5.3 In these circumstances, the employee would need to receive written confirmation of the additional charges, and be given the opportunity to respond to them prior to any Disciplinary Hearing.

6. Analysing the Information Gathered, Collating the Disciplinary Bundle

and Report

6.1 The output of the investigation will be the Disciplinary Bundle, which when finished should have sections as follows: Contents Page Schedule 1 -Investigation Report Schedule 2- Letters (All letters sent during the investigation including letter of suspension if applicable) Schedule 3- Witness Statements Schedule 4- Additional Evidence (e.g previous file notes, the employee’s job description and training record, timesheets, photographs, applicable statutory guidance, contract of employment, expense claims etc) Schedule 5- Policies and Procedures (Disciplinary Procedure and any other procedures found to be relevant)


6.2 The Investigating Officer should prepare a report into his/her findings immediately after the investigation has concluded. This must contain all relevant issues as this will form the basis of the case put forward by the Investigating Officer to a disciplinary hearing.

6.3 The Investigating Officer may use the standard form for the report, attached at Appendix 2. The report should have a number of identifiable characteristics: (a) The report should detail all facts that have been gathered and

explain how these have been interpreted and contribute to the allegations. Investigating Officers must remember that it is this part of the report which will be the primary part of his/her presentation to a Disciplinary hearing. It should, therefore, clearly show how s/he arrived at his/her recommendations.

(b) The report should refer to the relevant sections of the Disciplinary Bundle in presenting the facts- The body of the report does not need to repeat large sections of witness statement.

(c) It should recommend whether a Disciplinary hearing should be convened, or not. In essence the Investigating Officer has to decide whether, on the face of it, there is a case to answer in respect of each of the allegations.

(d) The report should contain NO recommendation regarding the outcome; this is for the Head Teacher only to decide (or chair of the Governing Body if the Head Teacher is the subject of the allegations).

6.3 After having considered the information in the report, the Headteacher may ask the Investigating Officer to look in more detail at specified areas and/or to investigate areas so far untouched. Any further fact-finding must be undertaken in compliance with the time scales for completing the investigation. In many cases no single piece of evidence will be decisive. What will matter more will be the cumulative effect of all the evidence that points in a particular direction

6.4 The employee should have the opportunity to see this Disciplinary Bundle in good time prior to any Hearing. If the papers are presented to the employee too close to the date of the Hearing, s/he may argue that insufficient time to prepare a proper response to the disciplinary allegation/s has been allowed.

7. Is Disciplinary action necessary? 7.1 Having gathered all the facts the Investigating Officer should decide

whether to: (a) Drop the matter There may be no case to answer or the matter may be so trivial

as to justify an informal approach in this instance. (b) Arrange Counselling/Training This is an attempt to correct a situation and resume normal

working practices without recourse to the Disciplinary Code. (c) Recommend Disciplinary Action This will be necessary where the matter is more serious and it

appears that there has been a disciplinary offence which requires appropriate disciplinary action.


Appendix 1 Model template for Investigating Officer to use in interview with the employee

Disciplinary Investigation Employee Interview Record

Date: Start Time: Location:

Name : Job Title/Position Investigating Officer Job Title/Position Others present (eg note taker HR Adviser , work colleague, trade union representative

IO As you are aware I am the person who has been appointed as the Investigating Officer to look into the allegation/s against you, which were outlined in the letter that I sent to you on (date) . [You will see that I’m joined by [insert name] who is here to take notes].

IO (Only where the school’s disciplinary procedure allows the employee to be accompanied – not statutory)As you have attended the meeting by yourself, please can you confirm that you were aware of your right to representation by a trade union representative or work colleague today? Are you happy to continue without a representative present? The allegation/s against you is/are as follows: [detail allegations from the letter sent to the employee to advise of the investigatory meeting]. [If applicable - If the/any of the above allegation/s is/are found to be substantiated either in full or in part, this may amount to gross misconduct and may lead to your dismissal. In Child Protection Cases If the/any of the above allegation/s is/are found to be substantiated either in full or in part, the school may need to comply with its statutory duty to refer the case to the Disclosure and Barring Service.] The purpose of today’s meeting is to give you the opportunity to provide an explanation and give your account of events regarding this/these allegation/s and any mitigating circumstances. This meeting is not disciplinary action in itself, nor is it a decision making meeting. It is an opportunity to gather all the relevant information. A record of your statement will be taken by (name) in note form during this meeting. The information gathered at this meeting will then form part of my investigation, and if this case is referred to a Disciplinary Hearing, the meeting notes may be included in a bundle of evidence, along with any other relevant information and statements from any other witnesses. (If allegations relate to dishonesty – Please may I remind you that you are expected to provide an honest account of events, and that if any evidence of dishonesty comes to light this will be managed in accordance with the Disciplinary Procedure) If at any point during the meeting you would like to adjourn then please let me know. Do you understand all of the above so far?

Emp Confirms or asks questions for further clarification.


IO Commence Q’s – Firstly can I confirm that your position in school is . and that you have been employed since

Emp A

IO Q [additional questions to elicit all necessary information from the employee]

Emp A

IO (Last question) Do you have any further comments or information that you would like to tell me in relation to the allegation/s against you before we end this meeting?

Emp

IO I hope I have gathered all of the information from you that I need, although I may have to meet with you again if I require more information from you. A copy of the notes will be sent to you to review, sign and return to me. You will have the opportunity to amend anything that you do not feel accurately reflects what was said at this meeting. Please note that any amendments must reflect our discussion. Please may I take this opportunity to remind you that the matters under investigation remain confidential, and as such you should not discuss the matters with any members of the school community, other than your official nominated representative. Any failure by you to maintain confidentiality may be managed in accordance with the disciplinary procedure. Please may I also take this opportunity to remind you of the terms of your suspension……………………(name) will continue to keep your suspension under review, and Occupational Health support remains available to you. [IO to discuss anything further of relevance e.g approximate timescale for investigation to be completed, conditions attached to the employee remaining in school during the course of the investigation if applicable. Do you have any further questions? Thank you for your time Meeting closed: (Time) Detail of any documents referred to by IO or Employee during the course of the meeting: Employee: Investigating Officer: Signature Signature Date Date


Appendix 1 Model template for Investigating Officer to use in interview with witness

Disciplinary investigation witness statement

Date: Start Time: Location:

Witness: Job Title/Position Investigating Officer: Job Title/Position Others present (e.g note taker HR Adviser, work colleague, trade union representative)

IO As you are aware I am the person who has been appointed as the Investigating Officer to carry out an investigation into a potential disciplinary matter. [You will see that I’m joined by [insert name] who is here to take notes].

HR My role is to support (name) in his/ her role as Investigating Officer, I’ll be supporting the meeting today and I’ll also be asking questions whenever further detail or clarification is required.

IO The purpose of today’s meeting is to establish your account of events. A record of your statement will be taken by (name) in note form during the meeting, and this will then form part of my investigation. A copy of the notes will be sent to you to review and sign. You will have the opportunity to amend anything that you do not feel accurately reflects what was said at this meeting. If this case is referred to a Disciplinary Hearing, the meeting notes may be included in a bundle of evidence, along with statements from any other witnesses. As such the employee/s subject to investigation will be able to view your statement. If at any point during the meeting you would like to adjourn then please let me know. Do you understand all of the above so far?

Wit Confirms

IO Commence Q’s – Firstly please can you tell me about your role in school….

Wit A


IO (Last question) Do you have any further comments or information that you would like to tell me in relation to what we’ve discussed today before we end this meeting?

Wit A

IO I hope I have gathered all of the information from you that I need, although I may have to meet with you again if I require more information from you. A copy of the notes will be sent to you to review and sign. You will have the opportunity to amend anything that you do not feel accurately reflects what was said at this meeting. Please note that any amendments must reflect our discussion. Please may I take this opportunity to remind you that the matters under investigation remain confidential, and as such you should not discuss the matters or your statement with any members of the school community. Any failure by you to maintain confidentiality may be managed in accordance with the disciplinary procedure. If you have any concerns regarding the investigation or your statement please contact me in the first instance. Thank you for your time Meeting closed: (Time) Detail of any documents referred to by IO or Employee during the course of the meeting: Employee: Investigating Officer: Signature Signature Date Date

Appendix 2 Model template for an investigation report

Strictly Confidential- Access Restricted An Investigation into the allegations

against


Final Report

by [insert]

STRICTLY CONFIDENTIAL The contents of this report are of a sensitive and confidential nature and intended solely for the review and consideration of the matter described in the report. No other use is permitted and those with authorised access to the report undertake not to disclose all or part of this report to any third party (including but not limited, where applicable, pursuant to the Freedom of Information Act 2000) without the prior written consent of (the headteacher) (governing body).


An Investigation into the allegations made against [ ]of [ ]School

1. Introduction

1.1 This investigation has been carried out following a request from [ insert who

commissioned the report ] about [nature of allegations]. [and when the report was commissioned}

1.2 Position of the Investigator. Whether or not the investigator has direct line

management responsibility for the employee. Confirmation that the Investigator is unbiased and has not had prior involvement in the matter.

1.3 Confirmation that the Investigator is a competent person to investigate by

reason of previous experience, training, familiarity with ACAS and EPM guidance, and has sought professional HR advice.

2. Background

2.1 Give relevant background information about how the allegations came to light,

the parties involved, their roles and responsibilities within the school

2.2 Any other relevant information that will assist in giving the decision makers background into why an investigation is necessary, if not covered by the nature of allegations above.

3. Key Dates/Events

3.1 A chronological summary of the event or events that are relevant to the

allegation. Sometimes in grievances, or where someone’s behaviour is being investigated, it may be a series of interactions over a period of time. It is often helpful to present this in a table.

3.2 The key dates/events should also include reference to any relevant

documentary evidence which evidences or refutes the allegations or otherwise is important to considering the matter fully and fairly. This may include policies and procedures, job descriptions etc.

4. Conduct of the Investigation

4.1 This describes how you conducted your investigation, and lists who you

interviewed about the allegation and why. If for some reason you did not interview a potential witness, the reason this person was not interviewed.

4.2 How was the evidence recorded? The notes of the interview and witness

statements should be included in the final report as Appendices

4.3 If there was a delay in completing the report e.g. availability of employee’s representative or holidays or sickness, it may be noted here and / or in the chronological table above.

5. Allegations

Each of the allegations will now be addressed in turn. For each allegation the evidence that supports it and the evidence that goes against it will be presented, along with any mitigation. Any apparent conflicting evidence will also be highlighted. For each allegation I will conclude on the basis of the evidence whether there is a case to answer or not.


5.1 Allegation1 : that Mr X behaved in an insulting and intimidatory way towards a colleague This is where the first of the allegations is discussed highlighting briefly what evidence as a result of your investigation supports the allegation or supports the employee’s version of events.

5.1.1 What do the witnesses say about this particular allegation? (including

the person against whom the allegation has been made.) Refer to statements in Bundle- only repeat brief pertinent sections here.

5.1.2 What documentary evidence supports the allegation or supports the

counter view?

5.1.3 If the allegation is part of a policy or procedure a brief reference to the policy and procedure concerned and whether or not there have been breaches of policy and procedure in relation to those policies.

5.1.4 Are there any mitigating circumstances / has any mitigation been

offered?

5.1.5 State one of the following:

-I conclude that there is a case to answer in respect of Allegation 1 -I conclude that there is no case to answer in respect of Allegation 1 -I conclude that there is insufficient evidence to determine whether there is a case to answer in respect of Allegation 1 -I conclude that as a result of conflicting evidence I am unable to determine whether there is a case to answer in respect of Allegation 1

5.2 Allegation 2: that Mr X failed to notify the Head Teacher of his intention to

take annual leave following a period of sickness in December 2010.

The second and subsequent allegations are discussed in the same way as the first allegation. If you have provided a good key dates section it makes a chronological discussion of the evidence a lot easier and will also highlight where such evidence can be found either in the interview notes or documentary evidence.

5.3 Allegation3: Mr X disclosed confidential information about pupils to a third party

and any further allegations as before. 6. Conclusions and Recommendations

6.1 It is my responsibility to decide whether or not there is a case to answer and whether a Disciplinary Hearing should be convened to consider the allegations. In accordance with the evidence set out above I have determined that – either

a) there is a case to answer in respect of the following allegations:

I therefore conclude that the matter should be referred to a Disciplinary Hearing. Or

b) that there is no case to answer in respect of the allegations


c) due to insufficient / conflicting evidence I cannot determine whether there is a case to answer in respect of the allegations

I therefore conclude that the matter should not be referred to a Disciplinary Hearing, but make the following recommendations below.

6.2 Recommendations:

Where the investigation has highlighted that there may be flaws in either policies or procedures, or the way in which matters have been handled, a recommendation may be that the Governing Body asks the senior management team to review policies, procedures or the way in which similar incidents are to be handled in the future]. If appropriate recommendations may also be made as to how such allegations may be avoided in the future for example via training or changes to working practices.

Signed___________________________ Name______________________ Dated_______________ Position_____________________

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