1. INTRODUCTION
The purpose of this procedure is to provide a fair, equitable and consistent arrangement for the handling of situations where disciplinary action against an employee of the Education Authority (EA) is considered necessary.
2. OBJECTIVE
2.1 The main objective is to give employees every opportunity to improve their performance or conduct. The procedure will not be invoked until an employee has been advised of any allegation of unsatisfactory performance or conduct and has been given every reasonable assistance by way of advice, guidance or training to achieve the desired standards.
2.2 The procedure identifies who has authority to take disciplinary action and aims to ensure that employees are protected against unreasonable or inconsistent disciplinary action.
3. SCOPE
This procedure applies to those categories of schools staff which are subject to Article 88 of the Education and Libraries (Northern Ireland) Order 1986.
4. GENERAL PRINCIPLES
4.1 Prior to taking any formal disciplinary action there will be a preliminary investigation into any allegation of misconduct or poor performance.
4.2 In the operation of the formal procedure employees should:
- be made fully aware of the circumstances giving rise to the question of disciplinary action (including a copy of any report giving rise to a disciplinary charge); and be given a copy of this procedure;
- be given a fair hearing, with the opportunity to state their case. Such a hearing should, wherever practicable, be completed within 3 working days of the alleged offence;
- be given the right to be represented, at each stage of the procedure, by a trade union representative or a work colleague.
4.3 If the employee subject to disciplinary action is a trade union representative no action beyond a verbal warning will be initiated until the full-time official has been notified and given a reasonable opportunity to discuss the circumstances of the case.
4.4 Any disciplinary action taken shall be appropriate to the degree of seriousness of the offence.
4.5 Any mitigating circumstances, including the previous record of service of the employee concerned shall be taken into account when taking disciplinary action.
4.6 There shall be the right of appeal against disciplinary action (see Section 11).
5. DISCIPLINARY AUTHORITY
5.1 Disciplinary action shall be the responsibility of the duly authorised level of management to which disciplinary powers have been delegated (hereinafter referred to collectively as 'The Disciplinary Authority’).
5.2 The Disciplinary Authority responsible for disciplinary action is as follows:-
| Disciplinary Authority | Disciplinary Action |
|---|---|
| School Principal | Verbal Warning |
| School Principal after consultation with the Human Resources (HR) Employee Relations (ER) Officer and the Chair of the Board of Governors | Written Warning |
| Board of Governors (or Sub-Committee thereof) after consultation with the School Principal and the HR ER Officer | Final Written Warning |
| Head of Service and the HR ER Officer in consultation with the Board of Governors | Further Disciplinary Action |
5.3 The disciplinary action shown against each Disciplinary Authority is the maximum action permissible to that Authority; it does not preclude the possibility of a lesser penalty being imposed.
6. INFORMAL PROCEDURE
6.1 Prior to the invoking of the formal procedure set out below minor failings should be dealt with by means of an informal meeting with the School Principal. The object of such a meeting will be to discuss the issues involved and to seek ways of improving the situation.
6.2 Should such discussions fail to resolve the matter it will be necessary to invoke the formal procedure as follows.
7. FORMAL PROCEDURE
7.1 Verbal Warning
Where it is considered that an employee’s conduct or performance is unsatisfactory an interview will be arranged by the School Principal who shall make the employee aware of the nature of the alleged offence. The employee shall be given a copy of any report giving rise to disciplinary charges. At this interview the employee will be given the opportunity to offer an explanation. The HR ER (Casework) Team shall be given advance notice of any disciplinary hearing and shall, if it so desires, be represented at the hearing by the HR ER Officer (or nominee from the HR ER (Casework) Team). If the employee fails to give a satisfactory explanation the School Principal shall issue a verbal warning and shall advise the employee of the consequences of any further similar offence. A report shall be sent to the HR ER Officer.
7.2 Written Warning
In the event of a recurrence of the same or a similar offence the matter shall be referred to the School Principal who, after consultation with the Chair of the Board of Governors and the HR ER Officer, shall advise the employee, in writing, of the nature of the alleged offence. The employee shall be given a copy of any report giving rise to disciplinary charges. The employee shall be given the opportunity to explain at a disciplinary interview with the School Principal. The HR ER (Casework) Team shall be given advance notice of any disciplinary hearing and shall, if it so desires, be represented at the hearing by the HR ER Officer (or nominee from the HR ER (Casework) Team). If a satisfactory explanation is not given the School Principal shall issue a written warning and shall advise the employee of the consequences of any further similar offence.
7.3 Final Written Warning
In the event of a further recurrence of the same or a similar offence, or the occurrence of a more serious offence, the matter shall be referred to the Board of Governors (or Sub-Committee thereof), who, after consultation with the School Principal and the HR ER Officer, shall advise the employee, in writing, of the nature of the alleged offence. The employee shall be given a copy of any report giving rise to disciplinary charges. The employee shall be given the opportunity to explain at a disciplinary interview with the Board of Governors (or Sub-Committee thereof). The HR ER (Casework) Team shall be given advance notice of any disciplinary hearing and shall, if it so desires, be represented at the hearing by the HR ER Officer (or nominee from the HR ER (Casework) Team who shall be of a grade not less than Senior Executive Officer). If a satisfactory explanation is not given the Board of Governors shall issue a final written warning and shall advise the employee of the consequences of any further similar offence.
7.4 Further Disciplinary Action
Should there be failure to respond to a final written warning; or should a further similar offence occur; or in the case of gross misconduct, the Head of Service shall consult with the Board of Governors on the matter. The employee shall be instructed to appear before the Head of Service and HR ER Officer. The employee shall be given 5 days' notice of the date of the meeting and shall be advised of the right to be accompanied by a trade union representative or a work colleague. An employee failing to give a satisfactory explanation will be subject to further disciplinary action which may include suspension without pay for a period not exceeding 2 weeks, withholding an increment, downgrading or dismissal.
8. PRECAUTIONARY SUSPENSION
In special circumstances a brief period of precautionary suspension may be imposed by the Chair of the Board of Governors or the Human Resources Manager (SPO2 level or above) pending formal investigation of an alleged offence. In such circumstances the employee should continue to receive full normal remuneration.
9. DISCIPLINARY INTERVIEWS
The Disciplinary Authority conducting a disciplinary interview shall be entitled to be accompanied by or be deputised for at such interviews by another member of management if desired. The employee shall also have the right to be represented by the appropriate trade union representative or a work colleague.
10. DISCIPLINARY DECISIONS
10.1 Disciplinary decisions, other than verbal warnings, shall be notified by the Disciplinary Authority in writing to the employee concerned. Such communication shall also highlight the consequence of a repetition of the offence (or failure to meet the required standard).
10.2 Verbal warnings shall be expunged from an employee’s personal record after a period not exceeding 6 months' satisfactory conduct, and in the case of written/final written warnings, not exceeding one year's satisfactory conduct. The employee will be advised accordingly.
10.3 When the decision is that no disciplinary action is necessary all papers relating to the alleged offence will be expunged from the employee’s personal record.
11. APPEALS
11.1 There shall be the right of appeal against any disciplinary action. Unless an appeal has been lodged within 5 working days it will be assumed that the employee accepts the decision.
11.2 Appeals against verbal, written and final warnings shall be heard by the Head of Service.
11.3 Appeals against further disciplinary action, including dismissal, shall be heard by the Chief Executive or nominee equivalent to Assistant Senior Education Officer level or above, accompanied by a Head of Service not previously involved in the disciplinary action.
11.4 Appeals must be made in writing (setting out the grounds), within 5 working days, to the HR ER Officer who shall make appropriate arrangements for a hearing. The HR ER (Casework) Team shall provide a member of staff to act as Secretary. Appeal hearings shall be heard as soon as practicable and no later than 10 working days from receipt of request unless extended by mutual agreement. The result of an appeal shall be notified in writing to the employee within 3 working days of the hearing.
12. REFERENCE TO AN INDEPENDENT APPEALS COMMITTEE
12.1 There shall be a final right of appeal, against further disciplinary action to an Independent Appeals Committee (Appeals Committee).
12.2 The Appeals Committee shall consist of an Independent Chairperson appointed by the Labour Relations Agency (LRA) and two panel members, one drawn from a list supplied by the recognised trade unions and the other drawn from a list supplied by management. The management member shall not be from the local office which is a party to the appeal. The trade union member may be from the union representing the appellent provided he/she is not an employee of, or a trade union representative for, the EA.
12.3 The LRA shall also appoint a Secretary to the Appeals Committee who shall be responsible for the setting up of the Appeals Committee and for the provision of administration services.
12.4 The Secretary, in conjunction with the Chairperson, shall fix a date for the Appeals Committee's hearing of the appeal and shall advise the parties accordingly, and shall invite nomination to the Appeals Committee.
12.5 The Secretary shall also invite the parties to make written submissions to the Appeals Committee, such submissions to be received not later than 10 days before the date of the hearing. The Secretary shall distribute copies of the submissions to the Appeals Committee members and to the other party not later than 5 days before the date of the hearing.
12.6 The Appeals Committee shall meet the parties to hear the appeal within 20 working days of the matter being referred to the LRA. The Chairperson shall determine the order of the oral presentations to the Appeals Committee.
12.7 The decision of the Appeals Committee shall be given in writing to both parties within 10 working days of the hearing.
12.8 The work of the Appeals Committee shall not be invalidated by the absence of one or other of the parties.
12.9 The decision of the Appeals Committee will be final and binding on both parties.