DISCIPLINARY AND CAPABILITY PROCEDURES
GUIDANCE FOR
NUT REPRESENTATIVES
OCTOBER 2011
This guidance document outlines the legal requirements on employers to follow
disciplinary, dismissal and capability procedures in accordance with the 2009 ACAS
Code of Practice on Disciplinary and Grievance Procedures. It sets out the steps that
teachers must take to protect their employment rights.
What are disciplinary and capability procedures?
Disciplinary and capability procedures are workplace procedures employers must follow
whenever they contemplate taking disciplinary action against or dismissing members of
staff.
Employers of teachers in all schools, colleges and other settings should follow the 2009
ACAS Code of Practice whenever a teacher raises a grievance. Governing bodies of
maintained schools are legally obliged to establish workplace procedures to deal with
matters of staff discipline and capability. These procedures must include certain steps
as set out in the 2009 ACAS Code. Often the procedures are divided into informal and
formal stages.
Your employer must follow either a disciplinary procedure when dealing with issues
relating to staff conduct, or a capability procedure when dealing with issues relating to
teacher capability. It is important that the two issues are not confused.
Disciplinary procedures should only be used where the conduct of the member of staff is
in issue, for example where harassment, bullying or fraud is alleged.
Capability procedures should only be used where the capability competence or
performance of the member of staff is in issue. The procedure should not be used in
cases of ill health.
Where can I find the procedures?
Your school or college office should keep copies of all workplace procedures.
procedures must be available to all staff, so do not be afraid to ask for a copy.
The
What are the informal and formal stages?
In minor cases of discipline, conduct or capability, the informal procedures will normally
be used. Most matters will be concluded by a senior member of staff arranging an
informal meeting to discuss the issue. In conduct cases, an unrecorded informal oral
warning may be given or a teacher may be requested to change their behaviour. In
capability cases, a teacher may be offered counselling, coaching or training with a
timetable for improvement.
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In more serious cases, your governing body or head teacher will commence formal
proceedings. During formal proceedings, specific timetables will be followed, standard
documentation may be used and formal hearings will be arranged.
What are the minimum requirements for the procedures?
Where dismissal or disciplinary action is contemplated, your employer must follow these
steps:
Investigation: To establish the facts of the case an investigation should take place. The
investigation will normally be conducted by someone other than the head teacher or the
teacher’s line manager.
Statement of grounds and invitation to meeting: The employer should write to the
teacher setting out the alleged conduct or capability, invite the teacher to a meeting, and
inform the teacher of the right to be accompanied by a trade union representative at the
meeting.
Meeting: Before taking any action, the employer should hold a meeting to discuss the
matter. The employer should inform the teacher in writing of the decision, offer the right
to appeal, and inform the teacher of the right to be accompanied by a trade union
representative at the appeal.
Appeal: If the teacher does not agree with the decision, he or she should submit a
written notice of appeal. The employer should invite the teacher to an appeal meeting.
The employer should inform the teacher of the decision in writing after the meeting.
What should I do if a member is notified of a disciplinary or capability hearing?
You should seek advice from your division secretary or from the NUT regional office or
NUT Cymru.
Teachers are entitled to be accompanied by their union representatives or work
colleagues at disciplinary or capability hearings and interviews. This is a statutory right
that teachers can insist on exercising.
You should not seek to accompany the member yourself unless you have been advised
to do so by the Union that this is appropriate, and then only during the informal stages.
What if a member refuses to attend a meeting?
Teachers must take all reasonable steps to attend meetings. If they do not comply with
a workplace procedure and they subsequently wish to claim unfair dismissal any
compensation may be reduced.
If a teacher believes that he or she has been treated unfairly or has been discriminated
against during the disciplinary or capability process, he or she is entitled to take out a
formal grievance. In this event, your division secretary or the NUT regional office or
NUT Cymru should be informed.
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What if the meeting is called immediately?
Teachers are entitled to reasonable notice of any formal hearings where disciplinary
action or dismissal is anticipated. The teacher should inform the employer that he or she
wishes to exercise his or her right to be accompanied. Your division secretary or the
NUT regional office or NUT Cymru should be informed.
What if a teacher is suspended?
Suspension should be seen as a neutral act. The NUT recommends that no teacher
should be suspended without an initial investigation. A suspension pending a formal
disciplinary or capability hearing should not be considered unless it appears to be
necessary for the protection of pupils, staff or property; or where the presence of the
person at work would be an obstacle to proper investigation.
Any suspension must be on full pay.
What if a member is given a warning?
A warning may be informal or formal, oral or written, initial or final. Your workplace
disciplinary or capability procedure should set out the different types of warning and
when and how they may be given. The NUT recommends that oral warnings should be
deleted from teachers’ records after a maximum of 6 months and written warnings after
a maximum of 12 months.
What if a member needs further advice?
Further advice and support is available to NUT members from their NUT regional office
or, in Wales, from NUT Cymru.
EC&R
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