Notes for Guidance - Employees in Schools
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Notes for Guidance – Employees in Schools Update 21– July 2011 Readerbox Classification 1 Organisation and Management 2 Staff Management 3 Performance and Development 4 Human Resource Management Reading Status (Please tick) Mandatory Subject/Title Notes for Guidance – Employees in Schools – Update 21 Document Description Updates to sections of Notes for Guidance – Employees in Schools – please see page 2 for full detail of the updates. Audience Chair of Governors Voluntary x Governor Head Teacher x Teacher x SENCo x Parent Classroom & Pupil Support x School Administration x School Technicians x School Site Staff x LEA staff Also Sent to Action Required Publication Start Date End Date Publication delete date Timing (Date by which action is required.) Replaces / Relates to / Updates (States whether current document relates to any previous communication.) Please see page 2 for details of updated/revised sections. Contact Unit Name: Employee Relations Unit Tel: 303 8741 Email: employeerelations@birmingham.gov.uk Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 1 Notes for Guidance – Employees in Schools Contents and Alphabetical Index List of Updates: This is issue number 21 of Notes for Guidance: Employees in Schools. This page provides details of the sections that have been added, updated or revised. To access the sections, click on the hyperlink to the page and to print only the relevant pages select the page range on the print menu. (All other sections remain unchanged and you do not therefore need to print the complete document). Title of Section/ Guidance Note Brief detail of Changes/Insertions Page Numbers Hyperlink to Relevant Section Annual guidance on School Teachers’ Pay and Conditions Document Equality Act Changes to guidance on payment for one-to-one tuition p. 304 One-to-one tuition More guidance on the general and specific duties p. 28 Equality Act New section Promoting wellbeing for school staff – new guidance for schools Guidance on apprentices Explanation of the financial arrangements if a governing body wishes to grant premature retirement to a teacher Guidance on temporary variations in contracts for additional work Addition of link to guidance on recording and monitoring the p. 949 Promoting well-being for school staff p. 354 Apprentices p. 989 Premature retirement and discretionary compensation p. 147 Part-time teachers p. 503 Working time and annual leave New section Premature retirement Part-time teachers Working time and annual leave Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 2 Notes for Guidance – Employees in Schools Contents and Alphabetical Index working time of support staff Transfer of Undertakings Regulations Age retirement Advanced skills teachers Insertion of link to more information on the pension implications of contracting out catering and cleaning services Insertion of link to information on obtaining estimates of teachers’ pensions Addition of protocol on outreach and advice on future deployment Employee Relations Unit - CYPF HR © Birmingham City Council p. 1006 Transfer of Undertakings (Protection of Employment) Regulations (TUPE) p. 988 Retirement on age grounds p. 319 Protocol for outreach work and advice on future deployment and employment – July 2011 July 2011 Page of 1012 3 Notes for Guidance – Employees in Schools Contents and Alphabetical Index BIRMINGHAM CITY COUNCIL NOTES FOR GUIDANCE: EMPLOYEES IN SCHOOLS CONTENTS Alphabetical index Introduction 1. How to use these Notes 2. The legal framework 3. Conditions of service and allied policies 4. Centrally managed support services 5. Teachers’ Associations and Trade Unions – List of Contacts Equal Opportunities 1. Equal opportunities 2. Equality Act 3. Religious discrimination in relation to employees in schools 4. Age discrimination ‘Remodelling’ the School Workforce/Workforce Reform 1. Personnel guidance relevant to ‘remodelling’ Recruitment and Selection 1. Introduction, including model safer recruitment policy and model recruitment and selection complaints procedure 2. Job descriptions 3. Person specifications 4. Advertising 5. Application forms Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 4 Notes for Guidance – Employees in Schools Contents and Alphabetical Index 6. References 7. Preparation for interviews 8. Interviews 9. Interview expenses 10. Recruitment monitoring Contracts of employment 1. Letters of appointment 2. Statements of particulars of employment 3. Temporary and fixed-term contracts 4. Part-time teachers 5. Job sharing, including part-time working and job sharing for head teachers 6. Federations and collaborations 7. Code of professional conduct 8. Politically restricted posts 9. Data protection and Personal records 10. Residential accommodation Qualifications, including regulatory requirements and categories of unqualified teacher 1. Qualifications, including regulatory requirements and registration of teachers, specified work and special categories of teacher 2. Employment based teacher training scheme 3. Overseas trained teachers 4. Instructors 5. Teacher trainees who have yet to pass the skills tests Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 5 Notes for Guidance – Employees in Schools Contents and Alphabetical Index 6. Right to work Probation and induction 1. Probation 2. Statutory induction for newly qualified teachers 3. Probation for teachers qualified before May 7th 1999 Pay, Grading, Allowances, Pensions and Expenses 1. 1A Salaries, including pay policies, extended schools Annual advice on School Teachers’ Pay and Conditions Document 2. Classroom based support staff 3. Examination invigilation 4. Pensions 5. Advances of salary/teachers’ loan scheme 6. Travelling and subsistence expenses 7. Retention of fees 8. Extraneous duties - residential special schools 9. Removal expenses 10. Apprentices Sickness 1. Sick leave and sick pay 2. Managing staff sickness in educational establishments 3. Injury allowances Leave and working time 1. 1A 2. Special leave of absence including time off for public duties and union activities Special leave of absence scheme guidance Maternity leave and adoption leave Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 6 Notes for Guidance – Employees in Schools Contents and Alphabetical Index 3. Ante-natal care and fertility treatment, pregnant workers and new and expectant mothers 4. Paternity Leave, maternity support leave, parental leave, time off for dependants, flexible working 5. Working time and annual leave 6. Cover for teachers 7. Candidates for Council elections 8. Service in the armed forces: reservists 9. Inclement weather 10. Time off for study and training Discipline, capability, grievance and complaints 1. Disciplinary procedures and misconduct 2. Capability/competence 3. Grievance procedures 4. Anti-harassment policy and procedure 5. ‘Whistle-blowing’ 6. Behaviour at meetings and hearings 7. Dismissal for some other substantial reason Professional development and training 1. Performance management for teachers 2. Continuing professional development Health, safety and welfare 1. Health and Safety guidance 2. Employees Personal Accident Scheme Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 7 Notes for Guidance – Employees in Schools Contents and Alphabetical Index 3. Assaults on employees 4. Insurance 5. Damage to, or loss of, personal belongings 6. Alcohol policy 7. Policy on smoking in schools 8. Mental well-being 9. Work/life balance 10. Eye-sight tests 11. Stress risk assessment 12. Promoting well-being for school staff Managing organisational change 1. Changes in the staffing structure of a school 2. Staffing structures - consultations 3. Redeployment 4. Model redundancy procedures 5. Statutory re-organisation of schools (including closures) Retirement, resignation and termination of contracts by dismissal 1. Resignations 2. Retirement on age grounds 3. Premature retirement and discretionary compensation 4. Retirement on grounds of ill health 5. Re-employment of staff in receipt of a pension 6. Employment of people aged 65 and over 7. Retirement gifts and testimonials Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 8 Notes for Guidance – Employees in Schools Contents and Alphabetical Index 8. Dismissal 9. Transfer of Undertakings (Protection of Employment) Regulations (TUPE) 10. Dispute Resolution Regulations 11. Phased retirement for teachers Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 9 Notes for Guidance – Employees in Schools Contents and Alphabetical Index ALPHABETICAL INDEX Absence, leave of Accident scheme, personal Adoption leave Advances of salary Advertisements Age discrimination Age retirement Age 65 and over - employment Alcohol policy Annual leave Ante-natal care Anti-harassment procedures Application forms Appointment head teachers Appointment of teachers Appointment letters Appraisal Armed forces - reservists Assaults Assessment of salaries Audit investigations B Behaviour at meetings and hearings Bonuses Bulletin, vacancies Burgundy Book C Candidate assessment forms Candidates for Council elections Capability Capability procedure for teachers Competence procedure for support staff Centrally managed services Child protection procedures – disciplinary cases Child protection – pre-employment checks Classroom-based support staff Closure of schools Code of professional conduct Collaborations Collective disputes Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 10 Notes for Guidance – Employees in Schools Contents and Alphabetical Index Competence procedures Conditions of employment Conditions of service Continuing professional development Cover Cover supervision Criminal Records Bureau Curriculum development – contribution to D Damage to personal belongings Data protection Deductions of salary Default retirement age Disability Discrimination Act Disciplinary procedures Discretionary compensation Discrimination Dismissal Disputes – see grievance E Employees’ personal accident scheme Employees undertaking work for other organisations Employment rights – Temporary & Fixed Term contracts Employment-based teacher training scheme Employment of people aged 65 and over Equal opportunities Equal opportunities in employment policy Equality Act Ex gratia payments Examination invigilation Extended schools Extended leave of absence/secondment Extraneous duties F Federations Fees - retention of Fees for one-off engagements Fertility treatment Fixed-term contracts Flexible working Further education in a school Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 11 Notes for Guidance – Employees in Schools Contents and Alphabetical Index G Gender equality scheme General Teaching Council General Teaching Council (capability) Grievance procedures H Harassment Health and safety Health and safety representatives Holiday activities/clubs/schemes, staffing of Holiday entitlement Honoraria – teachers Honoraria – support staff I Illegal working Ill-health retirement Immigration rules Infirmity benefits Induction – statutory induction of teachers Insurance (see also Personal Accident Scheme and Damage to personal belongings) Interview expenses Interviews Interviews, preparation for Instructors J Job descriptions Job sharing Job sharing for head teachers Jury service K L Leave, annual Leave of absence Leave for dependants Leave, maternity Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 12 Notes for Guidance – Employees in Schools Contents and Alphabetical Index Leave, parental Leave, paternity Leave, special Letters of appointment Licensed teachers List 99 Loans for newly qualified teachers Loss of personal belongings M ‘Managing Organisational Change’ ‘Managing Staff Sickness in educational establishments’ Maternity leave Maternity support leave Medical certificates Medical clearance on appointment Medical reports in service Mental well-being Midday supervision Migrant workers Misconduct of teachers N Notice periods O Out of school activities Out of school hours learning activity Overseas-trained teachers P Parental leave Part-time teachers Part-time working and job sharing for head teachers Paternity leave Pay and Conditions (School Teachers) – Annual Advice Pay policy Payments for one-off engagements Payroll deductions Pensions Performance management for teachers Person specifications Personal accident scheme Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 13 Notes for Guidance – Employees in Schools Contents and Alphabetical Index Personal records Policies and procedures - general Politically restricted posts Premature retirement Prevention of Illegal Working Probation Professional development Public duties Public interest disclosure Q Qualifications R Racial harassment Recruitment and selection Recruitment and retention benefits - teachers Recruitment incentive scheme – support staff Recruitment monitoring Redeployment Reductions in staff Redundancy Re-employment References Relief teachers Religious discrimination Religious festivals ‘Remodelling’ of the school workforce Removal expenses Re-organisation of schools Reservists Residential accommodation Residential special schools, extraneous duties Resignation Responsibilities of governing bodies for salaries Retention of fees Retirement – age grounds Retirement – early/premature Retirement – Ill health Retirement - phased Retirement gifts and testimonials Right to work Risk assessment – pregnant women Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 14 Notes for Guidance – Employees in Schools Contents and Alphabetical Index S Safeguarding of salaries Safer recruitment policy Salaries School Staffing Regulations School Teachers’ Pay and Conditions – annual advice to schools Sexual harassment Sick pay and absence Sickness monitoring Single status Smoking Special Educational Needs Co-ordinators Specified work regulations Staffing regulations Staffing structures Statement of particulars of employment Statutory induction Statutory re-organisation of schools Stress risk assessment Subsistence expenses Support staff Suspension, disciplinary Suspension, medical T Taxation and national insurance Teacher Associations (and Trade Unions) – List of Contacts Teacher trainees Teachers’ salaries Temporary and fixed-term contracts Time off for public duties and union activities Time off for dependants Trade Unions (and Teacher Associations) – List of Contacts Trade union duties Trainee teachers who have yet to pass the skills test Travelling and subsistence expenses for employees Travelling and subsistence for candidates Transfer of Undertakings (Protection of Employment) Regulations (TUPE) U Union duties Unqualified teachers Updates Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 15 Notes for Guidance – Employees in Schools Contents and Alphabetical Index V W ‘Whistle-blowing’ Work/life balance Work permits Working time Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 16 Notes for Guidance – Employees in Schools Introduction – How to Use this Guidance INTRODUCTION 1. How to Use This Guidance 1.1 This guidance covers personnel matters for employees in schools, not only conditions of service but also recommended policies and procedures, advice on statutory requirements, and good practice for the recruitment and management of staff. The guidance has been the subject of consultations with the teachers’ associations and other unions and replaces the separate Notes for Guidance on Teaching Staff and Support Staff. 1.2 Each section of the guidance consists of some general or more detailed guidance on its subject, with references where appropriate to relevant schemes, model forms or model procedures. Introductory guidance is in bold type, to distinguish it from schemes and procedures. Where guidance has been published through electronic mail a link to that guidance is given. 1.3 Some sections have been set out in such a way that they can be printed and copied to use as a checklist. 1.4 Unless otherwise stated, questions should be directed in the first instance to the appropriate section in Schools Personnel Services. 1.6 In addition to the core personnel services provided by the local authority, schools may purchase the following services as a charge to their school budget share: recruitment of newly-qualified teachers advertising of vacancies (national and local) recruitment of head teachers and deputy head teachers recruitment of support staff training sessions in employment law and personnel procedures school-based training in personnel matters Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 17 Notes for Guidance – Employees in Schools The Legal Framework 2 The Legal Framework 2.1 The Education Reform Act 1988 transferred to schools with delegated budgets certain staffing functions exercised previously by the local education authority. The provisions of the Education Reform Act were re-enacted in the Education Act 1996 and modified by the School Standards and Framework Act 1998 and the Education Act 2002. Statutory Orders or Instruments made under relevant Acts also regulate certain functions in schools, such as staffing, as well as the conduct of governing bodies’ business in all matters, including staffing. Governing bodies and local authorities have to work within these regulations. They have specific responsibilities to discharge and are subject to limits and checks on their respective powers. Detailed guidance on all the responsibilities of governing bodies is provided by the School and Governor Support Sections of the School Effectiveness Division. 2.2 In addition, governing bodies are subject to the legal requirements on employers in general. Employment law has expanded greatly during the last twenty years or so and more general legislation, notably that on unlawful discrimination, affects employment as well as the provision of services. This guidance includes advice to help schools meet their legal obligations. The local authority, as part of its personnel service to schools, also offers the support of a dedicated employee relations team experienced in this kind of work. 2.3 This section summarises the types of school and the broad differences between them so far as personnel functions and legal obligations are concerned. Some procedures are based partly on statute and partly on common law arising from statutory tribunals. Employment law is increasingly complex and schools are urged to follow the guidance given and to seek further advice in circumstances in which they are uncertain about the appropriate course of action. Where schools have failed to follow the authority’s advice and are challenged in an employment tribunal or other courts, the authority reserves the right to require governing bodies to meet any costs arising from the employment tribunal or court proceedings as a charge to the school’s budget share. 2.4 The statutory requirements are described as applicable in the various sections of this guidance. They may vary according to the type of school, so where appropriate the guidance will draw attention to differences between the types of school. The phrase ‘maintained schools’ covers all schools maintained by the local authority, regardless of status. 2.5 The School Standards and Framework Act 1998 altered the categories of school established by the Education Act 1944. From September, 1999, county schools became community schools, controlled schools became voluntary controlled schools, aided schools and special agreement schools became voluntary aided schools, and maintained special schools became Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 18 Notes for Guidance – Employees in Schools The Legal Framework community special schools. The School Standards and Framework Act also provided for a change in status for grant-maintained schools, but gave them a measure of choice over that change. Most grant-maintained schools chose the indicative status set out in the Act, so that those which were once a county or controlled school became foundation schools, and those which were once aided or special agreement schools accepted the indicative status of voluntary aided schools. In voluntary aided and foundation schools the governing body is the employer. For voluntary controlled schools the local authority is the employer (but is obliged to appoint, on request from the governors, a specified number of ‘reserved’ teachers to give religious education in accordance with the agreement or trust deed). 2.6 The Education Act 2002 also specifies various requirements affecting the appointment and dismissal of employees and regulations and statutory guidance made under the Act specify the procedures to apply to them. 2.7 The Education (Modification of Enactments Relating to Employment) (England) Order 2003 provides that in specified statutes references to an employer or someone acting as such are treated as including references to the governing body exercising its employment powers, employment by the authority at the relevant school is treated as employment by the governing body, and references to dismissal by an employer are treated as including reference to dismissal by the authority on the direction of the governing body. The modifications do not cause the governing body to be a “small employer” if it would not have been so without the modifications. The governing body is to be the respondent to any application to an employment tribunal arising out of any of its actions taken in the exercise of its employment powers, or any action taken by the authority on its direction, but provides that any award of compensation or costs or other order (other than an order for reinstatement or re-engagement) is to be made against the authority. The authority may apply to be made an additional party and to appear at any hearing. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 19 Notes for Guidance – Employees in Schools Centrally Managed Support Services 3 Conditions of service and allied policies 3.1 The School Staffing (England) Regulations 2009 (http://www.opsi.gov.uk/si/si2009/uksi_20092680_en_1 ) and the statutory guidance accompanying those regulations (http://publications.teachernet.gov.uk/default.aspx?PageFunction=productdet ails&PageMode=spectrum&ProductId=DCSF-01081-2009 require the local authority to appoint people selected by the governing body of a community, community special or voluntary controlled school in accordance with arrangements specified in the Regulations, and to dismiss employees when there is a determination, in accordance with the Regulations, that they should cease to work in the school. The local authority, as the employer, determines the conditions of service, which will be those set nationally by organisations representing employers and employees and adopted by the authority subject to any amendments or improvements made by the authority, which may also negotiate local agreements with unions. The basis of teachers’ conditions of service is the Burgundy Book, published by the national employers’ organisation and copies may be obtained by subscribing to the Local Government Employers website and looking under the list of publications: www.lge.gov.uk . 3.2 Specific sections of the Staffing Regulations apply to foundation and voluntary aided schools and set out the arrangements those schools must follow when appointing and dismissing employees, and the responsibilities of the governing body in relation to disciplinary and capability procedures. 3.3 The local authority may also devise policies and procedures and commend them to governing bodies. Policies are not conditions of service, so governing bodies of community, voluntary controlled and community special schools are not bound by them as they are by conditions of service. However, both they and the governing bodies of foundation and voluntary aided schools are strongly advised to follow recommended policies, although the governing bodies of most Roman Catholic and Church of England schools have adopted some policies recommended by the Catholic Education Service and the Diocesan Schools Commission respectively rather than by the local authority. The adoption of recommended policies is advised for the following reasons: The policies represent good personnel practice, devised in consultation with the appropriate unions, and will help schools to manage employees fairly and effectively. If a governing body’s actions are challenged in an employment tribunal or in the courts, policies of the authority (or of a national organisation like the Catholic Education Service) may be cited as evidence of what might have been a reasonable course of action in the circumstances. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 20 Notes for Guidance – Employees in Schools Centrally Managed Support Services The authority reserves the right, should the governing body fail to follow its advice, to require the governing body to meet any costs arising from employment tribunal or court proceedings. 3.4 Governing bodies are recommended to adopt or re-adopt the following policies and procedures annually. The hyperlinks given in this list refer to the authority’s model procedures. Where a procedure could lead to dismissal, voluntary aided and foundation schools, in which the governing body is the employer, will need to make appropriate adjustments to reflect the legal position of the governing body. Safer recruitment policy saferrecruitmentpolicy equal opportunities in employment policy (City Council) equalopportunitiesinemploymentpolicy recruitment and selection complaints procedure for schools recruitmentandselectioncomplaints job sharing Job sharing model pay policy pay policy managing staff sickness in educational establishments ‘Managing Staff Sickness in educational establishments’ flexible working Flexible working cover policy for absent teachers coverpolicy disciplinary procedure The 2009 model disciplinary procedure capability procedure (teachers) capabilityproceduresteachers competence procedure (support staff) competenceproceduressupportstaff grievance procedure grievancemodel anti-harassment policy and procedure antiharassmentmodel 'whistle-blowing' procedure whistleblowingcode performance management policy (teachers) Performance management continuing professional development policy Continuing professional development no-smoking policy smokingpolicy managing organisational change ‘Managing Organisational Change’ (including internal re-structuring and redundancy procedures) dismissal for some other substantial reason Dismissal for some other substantial reason temporary and fixed-term contracts Temporary and fixed-term contracts 4 Centrally managed support services 4.1 Employees in centrally managed support services are usually subject to the same conditions of service as those in schools, because many conditions of service are determined nationally or educational legislation makes such conditions the responsibility of the employer. Some sections of this guidance, mainly those relating to conditions of service rather than policies and procedures, will therefore be relevant to centrally managed support Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 21 Notes for Guidance – Employees in Schools Centrally Managed Support Services services. Where conditions of service give some discretion to managers, there may be some differences between employees in schools and those in centrally managed services. 4.2 Policies and procedures for centrally managed employees will often differ in detail because they do not involve governing bodies. Support staff in centrally managed services are subject to general City Council procedures for discipline, performance, grievance, anti-harassment, recruitment and selection complaints, redundancy and redeployment and flexible working. The guidance on managing staff sickness in educational establishments applies to all employees in schools and centrally managed services. For centrally managed teachers there are separate disciplinary, capability, grievance and redundancy procedures, and a pay policy as required by the School Teachers’ Pay and Conditions Document. 4.3.1 In certain respects Pupil Referral Units are treated as schools, but they do not have governing bodies and therefore regulations covering the staffing powers of governing bodies do not apply to them. However, there are some special regulations applying other regulations to them, such as the child protection checks in the School Staffing Regulations ( see http://www.opsi.gov.uk/si/si2006/uksi_20063226_en.pdf ). Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 22 Notes for Guidance – Employees in Schools Teachers’ Associations and Trade Unions – List of Contacts List of recognised Trade Unions for use by schools as appropriate (as at November 2010) National Union of Teachers (Birmingham Association) Mr R. King General Secretary – BANUT BANUT Office Park Hill JI School Alcester Road Birmingham B13 8BB Tel: Fax: E-mail: 442 2031 442 2032 banut@btclick.com (Birmingham Association of the) National Association of Schoolmasters/Union of Women Teachers John Hemingway General Secretary – BANASUWT NASUWT Office Ludgate Court 57, Water Street Birmingham B3 1ER Tel: Fax: E-mail: 232 9490 232 9499 banasuwt@nasuwt.net Birmingham Head Teachers’ Association Sandra Bailey Secretary - BHTA 49 Hall Green Road Stone Cross West Bromwich B71 3JS Mobile: E-mail: 07834 320663 sandrabailey49@yahoo.co.uk Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 23 Notes for Guidance – Employees in Schools Teachers’ Associations and Trade Unions – List of Contacts Association of Teachers and Lecturers Mr D. Ambler General Secretary ATL – Birmingham Branch Office Martineau Centre Balden Road Harborne Birmingham B32 2EH E-mail: dambler@birmingham.atl.org.uk Tel: 303 8870 or 303 8871 or 303 8872 Fax: 303 8873 Association of School and College Leaders ASCL has a convenor as well as a secretary. The convenor is Mr Roger Gittins, who will deal with all items and to whom papers should be sent. Mr R. Gittins 36, Norton Road, Heysham, Lancashire, LA3 1HA E-Mail: Tel: Mobile: rlgittins@googlemail.com 01524 420480 0774 830 8678 VOICE Ms. J. Hetherington, Honorary Secretary VOICE 12, Berwood Farm Road, Wylde Green, Sutton Coldfield, West Midlands, B72 1AJ Tel: E-Mail: 0121 382 7745 j.hetherington@birchgnj.bham.sch.uk Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 24 Notes for Guidance – Employees in Schools Teachers’ Associations and Trade Unions – List of Contacts Trade Unions: Non-Teaching Staff UNISON UNISON (Education Section) 19th Floor, McClaren Building, 35 Dale End, Birmingham B4 7LN. Telephone: (reception) 0121 200 3331. GMB GMB Office Martineau Education Centre Balden Road Harborne Birmingham B32 2EH Tel: 675 8036 UNITE Regional Organiser Unite 211 Broad Street Birmingham B15 1AY Tel: 643 6221 Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 25 Notes for Guidance – Employees in Schools Equal Opportunities EQUAL OPPORTUNITIES 1. Equal opportunities 1.1 Equal opportunities for all arise from a belief in the worth of every person, regardless of differences of any kind, a philosophy underlying modern education. Schools’ aspirations for pupils should therefore extend equally to adults and specifically to their responsibilities for employees. 1.2 The amount of skill, time, effort and knowledge needed to manage people in a complex organisation like a school is greatly underestimated. Given the pressures on schools from the expectations of Government and society, it is understandable that some of those in positions of leadership and management find difficulty in achieving consistently good employment practices in every single aspect of the conduct of the school. Deficient practices may affect people simply because of their race, sex, disability, religion or sexual orientation, or age, because the practices are either deliberately unfair to such groups (direct discrimination) or have unintentional disadvantages for them (indirect discrimination). The importance of equal opportunities is reflected throughout this personnel guidance. Head teachers may obtain additional support from training courses arranged specifically for them and from advice given on individual cases arising in the school from time to time. 2. Equality Act 2010 2.1 The Equality Act 2010 brings together, and expands upon, previous legislation on various kinds of discrimination, so that there are no longer separate Acts and Regulations. The Act defines the grounds on which it is unlawful to discriminate. Types of Discrimination The types of discrimination have been extended by the Equality Act to include: Direct discrimination, which already applies but has now been extended to cover perceptive and associative discrimination. Indirect discrimination, which already applies to age, race, religion or belief, sex, sexual orientation and marriage and civil partnership. It has now been extended to cover disability and gender reassignment. Associative discrimination, which already applies to race, religion or belief and sexual orientation. It has now been extended to cover; age, disability, gender reassignment and sex. Associated discrimination is direct discrimination against someone because they associate with another person. Perceptive discrimination, which already applies to age, race, religion or belief and sexual orientation. It has now been extended to cover disability, gender reassignment and sex. Perceptive discrimination is direct Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 26 Notes for Guidance – Employees in Schools Equal Opportunities discrimination against someone because others think that they posses a protected characteristic and applies even when the person does not actually possess that characteristic. Harassment Harassment applies to all protected characteristics except for pregnancy, maternity, marriage and civil partnership. Employees will now be able to complain of behaviour that they find offensive even when not directed at them and the complainant need not possess the relevant characteristic themselves. Protection is also extended to cover perception and association. Third party harassment already applies to sex and has now been extended to cover age, disability, gender reassignment, race, religion or belief and sexual orientation. Employers are liable when; • harassment has occurred on at least two previous occasions; • employers are aware that it has taken place; • employers have not taken reasonable steps to prevent it from happening again. Victimisation Victimisation occurs when an employee is treated badly because he or she has or is suspected of having made a complaint under the Equality Act. The Act removes the requirement of the complainant to demonstrate a comparator. Employees raising malicious or supporting untrue complaints are excluded from the protection. ‘Protected characteristics’ The Equality Act defines these as follows: Age Where this is referred to, it refers to a person belonging to a particular age (e.g. 32 year olds) or range of ages (e.g. 18 - 30 year olds). This is the only characteristic where direct discrimination is allowed if it is a proportionate means of achieving a legitimate aim. Disability A person has a disability if s/he has a physical or mental impairment which has a substantial and long-term adverse effect on that person's ability to carry out normal day-to-day activities. It is unlawful to ask about health (which covers disability in this context) before offering a person work (other than for certain exceptions). An employer will not commit an act of disability discrimination if at the time the employer could not reasonably have been expected to know about the person’s disability. Gender reassignment The process of moving from one gender to another provided that the person intends to live permanently in the gender opposite to the birth sex. The person is no longer required to be under medical supervision. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 27 Notes for Guidance – Employees in Schools Equal Opportunities Marriage and civil partnership Marriage is defined as a 'union between a man and a woman'. Same-sex couples can have their relationships legally recognised as 'civil partnerships'. Civil partners must be treated the same as married couples on a wide range of legal matters. Pregnancy and maternity Pregnancy is the condition of being pregnant. Maternity refers to the period of 26 weeks after the birth, which reflects the period of a woman's ordinary maternity leave entitlement in the employment context. Race Refers to a group of people defined by their race, colour, and nationality (including citizenship) ethnic or national origins. Religion and belief Religion has the meaning usually given to it. Belief includes religious and philosophical beliefs including lack of belief (e.g. atheism). Generally, a belief should affect life choices or the way people live for it to be included in the definition. Sex A man or a woman. Sexual orientation Whether a person's sexual attraction is towards their own sex, the opposite sex or to both sexes Positive Action As with the previous legislation the Equality Act allows for positive action in circumstances where protected characteristics suffer a disadvantage connected to that characteristic or if their participation in an activity is disproportionately low. Public Sector Equality Duty The single equality duty which applies to all public bodies from 5th April, 2011, requires public bodies to have due regard to the need to eliminate unlawful discrimination, harassment and victimisation; to advance equality of opportunity; and to foster good relations between people who share a protected characteristic and those who do not share it. Regulations are about to be published imposing specific duties on public bodies to support better performance of the general duty. These regulations were originally expected to come into force in July, with schools not being required to comply until December, 2011, but after a period of consultation the Government has revised and simplified its original proposals and, in order to allow schools at least a term to prepare, has included them in the group of public bodies who will be required to implement the duties by April, 2012. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 28 Notes for Guidance – Employees in Schools Equal Opportunities The specific duties are expected to include Publishing data to show how a public body is complying with the single equality duty for each of the protected characteristics. Data on employees will not need to be published where a public authority has fewer than 150 employees, which means that for most schools only pupil data, not data on employees, will need to be published. Publishing equality objectives every four years Publishing information annually on the effects of the public body’s policies Equality policy There is no requirement in the Equality Act to have an equality policy, but preparing and adopting such a policy demonstrates the school’s commitment to equality to staff and pupils alike and is strongly recommended by the Equality and Human Rights Commission. It should cover every aspect of employment and service delivery (with special exemptions for faith schools) including recruitment, pay, facilities and benefits, policies and procedures. A policy might include: statements outlining the school’s commitment to equality identification of the types of discrimination that the school is required to combat across the protected characteristics of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation statements outlining the type of work environment the school aims to create, including what is and is not acceptable behaviour at work (also referring to conduct near the workplace and at work-related social functions where relevant) information about how policy will be put into action, including how the school will deal with any breaches of the policy, and how concerns and complaints will be dealt with who is responsible for the policy how the school will monitor the policy and when it will be reviewed details covering how the policy is linked in with the school’s other policies the kind of working environment the school wishes to create, for example, on which enables all to give of their best, there is no bullying, harassment or unlawful discrimination, and all decisions are based on merit. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 29 Notes for Guidance – Employees in Schools Equal Opportunities Preparing a policy is one way of ensuring that those involved think about the purpose of a policy and how to make it effective. To ensure that the policy is effective there needs to be A demonstrable commitment to the policy from the very top of the school The agreement, understanding and support of all staff and stakeholders (such as trade unions) for the policy’s implementation. Involvement of staff and stakeholders in the drafting of the policy. Extensive promotion of the policy both within the school and to potential workers, contractors and suppliers Training provided to all staff to explain what the equality policy says and what it means to them An explicit willingness to challenge and, if necessary, discipline anyone not following the policy Reference made to the equality policy in other policies within the school An action plan in place which includes a commitment to a regular policy review. Further guidance For full information see the website of the Equality and Human Rights Commission, which has produced a series of detailed guides at http://www.equalityhumanrights.com/advice-and-guidance/guidance-equality-act2010/equality-act-2010-guidance/ The Department for Education has also produced guidance specifically for schools. Much of this deals with pupils, but chapter 8 covers employees. http://www.education.gov.uk/schools/pupilsupport/inclusionandlearnersupport/inclusi on/equalityanddiversity/a0064570/the-equality-act2010?cid=homepage&pla=17Jan11&type=htlist 3. Religious discrimination in relation to employees in schools 3.1 Sections 59 and 60 of the School Standards and Framework Act 1998 deal with the religious opinions of staff. Section 58 deals with the appointment of teachers of religious education in schools with a religious character. All these sections remain in force and by the Education Act 2002 were extended to cover staff engaged, as well as employed, to work in schools (i.e. people employed by agencies, those working under a contract for service or selfemployed). Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 30 Notes for Guidance – Employees in Schools Equal Opportunities 3.2 Section 59 prohibits discrimination against teachers in community schools, special schools, and foundation or voluntary schools which do not have a religious character, on the grounds of their religious beliefs or their practice in participating or not participating in acts of worship or religious education; no teacher at such schools can be required to give religious education. In the event of an employee refusing to participate in a particular activity on religious grounds schools should seek advice from the Employee Relations team. In addition, as a good employer, the local authority provides in its leave of absence scheme for a teacher to apply for leave of absence to attend a religious ceremony when that teacher’s religion requires attendance unavoidably and governing bodies are advised to apply this leave of absence scheme to other employees whose jobs require attendance throughout school terms. 3.3 Section 60 of the School Standards and Framework Act deals with foundation or voluntary schools which have a religious character. With the exception of “reserved teachers” and the appointment of a head teacher the provisions of Section 59 apply also to a foundation or voluntary controlled school. In connection with the appointment of a person to be head teacher of a foundation or voluntary controlled school “regard may be had to that person’s ability and fitness to preserve and develop the religious character of the school”. If a school is a voluntary aided school preference may be given, in connection with the appointment, remuneration or promotion of teachers at the school to persons whose religious opinions accord with the tenets specified in relation to the school, who attend religious worship in accordance with those tenets or who give, or are willing to give, religious education at the school in accordance with those tenets. Regard may be had, in connection with the termination of the employment of any teacher at the school to any conduct on that teacher’s part which is incompatible with the precepts, or with the upholding of the tenets, of the religion or religious denomination specified. No person shall be disqualified from non-teaching employment at a voluntary aided school by reason of his or her religious opinions or of attending or omitting to attend religious worship. 3.4 There are provisions to safeguard the position of teachers already employed in foundation and voluntary schools who enjoyed rights under Sections 304 and 305 of the Education Act 1996 which were not re-enacted under the School Standards and Framework Act. 3.5 Sections 35 and 36 of the Education Act 2002 provide that the School Staffing Regulations shall be subject to Section 58 of the School Standards and Framework Act dealing with reserved teachers and requirements governing their appointment and dismissal. 3.6 The Employment Equality (Religion or Belief) Regulations 2003 specify exceptions to the prohibition on discrimination, including circumstances Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 31 Notes for Guidance – Employees in Schools Equal Opportunities where an employer has an ethos based on religion or belief and, having regard to that ethos and to the nature of the employment or the context in which it is carried out, being of a particular religion or belief is a genuine occupational requirement for the job, it is proportionate to apply that requirement in the particular case and the person concerned does not meet that requirement or the employer is reasonably satisfied that the person does not meet it. 3.7 Guidance on these regulations has been issued, including particular reference to schools, by the local government employers’ organisation (see www.lg_employers.gov.uk/relations/law/discrimination ). 3.8 The Catholic Education Council has also provided guidance on these regulations as they affect Roman Catholic schools (www.catholiceducation.org.uk/schools/appteach.htm). For guidance prepared by the National Society for Church of England schools, see www.natsoc.org.uk/downloads/equalopps/equaloppsguidance&modelpolicy.d oc . 4. Age discrimination 4.1 The Employment Equality (Age) Regulations 2006 took effect from 1st October, 2006. From that date 4.2 The regulations prohibit discrimination and harassment on grounds of age in relation to various aspects of employment, and employment related vocational training, including access to help and guidance, recruitment, promotion, professional or career development, pay and benefits (such as pensions). The regulations cover people of all ages, both old and young, including employees, agency workers, job seekers and trainees. All employing organisations (including both private and public sector) are covered by the regulations. The upper age limits for unfair dismissal and redundancy no longer apply. All employees were given the ‘right to request’ to work beyond the normal retirement age, but this has recently been replaced by a general right to continue working. The regulations were introduced in the context of the following: More people are living longer, active and healthy lives. Evidence shows that differences in absenteeism between age groups are slight. Older workers stay in their jobs longer than younger people. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 32 Notes for Guidance – Employees in Schools Equal Opportunities 4.3 Age discrimination can lead to under-achievement, reduced selfconfidence and motivation, lower self-esteem and loss of personal income and status. Findings from many studies show that younger and older workers are on average equally effective in their work and, given the right training, are equally capable of learning new skills. The benefits of the legislation should include Reduced costs as a result of improved employee retention Access to a wider pool of talent Lower recruitment costs Increased return on investment in staff Retained knowledge and skills Birmingham City Council is committed to being an age diverse organisation and will encourage the continued employment of people who want to work past normal retirement age. 4.4 Equality policies adopted by schools should already commit governing bodies to the avoidance of unlawful discrimination in employment. Schools with such policies should review them to ensure that they cover the new regulations. For example, specifications about length of previous experience or some adjectives used to describe potential applicants for jobs may constitute indirect age discrimination and programmes of professional development and training should include all employees in the school, regardless of age. Full guidance on the regulations for employers can be found in the ACAS publication ‘Age in the Workplace’ (http://www.acas.org.uk/media/pdf/s/3/Age_and_the_Workplace.pdf. ) 4.5 For details of the new right to continue working after the normal retirement age without having to make a request see Employment of people aged 65 and over Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 33 Notes for Guidance – Employees in Schools Equal Opportunities CITY COUNCIL’S EQUAL OPPORTUNITIES IN EMPLOYMENT POLICY Birmingham City Council will ensure that all existing and future employees receive equal consideration and is committed to the elimination of unlawful or unfair discrimination on the grounds of gender, race, disability, colour, ethnic and national origin, nationality, sexuality, marital status, responsibility for dependants, religion, trade union activity and age (up to 65). Return to top of page The law The city council has made obligations under the existing legislation. Its intention is to abide by the requirements and the spirit of the law. The relevant acts are Equal Pay Act 1970 (and its Amendments 1983) Sex Discrimination Act 1975 (and its amendments 1986) Race Relation Act 1976 Employment Equality (Sexual Orientation) 2003 The Disability Discrimination Act 1995 The Chronically sick and Disabled Persons Act 1970 and its Amendments 1976 Employment Equality (Religion and Belief) Regulations 2003 Race Relations (Amendment) Act 2000 The Rehabilitation of Offenders Act 1974 Return to top of page Definitions of discrimination The policy refers to and defines four types of discrimination Direct Discrimination Direct discrimination results from treating a person less favourably on the grounds of gender, race, disability, colour, ethnic and national origin, nationality, sexuality, marital status, responsibility for dependants, religion, trade union activity or age (up to 65). Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 34 Notes for Guidance – Employees in Schools Equal Opportunities Indirect Discrimination Indirect discrimination arises where a condition or requirement, although applied equally to the above groups listed in the Policy Statement, has the effect of excluding, penalising or treating less favourably any of these groups, and cannot be shown to be justifiable and will be to the detriment of those who cannot comply with it. Discrimination by Victimisation Discrimination by victimisation occurs when an individual is treated less favourably than others are (or would be) treated in the same circumstances, because they have or intend to do (or the discriminator knows/suspects that they have or intend to do) any of the following in relation to the discriminator or any other person taken proceedings under the legislation given evidence or information in connection with proceedings under the legislation otherwise done anything under or by reference to the legislation alleged that the discriminator or any other person has committed an act which would amount to a contravention of the legislation. Harassment Harassment is defined as any behaviour, deliberate or otherwise, directed at an individual, that is found to be offensive or objectionable to the recipient, and that might threaten an employee’s job security or create an intimidating environment. Return to top of page The aims of the policy Birmingham City Council aims to Ensure that all employees are aware of the existence of the policy, its aims and objectives, and their role in its implementation. Publicise and clarify the intention of Birmingham City Council to the wider community. Ensure that all existing and potential employees and users of services are aware of their rights and responsibilities under the law and in respect of the city council's Equal Opportunities in Employment Policy. Provide the necessary encouragement and guidance to employees to Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 35 Notes for Guidance – Employees in Schools Equal Opportunities implement the policy. Provide a framework against which to monitor and assess Birmingham City Council's performance in meeting the needs of all its citizens. Return to top of page Applying the policy The principles of the this policy will be applied through the city council developing and implementing good employment and HR practice in the following areas Recruitment, selection and progression Advertising Training and development Positive action Retention and retraining Terms and conditions of employment Dismissal and redundancies Discipline Grievance The working environment Consultation Although the overall responsibility for achieving, promoting and providing equality of opportunity rests with Birmingham City Council, employees at every level have a responsibility to own and promote the Policy. Return to top of page Consequences of not following the policy All employees must comply with the Equal Opportunities in Employment Policy. A failure to do so will be treated as a disciplinary offence. Any unlawful acts of discrimination could make the city council liable to legal proceedings. You should note that employees may be solely liable in civil proceedings for unlawful acts of discrimination, if Birmingham City Council has taken such steps as Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 36 Notes for Guidance – Employees in Schools Equal Opportunities are reasonably practicable to prevent acts of discrimination. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 37 Notes for Guidance – Employees in Schools ‘Remodelling’ the School Workforce ‘REMODELLING’ THE SCHOOL WORKFORCE/WORKFORCE REFORM 1. Personnel guidance relevant to ‘remodelling’ 1.1 ‘Remodelling’ the school workforce has been used as shorthand for implementation of the national agreement on raising standards and tackling workload in schools, signed in January 2003 by the Secretary of State, the national employers’ organisation, three unions representing support staff and five of the six teachers’ associations. The national agreement followed a period of industrial action and a study of workload sponsored by the government. The term usually used now is workforce reform. 1.2 The national agreement is intended to effect real improvements in the working arrangements for teachers and thereby enable them to develop and maintain better standards of teaching and learning for children. It is therefore vital to the ethos and management of schools and affects many conditions of service. 1.3 The national agreement is available on the Teachernet website (http://www.teachernet.gov.uk/wholeschool/remodelling/ ), together with associated information and advice, including the notes produced by the Workforce Agreement Monitoring Group (WAMG), examples of ways in which teaching and learning have been improved, even transformed, by implementing the agreement, and links to guidance from the National Remodelling Team, a government agency. The authority has also given advice about the response to the national agreement in Birmingham, including local arrangements for implementing the various contractual changes and new ways of working in schools. 1.4 Guidance of particular relevance to remodelling the school workforce includes the following Planning, preparation and assessment – guaranteed time Leadership and management time Dedicated headship time Work-life balance Examination invigilation Classroom-based support staff – local agreement Cover for teachers Cover supervision The first four items are in detailed guidance on managing teachers’ working time – see below in managing teachers’ working time. There is separate guidance on: Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 38 Notes for Guidance – Employees in Schools ‘Remodelling’ the School Workforce Examination invigilation Cover for teachers Cover Supervision Classroom-based support staff (job descriptions for levels 2, 3 and 4 – higher level. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 39 Notes for Guidance – Employees in Schools Recruitment and Selection RECRUITMENT AND SELECTION BIRMINGHAM CITY COUNCIL MODEL SAFER RECRUITMENT POLICY FOR SCHOOLS 1. Introduction 1.1 The appointment of any employee affects the quality of the service that person will help to provide as well as involving the commitment of a considerable sum of money. Appointment procedures are therefore one of the most important functions exercised by a governing body or by those to whom the governing body has delegated that function. Careful planning and preparation will help to achieve the best result and also ensure compliance with legal requirements. 1.2 The safeguarding of children is a priority for every school and the school’s recruitment procedures must embody this principle at every stage. 1.3 The appointment of employees in schools with delegated budgets must proceed in accordance with employment law, including the various statutes and statutory instruments relating to equal opportunities in employment and also with legislation specific to employees in schools. This guidance on recruitment and selection will therefore take into account the provisions of the School Staffing (England) Regulations 2009 (http://www.opsi.gov.uk/si/si2009/uksi_20092680_en_1 ), the statutory guidance accompanying those regulations (http://publications.teachernet.gov.uk/default.aspx?PageFunction=productdet ails&PageMode=spectrum&ProductId=DCSF-01081-2009 ) and the guidance on the child protection regulations published by the Department for Children, Young People and Families. The Government’s most recent guidance ‘Safeguarding Children and Safer Recruitment in Education’ (http://publications.teachernet.gov.uk/eOrderingDownload/Final%206836SafeGuard.Chd%20bkmk.pdf ) is currently under review. The appendices to the model policy include the relevant sections from the Government’s guidance together with subsequent changes (notably the establishment of the Independent Safeguarding Authority and changes on migrant workers). 1.4 Subject to legislative requirements in the School Staffing and School Governance Regulations, other regulations specific to schools, and general employment law, the governing bodies of schools with delegated budgets have the power to select employees. There are specific regulations, for example, requiring governing bodies to appoint selection panels for the selection of head teachers and deputy head teachers and to ratify the decisions of the panel. Detailed guidance on these regulations is available through the authority’s special service for assisting schools with the Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 40 Notes for Guidance – Employees in Schools Recruitment and Selection recruitment of head teachers and deputies. Governing bodies are permitted, and advised in the statutory guidance, to delegate their powers of selection in respect of other employees to the head teacher. 1.5 Governing bodies are advised to adopt The new model safer recruitment policy The revised model recruitment and selection complaints procedure The model safer recruitment policy is accompanied by thorough guidance on recruitment and selection, including detailed checklists and forms to help schools with the practical implementation of the policy. This guidance is currently under review and will be inserted when complete. The old model recruitment and selection complaints procedure remains for reference by those schools which have not yet adopted the new model. 1.6 Schools have a duty to produce plans for equality in respect of race, gender and disability. These should cover employment and include the monitoring of recruitment and selection. The Government has produced useful guidance for schools at http://www.teachernet.gov.uk/_doc/11059/Equality_legislation___guide_for_s chools_V2__2__1.pdf . 1.7 The authority is the employer of staff in community, voluntary controlled, community special and maintained nursery schools and will issue contracts of employment on the instructions of the governing body or those to whom the governing body has delegated its selection powers, subject always to the requirements of the school staffing regulations in respect of qualifications, registration (with the General Teaching Council), health and physical capacity, future registration by the Independent Safeguarding Authority, checks by the Criminal Records Bureau, and right to work in the United Kingdom. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 41 Notes for Guidance – Employees in Schools Recruitment and Selection SAFER RECRUITMENT POLICY Introduction 1. The Governing Body of ________________________________ School has adopted this Safer Recruitment policy in accordance with the School Staffing (England) Regulations 2009 (http://www.opsi.gov.uk/si/si2009/uksi_20092680_en_1), for the safe and legal employment of people to work in the school. 2. The Governing Body is committed to the welfare of children and young people in its care. It recognises that the legal requirements for recruiting and employing people to work in the school include provisions specifically to protect children from harm and that following these provisions is an essential part of its duty of care. It also recognises that the legal requirements for checking prospective employees’ right to work in the United Kingdom protect those responsible for recruitment from fines for infringing the law. 3. The Governing Body has also adopted the model Child Protection Policy recommended by Birmingham City Council (see http://www.lscbbirmingham.org.uk/downloads/LA-CP-Procedures-3-4-06.pdf ). 4. The Governing Body will ensure that all employees are made aware of this policy and the Child Protection Policy. It will publish them through its scheme of publication in accordance with the Freedom of Information Act. Guidance on the law 5. The Governing Body is committed to following the statutory guidance in ‘Safeguarding Children and Safer Recruitment in Education’ (http://publications.teachernet.gov.uk/eOrderingDownload/Final%206836SafeGuard.Chd%20bkmk.pdf ). 6. The Head Teacher is required to ensure that checks on the right to work in the United Kingdom comply with the requirements of the Immigration, Asylum and Nationality Act 2006 (see details explained in http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6136&key=&zz=2 0090428154257572&zs=n#preventionofillegalworking ) 7. The Governing Body is committed to its legal duties and responsibilities in respect of equality in employment (for guidance see http://www.teachernet.gov.uk/_doc/11059/Equality_legislation___guide_for_s chools_V2__2__1.pdf ) Checks and recording Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 42 Notes for Guidance – Employees in Schools Recruitment and Selection 7. The Head Teacher is required to Ensure that all required pre-employment checks on new employees, including casual and short-term employees, are made and completed satisfactorily before a formal offer of employment is made in accordance with the School Staffing (England) Regulations and other legislative provisions and that these checks are recorded in the required register (known as the ‘single central record’). Ensure that the required register (known as the ‘single central record’) is kept of the checks already undertaken on existing employees as set out in the School Staffing Regulations. Ensure that the required written confirmation of all required checks is obtained from agencies supplying staff to the school, including organisations providing specialist coaches or instructors and centrally managed teaching services providing staff to the school, and recorded in the required register (‘single central record’), also that the identity of each and every person supplied by an agency is checked by the school before the person starts work for the school, as set out in the School Staffing Regulations. Ensure that self-employed people engaged directly by the school are subject to the same checks as would be the case if they were employed by the school. Ensure that the checks involve copying (or electronic scanning) each specified document as required, signing and dating the copy and placing the copy in secure storage in accordance with Data Protection legislation. Arrange for all volunteers to undertake an identity check, and clearance from the Criminal Records Bureau and Independent Safeguarding Authority as specified by that Authority. 8. The Governing Body will ensure that these requirements are applied to the selection of a head teacher or deputy head teacher. 9. The Governing Body commits the school to working with the local authority to introduce enhanced checks with the Criminal Records Bureau for all employees not hitherto subject to such checks at present and to establish a programme for re-checking employees every three years. It notes that the authority intends to introduce a three year rolling programme in 2010, subject to identification of funding requirements and authorisation by the Director of Children’s Services. 10. The Governing Body will ensure that it works with the local authority and complies with the requirements of the Safeguarding Vulnerable Groups Act Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 43 Notes for Guidance – Employees in Schools Recruitment and Selection 2006 to refer prescribed information to the Independent Safeguarding Authority when required to do so. Risk assessment – enhanced criminal record certificate 11. The Governing Body permits the commencement of employment before an enhanced criminal record certificate has been obtained only in justifiable circumstances approved by the Head Teacher following a risk assessment and provided that an application for such a certificate has been submitted. In each case the Head Teacher is required by the Governing Body to record the risk assessment and the decision, monitor the situation every fourteen days (as required by the statutory guidance on safer recruitment) until the enhanced certificate from the Criminal Records Bureau is received and to be accountable for the decision to allow the employee to start work. 12. The Governing Body concurs with the Criminal Records Bureau in not supporting the re-use of a check obtained for a job in a different school or organisation (‘portability’), even if the check was undertaken recently. It acknowledges that the Head Teacher may refer to the existence of a previous check pending an application for an enhanced criminal record certificate as part of the risk assessment in justifiable circumstances. The Authority’s Criminal Records Bureau Panel and positive disclosures 13. The Governing Body requires the Head Teacher to make any reports requested by the authority in connection with a positive disclosure obtained through a check with the Criminal Records Bureau. 14. The Governing Body expects the Head Teacher to take advice from the Authority’s Criminal Records Bureau Panel on a positive disclosure from the Criminal Records Bureau, or such other persons as the Local Authority may determine from time to time and from the Authority’s Employee Relations Team as necessary and refer the matter to the relevant committee of the Governing Body if advised to do so. General recruitment procedures 15. Where the Governing Body has delegated its power of recruitment and selection to the Head Teacher it requires the Head Teacher to ensure, as far as reasonably practicable, that every job description includes a statement that the employee is responsible for promoting and safeguarding the welfare of children for whom he or she is responsible or comes into contact. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 44 Notes for Guidance – Employees in Schools Recruitment and Selection every person specification includes a clear statement about the requirements for any applicants to demonstrate their suitability to work with children and that this will include motivation, ability to maintain appropriate relationships with children, emotional resilience to challenging behaviour, and attitudes to the use of authority and maintenance of discipline. unless the Governing Body has adopted another application form complying with the statutory guidance, the school uses the current standard application forms prepared by the local authority or by the relevant church authorities. any gaps in education or employment, or discrepancies between information on the application form and references are investigated. at least two job-related written references, including one from the current employer or most recent employer (or training establishment in the case of a newly qualified teacher or school for a young person with no previous employment experience) or most recent employer in respect of employment with children, are always obtained before interviews take place and preferably before short-listing, that relevant questions are asked of the referee and employee in accordance with statutory guidance and any discrepancies are investigated (having regard to the statutory guidance that it is up to the person conducting the recruitment to decide whether to accede to a candidate’s request his or her current employer only if he/she is the preferred candidate after the interview but that this is not recommended as good practice) . a job is never offered subject to satisfactory references and that if written references are not available before an interview selection of a candidate is deferred, with the panel adjourning and reconvening when the written references are available. all persons invited for interview are informed in writing of the required preemployment checks and asked to bring relevant documentation with them on the day of the interview. choose suitable people, all of whom have completed the required training in safer recruitment, to interview candidates with the head teacher or on the head teacher’s behalf and that the interviews are supplemented by other tasks and assessment as appropriate. the recruitment and selection process is monitored in accordance with the Governing Body’s policy on the various equality duties required of schools (http://www.teachernet.gov.uk/_doc/11059/Equality_legislation___guide_for_ schools_V2__2__1.pdf). Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 45 Notes for Guidance – Employees in Schools Recruitment and Selection 16. The Governing Body will also require selection panels for head teachers and deputies and any interviewing panel including governors to follow these requirements. Safer Recruitment Training 17. The Governing Body will arrange as necessary for some or all governors to undertake the training in safer recruitment specified in the School Staffing Regulations. 18. The Governing Body will follow the requirement in the School Staffing Regulations that at least one member of selection panels for head teachers and deputies and any other interviewing panel including governors has completed the required training in safer recruitment and that if selection has been delegated to the head teacher both the head teacher and any other employee assisting the head teacher with the interviews have completed the required training in safer recruitment. Induction 19. The Head Teacher is required to arrange for at least one of the School’s Designated Senior Persons to introduce himself or herself to each new employee during that employee’s first week at work and for subsequent induction to include suitable training in child protection. 20. This is in addition to statutory induction for newly qualified teachers and probation for new support staff. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 46 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions RECRUITMENT AND SELECTION COMPLAINTS PROCEDURE FOR SCHOOLS (2010) 1. Introduction 1.1 As an equal opportunities employer the Governing Body of _______________________ School is committed to the elimination of unfair and unlawful discrimination in employment. It has adopted this procedure to support that commitment. 1.2 The procedure can be used by any internal or external applicant who feels that they have been unlawfully or unfairly discriminated against at any stage of the recruitment and selection procedure. 1.3 The Governing Body will ensure that all employees and potential employees are made aware of this procedure. It will publish the procedure through its scheme of publication in accordance with the Freedom of Information Act. 1.4 In line with the Council's Recruitment and Selection Code of Practice candidates should be given the opportunity to discuss the outcome of their application. Therefore, if on receipt of a complaint the person nominated by the Governing Body to deal with the complaint in accordance with this procedure feels that there is scope for informal discussion (and where this has not already taken place), he or she may offer informal discussion. Applicants may reject this offer without detriment. 1.5 Whether a person uses this procedure or not, she/he remains entitled to pursue an application to a Tribunal or Court of Law in respect of any statutory rights she/he may have under relevant legislation. Complainants should note that if they wish to pursue an application to a Tribunal, they must do so within 3 months of the alleged event taking place. 1.6 A complainant may wish to seek advice or be accompanied by a representative of her/his choice. An existing employee of the school has the right to request to be accompanied by a trade union representative or another employee of the school. 1.7 All complaints will be treated in confidence. The making of a complaint will not affect an individual's future treatment in terms of recruitment, selection, promotion or services provided. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 47 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 1.8 2. The Governing Body will make special arrangements where necessary for complainants with disabilities or special needs, such as difficulty with writing. The Procedure 2.1 The complaint, stating the grounds upon which it is made, must be submitted in writing to the clerk to the Governing Body within one calendar month of the event referred to taking place. 2.2 The Governing Body delegates the function of dealing with complaints to the chair of its staffing committee, or, if the chair has been involved in the process about which the complaint is made, to _______ or _________ (*INSERT OFFICES OR NAMES OF GOVERNORS UNLIKELY TO HAVE BEEN INVOLVED IN THE RECRUITMENT PROCESS) and, if the complaint goes to appeal under section 3 below, to the appeals committee. The delegation includes the power to “freeze” the recruitment process where appropriate and practicable (see below). 2.3 Within 7 working days of receiving a complaint, the governor to whom the function has been delegated should: a) acknowledge receipt of the complaint b) determine whether it is appropriate or practicable to "freeze" the appointment (see 5 below) c) commission an investigation from a suitable person not involved in the selection process for the appointment (taking advice from the Employee Relations Team or Schools Management Support if no suitable person is available within the school). 2.4 The investigator should follow relevant sections of the authority’s guidance for schools on investigations (see appendix). 2.5 The investigator will be responsible for preparing a written report to the governor showing how the investigation was carried out, a summary of the evidence received and recommended action, including any available remedies (see section 4 below). This report will normally be presented within 10 to 20 working days of the investigation being commissioned. 2.6 On receipt of the report the governor will consider the evidence and decide on the appropriate action. If the complainant is an employee of the school the governor will follow section 3 of these procedures. Otherwise the governor, or the clerk to the governing body on behalf of Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 48 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions the governor, will write to the complainant advising her/him of the outcome of the complaint. 3. 4. Complaints from current employees 3.1 This section of the procedure applies in the case of a complaint from a current employee of the school. 3.2 The governor will offer to meet the complainant, who has the statutory right to request to be accompanied by a trade union representative or fellow-employee. The governor will make all reasonable efforts to agree a date for the meeting with the employee, who should take all reasonable steps to attend. If the employee or the employee’s companion cannot attend on a proposed date, the employee may suggest another date provided that the date is no more than five working days after the date originally proposed by the governor. This limit of five working days may be extended by mutual agreement. 3.3 At least five working days before the meeting the complainant shall be provided with a copy of the report of the investigator, subject to the provisions of the Data Protection Act, particularly as regard releasing information about third parties. The investigator and governor will be expected to take advice from the local authority on the provisions of the Data Protection Act in these cases. 3.4 The governor will arrange for a full record of the meeting to be kept. 3.5 Following the meeting the governor will consider what action to take in response to the report of the investigator and the comments made by the complainant during the meeting with the governor. If the complainant declines to attend a meeting the governor will make a decision on the basis of the report of the investigator. The governor, or the clerk to the governing body on behalf of the governor, will then write to the complainant to confirm the outcome of the complaint. The governor will also advise the complainant of the right of appeal. 3.6 The complainant has the right of appeal to the Governing Body’s appeals committee. The complainant should be asked to notify the clerk to the governing body of his or her intention to appeal within ten working days of receiving the letter confirming the outcome of the complaint. The appeal hearing will be arranged and conducted in accordance with the relevant sections of the school’s grievance procedure. Remedies available when complaints are upheld Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 49 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 5. 4.1 If a complaint is upheld at any stage of the procedure the prime object of the governor dealing with the complaint or the appeals committee (as the case may be) of the Governing Body will be to offer a remedy which best restores that person's position within the recruitment and selection procedure subject to their powers of delegated management. 4.2 It is not within the remit of the governing body to compensate any person with monetary award. Use of the "freeze" 5.1 Where appropriate and practicable a ‘freeze’ should be imposed on the recruitment and selection procedure whilst investigations are carried out. The decision to impose such a ‘freeze’ will normally only occur at an early stage in the recruitment and selection procedure. The governor dealing with the complaint should therefore consider:(a) the apparent seriousness of the allegation and the evidence which suggests its substantiation; (b) whether a ‘freeze’ is practicable, having regard to action taken to fill the vacancy before the complaint was received; (c) the consequences to the operation of the school of the ‘freezing’ of the vacancy; Advice on imposing a ‘freeze’ may be obtained from the Employee Relations Team. 5.2 If a ‘freeze’ is imposed the governor dealing with the complaint will have discretion to determine the duration, subject to the extent of the investigation. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 50 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions APPENDIX GUIDANCE FOR INVESTIGATIONS IN SCHOOLS This guidance is based on the City Council’s guidelines for investigations, with suitable amendments to take account of the governance of schools. In particular it is acknowledged that most schools do not have senior managers with special training in investigation skills and that many schools do not even have enough managers with the seniority and experience required who have not been involved in the alleged misconduct as witnesses or otherwise. This guidance therefore recognises that the functions of ‘commissioning officer’ and investigator may be undertaken by the same person, and that training, whilst desirable, is not obligatory. Head teachers and other members of the leadership team will have had the opportunity of training in aspects of management involving relevant skills, such as careful questioning. This guidance itself provides some training and should enable a senior manager in a school to conduct a satisfactory, thorough investigation acceptable to all participants and capable of withstanding the rigorous scrutiny of an employment tribunal. A complaint about recruitment and selection procedures may contain an allegation of unfair and illegal discrimination and therefore the investigation must be conducted having regard to this possibility. 1. INVESTIGATION The governing body states in its policy that it requires an immediate, short, preliminary investigation of all allegations of misconduct, in order to establish that there are reasonable grounds for a full investigation. This guidance is concerned chiefly with a full investigation of a complex case. The nature of the alleged misconduct will affect the type of investigation undertaken. Some incidents may be so straightforward and so obvious that, even though they are deemed gross misconduct, a short investigation will suffice. Others may not be counted as gross misconduct but involve perceptions and misunderstandings capable of different interpretations, even if there have been witnesses, and in such cases the investigation may take longer and involve more detailed enquiries. Investigations should be completed between ten and twenty working days unless there are exceptional circumstances. 1.1 Role of the commissioning officer When a complaint is received or an incident takes place which requires a full and detailed investigation an appropriate senior manager in the school, usually the head teacher, will undertake the function of a ‘commissioning officer’. The commissioning officer will be accountable for commissioning the investigation, receiving the report Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 51 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions which should include a summary, conclusions and agreed recommendations, and making arrangements for appropriate subsequent action. In schools where insufficient senior managers are available to separate the roles of commissioning officer and investigator both roles may be performed by the same person. The commissioning officer will act on behalf of the governing body and in cases where the conduct of an employee is being investigated will be at an equivalent or higher grade than that employee. The commissioning officer will normally be the head teacher, but in cases in which the head teacher has been involved, for example because he or she is the person against whom the allegations have been made or because he or she has been the person against whom the alleged misconduct has been perpetrated, another person should take the lead. When the head teacher’s conduct is to be investigated, the procedure provides for the chair of governors to ask the appropriate Schools Support Manager to make the necessary arrangements. When the head teacher has been otherwise involved he or she should ask another member of the senior management team to act. If such a person is not available, the head teacher may approach the Schools Support Manager or Employee Relations Team for advice and assistance. 1.2 Key activities undertaken by the commissioning officer 1.3 To identify a suitable investigator (see comments above about the practicality of separating the roles of investigator and commissioning officer). Consideration needs to be given to the suitability of the investigator, including ability, availability, impartiality, training/experience and also to ensure that there are no conflicts of interest, real or apparent. Preferably, investigators should have undertaken appropriate training. The investigation may be undertaken by the line manager or by a person from outside the school. Advice on the appointment of an independent investigator may be obtained from the Schools Support Manager or Employee Relations Team. To give a thorough brief (known as the terms of reference) to the investigator. To assist the investigator with access to key documents pertinent to the case. To identify, where necessary, a key person within the school as a link for the investigator. To monitor progress of the investigation and ensure timescales are met. To receive the investigation report and, where appropriate, to decide whether the case should be referred to the head teacher or the governing body’s disciplinary committee and, if so, to present that case in accordance with the disciplinary procedure. Terms of reference Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 52 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions The terms of reference should include: The nature of the allegation/complaint, including details of any specific incidents. Any relevant background information. The remit of the investigation (the aspects that need to be investigated and any that should be disregarded for the purposes of the investigation). A list of people to be interviewed initially. If there are witnesses to the allegations they should be interviewed by the investigator and will be expected to provide a signed and dated statement, except for pupils, who should be interviewed in accordance with the guidance for schools associated with the authority’s Child Protection Procedures. The investigator may decide during the course of the investigation to interview more people. An employee making an allegation of harassment or with some other grievance will be encouraged to name witnesses for interview and the investigator must make every effort to ensure such interviews take place. Any relevant documents known at this stage that should be considered. Time limits for the investigation and writing of a report, including interim review dates to ensure that the terms of reference remain relevant as the investigation progresses. 1.4 Responsibilities of the commissioning officer on completion of an investigation Once an investigation is complete, the commissioning officer will meet with the investigator The commissioning officer will determine whether he or she is satisfied with the substance of the report, that there is a direct correlation between the report and the conclusions/recommendations and that there is no bias. Where the roles of commissioning officer and investigator are combined, the person undertaking the investigation should consider his or her own report critically before proceeding further, taking advice from the Employee Relations Team if he or she feels that questions might be raised over the findings. If the commissioning officer is not satisfied with the substance of the report (for example, there are questions over the findings) or if there are any issues requiring clarification, he or she will discuss these directly with the investigator. Changes can be made to the report and recommendations as appropriate and agreed by the commissioning officer The commissioning officer will then take ownership of the report and is accountable for agreeing an action plan to implement the recommendations. When the commissioning officer is acting on behalf of the chair of governors, the commissioning officer will make Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 53 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions recommendations to the chair of governors, who will be responsible for agreeing an action plan. In cases of grievance or harassment the commissioning officer is responsible for arranging to meet with the complainant to discuss the result of the investigation and any proposed actions. The commissioning officer may determine that disciplinary action is appropriate and, if so, should present the case in accordance with the disciplinary procedure. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 54 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 2. CONDUCTING AN INVESTIGATION 2.1 Purpose An investigation is a structured, impartial process of evidence gathering in response to a specific allegation(s) regarding personal conduct. It should be carried out with terms of reference as described above. 2.2 Good practice All investigations should: 2.3 Have timescales set in advance by the commissioning officer (as a target completion date rather than a rigid standard). Be conducted as soon as possible after the date in question Be conducted by someone with the necessary knowledge to understand the situation and implications and who also has the necessary degree of impartiality. Have a balanced approach and be conducted in a spirit of openness and fair play which avoids any bias. Be conducted using techniques which are sensitive to the individual situation and employees involved. Be undertaken in a logical and rigorous manner. Seek to explore rather than pre-judge. Seek to elicit facts (find out what actually happened rather than arouse emotional reactions on what it is thought happened). Be initiated and concluded in a timely manner, but not so as to compromise quality. Be based on a process which is respectful to everybody involved (the complainant, witnesses or individual who is implicated). Be seen as a learning process where appropriate feedback is given and harnessed for the good of the service. Role of the investigator Where possible to have received prior training in investigation skills and techniques To plan the investigation required in order to establish the facts of the case. To identify and gather relevant documents which provide facts concerning the alleged incident. To ensure relevant statements are taken which provide facts concerning the alleged incident. To produce and present to the commissioning officer a full report of the investigation, the facts established and make recommendations for remedy as appropriate. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 55 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 2.4 Key considerations 2.5 Be aware of your own potential biases and assumptions and avoid any preconceived ideas. Develop an understanding and/or acceptance that different perspectives exist in the same situation. Have an understanding of equality legislation. Understand any policy of the school, such as the anti-harassment policy, under which the investigation is being conducted. Process 2.5.1 Ensure you have terms of reference from the commissioning officer. 2.5.2 Produce a plan, considering the following: Are the terms of reference clear? Are you clear about the expectations of the complainant? Are there any policy implications? What are the potential equality issues/dynamics? Who needs to be interviewed, in what order and where? Who will confirm the interview arrangements (including advising interviewees who are employees of the school of their right to request to be accompanied by a chosen representative who is either a trade union official or another employee of the school)? Who will ask questions and who will take notes? What questions should you ask and not ask? What other information will be helpful? What is the expected timescale? 2.5.3 Conduct structured interviews and gather evidence (see Annex A) 2.5.4 Statements from witnesses The investigator will consider whether it is appropriate to produce statements by recording questions and answers. In doing this you will need to have regard for confidentiality and the difficulty that may be created if these are made available to all parties. If statements are taken they must be checked, agreed and signed. Annex A gives a suggested format allowing the interviewee to confirm that the account is accurate, make amendments or attach additional comments. If the interviewee makes changes or comments which you do not recall, a record should be made to that effect on the statement. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 56 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 2.5.5 Review your plan and revise as required in the light of emerging evidence and practical considerations. 2.5.6 Collate and analyse the evidence 2.6 Consider all the facts and evidence presented to you and analyse what can clearly be demonstrated as being factually correct. Make judgements on the ‘balance of probability’, i.e. given what you have found, how likely is it that the action(s) in question have occurred? You do not need to establish the case ‘beyond reasonable doubt’. Writing the report A suggested format for reports on investigations is given as Annex C. Although each report is unique, there are some common rules to follow: Always include background information on the service within which the incident allegedly took place. The report may be used eventually in an internal appeal process or by an Employment Tribunal, so it is useful to set matters in context. Keep it simple, well structured and rigorously written. Make clear which facts are incontrovertible, i.e. what happened, who was involved, when it happened and where, why and how. Draw attention to any differences in the accounts given of the same event. Number documents and statements gathered and for ease of reference use those numbers when referring to them. Consider the use of tables to compare the response of witnesses to standard questions. This makes it easy to absorb evidence and form a reasonable belief regarding the weight of evidence or balance of probability of what actually occurred. Careful proof reading is needed. Avoidable typing errors, spelling mistakes etc. will reflect badly on the rigour with which the investigation was conducted. Special consideration must be given when an employee requests access to the report and the report contains information about a third party. There could be a breach of the Data Protection Act 1998 if information is released about a third party. Simply removing the third party’s name from the report may be all that is required, but this is not always the case. A balance must be struck between the right of the individual to access and the right of the third party to privacy. With this in mind it is helpful to write the report in a way that enables it to be issued to all parties. Advice on confidentiality may be obtained by contacting the Employee Relations Team. If statements have been taken there is no requirement to send them out with the report. However, they will still need to be typed, verified and Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 57 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions signed so that they are available if there is a request to see or use them at a later date. 3. PUBLISHING THE REPORT Once completed, the report should be presented to the commissioning officer for consideration and action as appropriate. Ensure the report is marked ‘Private and Confidential’ to ensure that only the commissioning officer has access to it in the first instance. The commissioning officer will decide whether to support the findings or whether there are further issues to be explored or clarified by the investigator and will meet with the investigator to discuss the report. Changes can be made to the report and recommendations in agreement with the commissioning officer. The commissioning officer will then take ownership of the report and ensure that the recommendations in it are carried out. The commissioning officer will also be responsible for telling the complainant that the investigation has been completed and what is to happen. All sensitive information should be treated confidentially and meet the requirements of the Data Protection Act 1998. If there is to be a disciplinary case the report will not be released to the complainant, because of the confidentiality of disciplinary proceedings. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 58 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions ANNEX A – INTERVIEW STRUCTURE Ensure interviews are held in a suitable place, where you will not be interrupted. Introduction Introduce yourself and outline your role in the investigation. Confirm details of the interviewee (name, job title, length of time with the school). Note the date and time of the interview. If the interviewee is an employee of the school confirm the name of the interviewee’s representative (if the interviewee does not have a representative, confirm that he or she is aware of the right which he or she has as an employee to request to be accompanied and give him or her the choice of deferring the interview to another day and obtaining representation in the meantime). Describe the terms of reference for the investigation. If a record of the interview is to be made, tell the interviewee and explain that a copy of the record will be sent to him or her for verification. Ask if the interviewee has any questions before the interview starts. Conducting the interview It is vital that any investigation is dealt with sympathetically with due regard to the feelings and emotions of everybody concerned (including the alleged perpetrator). In cases of grievance or harassment, the complainant should be interviewed first with the aim of obtaining as much detail about the complaint as possible. Ensure that all persons attending interviews have been notified and informed of their rights to be accompanied by a representative. Interview all relevant persons using open (descriptive), closed, hypothetical and probing questions as appropriate. Do not lead interviewees or put words into their mouth. If the witness has already submitted a written statement at an earlier stage in the process ask that witness to confirm the accuracy of that statement and record any amendment or addition he or she may wish to make. Attempt to note accurately what is said and probe for clarification. Summarise information at intervals to check understanding and manage the conversation. Repeat what is said when necessary to ensure that there is no misinterpretation. As for demonstrations and diagrams if they can help you get a full picture. Pay attention to detail. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 59 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions When the alleged misconduct concerns something said or the complaint is one of verbal harassment, ask the interviewee to say or write the exact words spoken. Should any of the interviewees become distressed or aggressive suspend the interview for a short period or terminate it. In the case of termination consider how and when a fresh interview might be undertaken. In the case of a grievance or harassment, ask the complainant what kind of response he or she is seeking, without making any commitments. At the end of the interview ask if there is anything in relation to the investigation which the interviewee wishes to mention but which has not arisen during the interview. Conclusion If a record of the interview has been made by way of a statement, confirm that a copy will be sent to the interviewee for verification and signature and indicate how soon the interviewee should return the signed statement. Agree an address for this correspondence (the interviewee might prefer a home address rather than the school). Explain the plan for the investigation, including the planned date for submitting the report to the commissioning officer Explain what might happen after the investigation and any possible consequences for the interviewee. Ask the interviewee not to discuss the content of the interview and explain the possible consequences if confidentiality is breached. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 60 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions ANNEX B – WITNESS STATEMENTS EITHER INVESTIGATION NAME OF SCHOOL DATE Record of interview Name of interviewee: Job title: Length of service – time in job: Name of employee’s representative: Investigator: Place of interview: Date and time of interview: In opening the interview the investigator introduces himself or herself and explains the role in the investigation. Explain the terms of reference and confirm that a written record would be made and a copy provided to the witness to verify its accuracy. Record of questions and responses: Interview finish time: Closing: explain that a report will be written and submitted and how that might affect the interviewee Ask the interviewee to maintain confidentiality Either: I agree that this is an accurate record of the interview. Or: I have made changes and with those changes I agree that this is an accurate record of the interview. Or: I have attached additional comments. Print name of interviewee: Signature of interviewee: Date: Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 61 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions OR INVESTIGATION NAME OF SCHOOL DATE Witness statement Name of witness: Job title: Name of representative: Please record your recollection of what happened, giving details on names, dates, and times where appropriate together with details Print name of witness: Signature: Date: Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 62 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions ANNEX C – FORMAT FOR REPORT Title of investigation – Investigation into the allegations that ……….. Terms of reference Describe how the allegations arose and the scope/objectives of the investigation Purpose To establish if there is any evidence to support the allegation(s). Describe the methodology of the investigation. Findings Background to the case Outline of the case Name of those interviewed What evidence has been obtained? Has evidence of other issues been uncovered that is substantial to the case? Supporting evidence for the allegation(s) Any conflicting evidence Conclusions What can be deduced from the evidence? Consideration of blameworthiness versus mitigating circumstances Recommendations Is there a case to answer? Actions to be taken, by whom? And by when? Name of the author of the report: Position: Name of the commissioning officer: Position: Date: Attachments List of supporting evidence, e.g. statements, policies, diagrams, forms etc. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 63 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions Date: Private and confidential Dear I am writing to confirm that a formal investigation is being undertaken in accordance with the recruitment and selection complaints procedure adopted by the Governing Body of _________________________ School, a copy of which I enclose for your information. The complaint to be investigated is:- I will undertake this investigation and will need to meet with you as part of this investigation. I am writing to confirm that you are required to attend an investigation meeting on _________________________ at ________ hours. The meeting will be held at ___________________________. As an employee of the school you have the right to be accompanied by a representative of your choice, who is either a trade union officer or an employee of your employer. At the end of the investigation a written report will be submitted for consideration and you need to be aware that this might lead to a disciplinary hearing. Yours sincerely, Name Job title Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 64 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions INVESTIGATION NAME OF SCHOOL DATE Terms of reference Title of investigation Investigation into the allegations relating to recruitment and selection for _________________________ Purpose/background XXXX has alleged that on (date) nature of the allegation including details of any specific incidents Investigating officer Name of investigating officer Objectives and scope of the investigation To investigate fully the allegations by: Interviewing all persons, other than pupils, directly involved in the allegations/ incidents Interviewing any other persons. other than pupils, who may contribute evidence in relation to the allegations Look at documentary evidence that may be relevant to the allegations Obtaining evidence to assess how all parties involved have conducted themselves during the event, looking at policies and procedures Producing a written report to close the investigation, detailing the findings, conclusions, and recommendations, including whether there is a case for disciplinary procedures Pupils should be interviewed in accordance with the guidance for schools associated with the authority’s Child Protection Procedures. Timescales The investigation will start on _________ and is expected to be completed by ________, i.e. within 10 to 20 working days. If any extension is needed to this timescale then you will be informed of this in due course. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 65 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions INVESTIGATION NAME OF SCHOOL DATE Investigation Plan Are the terms of reference clear? Are you clear about the expectations of the complainant? Are there any policy implications? What are the potential equality issues/dynamics? Who needs to be interviewed, in what order and where? Who will confirm the interview arrangements (including advising interviewees of their right to be accompanied by a trade union representative or fellow-employee)? Who will ask questions and take notes? What questions should you ask and not ask? What other information will be helpful? What is the expected timescale? Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 66 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions INVESTIGATION NAME OF SCHOOL DATE OPENING Thank you for attending Introductions Explain that notes will be taken of the meeting Explain the purpose of the meeting Investigation is an impartial process of gathering evidence in response to an allegation, and is done to establish if there is a case to be answered A number of questions will be asked to clarify the events of the day MAIN Main questions that need to be asked, for example An incident took place on _____. Please can you tell me in your own words what happened. CLOSING Is there anything else that you feel is important to this investigation that you would like to add? You will be given a written account of this interview, to verify its accuracy. Please ensure these minutes are returned to us within five working days. When I have completed the investigation, I will put together my report and establish if there is a case to be answered or not. You will be advised of this in due course. Ask the interviewee not to discuss the content of the interview and maintain confidentiality Anything else Thank and close meeting. MINUTES CONFIRMATION/COMMENTS Please tick and sign as appropriate: I agree that this is an accurate account of the interview I have made amendments on the document and agree that, as amended, this is an accurate account of the interview I have attached additional comments PRINT NAME Signature Employee Relations Unit - CYPF HR © Birmingham City Council Date July 2011 Page of 1012 67 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions FORMER RECRUITMENT AND SELECTION COMPLAINTS PROCEDURE RECOMMENDED FOR SCHOOL-BASED STAFF (c. 1990) 1. Introduction 1.1 As an equal opportunities employer the City Council is committed to the elimination of unfair and unlawful discrimination. This Complaints Procedure deals with supporting that commitment in relation to schoolbased staff. 1.2 The procedure can be used by any internal or external applicant who feels that they have been unlawfully or unfairly discriminated against at any stage of the recruitment and selection procedure. 1.3 In line with the Council's Recruitment and Selection Code of Practice candidates should be given the opportunity to discuss the outcome of their application. Therefore, if on receipt of a complaint the Governing Body feels that there is scope for informal discussion (and where this has not already taken place) they may offer this facility. It is important to note that applicants may reject this offer without detriment. 1.4 Whether a person uses this procedure or not, she/he remains entitled to pursue an application to a Tribunal or Court of Law in respect of any statutory rights she/he may have under relevant legislation. Complainants should note that if they wish to pursue an application to a Tribunal, they must do so within 3 months of the alleged event taking place. 2. 1.5 Application Forms will incorporate information regarding the existence of the procedure and how to initiate it. 1.6 A complainant may wish to seek advice or be accompanied by a representative of her/his choice. This may, for example, be a friend or a trade union or other representative. 1.7 All complaints will be treated in confidence. The filing of a complaint will not affect an individual's future treatment in terms of recruitment, selection, promotion or services provided. The Procedure 2.1 The complaint, stating the grounds upon which it is made, must be submitted in writing to the Governing Body as soon as possible but in any case within one month of the event referred to taking place. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 68 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 2.2 3. 4. Within 7 working days of receiving a complaint, the Governing Body should: a) Acknowledge receipt of the complaint b) determine whether it is appropriate or practicable to "freeze" the appointment c) set up an investigation panel of two members of their body not involved in the selection process. They may if they wish invite the authority's representative to be an additional or substitute member of the panel 2.3 The Investigating Panel will receive copies of all relevant documents relating to the complaint and request other written information as appropriate. They may also interview relevant participants in the selection process and the complainant her/himself. The latter is important where it appears that the complainant has difficulty with written communication or is complaining of behaviour or treatment which can be best explained in person. The complainant may, if she/he wishes, bring a representative. 2.4 The Chair of the Investigating Panel will be responsible for preparing a written report to the Governing Body showing how the investigation was carried out, a summary of the evidence received and recommended action, including any remedies to be offered (see paragraph 3). This report will normally be presented within 10 working days of the Panel being set up. 2.5 On receipt of the report the Governing Body must write to the complainant advising her/him of the outcome of the complaint. Remedies available when complaints are upheld 3.1 If a complaint is upheld at any stage of the procedure the prime object of the Governing Body will be to offer a remedy which best restores that person's position within the recruitment and selection procedure subject to their powers of delegated management. 3.2 At no stage of the Recruitment and Selection Complaints Procedure is it envisaged that monetary compensation will be awarded. Use of the "freeze" 4.1 Where appropriate and practicable a freeze should be imposed on the recruitment and selection procedure whilst investigations are carried Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 69 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions out. The decision to impose such a freeze will normally only occur at an early stage in the recruitment and selection procedure. Governing Bodies should therefore consider:- 4.2 (a) the apparent seriousness of the allegation and the evidence which suggests its substantiation; (b) whether a freeze is practicable, eg. in terms of further action that has been taken to fill the vacancy before the complaint was received; (c) the consequences to the operation of the school of the freezing of the vacancy; If a freeze is imposed the Governing Body will have discretion to determine the duration, subject to the extent of the investigation. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 70 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions 2 Job Descriptions ACTION/DATE 2.1 Before any steps are taken to fill a vacancy consideration should be given to the continuing need for the job in that particular form in relation to the school development or improvement plan. This may lead to the governing body or its staffing or personnel committee reviewing the job and the consequent salary grading. In so doing they should follow the authority’s advice on changes to the staffing structure of a school. 2.2 The job description should be prepared in the light of any agreed changes to the job and before the job is advertised, whether that advertisement external or internal to the school. Job descriptions for teachers, including head teachers and deputy head teachers, should reflect the national conditions of employment set out in the School Teachers’ Pay and Conditions Document. 2.3 The job description and matching salary grade should not be altered during the selection process, because such changes will affect people’s decisions as to whether or not to apply for the job. A change during the selection process could lead to complaints that potential applicants were denied the chance to apply for the job as amended. 2.4 Model job descriptions are available for various categories of employee in schools. Model job descriptions for head teachers and deputy head teachers are offered by the Recruitment Section as part of the service which is offered to schools specifically to assist with appointments of head teachers and deputies. The authority has produced a model format for teachers’ job descriptions (see below), a model job description for a teacher who has no additional responsibilities recognised by the award of an additional payment (see below), and guidance, including a framework, for job descriptions for teachers with teaching and learning responsibility payments. Guidance is published in the annual advice on school teachers’ pay and conditions. Also see: Model job descriptions for teaching assistants (including higher level teaching assistants) Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 71 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions Job descriptions for the other main categories of support staff are also available from Schools Personnel Services. 2.5 The model format for job descriptions is designed to emphasise the purpose of the job and of each duty. The section headed ‘duties’ should emphasise objectives rather than merely listing tasks. For each duty the purpose should be defined clearly and specific terms used. As far as is practicable duties should be in order of importance to the achievement of the job purpose. In the case of teachers it is sensible to follow the order in which duties are set out in the School Teachers’ Pay and Conditions Document. 2.6 If an employee is required to be resident for the better performance of his or her duties, this should be stated in the job description and details of the accommodation available and of the obligations on the person occupying it should be given. 2.7 In order to comply with the Disability Discrimination Act it may be necessary to provide job descriptions in a different format. Schools are advised to contact the Recruitment Section for advice and help if requests of this nature are received. 2.8 The governing body may delegate any of its functions relating to the appointment of teachers (other than head teachers and deputies) and support staff to one or more governors and/or the head teacher. Before proceeding to fill a teaching vacancy the governing body is required by the School Staffing Regulations to send a specification for the post to the local authority (unless the appointment is to be temporary and to last no more than four months). In the case of support staff the Regulations require the governing body to send a job specification for the post with any recommendation to the local authority for an appointment. This job specification must include the governing body’s recommendations as to the duties to be performed, the hours of work where the job is part-time, the duration of the appointment, the grade and the remuneration. The statutory guidance states that contracts should be permanent unless there is good reason for them not to be (see guidance on temporary and fixed-term contracts). The grade must be on the scale of grades applicable in relation to employment with the authority. If, within a period of Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 72 Notes for Guidance – Employees in Schools Recruitment and Selection - Job Descriptions seven days after receiving the job specification for an appointment to the support staff the authority makes written representations to the governing body relating to the grade or remuneration to be paid (a power normally to be exercised only when issues of equal pay arise), the governing body must consider those representations and, if it decides not to change the grade or remuneration to be paid it must notify the authority in writing of its reasons. The statutory guidance states that this process should take place before any offer of employment is made and that any job not matching the standard jobs within the authority should be the subject of prior consultation between the school and authority. 2.9 Paragraph 5.2 of the statutory guidance (http://www.governornet.co.uk/linkAttachments/ACF3B38 .doc ) implies that the authority can nominate a teacher for consideration by the governing body. Provision for nomination is no longer made in the Regulations, so there is no obligation on a governing body to consider a nomination. However, as a good employer the authority continues, most recently through its voluntary redeployment scheme, to nominate for consideration teachers and support staff in schools where a reduction in the number of employees is needed and who wish to be considered for redeployment. Support staff are also eligible for the City Council’s redeployment scheme. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 73 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers MODEL JOB DESCRIPTION FOR SCHOOL TEACHERS BIRMINGHAM CITY COUNCIL ___________________________________________________________SCHOOL NAME OF TEACHER _________________________________________________ SALARY ___________________________________________________________ ALLOWANCE _______________________________________________________ ___________________________________________________________________ JOB DESCRIPTION - effective from _____________________________________ 1.0 JOB TITLE 2.0 JOB PURPOSE 3.0 DUTIES AND RESPONSIBILITIES 3.1 GENERAL 3.2 SPECIFIC 4.0 LINE MANAGEMENT - RESPONSIBILITY TO AND FOR 5.0 CONDITIONS OF EMPLOYMENT The above responsibilities are in accordance with the requirements of the Education Act 2002 and associated regulations in terms of duties and working time, also any local agreements, LEA circulars and guidelines giving interpretations of teachers’ conditions of service. 6.0 REVIEW AND AMENDMENT This job description is normally subject to annual review. It may be amended at the request of the Head Teacher or the post holder but only after full consultation with the post holder. It will be signed if agreement is reached. 7.0 COMPLAINTS Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 74 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers If, following review and amendment, agreement is not reached, the appropriate procedures should be used for the settling of any disputes. Job Description issued by after consultation ___________________________________ (Signature of Head Teacher) Copy received by Date ___________________________________ (Signature of Teacher) ___________________________________ ‘B’ JOB DESCRIPTION -GUIDELINES 1 A job description should be drawn up by the Head Teacher in accordance with the school development plan for every member of teaching staff after full discussion with the relevant individual. 2 If the teacher holds a management allowance, the reason for that allowance in terms of additional responsibilities should be clearly stated. 3 It is possible to determine duties and responsibilities of teachers without management allowances. For others it will be necessary to specify particular responsibilities. 4 It is a requirement that each teacher is given a clear statement indicating line management. 5 6 5.1 All duties must be within the Education Act 2002 and statutory Orders in terms of responsibilities and working time, also circulars and guidelines issued by the LEA as to interpretation of teachers’ conditions of service. The job description does not specify the allocation of working time. This is to be decided by the Head Teacher in consultation with his/her staff at the beginning of each academic year. 5.2 If a post is to involve an allocation of non-contact time above the norm for the school, this must be made clear in the job description. 5.3 There should be no reference to voluntary duties in the job description. Job descriptions should normally be subject to annual review and have regard to the changing needs of the school. Amendment is possible following full consultation with the teacher concerned. It is advisable to review duties Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 75 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers on an annual basis as part of the career development of that teacher. A request for amendment can be made by either Head Teacher or post holder. 7 Amendments should be added in a separate section of the Job Description. 8 The Head Teacher should sign the job description on issue and the teacher should sign indicating receipt of a personal copy. 9 The appropriate complaints procedure must be used for the settling of any disputes arising from failure to achieve a resolution through informal discussion in the school. 10 Job descriptions of all members of teaching staff must be made available for the reference of all teaching staff as well as members of the Governing Body. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 76 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers BIRMINGHAM CITY COUNCIL NAME OF TEACHER _________________________________________________ SALARY SCALE:_MAIN SCALE (MODEL) ___________________________________________________________________ JOB DESCRIPTION - effective from _____________ 1.0 JOB TITLE 2.0 JOB PURPOSE ______________________ FORM TUTOR (Secondary) or CLASS TEACHER (Primary) To promote the general progress and well-being of individual pupils and of any class or group of pupils assigned to him/her principally but not exclusively by teaching _______________ [*insert phase or subject of the National Curriculum] and undertaking other activities for or relating to pupils. 3.0 DUTIES AND RESPONSIBILITIES 3.1 GENERAL a) Planning and preparing work for pupils assigned to him/her. b) Teaching, according to their educational needs, the pupils assigned to him/her including the setting and marking of work carried out by those pupils; the number of lessons should not normally exceed that limit which has been agreed in the school. c) Assessing, recording and reporting on the development, progress and attainment achieved by those pupils assigned to him/her. d) Communicating and consulting, in accordance with LEA guidelines and circulars, with the parents of the pupils he/she is assigned to teach. e) Participating in meetings arranged for any of the purposes described above. f) Providing or contributing to oral and written assessments, reports and references relating to individual pupils and groups of pupils, including their personal and social needs. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 77 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers 3.2 g) Participating in any arrangements made in accordance with the statutory regulations for the appraisal of his/her performance. h) Reviewing from time to time his/her methods of teaching and programme of work. i) Participating in arrangements for his/her further training and professional development as a teacher as appropriate, including undertaking training and professional development which aim to meet needs identified in appraisal objectives or in appraisal statements. j) Taking all reasonable steps to maintain good order and discipline among pupils and safeguarding their health and safety both when they are authorised to be on the school premises and when they are engaged in authorised school activities elsewhere. k) Participating as appropriate in meetings at the school which relate to the curriculum, administration or organisation of the school. l) Participating in arrangements, as appropriate, for preparing pupils for public examinations, in assessing pupils for the purposes of such examinations and recording and reporting such assessments; and participating in arrangements for pupils’ presentation for and supervision during such examinations. m) Subject to the provisions of the School Teachers’ Pay and Conditions Document, the associated statutory guidance and the school’s arrangements for cover, supervising and so far as practicable teaching any pupils whose teacher is not available to teach them. n) Attending assemblies unless a dispensation has been granted, registering the attendance of pupils and supervising pupils in accordance with school policy, whether these duties are to be performed before, during or after school sessions. SPECIFIC a) To ensure that the register is marked punctually and kept up to date as required by the law. All absence should be accounted for by notes from parents or guardians and any problems reported to the Head of the School or delegate. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 78 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers 4.0 To deal with other returns and requests for information about children in the form as required. c) To contribute and assist as required to keep up to date the pupil records for each pupil in the form. d) To contribute to references, reports to outside agencies and the like, in consultation with colleagues. e) To implement the school policy on personal appearance, uniform and behaviour of the pupils. f) To help pupils with individual guidance as necessary. g) To attend assembly with the form unless a dispensation has been granted. LINE MANAGEMENT - RESPONSIBILITY TO AND FOR (1) (2) 5.0 b) Responsible to the Head Teacher. Responsible for the supervision of persons providing support in the classroom. CONDITIONS OF EMPLOYMENT The above responsibilities are in accordance with the requirements of the Education Act 2002 and statutory Orders in terms of duties and working time, also any local agreements, LEA circulars and guidelines giving interpretations of teachers’ conditions of service. 6.0 REVIEW AND AMENDMENT This job description is normally subject to annual review. It may be amended at the request of the Head Teacher or the post holder but only after full consultation with the post holder. It will be signed if agreement is reached. 7.0 COMPLAINTS If, following review and amendment, agreement is not reached, the appropriate procedures as adopted by the governing body should be used for the settling of any disputes. Job Description issued by after consultation ___________________________________ (Signature of Head Teacher) Copy received by ___________________________________ (Signature of Teacher) Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 79 Notes for Guidance – Employees in Schools Recruitment and Selection - Model Job Description for School Teachers Date Employee Relations Unit - CYPF HR © Birmingham City Council _______________________________ July 2011 Page of 1012 80 Notes for Guidance – Employees in Schools Recruitment and Selection - Person Specifications 3 Person specifications 3.1 A person specification sets out the skills, experience and qualities which the person appointed should have in order to do the job to the standard required. It helps those responsible for selecting staff to measure each candidate against the requirements of the job and make an objective assessment. It should be used throughout the selection process. 3.2 The person specification should influence the wording of the advertisement and should be sent to applicants to advise them of the skills, experience and qualities required. Those responsible for deciding on the person specification should ensure that they are able to justify the criteria. 3.3 In drawing up the person specification, care should be taken to ensure that each criterion is justifiable, without being unnecessarily restrictive, is not designed to benefit a particular person interested in the job, and will not infringe any equal opportunities legislation. For example, in defining necessary work experience, the person specification should concentrate on the quality and range of experience rather than a precise length of time, which may not be justifiable and may be indirectly discriminatory. Specifying certain qualifications or formal training, if there is no legal or contractual requirement for them, may also be discriminatory. Criteria should be measurable to the extent that they enable those selecting employees can use them to determine whether a candidate has the qualifications, training, experience, skills and abilities necessary to the job. The methods of assessing applicants against the criteria (such as written application, oral presentation, interview) should also be summarised in the person specification. Guidance on the legal requirements for qualifications as they relate to teachers, including head teachers, is given in the section dealing with qualifications. 3.4 The recommended format for a person specification for a teacher takes account of the Government’s criteria for standards for classroom teachers. The normal entry under contra-indications is ‘criminal convictions involving offences against children’. Recommended person specifications for various categories of support staff are Employee Relations Unit - CYPF HR © Birmingham City Council ACTION/DATE July 2011 Page of 1012 81 Notes for Guidance – Employees in Schools Recruitment and Selection - Person Specifications given with the model job descriptions (contact Schools Personnel Services for details). 3.5 As with job descriptions, no alteration should be made to the person specification during the selection process. 3.6 In order to comply with the Disability Discrimination Act it may be necessary to provide person specifications in a different format. Schools are advised to contact the Recruitment Section for advice and help if requests of this nature are received. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 82 Notes for Guidance – Employees in Schools Recruitment and Selection - Person Specifications: Model Format DATE: PERSON SPECIFICATION JOB TITLE: ....................................................... JOB NO: ................................................ GRADE: ............................................................. DIVISION: ............................................ NO OF POSTS: ................................................. SECTION: ............................................. EXPERIENCE (Relevant work and other experience) SKILLS AND ABILITIES eg written communication skills, dealing with the public TRAINING EDUCATION/QUALIFICATIONS NB Full regard must be paid to Overseas qualifications OTHER CONTRA INDICATIONS ALL STAFF ARE EXPECTED TO BE COMMITTED TO THE CITY COUNCIL’S EQUAL OPPORTUNITIES POLICY COMPILED BY:__________________________ DATE: __________________________ AGREED BY: ___________________________ DATE: __________________________ Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 83 Notes for Guidance – Employees in Schools Recruitment and Selection - Advertising 4 Advertising 4.1 The advertisement should include the job title, name of school, salary scale, hours of work if not standard, purpose or key tasks of the job, any essential qualifications and experience required, any requirement to be resident on the premises (see residential accommodation), procedures for applying, point of contact, closing date, equal opportunities statement, disability symbol and an invitation to specify whether an applicant has a disability and is likely to require any special facilities or equipment for the job, the interview or completing the application form. 4.2 The wording of the advertisement should keep to the essentials, concentrating on the job rather than particular qualities sought in the applicants. The text should be short, interesting and relevant, in order to attract enquiries for more information. Adjectives like ‘enthusiastic’, ‘energetic’ and ‘innovative’ are advertising clichés and do little to attract or inform potential applicants. They may also carry age connotations and infringe the age discrimination regulations. 4.3 Governing bodies are required by law to advertise vacancies for head teachers and deputy head teachers in such manner as they consider appropriate. The statutory guidance states that at the very least this should be in a printed publication circulating throughout England and Wales. 4.4 Where the post of head teacher is vacant and has not been filled or will not be filled by the time it becomes vacant the governing body must recommend a person for appointment as acting head teacher and is not required to advertise such an appointment. Where the post of deputy head teacher is vacant the governing body may recommend a person to be acting deputy, similarly without advertisement. 4.5 The statutory guidance accompanying the School Staffing Regulations (http://www.governornet.co.uk/linkAttachments/ACF3B38 .doc ) states that teaching vacancies should be advertised unless it is decided to appoint either a teacher already working at the school or a teacher nominated by the local authority. When teaching jobs are advertised Employee Relations Unit - CYPF HR © Birmingham City Council ACTION/DATE July 2011 Page of 1012 84 Notes for Guidance – Employees in Schools Recruitment and Selection - Advertising this should be in a manner likely to bring them to the notice of persons, including employees of the authority, who are qualified to fill them. In relation to support staff the statutory guidance refers to “any appropriate steps to bring such posts to the attention of suitable candidates”, “good employment practice and the requirements of equal opportunities”. Although there is no strong statutory guidance in favour of public advertisement for support staff, governing bodies are strongly advised to follow the guidance in the following paragraphs. 4.6 If the governing body recommends the appointment of a person who is already employed to work at the school that person should be selected by a process which matches the selection of staff following external advertisement. There should be a job description, person specification, advertisement, applications and interviews. 4.7 In addition to the legal requirements specifically related to schools, governing bodies must proceed in accordance with general employment law and particularly those statutes prohibiting discrimination on grounds of sex, race, disability, religion, sexual orientation, or age. The authority’s advice is that generally all vacancies should be advertised, unless there are special circumstances relating to redeployment or the rights of employees on expiry of temporary and fixed term contracts. Advertisements should be published in such a way as to attract suitable applicants from all sections of the community. Given the size of Birmingham, city-wide advertisements will be sufficient for many jobs. The authority publishes electronically teacher vacancy and support staff bulletins. Such advertisements may also be included in the City Council newspaper carrying advertisements for all vacancies in City Council services. 4.8 Schools are encouraged to seek advice on content, layout and costs of advertising from the Recruitment Section, whose staff are experienced in the preparation of advertisements. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 85 Notes for Guidance – Employees in Schools Recruitment and Selection - Application Forms 5 Application forms 5.1 All applicants for jobs should be required to complete an application form. The City Council has produced standard application forms for all employees other than teachers, for whom there are standard application forms for teaching appointments in community, voluntary controlled and community special schools and separate forms for teachers in voluntary aided church schools. Application forms are included in the information packs for jobs advertised by the authority on behalf of schools at www.birmingham.gov.uk/jobs . 5.2 In order to comply with the Disability Discrimination Act it may be necessary to provide application forms in a different format. Schools are advised to contact the Recruitment Section for advice and help if requests of this nature are received. 5.3 The application forms have been carefully designed to comply with the Data Protection Act 1998, the Rehabilitation of Offenders Act 1974 and the regulations for safeguarding children. People working with children are required to declare all criminal offences, regardless of the date of conviction. 5.4 False information on an application form is a very serious matter. If discovered, advice should be sought immediately from the Employee Relations Team as to the appropriate course of action. Employee Relations Unit - CYPF HR © Birmingham City Council ACTION/DATE July 2011 Page of 1012 86 Notes for Guidance – Employees in Schools Recruitment and Selection - Application Forms 6 References 6.1 References should be obtained at a relatively early stage in the selection procedure. Government guidance on safer recruitment states that they should be obtained before interview on all short listed applicants, including internal applicants, so that any matters of concern found in the references can be explored further with the referee before the interview and then taken up with the applicant at the interview. 6.2 The Information Commissioner’s Employment Code of Practice suggests that organisations should have a clear policy on who can give references on behalf of the organisation and in what circumstances. Application forms used by the authority ask for two referees, and state that the first should be the current or most recent employer. If this employment has been within a school, this referee should be the school’s head teacher, because only the head teacher will have access to all the relevant records relating to the applicant’s work. A reference provided by a head of department could be misleading in that the head of department may not have access to sickness or disciplinary records, but a head of department may of course provide a reference in addition to that from the head teacher. If the applicant does not name the current or most recent head teacher he or she should be asked the reasons before interview. Where appropriate the applicant should be told the reasons for expecting the head teacher to act as referee and given the opportunity to ask the head teacher to do so. If the applicant is not currently working with children but has done so in the past, one referee must be from the most recent employer in that work. Head teachers applying for a job should normally provide the name of an appropriate senior officer in the maintaining authority of their current or most recent school. The second referee for a current head teacher would normally be the chair of governors of that school. If an applicant has been unemployed for some time he or she may name someone who knows him or her well, and wherever possible someone able to comment on the applicant in relation to the requirements of the job (such as an organisation in which the applicant has been a volunteer), but it is acknowledged that some people may have no employment or professional contacts. References will not be accepted from relatives. Students should name a College Principal as their first referee and an appropriate representative of the school where they undertook their final (or, depending on the stage in the course, most recent) teaching practice as their second referee. 6.3 It is the policy of the authority that references should be regarded as open to the subject of the reference and any request for a reference on an employee or prospective employee should include a statement that the person concerned, if appointed, would have access to that reference. Similarly, when a reference is given by an employee of the authority, the person who is the subject of the reference should be given a copy of it. Although open to the subject of the reference, the reference should remain confidential to others. Guidance on requests from employees to see references provided in the past in confidence to the employer by their previous employer or other referee is available from the Government’s Information Commissioner’s Office http://www.ico.gov.uk/upload/documents/library/data_protection/detailed_specialist_guid es/references_v1.0_final.pdf 6.4 References should always be requested directly from the referee. If, as is usually the case, the referee is commenting on the applicant’s work, then the request should be addressed to the referee’s work address. When requesting a reference a prospective Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 87 Notes for Guidance – Employees in Schools Recruitment and Selection - Application Forms employer should send a copy of the job description and person specification to help the referee prepare the reference. All referees should be asked about the referee’s acquaintance with the applicant, how long the referee has known the applicant and in what capacity, specifically whether the referee has employed or managed the applicant and if so for how long, and whether the referee is responding on behalf of the organisation where the applicant is, or has been, employed; whether the referee is satisfied that the applicant has the ability and is suitable to undertake the job in question and specifically how the applicant has demonstrated that he or she meets the requirements of the person specification; where applicable, whether the referee is completely satisfied that the applicant is suitable to work with children and, if not, for specific details of the referee’s concerns and the reasons why the referee believes the applicant might be unsuitable; Current or past employers should also be asked for confirmation of the applicant’s current post and salary or for the post and salary in the case of previous employment; for specific, verifiable comments about the applicant’s past and present performance and conduct; whether the applicant’s attendance and/or absence has led to the initiation of any relevant school/company/organisation procedures; for details of any current disciplinary sanction or warning; details of any disciplinary proceedings related to the safety and welfare of children or young people, including any in which the disciplinary sanction/warning has expired, and the outcome of those proceedings; details of any allegations or concerns about the applicant relating to the safety and welfare of children or young people or behaviour towards children or young people and the outcome of those concerns, for example, whether the allegations or concerns were investigated, the conclusion reached, and how the matter was resolved. Any information about past disciplinary action or allegations should be considered in the circumstances of the individual case. Cases in which an allegation was satisfactorily resolved some time ago or proven to be unfounded or malicious should not be included in a reference, but a history of repeated concerns or allegations over time should be included; and whether the applicant is subject to any current disciplinary proceedings, and what stage those proceedings have reached. 6.5 The City Council’s insurers require written references on employees responsible for money or stock, including computer systems analysts and programmers. The references must cover the three preceding years of employment. 6.6 Referees have a duty of care in replying to a request for information. The duty of care extends both to the prospective employer and to the subject of the reference. Referees should provide a reference that is true, accurate and fair and must not give a misleading impression, otherwise they may incur liability for defamation or negligence. There is no general common law obligation on an employer to provide a reference and no obligation to reply, if at all, in the format and detail requested. Some organisations (normally outside the public sector) have a policy of providing references on all employees which Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 88 Notes for Guidance – Employees in Schools Recruitment and Selection - Application Forms simply confirm that the person has been employed for a certain period in a particular capacity. Such references do not reflect adversely on a person’s ability or character. However, schools in receipt of such references should contact the referee with a request for further information (see below). An applicant from such an organisation might argue that such a reference would put him or her at a disadvantage when applying for employment in schools, but this is a matter for the applicant to pursue with that organisation. Schools must comply with the stringent safeguarding requirements on employers of people who are to work with children and the authority’s insurance policy in respect of people applying for jobs with responsibility for money or stock. 6.7 In accordance with the Government’s statutory guidance the referee has a duty of care to disclose any disciplinary warnings, current or expired, that relate to the safety and welfare of children and young people, also details of any allegations or concerns about the applicant relating to the safety and welfare of children or young people or behaviour towards children or young people and the outcome of investigations into those allegations or concerns. If asked about expired disciplinary warnings in general, persons acting as referees on behalf of schools should state that it is the authority’s policy not to disclose the existence or details of any expired warnings, unless they relate to the safety and welfare of children and young people. 6.8 If the applicant is under the formal stage of the capability procedures the referee should state this. If the applicant is receiving help at the informal stage of the capability procedures the referee should explain that the applicant is currently receiving extra support in a particular expertise, skill or area of work and, where applicable, that the applicant is responding well to this extra support. 6.9 References should be checked immediately on receipt to see whether all the questions have been answered and whether there are any discrepancies between the reference and the information provided by the candidate. If all questions have not been answered or the answers are vague and unspecific, then the referee should be contacted again and asked to provide written answers or amplification as appropriate. Any discrepancies between a reference and information provided by the applicant should be discussed with the applicant at interview. 6.10 Although both the Government’s guidance on safer recruitment and the City Council’s guidance on recruitment and selection mention the possibility of selecting a person subject to satisfactory references, schools are strongly discouraged from this practice, because it could lead to legal disputes in the event of an unsatisfactory reference. As explained above, references should be read before interviews and in time to follow up any concerns with referees before the interview and, where possible, at short listing. If written references are not available in time for the interview the selection panel should postpone a decision and arrange to meet again as soon as the references are available. The panel should not offer a job subject to satisfactory references. 6.11 Some applicants may request that referees are not contacted unless offered the post. There is a box to tick to request this on the present application form, but this will be removed when the form is next revised, because this practice runs in the face of the guidance provided in ‘Safeguarding Children and Safer Recruitment in Education’. If an applicant requests that references are taken up only when a conditional job offer is made, the chair of the interviewing panel should talk to the applicant and ask for permission to obtain and scrutinise the references prior to the interview. If the applicant Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 89 Notes for Guidance – Employees in Schools Recruitment and Selection - Application Forms refuses this request, the guidance states “In exceptional circumstances it might not be possible to obtain references prior to interview, either because of delay on the part of the referee, or because a candidate strongly objects to their current employer being approached at that stage, but that should be the aim in all cases. It is up to the person conducting the recruitment to decide whether to accede to a candidate’s request to approach his or her current employer only if s/he is the preferred candidate after the interview, but it is not recommended as good practice”. It is possible for an employer to argue that providing a reference against an employee’s wishes can be justified by the duty of care to the potential new employer. 6.12 The professional duties of a head teacher (paragraph 57.12 of the School Teachers’ Pay and Conditions Document) include “providing information about the work and performance of the staff employed at the school where this is relevant to their future employment”. 6.13 Where appropriate, further advice on references may be obtained from the Employee Relations Team. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 90 Notes for Guidance – Employees in Schools Recruitment and Selection - Application Forms Model Reference Request Private and Confidential Dear Appointment of to the post of . I am writing to request a reference for the above named. NAME has indicated that you are prepared to act as a referee on his/her behalf. Please find attached a person specification and job description for your information. Also attached is a form with some detailed questions relevant to this person’s current or recent employment. If you are replying on behalf of that employer it would be most helpful if you could confirm that you are acting in that capacity and provide your reference on this form (please feel free to continue on a separate sheet if necessary). Otherwise I should be grateful if you could tell me how long you have known the applicant and in what capacity and whether, from your knowledge of him or her, the applicant has the ability and is suitable to undertake the job in question, with specific reference to the requirements of the person specification. If there is any reason why you are not satisfied that the applicant is suitable to work with children I should be grateful for specific details of your concerns and the reasons why you believe that the applicant might be unsuitable. Please ensure the information you provide is as accurate as possible and does not contain any material misstatement or omission. Any comments you may wish to make will, of course, be treated in confidence. However, in accordance with guidance from the Department for Children, Schools and Families, in relation to safeguarding and promoting the welfare of children, it may be necessary to discuss relevant factual content of a reference with the candidate. Please also note that it is Council Policy to allow its employees access to their own personal files, including references. Candidates may also make a subject access request under the Data Protection Act which would entitle them to see information about themselves (including references). I would like to take this opportunity to thank you for your assistance in anticipation of your reply. It would be helpful if you could send it to me by DATE. Yours sincerely Name Job Title Telephone No: Fax No: Email address: Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 91 Notes for Guidance – Employees in Schools Recruitment and Selection - References REFERENCE REQUEST FORM – RECRUITING PEOPLE WHO HAVE CONTACT WITH CHILDREN AND/OR YOUNG PEOPLE Please note that should the applicant be appointed to the post, he or she will have access to the reference provided in accordance with the DATA PROTECTION ACT 1998 and the Authority’s policy on personal records and files. Part 1 of the reference form should be completed by all referees. Part 2 should be completed where ever possible by all referees, but in some circumstances referees may not have access to the relevant current information requested. If this is the case, please complete those sections for which you have the required information. PART 1 (Overall information regarding the applicant) PRIVATE AND CONFIDENTIAL Job Title: REFEREE DETAILS Referee Name Contact telephone number: Address: If replying on behalf of an employer please name the employer REFERENCE FOR: Applicant’s Name Applicant’s address Please state how long you have known the applicant Please state in what capacity you know the applicant and, if the applicant was employed/managed by you, for how long you Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 92 Notes for Guidance – Employees in Schools Recruitment and Selection - References employed/managed the applicant Where applicable: Please indicate if you are acting as referee as an employer or as a representative of the employer. Please state if you are satisfied that the applicant is suitable and has the ability to undertake this post/job Please state how the applicant has demonstrated that he or she meets the requirements of the Person Specification Where applicable: Please indicate whether or not that you are completely satisfied that the applicant is suitable to work with children. If you feel that the applicant is unsuitable to work with children, please state the specific details of your reasons/concerns that the applicant is unsuitable PART 2 (Specific information regarding the candidate) IF PREVIOUSLY EMPLOYED: Company/School Name Period of employment (DATES) Job title (current or at time of leaving) Grade/salary (current or at time of leaving) Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 93 Notes for Guidance – Employees in Schools Recruitment and Selection - References Reason for leaving (where known) ATTENDANCE Has this employee’s attendance and/or absence led to the initiation of any relevant school/ company/ organisation procedures? Please give details SAFEGUARDING THE WELFARE OF CHILDREN Please comment on the following specific aspects of the applicant’s relationship with children: (i) The applicant’s suitability to work with children and the ability to form and maintain appropriate relationships (ii) The applicant’s emotional resilience to challenging behaviour (iii) The applicant’s attitude to the use of authority and maintaining discipline DISCIPLINE (i) Is the applicant subject to any current disciplinary proceedings, and if so what stage have those proceedings reached? (ii) Are there currently any disciplinary warnings held on this person’s employee record (except for any expired warning which does not relate to the safety and/or welfare of children/young people), including dismissal for disciplinary reasons or where a resignation was submitted when disciplinary Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 94 Notes for Guidance – Employees in Schools Recruitment and Selection - References action was pending? (iii) (iv) If yes, please give details. Please give full details of any allegations or concerns in relation to the safety and welfare of children that you may be aware of in relation to the applicant and the outcome of those allegations or concerns. Cases in which an allegation was satisfactorily resolved some time ago or proven to be unfounded or malicious do not need to be included (‘unfounded’ means that there is no evidence or proper basis which supports the allegation being made, or there is evidence to prove that the allegation is untrue), but please include a history of repeated concerns or allegations over time. EXPERIENCE Please comment on the applicant’s ability to undertake the duties and responsibilities set out in the job description attached Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 95 Notes for Guidance – Employees in Schools Recruitment and Selection - References Please describe where the applicant’s experience, skills and abilities match the attached person specification Please outline the applicant’s current job role together with the applicant’s responsibilities. In the case of applicants for the post of head teacher, please comment on the person’s contribution to the Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 96 Notes for Guidance – Employees in Schools Recruitment and Selection - References performance and management of his or her current school, with particular reference to reports or recommendations from OFSTED, public examinations or tests taken by pupils, financial and staff management. Please add any other comments you wish to make. Signed: Please print your name: Position in organisation (where applicable): Date: Company Stamp (If no Company stamp available please enclose a compliment slip or letterhead) Please return to: Please return your completed form in the stamped addressed envelope provided. Thank you for your time and assistance. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 97 Notes for Guidance – Employees in Schools Recruitment and Selection - Preparation for Interviews 7. Preparation for interviews ACTION/DATE 7.1 The timetable for the selection process should take into account the time required for the pre-selection preparation. It must also take into account any statutory feature of the selection procedures as these are legal requirements on governing bodies or persons to whom the governing body has delegated the selection process. 7.2 Where applicable, the statutory procedures set out in the School Staffing Regulations (School Staffing Regulations 2003 and School Staffing Regulations amendments ) and accompanying statutory guidance (http://www.governornet.co.uk/linkAttachments/ACF3B38 .doc ) should be drawn to the attention of the selection panel. Representation of the authority 7.3 A representative of the authority may attend and offer advice at all proceedings relating to the selection or dismissal of any teacher in a community, voluntary controlled and community special school. Such advice must be considered by the governing body or any person or persons to whom such functions have been delegated under the Regulations. In order that it may exercise this right in respect of the selection of head teachers and deputy head teachers the authority requires its representative to be notified of the dates of all stages of the selection procedure for these appointments. The authority also reserves the right to such notification in respect of other teaching jobs, although it would only exercise that right in exceptional circumstances. 7.4 In voluntary aided and foundation schools the authority is entitled to advise the governing body in relation to the exercise of any of the governing body’s functions of appointment, engagement and dismissal of any teacher, to the extent provided by, and subject to, any relevant agreement (i.e. a written agreement between the authority and governing body under the School Staffing Regulations). In the absence of a relevant agreement it is for the Secretary of State to determine the extent to which the authority is entitled to advise the governing body in relation to the exercise of those functions. The governing body, or any other person to whom the Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 98 Notes for Guidance – Employees in Schools Recruitment and Selection - Preparation for Interviews functions have been delegated, must consider any advice given under an entitlement. 7.5 The local authority has an absolute right to make representations on any applicant to be interviewed for a post of head teacher, regardless of the arrangements for advisory rights. In all schools the selection panel for a head teacher must notify the local authority in writing of the names of the applicants selected for interview. If, within the period of seven days beginning with the date when it receives notification of these names, the authority makes written representations to the selection panel that any of the applicants selected by the panel is not a suitable person for the appointment, the panel must consider those representations and, if they decide to recommend for appointment the person about whom the representations have been made, notify the authority in writing of their reasons. The statutory guidance states that in the case of foundation or voluntary aided schools where the governing body has not agreed advisory rights with the authority the selection panel’s notification of applicants selected for interview should be accompanied by enough information to enable the authority to determine each applicant’s suitability for appointment. 7.6 In determining whether a person is suitable for appointment as head teacher the authority must have regard to any guidance given from time to time by the Secretary of State. The details of this guidance are set out in the statutory guidance accompanying the School Staffing Regulations (http://www.governornet.co.uk/linkAttachments/ACF3B38 .doc ) . Role of the head teacher 7.7 A head teacher has a right to attend and offer advice at all relevant proceedings delegated to one or more governors under some of the staffing regulations. Such advice must be considered by those to whom the delegation has been made. This includes the selection of all teachers and support staff, but excludes selection panels for head teachers and deputy head teachers. However, although the head teacher is specifically excluded from a selection panel for his or her successor (and a deputy head teacher is specifically excluded from a selection panel for his or her successor or for a fellow Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 99 Notes for Guidance – Employees in Schools Recruitment and Selection - Preparation for Interviews deputy), it is open to the governing body to appoint the head teacher who is a governor as a member of the selection panel for a deputy head teacher, or the selection panel may invite the head teacher to attend and advise. Selection of applicants for interview 7.8 Those undertaking any staff selection should participate at all stages, including deciding which applicants should be interviewed as well as the interviews themselves. 7.9 Applicants should be chosen for interview from the information given on the application forms matched against the job description and the criteria taken from the person specification. Those responsible for deciding which applicants to invite for interview should therefore be provided with a list of all applicants, a copy of the information given to all applicants, a copy of each applicant’s application form, the person specification with selection criteria taken from the person specification, and a form for recording the assessment of each applicant against each of the criteria (see form at the end of this section). Some of the criteria listed may be difficult to measure from the application form. In such cases those undertaking the selection should discuss what other methods could be used for assessment. For example, oral communication could be assessed during interview. Specific reasons associated with the person specification should be identified and recorded for candidates who are not called for interview as well as for those who are. Every applicant chosen for interview must meet the criteria. Particular care should be taken to avoid bias towards or against internal applicants. A note should be made of any unexplained gaps in employment in preparation for asking about those gaps in the interview. It is important to keep all records of the choice of applicants for interview for at least six months after the completion of the whole selection process. The records should be kept confidentially in a secure place. 7.10 Governing bodies, or head teachers acting on their behalf, are advised to make preliminary enquiries before interviewing candidates if information on the application form suggests that the applicant may not meet all the staff qualification requirements. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 100 Notes for Guidance – Employees in Schools Recruitment and Selection - Preparation for Interviews 7.11 Governing bodies and those to whom they delegate staff selection are recommended to follow the City Council’s advice regarding the Interview Guarantee Scheme, which states that “a Commitment should be given to the Interview Guarantee Scheme. Applicants who declare they have a disability and who meets the essential criteria on the person specification, will be guaranteed an interview.” Importance of references 7.12 As part of the pre-employment checks on applicants, written references should be obtained on all candidates selected for interview (including those currently employed in any school or other establishment maintained by the local authority) and should be read before holding interviews and preferably before short listing. At least two references should be obtained, one of which must be from the current or most recent employer. If written references are not available in time for the interview the selection panel should postpone a final decision and arrange to meet again as soon as the references are available. Appointments should never be offered subject to satisfactory references, as this could lead to legal disputes in the event of an unsatisfactory reference, nor should they be offered in the absence of references. 7.13 For more guidance on references see above References 7.14 Governing bodies should note that it is the policy of the authority that references will be regarded as open and any request for a reference upon an employee or prospective employee should include a statement that the person concerned, if appointed, would have access to that reference. Similarly, when a reference is given by an employee of the authority the person who is the subject of the reference should be given a copy of it. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 101 Notes for Guidance – Employees in Schools Recruitment and Selection - Preparation for Interviews Visits to/observations of candidates for teaching jobs 7.15 The practice of visiting teaching candidates in their schools to assess their teaching skills in front of a class is not recommended, for the following reasons. There is always a danger that the head teacher would be tempted to discuss the teacher’s performance with the teacher’s current head teacher, whereas the current head teacher’s views should be obtained in a reference which will be considered by the selection panel. In any case all members of the selection panel should be involved at all stages of the selection process. A preliminary visit by the head teacher could therefore lead to a complaint about the selection procedure. However, where a head teacher is not a member of the selection panel he or she may act as an adviser and may include in the advice information obtained by visiting candidates, provided that he or she has visited them all under like conditions. 7.16 If the school follows the practice of requiring all candidates for teaching vacancies to teach a lesson in the school in which the vacancy occurs similar arrangements should be made as for preliminary visits, with a senior teacher who is not a member of the selection panel assessing all candidates against the same criteria and advising the selection panel. The school should ensure that the arrangements for the lesson and assessment do not breach the Disability Discrimination Act. Invitations to interviews 7.18 A written invitation to attend for interview should be sent to candidates. It should explain the format the interviews are to follow and any special requirements, such as a presentation to the selection panel on a particular subject. It must also explain the checks to be undertaken on the day of the interview and ask candidates to bring with them identification documents and other documentation sufficient to complete a Criminal Records Bureau application form, original documents of their qualifications, evidence of the right to work in the United Kingdom as appropriate. Teachers already registered with the General Teaching Council will not need to bring evidence of qualification as a teacher provided that the registration itself is checked – the authority will undertake that check for schools for which it Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 102 Notes for Guidance – Employees in Schools Recruitment and Selection - Preparation for Interviews provides personnel services, but applicants for their first post as head teacher should be asked to bring evidence of their national qualification for headship. The interview procedure should not include any requirement which a person with a disability cannot meet given a reasonable adjustment. The letter of invitation should give the name of a person whom a candidate with a disability can contact about any special arrangements which that candidate needs for the interview. Where arrangements are made for candidates to visit the school beforehand consideration should be given to the purpose and timing of those visits. For example, where residential accommodation is to be occupied as a requirement of the job, arrangements should be made for the candidates to see the accommodation. The letter should explain the arrangements for both the interviews and preliminary visits, for the benefit of the candidate’s current employer as well as that of the candidate. They should be given information about interview expenses. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 103 Notes for Guidance – Employees in Schools Sample Short Listing Matrix JOB TITLE: TEACHER EXAMPLE OF SHORTLISTING MATRIX (matched against person specification) CRITERIA Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 104 Notes for Guidance – Employees in Schools Sample Short Listing Matrix JOB TITLE : TEACHER OF ENGLISH EXAMPLE OF SHORTLISTING MATRIX (matched against person specification) CRITERIA Miss Brown Miss Evans Mrs. Jones Mrs. Smith Qualified teacher status with specialisation in teaching English Successful relevant secondary school experience x A clear philosophy of teaching English and knowledge of appropriate classroom strategies x Good interpersonal skills and the ability to work in a team x Ability to control and motivate secondary classes A commitment to the philosophy and values of The Dame Helen Pickup School A love of the subject and enthusiasm for teaching it In this example, Miss Brown and Mrs. Smith meet the short listing criteria and should therefore be called for interview Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 105 Notes for Guidance – Employees in Schools Interviews 8 Interviews 8.1 The interview date should be agreed with the selection panel in advance. As all members of the panel should be involved at each stage in the selection process advice should be sought in the event of any member of the panel being taken ill or otherwise being prevented from attending the interviews. The legislation covering the constitution and proceedings of the panels for the appointment of head teachers and deputies is complex and strict adherence to those regulations is essential to avoid the possibility of a legal challenge by an unsuccessful candidate (the authority has lost a court case in the past). 8.2 The authority’s entitlement to offer advice is described above. In order for the authority to exercise its statutory entitlement in the case of appointment of head teachers and deputy head teachers, the authority expects all dates in the selection process to be agreed with its representative. This will include the meeting at which the governing body ratifies the appointment. 8.3 The selection panel will have already seen the applications and should be provided with individual copies for the interviews, with the job description, person specification and candidate assessment forms (see below). The panel should set a timetable for the interviews. The timetable and paperwork should take into account the need to obtain written references in time for the interviews. 8.4 The candidates should have received information about the school and have had the opportunity of seeing the school before the interviews. They should also have been informed of the format of the interview. Before the interview they should be asked to prove their identity and right to work in the United Kingdom and complete an application form for a Criminal Records Bureau check, as explained in the letter inviting them for interview. They should be offered a suitable place in which to wait before interview; neither school corridors nor staff rooms are appropriate. 8.5 The selection panel should agree on a chairperson to guide its proceedings. Employee Relations Unit - CYPF HR © Birmingham City Council ACTION/DATE July 2011 Page of 1012 106 Notes for Guidance – Employees in Schools Interviews 8.6 The panel is also advised to agree on the questions to be asked and how they should be divided between its members, to ensure that all areas which the panel wishes to discuss with the candidates are covered and not duplicated and that no question is asked which could lead to allegations of discrimination on grounds of sex, race, disability, religion, sexual orientation or age. Care is needed in framing questions about any gaps in employment, but such gaps should be explored to ensure that they do not affect the candidates’ suitability. When interviewing a person with disabilities the selection panel should not make assumptions about the person’s capabilities, but should discuss the effects of the disability with the candidate, including the reasonable adjustments which might be necessary if the candidate were appointed. 8.7 Members of the panel should be reminded of the person specification and its purpose in the selection process. The format and use of the candidate assessment forms should be explained and a method of recording questions and answers agreed. The panel should also be reminded that at the conclusion of the selection process all papers will be collected and stored in a secure place for six months, after which, if there has been no query over the selection process, they should be destroyed. 8.8 In devising questions for candidates the panel should concentrate on open questions eliciting information and opinions, usually those starting ‘what’, why’, ‘when’, ‘where’ or ‘how’. Closed questions requiring a simple ‘yes/no’ answer should be used only for certain specific purposes (for example, at the conclusion of the interview, asking the candidate to confirm continued interest in the job). Leading questions, multiple questions, hypothetical questions and self-assessment questions should be avoided. For example, if a panel would like to assess how a teacher would deal with an angry parent or member of the public the candidate should be asked if he or she can give an example of how he or she has dealt with such an incident, rather than being invited to speculate on what he or she might do or comment on a suggested course of action. The panel should avoid questions such as “What makes you think that you are the best candidate for the job?” It is for the selection Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 107 Notes for Guidance – Employees in Schools Interviews panel, with knowledge of all the candidates, to make that kind of assessment. 8.9 Each candidate should be introduced and made welcome by the chairperson, who should adopt a friendly approach in order to encourage the candidate to relax. The opening question should be chosen with this in mind. The chairperson should check that the candidate has no misconceptions about the job and is aware of any special requirements (such as requirements to be resident on site). The chairperson should ensure that the questions are fair and relevant and follow the pattern agreed by the panel beforehand, rephrasing questions and clarifying responses if necessary. At the end of the interview each candidate should have the opportunity to ask questions and should be invited to confirm that he or she is still interested in the job. The chairperson should confirm the arrangements for notifying candidates of the panel’s decision. The length of the interview is a matter of judgement, allowing the candidate to do most of the talking in order to provide the information which the panel needs to make its assessment. Whilst regard should be paid to the agreed timetable it is important to allow sufficient time to each candidate. 8.10 At the conclusion of the interviews each member of the selection panel should make independent assessments, using the information available from the application form and the candidate’s responses during the interviews and matching them against the person specification. Candidate assessment forms have been devised to help in this process (see below). The chairperson should then invite the local authority’s representative, or, in the absence of such a representative, the head teacher, to summarise the candidates. Separately from this summary, both the local authority’s representative and the head teacher have the right to give advice on the candidates; such advice should be given during the discussions of the selection panel. The chairperson should lead the panel’s discussions. 8.11 A decision is normally made at the conclusion of the interviews, but in exceptional circumstances the panel may need to reconvene. For example, as advised in the previous section, if written references are not available in time for the interview (and they should have been available to help the panel decide on a shortlist) the Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 108 Notes for Guidance – Employees in Schools Interviews selection panel should postpone a final decision and arrange to meet again as soon as the references are available. Appointments should never be offered subject to satisfactory references, as this could lead to legal disputes in the event of an unsatisfactory reference, nor should they be offered in the absence of references. 8.12 At the conclusion of the selection procedure the school should collect all papers used, including copies of application forms and the candidate assessment sheets and store them in a secure place for six months. At the end of that period, if there has been no query over the selection procedure, the papers should be destroyed. 8.13 The successful candidate should be informed that the recommendation for appointment will be conditional on satisfactory completion of all pre-employment checks, including health and Criminal Records Bureau checks where appropriate. In the case of a head teacher or deputy in a county, controlled, special or special agreement school, the appointment is subject to approval by the full governing body. The successful candidate’s application form and references should be sent to Schools Personnel Services. 8.14 Unsuccessful candidates should be informed and offered the opportunity of information on their performance at interview from the head teacher or the local authority’s representative. Any complaints from unsuccessful candidates should be dealt with in accordance with the governing body’s recruitment and selection complaints procedure. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 109 Notes for Guidance – Employees in Schools Sample Candidate Assessment Forms CANDIDATE ASSESSMENT FORM EXAMPLE ONLY SCHOOL: DAME HELEN PICKUP CANDIDATE’S NAME: MRS. JANE SMITH JOB TITLE: ENGLISH TEACHER SALARY: CPS ASSESSMENT AND EVIDENCE TO SUPPORT ASSESSMENT (matched against the person specification) APPLICATION FORM* INTERVIEW QUALIFICATIONS EXPERIENCE SUBJECT KNOWLEDGE IN-SERVICE TRAINING SKILLS AND ABILITIES OTHER CONTRA INDICATIONS RECORD OF DECISION REJECTED YES/NO OFFERED POST YES/NO RESERVE APPOINTEE YES/NO DATE : *To be completed before interview Employee Relations Unit - CYPF HR © Birmingham City Council REASON FOR SELECTION/REJECTION SIGNATURE : July 2011 Page of 1012 110 Notes for Guidance – Employees in Schools Sample Candidate Assessment Forms CANDIDATE ASSESSMENT FORM EXAMPLE ONLY SCHOOL: DAME HELEN PICKUP CANDIDATE’S NAME: MRS. JANE SMITH JOB TITLE: ENGLISH TEACHER SALARY: CPS ASSESSMENT AND EVIDENCE TO SUPPORT ASSESSMENT (matched against the person specification) APPLICATION FORM* P.G.C.E., B.A. (Hons.) 2, Manchester University 2 years as an English teacher, Edward Carpenter School, Sheffield Clear, well composed account of teaching philosophy QUALIFICATIONS EXPERIENCE SUBJECT KNOWLEDGE IN-SERVICE TRAINING SKILLS AND ABILITIES OTHER CONTRA INDICATIONS RECORD OF DECISION REJECTED NO OFFERED POST YES RESERVE APPOINTEE NO DATE : *To be completed before interview Employee Relations Unit - CYPF HR © Birmingham City Council INTERVIEW Gave interesting account of projects undertaken and successful GCSE group. One year as Year 7 form tutor Spoke lucidly about her commitment to encouraging reading and writing skills. Enthusiastic about work with SEN pupils. Has attended courses on creative Very enthusiastic about Reading Recovery writing, National Curriculum and course. Has tried to put it into practice. Wants Reading Recovery training in IT. Good account of ways of motivating Described a number of interesting classroom pupils, especially those less able strategies Communicates well, conveying Enthusiastic. Presented herself well. enthusiasm. Described her recent Imaginative ideas, especially drama and drama production. special needs. Limited experience of full ability Uncertain on differentiation question. Weak on range and sixth form assessment. Lacks IT skills. REASON FOR SELECTION/REJECTION Meets all the essential and some of the desirable criteria. Empathy with pupils as well as enthusiasm for subject. Willing to undertake further training. SIGNATURE : July 2011 Page of 1012 111 Notes for Guidance – Employees in Schools Sample Candidate Assessment Forms CANDIDATE ASSESSMENT FORM EXAMPLE ONLY DEPARTMENT: Education JOB TITLE: Word Processor Operator CANDIDATE'S NAME: Mrs Smith ASSESSMENT AND EVIDENCE TO SUPPORT ASSESSMENT DIVISION / SECTION: GRADE: SALARY APPLICATION FORM Education Welfa Scale 3 INTERVIEW EXPERIENCE Clerk / Word Processor Operator Scale 2 since Feb '95 Good background understanding of departmen requirements of the section. SKILLS & ABILITIES Various duties including word processing, filing, annual Ability to show good supervisory skills using ta statistics TRAINING Word Processing Attended Supervisory Course and explained th she had gained new skills in handling staff EDUCATION / QUALIFICATIONS 4 GCSE's. RSA Stage II Typing. Shorthand 100wpm Attending Supervisory Course and explained th felt she had gained new skills in handling staff OTHER Small amount of Budget Control Good ideas for future to improve systems and within the section Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 112 Notes for Guidance – Employees in Schools Sample Candidate Assessment Forms CONTRA INDICATIONS Limited Supervisory experience Limited experience in computers, but attending classes in her own time REASON FOR SELECTION / REJECTION RECORD OF DECISION Good applicant with all round experience, both clerical and typing REJECTED OFFERED POST RESERVE APPOINTEE YES / NO YES / NO Ready for promotion to Scale 3 YES / NO Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 113 Notes for Guidance – Employees in Schools Interview Expenses 9 Interview expenses 9.1 Candidates for appointment should be advised of the governing body’s policy on interview expenses when they are invited to attend for interview. 9.2 It is recommended that governing bodies should reimburse candidates’ interview expenses, including travel and necessary meals, in accordance with the travelling and subsistence rates approved by the local authority. 9.3 It is further recommended that the expenses of unsuccessful candidates should be reimbursed after interview but that with the exception of candidates from teacher training establishments, the expenses of candidates appointed should not be paid until they start work. In the event of a candidate withdrawing the application, or refusing an offer of employment, on grounds which the interviewing panel consider inadequate, no expenses will be paid. 9.4 Travelling expenses should be reimbursed on the basis of standard rail fare or bus fare, even if private cars are used. 9.5 Governing bodies are advised to limit the expenses reimbursed to candidates travelling from abroad to expenses only from the port or airport of entry and to explain this in advance to any applicant coming from abroad, including a person breaking a holiday for the purpose of attending the interview. 9.6 Subsistence payments should be in accordance with the rates currently agreed for local authority staff, unless the meal has to be taken on a train, when the actual cost may be claimed, provided that the candidate produces a VAT invoice. 9.7 The funds for interview expenses are included in schools’ delegated budgets. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 114 Notes for Guidance – Employees in Schools Recruitment Monitoring 10 Recruitment monitoring 10.1 The City Council’s Code of Practice on Recruitment and Selection stresses the importance of recruitment and selection monitoring in terms of ethnic origin, gender, disability, grade and age. 10.2 Such monitoring is important in order to identify any stage in the process where inequality may occur. It may reveal, for example, very few applicants from black or ethnic minorities, or a much smaller percentage reaching the shortlist than applied for the job. To be effective, the monitoring should cover all stages of the procedure, i.e. application, short listing and appointment. 10.3 Once inequality has been identified, positive action can be taken as appropriate. In respect of teachers, for example, there is still a relatively small proportion of qualified teachers overall from black and ethnic minority groups, but if there were a discrepancy between the proportion of applicants and the proportion of short listed applicants from such groups then the school should be looking very critically at its short listing criteria and process. If there is an absence or a shortage of such applicants in the first place the school should be considering how it might attract at least a few applications from qualified teachers in these groups. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 115 Notes for Guidance – Employees in Schools Contracts of Employment CONTRACTS OF EMPLOYMENT 1. Letters of appointment 1.1 To assist the Schools Personnel Services Section in preparing letters of appointment schools are asked to provide full details of the appointment, as follows:application form, giving name, address etc. references confirmation of check on the right to work in the United Kingdom forms for the Criminal Records Bureau completed medical questionnaire title of post salary grade full-time or part-time, and exact proportion for part-time permanent or fixed-term or temporary reason for fixed-term or temporary appointment starting date and, for fixed-term contracts, end date for part-time clerical staff, details of exact times of working for teaching assistants, those required to assist children with eating lunch, as they will be entitled to a free meal This will ensure that there is no misunderstanding over the nature of the appointment. The references, checks on the right to work in the United Kingdom, forms for the Criminal Records Bureau and medical questionnaires are essential for pre-employment checks. 1.2 To enable Schools Personnel Services to carry out the necessary preemployment checks, to assess salary and to arrange for salary payment, head teachers are urged to submit the above information as soon as the selection process has taken place. The City Council’s payroll requires salary details to be processed at the beginning of the month in which salary is to be paid. 1.3 Instructions about staff appointments, resignations, changes in contracts, salaries etc. must be submitted in writing. The authority has designed standard forms for the purpose which can be submitted electronically. 1.4 A copy of each letter of appointment will be sent to the head teacher for information. Head teachers should check the letter and the accompanying statement of particulars to ensure that the school’s intentions have been met in full. 1.5 Delay in issuing a letter of appointment does not mean that a contract of employment does not exist. Oral contracts can be as valid as written ones, Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 116 Notes for Guidance – Employees in Schools Contracts of Employment although the law does impose a duty on employers to issue a written statement of particulars within two months of the employee starting work. However, there may be information not required in a statement of particulars which affects the operation of the contract, for example, which days of the week a part-time employee works and whether those dates can be altered or not. Omission of crucial information from a letter of employment can affect the status of an employee as well as the operation of the contract. For example, failure to send an appropriate letter about an extension of an employee’s temporary contract can turn the contract into open-ended employment. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 117 Notes for Guidance – Employees in Schools Statements of Particulars of Employment 2 Statements of particulars of employment 2.1 Employers are required by the Employment Rights Act 1996 to issue a statement of particulars of employment to each employee working for eight hours or more a week for a month or more. The statement must be issued within two months of the start of employment. 2.2 Schools Personnel Services issue standard statements of particulars for each category of employee. Voluntary aided and foundation schools are responsible for issuing statements of particulars of employment to staff in their employment. They may use the standard formats recommended nationally by church authorities, or, where they have purchased personnel services from the local authority, may ask the authority for advice. 2.3 The statement of particulars has to cover matters specified in the legislation, although for some matters it may refer to other documents which are not part of the particulars. The standard statements cover: Name of employer Date of start of employment Job title Place of work Start of continuous employment Temporary or fixed-term contract if applicable Probation or statutory induction where applicable For teachers the statutory conditions of employment (in the School Teachers’ Pay and Conditions Document) Collective agreements (effectively the Burgundy Book for teachers and the National Joint Council for Local Government Services agreements for support staff) Payment of salary, including deductions Sick leave/pay Hours of work Holidays Periods of notice and termination of contract Pension Membership of a trade union Grievance procedures Disciplinary procedures Maternity rights Policy on smoking Equal opportunities policy 2.4 Conditions of service are a matter for employers, i.e. the authority in the case of community, community special, voluntary controlled and nursery schools. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 118 Notes for Guidance – Employees in Schools Statements of Particulars of Employment Policies and procedures are for governing bodies to adopt in all maintained schools (i.e. all schools funded through the authority), although the authority commends model policies and procedures to governing bodies. 2.5 The statements of particulars give full details of some conditions of service, such as notice periods. For other conditions of employment, which are not given in full in the statement of particulars, reference may be made through this guidance, provided that the governing body has adopted the model policies and procedures recommended by the authority. probation and statutory induction sick leave/pay working time grievance procedures disciplinary procedures maternity rights Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 119 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 3. Temporary and fixed-term contracts 3.1 The following procedure has been produced to deal with the recruitment of people to work on a temporary or fixed-term contract, terms and conditions during their employment, and necessary action when the contract is due to expire. 3.2 Expiry of a temporary or fixed-term contract without the offer of further employment is a dismissal in law. 3.2 There are model letters to support necessary action in relation to the expiry of a temporary or fixed-term contract. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 120 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts MODEL PROCEDURE FOR TEMPORARY AND FIXED-TERM EMPLOYMENT IN SCHOOLS (2010) 1. INTRODUCTION 1.1 The following procedures have been adopted by the Governing Body of ___________ School to enable it to discharge its functions under the School Staffing (England) Regulations 2009 and the Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations 2002 in relation to the employment of people on temporary and fixed-term contracts. They apply to everyone employed to work on this basis in the school by the governing body, or local authority as the case may be. They do not extend to workers provided and employed by employment businesses, in respect of whose services the school pays that employment business, or to school meals staff and other employees provided by the local authority acting in the role of an employment business. 1.2 These procedures deal with the recruitment of people to work on a temporary or fixed-term contract, terms and conditions during their employment, and necessary action when the contract is due to expire. They are designed to give effect to the Fixed Term Employees (Prevention of Less Favourable Treatment) Regulations 2002, which are not intended to prevent the use of temporary and fixed term contracts but to prevent abuse of them, and to that end include: 1.3 Measures to prevent the abuse of successive fixed-term contracts. The total duration for the use of successive continuous contracts is limited to 4 years. Renewal of contracts beyond 4 years is otherwise deemed by law to become indefinite (permanent), unless there are circumstances in which it is possible objectively to justify using fixed-term contracts for a longer period. The rights of employees on fixed-term contracts to be informed of any vacancies and be given the same opportunity to secure a permanent job as a comparable permanent employee. The principle of non-discrimination and the right not to be treated less favourably than comparable ‘permanent’ employees. Employees have the right to ask their employers for a written explanation as to why they feel that they have been treated less favourably than their ‘permanent’ colleagues. The written explanation must be provided within 21 days. Employees are able to refer such matters to an Employment Tribunal. The regulations define a fixed term employee as a person whose contract comes to an end either upon reaching a specific date or when a specified task has been completed or when a specified event does or does not occur. In these procedures the adjective temporary refers to a contract whose duration cannot be specified precisely because it is not known in advance Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 121 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts exactly when a specified task will be completed or when a specified event will or will not occur, whereas a fixed-term contract is treated as one which specifies the precise date on which the contract will terminate. 1.4 The Governing Body and Head Teacher will seek advice from the authority where necessary. If a school insists on offering a temporary or fixed-term contract for inappropriate reasons the local authority reserves the right to require the governing body to meet the costs of any claims for unfair dismissal or redundancy on the expiry of the contract. The expiry and nonrenewal of all fixed term contracts constitute a dismissal in law, whether or not an end date has been specified. 2. REASONS FOR TEMPORARY AND FIXED-TERM CONTRACTS – OBJECTIVE JUSTIFICATION 2.1 Any fixed-term or temporary contract must be objectively justified and must be linked to specific reasons. The following are examples of reasons objectively justifying such a contract. to cover for absences of permanent staff due to sickness, attendance on training courses, maternity leave, etc. to provide extra help for seasonal variations in workload; to undertake duties of another employee temporarily allocated other duties within the school either as a specific task or while a more senior post is vacant or its occupant is absent (an arrangement commonly known as ‘backfilling’); to undertake a specific task, which has a foreseeable end; a predicted fall in pupil numbers, for which there is sound statistical evidence, leading to a need to reduce the number of employees in the school within the next twelve months; a known, severe budgetary deficit, leading to a need to reduce the number of employees in the school within the next twelve months; to provide additional education or undertake a specific project for which special funding has been obtained for a known, limited period; as an instructor when and for so long as no suitable qualified teacher or teacher on the employment-based teacher training scheme is available for appointment or to give the instruction; Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 122 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts because the person is employed on the employment-based teacher training scheme; because the overseas trained teacher does not have qualified teacher status in England and is limited to employment as an overseas trained teacher for a maximum of four years from the date of first employment in that capacity in this country. 2.2 Reasons which would not be regarded as objective justification include Budgetary uncertainty - simple pessimism about the Government’s funding intentions for schools (however understandable) is not a sufficient reason. Possible future reductions in the number of pupils on roll – this is too uncertain – there must be valid statistical evidence within a known timeframe. Short-term needs of the school - this is too vague. To test the capability or performance of the employee - newly qualified teachers who consider that they have not been given the required support during their induction period may claim unfair dismissal after a year’s employment, so giving such a teacher a fixed-term contract for a year without objective justification would put the school at risk of a claim for unfair dismissal on the expiry of the contract. Statutory induction for newly qualified teachers provides for dismissal of a teacher who fails induction and for the local authority to meet the salary costs of such a teacher whilst that teacher is on reduced duties pending appeal. The same arguments apply to support staff on probation. 3. RECRUITMENT AND SELECTION 3.1 When the Governing Body identifies the need for additional staff, over and above the current, approved staffing establishment of the school, for a temporary or fixed-term period it will establish the necessary additional posts as a temporary variation to its staffing structure in accordance with its normal procedures for varying that structure. A need for additional staff on a shortterm basis may arise from, for example, the award of a special grant for additional educational provision. 3.2 When there is a need to recruit an additional employee in the absence of an employee who is part of the current, approved staffing establishment of the school the Governing Body, or the Head Teacher as the case may be, will make the necessary arrangements for recruitment and selection in accordance with the Governing Body’s delegations of its powers of recruitment and selection. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 123 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 3.3 During the absence of an employee whose job carries extra responsibilities, those responsibilities may be undertaken by another existing employee (after internal advertisement within the school). There may also be occasions when an existing employee is asked to undertake a specific task and there is a need for that employee’s normal duties to be covered for the duration of that task. In such cases the Governing Body or the Head Teacher as the case may be, may advertise for a person to undertake the normal duties of that other employee; this is commonly known as back-filling. 3.4 The Governing Body will apply its normal arrangements for recruitment and selection when recruiting temporary and fixed-term employees, having regard to the requirement to offer suitable alternative employment to such employees on the expiry of their contracts. 3.5 The advertisement for, details of, letter of appointment and statement of particulars for any job offered on a temporary or fixed-term basis must state the reason for the temporary or fixed-term contract. 4. CONTRACTS OF EMPLOYMENT – RIGHT NOT TO BE TREATED LESS FAVOURABLY 4.1 Contracts of employment must include the reason for the temporary or fixedterm contract and, for a fixed-term contract, the date when it will end. In providing information to Schools HR Services about a new appointment the school must specify the reason for the temporary or a fixed-term contract. If an objective justification in the form of a specific reason is not given the local authority will issue an open-ended (commonly called ‘permanent’) contract of employment, which will mean that the contract continues until such time as the contract is terminated by resignation or by a dismissal for some reason or when the employee reaches the statutory default retirement age or such other retirement age as the governing body may have adopted. 4.2 Notice provisions will also be included to allow the contract to be terminated by either party before it is due to end and must specify the grounds which would cause early termination, as premature termination may result in a claim for damages for unpaid remuneration in respect of the rest of the contract. Unless the employee was dismissed for disciplinary, capability or other good reasons a school may face a claim for the balance of a fixed-term contract if it is decided to terminate the contract before the expiry date. 4.3 The Burgundy Book excludes teachers “employed on a temporary basis either for a period of one term or less or as substitutes for permanently appointed teachers absent for reasons such as secondment, prolonged illness or maternity” from most of its provisions, including notice periods, occupational sick pay and occupational maternity pay. However, the Burgundy Book pre-dates the Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations 2002, so where possible the provisions Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 124 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts of the Burgundy Book will be applied to teachers on temporary and fixed-term contracts. Notice of the termination of a temporary or fixed-term contract is effectively given in the offer of such a contract, but when the exact date of expiry is uncertain (as in the case of cover for an employee with a prolonged illness) then it may be that the exact date will not be known until a few weeks beforehand and may not coincide with the end of a school term. In such cases the normal notice periods cannot apply, but the school will give as much notice as possible. Occupational maternity leave and pay may not be possible, because of the condition that the employee must return to work for at least thirteen weeks (teachers) or twelve weeks (support staff) and the employee’s contract may not last long enough for the employee to fulfil that condition. 4.4 Otherwise terms and conditions of employment will be the same as for comparable open-ended appointments. 4.5 Employees on temporary or fixed-term contracts have the right to be informed of vacancies within the school or the authority in the same way as other comparable employees. Any vacancy in the school will be open to all employees, including those on temporary and fixed-term contracts, unless there is an internal re-organisation or re-structure affecting a specific group of staff who would otherwise be displaced. 4.6 Any selection for redundancy will not treat temporary or fixed-term employees more or less favourably than permanent employees. 4.7 Employees on temporary or fixed-term contracts should not be treated less favourably than permanent or comparable employees in respect of training opportunities, unless this can be objectively justified, for example, if the training course lasts beyond the duration of the contract or there is not enough time for the employer to benefit from the employee’s training. 4.8 In the event of an employee exercising the statutory right to ask for a written explanation of perceived less favourable treatment than fellow-employees with open-ended contracts the Head Teacher will reply on the Governing Body’s behalf within 21 days. 5. EXTENSION OR CONTRACTS 5.1 This procedure provides for the extension or renewal of a temporary or fixedterm contract if RENEWAL OF TEMPORARY AND FIXED-TERM an employee whose absence is being covered by a temporary or fixed-term contract delays his or her return beyond the date specified in the temporary or fixed-term contract, in which case the reason for the temporary or Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 125 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts fixed-term nature of the contract remains the same and that fact will be stated in the letter of extension; the special work or project for which or circumstances in which the employee has been engaged on a temporary or fixed-term contract will continue for longer than originally planned, or the temporary funding has been extended, in which case the reason for the temporary or fixed-term nature of the contract remains the same and that fact will be stated in the letter of extension; new special work or a new project has been planned and the employee whose existing temporary or fixed-term contract is due to expire is suitably qualified or experienced for the new work or project, in which case the employee should be offered a new temporary or fixed-term contract specific to the new work or project; an employee whose absence is being covered by a temporary or fixed-term contract does not return and there is good reason for continuing temporary or fixed-term employment but for a different reason (for example, because another employee is absent, or to undertake duties of another employee temporarily undertaking extra duties within the school pending the recruitment of a more senior employee). In this case the renewal will take the form of a new temporary or fixed-term contract with a new reason. 5.2 The Governing Body notes that if a person employed on a temporary or fixedterm contract is allowed to continue working without a formal extension beyond the date in the contract or without a new temporary or fixed-term contract with a different reason, then the employment will become openended by default. 6. EXPIRY OF TEMPORARY AND FIXED-TERM CONTRACTS 6.1 The expiry of a temporary or fixed-term contract is a dismissal in law. The following procedures will apply. 6.2 Throughout the period of a temporary and fixed-term contract the head teacher will consider whether there are likely to be any suitable vacancies occurring in the school at or around the known or anticipated date of expiry which could be offered to the person employed on the temporary or fixedterm contract. If the employee has been undertaking the job of an absent employee who decides not to return (for whatever reason) the employee will be offered the job on a permanent basis. If the employee has been covering the job of another employee who has been temporarily undertaking other duties attached to a more senior, vacant Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 126 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts post (an arrangement commonly known as ‘back-filling’) then it may be considered that the employee does not have the suitable qualifications or experience for that senior, vacant post, but the head teacher will have regard to the possibility that this vacant post may be filled internally, thereby creating a new vacancy, probably at a less senior level, which might be suitable for the employee on a temporary or fixed-term contract. 6.3 At or around two to four months - depending on the notice period due to the employee - before the anticipated expiry of a temporary or fixed-term contract the head teacher will obtain a copy of the letter of appointment and contract of employment, ascertain whether the reasons given in the contract for making it temporary or fixed term are due to materialise, consider again whether any alternative employment is available or likely to become available in the school (having regard to the qualifications and experience of the employee), and remind the employee that the contract is due to expire. 6.4 The head teacher will write to the employee inviting him or her to a meeting with the head teacher to discuss the imminent expiry of the contract of employment. The letter (see Appendix 4) should include copies of any documents to be used at the meeting, remind the employee of the right to be accompanied and/or represented by a trade union official or fellow-employee and explain the procedures to be followed at the meeting. The employee should be asked to confirm that he/she will attend the meeting in person, to indicate whether he/she wishes to be accompanied by a representative and to provide any documentation at least five days before the meeting. A copy of the letter and any supporting papers should be enclosed for the employee's representative. 6.5 In order to ensure that the employee has enough time to prepare his or her response reasonable notice of the hearing should be given. This should be at least ten working days. It is helpful to agree a date with the employee's union/professional association if they are already involved in the case, before sending the formal notice to attend the meeting. The employee may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The head teacher may reject this suggestion but will do so only if it is unreasonable and will take advice from the Employee Relations Team on what is unreasonable. There is also the discretion to defer the date of the meeting by a longer period in order to reach mutual agreement on a convenient date, having particular regard to the availability of the employee’s representative. 6.6 The employee shall be invited to provide any documentation at least five working days before the meeting. There is no requirement on the employee to submit any documentation. 6.7 The local authority does not expect to be notified of, or to attend, a hearing for confirmation of the expiry of a temporary or fixed-term contract. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 127 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts However, if a head teacher considers that there are exceptional circumstances requiring special support he or she may seek advice from the Employee Relations Team, which may then send a representative to the meeting. 6.8 The head teacher will consult the Employee Relations Team if the reason for the temporary or fixed-term contract is to undertake a specific project or task and the staffing establishment will be reduced on expiry of the contract, as a redundancy payment may be due in this event. 6.9 There may be cases in which an employee whose temporary or fixed-term contract is due to expire is simultaneously the subject of allegations being considered under one or more of the governing body’s procedures for conduct or capability. Advice should be taken from the Employee Relations Team on such cases. 6.10 In the meeting the head teacher should confirm that the contract will expire for the reason provided in the contract of employment. If there is a suitable vacancy the head teacher will offer this to the employee and will make all the necessary arrangements for appointment to that post. If there is not a suitable vacancy, or the employee refuses the offer of further employment, the head teacher will explain that no other employment is available when the contract expires, but that the employee has the right of appeal to the appeal committee of the governing body. Should the employee submit that he or she has relevant experience or qualifications overlooked by the head teacher when considering suitable vacancies, then the head teacher may adjourn the meeting to reconsider whether there is a suitable vacancy in the school. 6.11 The head teacher will confirm the outcome of the meeting to the employee in writing. If no further employment is offered, the letter (see Appendix 4) will confirm that no further employment will be offered on the expiry of the contract, and state the right of appeal, including the requirement to give notice of appeal to the clerk to the governing body within ten working days of receipt of the letter, setting out the grounds of appeal. 7. TERMINATION OF TEMPORARY AND FIXED-TERM CONTRACTS AND REDUNDANCY 7.1 The termination of some temporary and fixed-term contracts will be a redundancy. Circumstances in which a redundancy payment is due (provided that the employee has at least two years’ continuous service in accordance with the Modification Order and provided that the employee does not obtain other employment covered by the Modification Order within four weeks of the expiry of the contract) may include the closure of a workplace, reduced need for employees and the cessation of a particular service or project (whether externally funded or not). When the employee has been Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 128 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts employed during the absence of another employee, there is no reduction in work when the absent employee returns, so there is no redundancy. 7.2 Advice should be taken from the Employee Relations Team if there is a question over redundancy on the termination of a temporary or fixed-term contract. 8. APPEALS 8.1 An employee on a temporary or fixed-term contract has the right of appeal against the expiry of the contract without an offer of further employment. An appeal shall be to the appeal committee established by the governing body. 8.2 An employee may appeal by giving written notice of the appeal and of all the grounds on which it is made to the clerk to the governing body within ten working days of receiving written confirmation that the contract will expire without further employment. The grounds for the appeal should be accompanied by any additional evidence to be presented in support of the appeal. If the employee so wishes there is no requirement to submit any documentation, other than a statement from any witness who may be called by the employee. However, if the employee does not intend to submit any documentation there should be a positive statement from the employee or the employee's representative to this effect and the employee will not be able to use at the hearing any evidence not previously provided. 8.3 The clerk to the governing body will immediately notify the head teacher of all the grounds of appeal and any additional evidence, with a request to submit any additional papers in response to the clerk within seven working days. 8.4 The clerk to the governing body will then arrange an appeal committee hearing as quickly as possible, to take place, other than in exceptional circumstances, within twenty working days of the employee’s notice of appeal. The clerk should make every effort to agree a date with the employee's union/professional association if they are already involved in the case, before sending the formal instruction to attend the hearing. The employee may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The committee may reject this suggestion if it is unreasonable and may proceed to hear the case in the absence of the employee or the employee’s representative, but also has the discretion to defer the date of the hearing in order to reach mutual agreement on a convenient date, having particular regard to the availability of the employee’s representative. 8.5 The clerk to the governing body will also seek advice from the employee relations team on the procedure for the appeal hearing, having regard to the grounds for the appeal, and shall then advise the employee and the other parties to the hearing of the appropriate procedure according to whether the Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 129 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts appellant is seeking mitigation or is effectively asking for a re-hearing of the case in the light of the evidence. The formal notice of the hearing will include the procedure to be followed in the hearing, using either Appendix 1 or Appendix 2 (see 8.7 below). 8.6 The clerk to the committee shall give at least ten working days’ formal notice of the hearing to all the participants, and in the same letter (see Appendix 4) shall set out the order of the proceedings, remind the employee of the employee's rights at the hearing, including the right to request to be accompanied by a representative of his or her choice who is either a union official or another of the employer’s employees, list the members of the appeal committee, give the names of witnesses, and confirm the options for action which the appeal committee may take (see below). All documents relevant to an appeal hearing shall be enclosed with the letter. The witnesses may include, as appropriate to the circumstances of the case, the head teacher and/or a member of the committee which took the decision against which the employee is appealing, or the person who presented the case if that person was not the head teacher. 8.7 The normal procedure for an appeal hearing is set out in Appendix 1. If there is to be a re-hearing the procedure in Appendix 2 will be followed. The appeal committee will have regard to any guidance issued from time to time by the local authority on conducting a hearing (see Appendix 3) 8.8 The appeal committee may dismiss the appeal or uphold the appeal. If it upholds the appeal it may either offer the appellant a new contract of employment (for a different reason) or extend the current contract if there is good reason for an extension (for example, if special funding has been extended or the absence or the special work or project is lasting longer than anticipated). 8.9 The appellant may choose whether to hear the appeal committee’s decision in person or receive it subsequently in writing, but this choice shall not prevent the committee from choosing to adjourn and reconvene before making a decision. An oral announcement shall be confirmed in writing by the clerk to the governing body within ten working days of the hearing (see Appendix 4). 8.10 The Head Teacher will take any necessary action to implement the Committee’s decision. 9. A HEAD TEACHER ON A TEMPORARY OR FIXED-TERM CONTRACT 9.1 In the event of a head teacher being employed on a temporary or fixed-term contract this procedure shall be followed, with the chair of the governing body managing sections 1 to 6 of this procedure with advice from the Schools Support Manager and the Employee Relations Team as appropriate. This Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 130 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts procedure will not apply to a deputy head teacher appointed by a governing body as acting head teacher in the same school, as the deputy head teacher has an open-ended, substantive contract in the school. 9.2 The governing body will follow the requirement of the School Staffing Regulations that it must advertise a vacant post of head teacher unless it has good reason not to and, in accordance with the statutory guidance accompanying the School Staffing Regulations, will consult the local authority (and diocesan authority as appropriate) if it considers that is has good reason not to advertise. 9.3 In the event of an appeal against a decision taken by the chair of the governing body in relation to a head teacher on a temporary or fixed-term contract the chair may present the case to the committee, or may ask the Schools Support Manager from the authority to present the case. 10. TRADE UNION OFFICERS 10.1 Normal employment requirements should apply to trade union officers. However, dismissal of a trade union officer can be misconstrued as an attack on the union. Such problems can be avoided by early discussion with a fulltime official or senior trade union representative. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 131 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts APPENDIX 1 – NORMAL PROCEDURE FOR APPEAL HEARING 1. The employee and his/her representative and the head teacher or other person presenting the management case shall attend the hearing simultaneously to present their respective cases. 2. The chairperson of the appeal committee will perform the necessary introductions. 3. The employee and/or the employee’s representative will present the employee’s appeal and may call witnesses. 4. The head teacher or other person presenting the management case may question the employee and/or the employee’s representative. 5. The members of the appeal committee and the local authority’s representative may question the employee and/or the employee’s representative. 6. The head teacher or other person presenting the management case will present that case and may call witnesses. 7. The employee and/or the employee’s representative may question the head teacher or other person presenting the management case. 8. The members of the appeal committee and the local authority’s representative may question the head teacher or other person presenting the management case. 9. The questioning of any witnesses called will follow the procedure outlined above. 10. The head teacher or other person presenting the management case will sum up the case presented and should ensure that any advice he or she wishes to give to the committee (and which a head teacher is entitled to give to a governing body or any of its committees) is given at this stage. 11. The employee and/or the employee’s representative will sum up the employee’s case. 12. The head teacher or other person presenting the management case and the employee and the employee’s representative will withdraw from the hearing. 13. The appeal committee will consider the evidence presented and take a decision. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 132 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 14. The committee may recall the head teacher or other person presenting the management case and the employee with the employee’s representative to clear points of uncertainty on the evidence given, provided that both parties are recalled even if the point of uncertainty concerns the evidence of one party only. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 133 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts APPENDIX 2 – PROCEDURE FOR HEARING AN APPEAL WHEN THE CASE IS RE-HEARD 1. The employee and his/her representative and the head teacher or other person presenting the case shall attend the hearing simultaneously to present their respective cases. 2. The chairperson of the committee or the head teacher (when the head teacher is hearing the case) will perform the necessary introductions. 3. The head teacher or other person presenting the management case will present that case and may call witnesses. 4. The employee and/or the employee’s representative may question the head teacher or other person presenting the management case. 5. The committee, or the head teacher (when the head teacher is hearing the case), and the local authority’s representative may question the head teacher or other person presenting the management case. 6. The employee and/or the employee’s representative will present the employee’s case and may call witnesses. 7. The head teacher or other person presenting the case may question the employee and/or the employee’s representative. 8. The committee, or the head teacher (when the head teacher is hearing the case), and the local authority’s representative may question the employee and/or the employee’s representative. 9. The questioning of any witnesses called will follow the procedure outlined above. 10. The head teacher or other person presenting the management case will sum up the case presented and should ensure that any advice he or she wishes to give to the committee (and which a head teacher is entitled to give to a governing body or any of its committees) is given at this stage. 11. The employee and/or the employee’s representative will sum up the employee’s case. 12. The head teacher or other person presenting the management case and the employee and the employee’s representative will withdraw from the hearing. 13. The committee, or the head teacher where the head teacher is hearing the case, will consider the evidence presented and take a decision. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 134 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 14. The committee may recall the head teacher or other person presenting the management case and the employee with the employee’s representative to clear points of uncertainty on the evidence given, provided that both parties are recalled even if the point of uncertainty concerns the evidence of one party only. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 135 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts APPENDIX 3 Guidance for Behaviour at Meetings and Hearings Any person attending any kind of meeting or hearing in any capacity must comply with acceptable professional standards of behaviour and consequently should adhere to the following Code. Although this protocol is applicable to conduct within formal and informal meetings or hearings, the expectation is that the same standards will apply outside of meetings and hearings. One companion/ representative may accompany the employee and speak on his or her behalf at formal meetings and hearings. The agreement of the Chair is required if the employee seeks additional support (for example, with learning disabilities) or a request is made for an observer to attend. 1. Everyone due to attend the meeting/hearing must make every effort to be punctual in order that the meeting/hearing may begin promptly. 2. The meeting/hearing will be conducted in accordance with the relevant provisions of any procedure adopted by the governing body or by the general procedure for meetings the outline procedure for meetings as recommended by the Employee Relations Team unless the Committee, Head Teacher/Manager and Employee agree variations. 3. Whilst these meetings/hearings are conducted formally they form part of internal procedures not legal proceedings and therefore all persons present should avoid using legal terminology without providing an explanation understandable to a lay audience. 4. All statements, questions and responses must be addressed through the person chairing the meeting/hearing 5. Each person invited to speak by the Chair will be permitted to make his or her contribution uninterrupted by any other person present. 6. All persons present will act respectfully towards every other person present and will not act in a manner that demeans, insults, threatens or intimidates him or her including an attempt to make an audio or video recording of the proceedings. All statements, questions and responses, challenges to statements, complaints or criticisms must be made politely and quietly. 7. All statements, questions and responses must be related to the facts of the case and not be personal in nature. There should be no reference to personal views on any person or in relation to the issue nor should reference be made to previous issues that do not form part of the case under consideration. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 136 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 8. The meeting/hearing will be conducted with due regard to the needs of the participants for refreshment and rest and will be adjourned as appropriate either for a short break or for conclusion on another day. 9. If any person present fails to comply with this Code then the Chair will warn him or her that further non-compliance may lead to him or her being asked to leave the meeting/hearing. Any further breach of the Code may then lead to the Chair Committee deciding that the person should be asked to leave the meeting/hearing or that the meeting/hearing should be adjourned for a period of time to be determined by the Chair Committee. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 137 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts APPENDIX 4 – MODEL LETTERS 1. MODEL LETTER FOR A MEETING TO DISCUSS EXPIRY OF FIXED-TERM OR TEMPORARY CONTRACT PRIVATE AND CONFIDENTIAL Date Dear Meeting to discuss expiry of fixed-term or temporary contract I am writing to invite you to meet with me to discuss the imminent expiry of your [fixed-term] [temporary] contract, a copy of which is attached. I should be grateful if you could attend a meeting for this purpose at [time] on [date] in [venue]. As the outcome of the meeting could be the termination of your employment on the expiry of the contract you have the right to request that you be accompanied by a representative of your choice who is either a trade union official or who is an employee of your employer. Please let me have this request as soon as possible and at least five days before the meeting, together with any documentation which you wish to refer to at the meeting. An additional copy of this letter and documentation is enclosed for your representative's use. Please confirm that you will attend at the time and date above and whether or not you wish to be accompanied. You may suggest an alternative time and date provided that it is reasonable and not more than five working days after the date I have specified. Please could you also let me know if you have any questions before the meeting. Yours sincerely Head Teacher Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 138 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 2. OUTCOME OF HEARING TO DISCUSS EXPIRY OF FIXED-TERM OR TEMPORARY CONTRACT PRIVATE AND CONFIDENTIAL Date Dear Expiry of [temporary] [fixed-term] contract Thank you for meeting with me on [date] when we discussed the imminent expiry of your [temporary] [fixed-term] contract. I am writing to confirm that your contract will terminate on [date], that being the date [specified in the contract] [when the reason for the temporary nature of the contract ends]. I also discussed with you the fact that there are no suitable vacancies in the school which could be offered to you as suitable alternative employment. I shall be making the necessary arrangements for the termination of your contract and you will receive form P45 in due course. You have the right of appeal against this decision and may exercise that right by writing to the Clerk to the Governing Body at the School within ten working days of the receipt of this letter, stating the grounds on which your appeal is based. Any appeal will be heard by the Governing Body’s appeals committee. Yours sincerely Head Teacher Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 139 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 3. INVITATION TO A HEARING BY APPEAL COMMITTEE IN RESPECT OF TERMINATION OF A TEMPORARY OR FIXED-TERM CONTRACT PRIVATE AND CONFIDENTIAL Date Dear APPEAL HEARING I am writing to confirm the invitation to an appeal hearing on (date)................. at ..........a.m./p.m. The hearing will be held in (venue)........... and will be before the Appeal Committee of the Governing Body. The meeting will be chaired by (name) ......... and other members of the committee will be (name) ......... and (name) …...... The hearing will be conducted in accordance with the procedure for temporary and fixed-term contracts. The purpose of the meeting is to give you an opportunity to appeal against the decision that on the expiry of your current contract of employment no further employment at the school will be offered to you. I enclose a copy of the documentation to be presented in response to your appeal. The procedure to be used at the appeal hearing and guidance on behaviour at meetings are included in the disciplinary procedures. The Head Teacher will be responding to your appeal or re-presenting the case. [The Head Teacher intends to call (names)............................ as witnesses.] You will need to send me copies of any documentation which you wish to use at the hearing at least ten working days before the hearing. You will also need to notify me, at least ten working days before the hearing, of the names of any witness(es) whom you have asked, or intend to ask, to appear on your behalf. You have the right to request that you be accompanied by a representative of your choice who is either a trade union official or who is an employee of your employer. Please let me have this request at least ten working days before the hearing. An additional copy of this letter and the documentation is enclosed for your representative's use. Please confirm that you will attend at the time and date stated and whether or not you wish to be accompanied by a representative. You may suggest an alternative time and date as long as it is reasonable and is not more than five working days after the original date. The committee may reject your suggestion but will do so only if it is unreasonable. In that case the committee may proceed to hear the case in your absence or the absence of your representative. Yours sincerely Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 140 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts Clerk to the Governing Body * delete as appropriate Copy to Employee Relations Team Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 141 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts 4. OUTCOME OF APPEAL IN RESPECT OF TERMINATION OF A TEMPORARY OR FIXED-TERM CONTRACT PRIVATE AND CONFIDENTIAL Date Dear APPEAL HEARING I am writing to confirm that at the meeting held on (date) ............. the Appeal Committee of the Governing Body of the School having given careful consideration to the circumstances and evidence laid before them determined that: EITHER Your appeal against the decision that no further employment will be offered to you on the expiry of your current contract of employment is upheld. You will receive a new offer of employment as ___________ and the Head Teacher will discuss this with you. OR Your appeal against the decision that no further employment will be offered to you after the date of expiry given in your current contract of employment is upheld, because the reason for that contract will continue to apply after that date and therefore the contract will be extended until _____________. A formal letter confirming the extension of the original contract will be sent to you. OR Your appeal against the decision that no further employment will be offered to you is dismissed because no suitable employment is available at the school. Your contract will therefore expire on the due date as indicated to you by the Head Teacher. The Committee thanks you for your services during your employment at the school. Yours sincerely Clerk to the Governing Body * delete as appropriate Copy to Schools Personnel Services Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 142 Notes for Guidance – Employees in Schools Temporary and Fixed-Term Contracts DIAGRAM TO ILLUSTRATE TEMPORARY AND FIXED-TERM CONTRACTS Establish need for temporary or fixed-term contract, ensuring that the reason can be objectively justified. If a new job, obtain governing body consent to temporary variation to the school staffing structure Follow governing body’s recruitment and selection procedures Ensure that contract of employment includes all necessary provisions for a temporary or fixed-term contract Ensure that during employment employees are not treated less favourably and have access to all advertisements for vacancies. Consider whether there is likely to be any suitable vacancy in the school at or around the expiry date. 2-3 months before expiry date head teacher arranges and holds a meeting with the employee Further employment offered – extension or new contract No offer of suitable alternative employment Employee appeals Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Employment terminated Page of 1012 143 Notes for Guidance – Employees in Schools Part-time Teachers 4 Part-time teachers 4.1 A part-time teacher is any teacher employed on a regular contract (permanent or temporary) for less than full-time. In law a job-share worker is defined as part-time, the difference in practice being that he/she shares a fulltime job with another part-time employee and special arrangements have to be made for co-operation and liaison between them. 4.2 From 2008 the School Teachers’ Pay and Conditions Document specifies that part-time teachers must be paid “that proportion of total remuneration which corresponds to the number of hours that the teacher is employed in that capacity during the course of the school’s timetabled teaching week as a proportion of the total number of hours in the school’s timetabled teaching week; (and for this purpose ‘total remuneration’ means the remuneration that would be payable to that person if he were employed in the same post on a full-time basis; and ‘the school’s timetabled teaching week’ means the aggregate period of time in the school timetable during which pupils are normally taught).” 4.3 Up until 2008 the authority had calculated the proportion of total remuneration in relation to the pupil week, i.e. including registration, assemblies and midsession breaks. These parts of the pupil week now have to be excluded from the calculation. However, subsequent, revised guidance from the Government states that this change in the method of calculating part-time teachers’ salaries was on the assumption that activities such as registration and assemblies are short activities that last up to 20 minutes each and that where such activities are significantly longer head teachers should use their discretion as to whether they constitute teaching and learning activities which should be included in the school’s timetabled teaching week. When exercising this discretion head teachers are advised to avoid a disproportionate impact on a part-time teacher and to treat part-time teachers equitably with other part-time teachers. The authority is assuming that head teachers are adjusting part-time teachers’ timetabled teaching week where necessary to ensure that their pay and contracts of employment are not reduced. The alternative would be for a governing body to proceed to dismiss the teacher and re-engage him or her on a reduced contract, a procedure which would be unpleasant for all concerned and a cause of real grievance to the teacher, especially as salary safeguarding would last only until 31st August 2011. 4.4 The 2008 School Teachers’ Pay and Conditions Document also made parttime classroom teachers subject to directed time, in the same proportion as that derived from the calculation of salary. Since 1987 there has been a local contractual arrangement in Birmingham for calculating the proportion of directed time to match the proportion of full-time salary. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 144 Notes for Guidance – Employees in Schools Part-time Teachers 4.5 The arrangements for allocating directed time should follow those for full-time teachers (see the section of these Notes dealing with teachers’ working time) but should also take into account the special conditions applying to part-time teachers (see below), which should be explained to the teacher. A part-time teacher must be available for work on the pupil days specified by the head teacher in accordance with the contract of employment. As with full-time teachers, the head teacher should allocate directed time to include the pupil days, or parts thereof, which the teacher is contracted to work time immediately before and after the school day when pupils are arriving at or leaving school, known locally as buffer time other activities as described below The hours allocated must not exceed the number of hours derived from the calculation specified in the School Teachers’ Pay and Conditions Document. 4.6 In addition to the hours allocated a part-time teacher, like a full-time teacher, will be expected to work such additional hours as may be needed to enable him or her to discharge effectively his or her professional duties, including, in particular, those professional responsibilities of teaching and assessment. The employer must not determine how many of these additional hours must be worked or when these hours must be worked. 4.7 The School Teachers’ Pay and Conditions Document states that “no teacher employed part-time may be required to be available for work on any day of the week or part of any day of the week that he is not normally required to be available for work under his contract of employment (whether it is for the purposes of teaching pupils and performing other duties or for the sole purpose of performing other duties).” However, a part-time teacher “may be required to carry out duties, other than teaching pupils, outside school sessions on any day that he is normally required to be available for work (whether he is normally required to be available for work for the whole of that day or for only part of that day).” The authority advises that any such requirement should be part of the normal pattern of working time for part-time teachers. For example, if a part-time teacher works on a Wednesday morning and staff meetings regularly take place after school on a Wednesday, then the teacher can be directed to attend staff meetings, but if a teacher day takes place on a day when the teacher does not normally work the teacher cannot be directed to participate in training on that day, although he or she may volunteer to do so. Head teachers should also be prepared to allocate, in agreement with the teacher, directed time outside that normal pattern to enable the teacher to participate in school activities and personal development programmes. Thus, when teacher days fall on days when the part-time teacher would not normally work Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 145 Notes for Guidance – Employees in Schools Part-time Teachers the head teacher may allocate directed time, but only in agreement with the teacher. However, it should be recognised that for teachers who only work one or two days a week such an allocation would use up a disproportionate amount of directed time. When planning teacher days head teachers should consider holding them on a variety of days of the week, to ensure that parttime teachers are at work on at least some teacher days. 4.8 For teachers sharing a job the head teacher should allocate some directed time to enable the teachers to meet and liaise with each other. 4.9 The contract of employment will state the proportion of full-time for which a part-time teacher is contracted to work. It will not normally specify the days on which the teacher will work. However, when the job is advertised and the teacher is offered the appointment working hours will be discussed. If the teacher agrees to work, say, on Mondays, Tuesdays and Wednesday mornings, it is reasonable for the teacher to expect that arrangement to apply for the duration of the contract and the days agreed should be recorded in the letter of confirmation. The teacher may have other commitments (such as another job) outside those days and times. 4.10 If the job advertisement explains at the outset that timetable constraints may affect days of work in future academic years and that explanation is repeated at the interview and subsequently confirmed in writing, then, whilst any change in working hours should be an exception rather than the rule, the school may nonetheless seek to make a reasonable change if necessary. Equal regard should be paid to full- and part-time staff when planning the school timetable and for part-time teachers working time should be in blocks rather than scattered throughout the week. Proposed changes affecting a part-time teacher’s working pattern should be discussed with the teacher in advance and it would be reasonable to expect a change which is permissible within the contract to be notified formally to the teacher at least four weeks before the end of the school term preceding the change. Even if a teacher’s contract does not specify the possibility of a change in working days, it is possible to make such a change by mutual agreement. 4.11 Changes in the total hours which a part-time teacher works may also be made by mutual agreement. However, any attempt to change a part-time contact unilaterally would be a breach of contract. If a school needs to reduce the number of teaching hours it should follow the advice given under ‘Managing Organisational Change’. 4.12 Part-time teachers have the same employment rights as full-time teachers. These rights may be accrued from a succession of temporary or fixed-term contracts. Part-time teachers should have access to the same facilities as full-time teachers. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 146 Notes for Guidance – Employees in Schools Part-time Teachers 4.13 Up to 31st December 2006 teachers working part-time and wishing to contribute to the Teachers’ Pension Scheme had to elect to do so, unless they had previously made a part-time election, in which case details of that election must be provided to the Teachers’ Pension Section in order that pension contributions continue to be deducted. From 1st January 2007 parttime teachers starting a new contract (including teachers already working part-time but changing the proportion of full-time) are included automatically in the Teachers’ Pension Scheme. Part-time teachers who do not change their contract and have not previously joined or been admitted to the Scheme will not become a member unless they choose to join. Full details are available from the authority’s Teachers’ Pensions Section. Temporary variations in contracts for additional work - general provisions 4.14 There is no provision in the School Teachers’ Pay and Conditions Document for paying overtime to teachers, full-time or part-time. However, there are various provisions to take account of additional duties and, for part-time teachers, agreed variations in the proportion of the timetabled teaching week which they work. 4.15 Working a few extra hours on a day when a teacher is normally in work, in an emergency for example, should be managed for classroom teachers by allocating some of the hours reserved for such eventualities when planning directed time at the beginning of each year. Members of the leadership spine and advanced skills teachers are not subject to 1265 hours (or the appropriate proportion of that figure). However, governing bodies and head teachers are required, under the School Teachers’ Pay and Conditions Document, to have regard to the need for the head teacher and all other teachers at the school to be able to achieve a satisfactory balance between the time required to discharge their professional duties and the time required to pursue their personal interests outside work. 4.16 Paragraph 46.1 of the School Teachers’ Pay and Conditions Document requires the governing body to determine the salary of a part-time teacher in relation to the school’s timetabled teaching week and to “do so not only in relation to those hours that a part-time teacher normally works but also in relation to any additional hours the teacher may agree to work from time to time at the request of the head teacher or in the case where a part-time teacher is a head teacher, the relevant body.” 4.17 Therefore, if a teacher, whether a classroom teacher or an advanced skills teacher, or a teacher on the leadership spine, is prepared to work additional days either on a regular or occasional basis at the request of the school, the governing body and the teacher may agree to a temporary variation to the existing contract, by increasing the proportion of a full-time contract worked by the teacher. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 147 Notes for Guidance – Employees in Schools Part-time Teachers 4.18 In accordance with the provisions on working time in the School Teachers’ Pay and Conditions Document the proportion of 1265 hours for which a classroom teacher can be directed to work in a specific place at a specific time would be altered in line with the temporary variation in contract. 4.19 The payroll system for Schools HR is capable of varying contracts on a shortterm basis, even for periods as short as a week. The school should make the normal arrangements for varying the proportion of full-time worked by the teacher, by altering that proportion firstly when the temporary variation starts and secondly when the temporary variation finishes. The relief teacher payroll should not be used. 4.20 Alternatively, when a part-time teacher works on a day when he or she does not normally work, the contract could be varied not by increasing the proportion of full-time but by altering the days on which the part-time teacher works in that particular week. This flexibility is probably more easily achieved for teachers on the leadership spine than for classroom teachers. Additional discretionary payments under paragraph 49 of the School Teachers’ Pay and Conditions Document 4.21 Alternatively, it may be that the extra duties undertaken by the part-time teacher fall within paragraph 49 of the School Teachers’ Pay and Conditions Document, although two of the provisions in that paragraph refer to payments for activities outside the school day, so are not applicable when the teacher is undertaking extra daytime work. Paragraph 49 gives governing bodies the discretion to “make such payments as they see fit to a teacher, including a head teacher, in respect of: “(a) continuing professional development undertaken outside the school day; (b) activities relating to the provision of initial teacher training as part of the ordinary conduct of the school; (c) participation in out-of-school hours learning activity agreed between the teacher and the head teacher or, in the case of the head teacher, between the head teacher and the relevant body; (d) additional responsibilities and activities due to, or in respect of, the provision of services by the head teacher relating to the raising of educational standards to one or more additional schools.” If, instead of a temporary variation to the contractual proportion of full-time, a governing body exercises its discretion and decides to approve a payment Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 148 Notes for Guidance – Employees in Schools Part-time Teachers under this paragraph, a request should be made to Schools HR for this special payment. The relief teacher payroll should not be used. Temporary variations in contracts for additional work to ‘cover’ 4.22 A regular part-time teacher, whether a classroom teacher, an advanced skills teacher or a teacher on the leadership spine can only be required to cover ‘rarely’. ‘Cover’ occurs when a teacher is asked to “supervise and so far as practicable teach any pupils where the person timetabled to take the class is not available to do so”. As the normal contract for a teacher (other than a teacher engaged specifically for cover) states that he or she can be required to cover only rarely it would be appropriate in these circumstances to engage a teacher on a separate daily rate contract as a relief teacher. The normal daily rate payment for a relief teacher should apply. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 149 Notes for Guidance – Employees in Schools Job Sharing 5 Job Sharing 5.1 Job sharing occurs when the duties and responsibilities of (usually) one fulltime job are divided between (usually) two people with the pay and conditions of employment being divided proportionately between the job-sharers. The main characteristics of job sharing are: pro-rata terms and conditions of employment; and the deliberate division of the duties which would normally be the responsibility of one employee. 5.2 The City Council has a policy in support of job sharing. Whilst this policy is not binding on the governing bodies of schools with delegated budgets it would be taken into account by an employment tribunal which might be asked to adjudicate on a claim brought by an employee whose application to share a job had been refused. 5.3 By opening up the principle of all jobs being suitable for either one full-time or two part-time employees, job sharing presents an imaginative variation on the theme of the full-time working week. It offers advantages to both employers and employees. These include: Reduction in turnover due to domestic or other commitments of all staff, and in particular teachers in specialist or shortage subjects. Recruitment and retention of qualified and experienced staff who are not available for full-time employment Continuity Benefits from outside interests A level of commitment equal to that of full-time staff 5.4 The authority has prepared special guidance on part-time working and job sharing for head teachers – see below 5.5 Job sharing is not a right and an application to share a job must be approved by the governing body, or, if that power has been delegated, by the committee or person to whom it has been delegated. If there is any doubt as to whether an application will be approved by the governing body (or the staffing committee of the governing body) consideration of the matter at that level should be deferred pending advice from the authority. 5.6 However, governing bodies are strongly advised to have regard to relevant employment tribunal rulings. Refusal of an application to share a job will Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 150 Notes for Guidance – Employees in Schools Job Sharing probably constitute indirect sex discrimination. It has been argued in at least one case (Clay v. Governors of English Martyrs School, Leicestershire) that the sharing of teaching jobs disturbs children’s education and refusal of an application to share a job is justifiable on educational grounds. However the tribunal took the view that the existence of job sharing schemes for teachers shows that “informed opinion in the education field must be that job sharing does not have a detrimental effect upon the education of children” and found that there had been indirect sex discrimination. 5.7 There is an expectation that an application to share a job will be approved. A governing body would have to specify objectively justified grounds for refusing an application to share a job. General statements would not be acceptable; detailed evidence would be needed. For example, if the employee has to be resident and only one unit of accommodation is available which cannot be shared, then there would be justifiable grounds for refusing to share the job. If an application for job sharing is being considered for rejection head teachers are urged to seek advice from Schools Personnel Services in the first instance. 5.8 If an application to share a job is rejected the applicant has the right to challenge the decision in an employment tribunal. Since fewer women than men can work full-time, a female employee could claim that indirect sex discrimination has occurred. There have been cases in which female teachers have successfully made such claims. 5.9 Before the job is shared the employees who are to share it should discuss with each other and with the head teacher exactly how the job will be shared, including the practical arrangements for the allocation/division of duties and responsibilities, particularly any attached to responsibility points for teachers; hours of work during the pupil day and outside the pupil day, including the allocation of working time (see below); how the participants will communicate and liaise with each other. Expectations should be made clear. Agreed working arrangements should be set down in writing. 5.10 There should be no more problems with job sharing than with other working relationships. Perceived problems may not relate to the sharing of the job at all, but to other circumstances. Clearly defined responsibilities and working arrangements are very important in resolving any problems arising specifically from the sharing of a job. 5.11 Working arrangements for people sharing a job do not have to follow a standard pattern, although certain patterns tend to prevail. However, the total Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 151 Notes for Guidance – Employees in Schools Job Sharing hours on duty for a member of the support staff must not exceed the agreed figure specified in the conditions of service attached to particular categories of employee. 5.12 For teachers sharing a job the total hours must not exceed 1265 a year (other than those on the leadership spine), the maximum number of hours of directed time permitted for a full-time teacher. The proportion of full-time salary, and consequently the proportion of 1265 hours, will be determined in the same way as for part-time teachers, in the words of the School Teachers’ Pay and Conditions Document to “correspond to the proportion of the school week that the authority .... deem the teacher to be normally employed as a school teacher (midday breaks being excluded)”. In accordance with this requirement Schools Personnel Services will ascertain the length of the pupil week and the proportion of that pupil week for which the teacher will be on duty. If the teacher works exactly half the pupil week he or she will be entitled to exactly half the salary which he or she would receive if appointed full-time to that job and can be directed to work for a maximum of exactly half of 1265 hours. As the morning session of a school is usually longer than the afternoon session, job share arrangements involving equal shares are not as common as might be supposed. 5.13 Part-time teachers need not be available outside their weekly pattern of timetabled duties. However, head teachers should be prepared to allocate, in agreement with the teacher, directed time outside that normal pattern to enable the teacher to participate in school activities and personal development programmes. Thus, when teacher days fall on days when the part-time teacher would not normally work the head teacher may allocate directed time, but only in agreement with the teacher. However, it should be recognised that for teachers who only work one or two days a week such an allocation would use up a disproportionate amount of directed time. 5.14 Employees sharing a job, like part-time employees, will have the same conditions of service as full-time staff, pro rata to the hours worked where applicable. 5.15 Up to 31st December 2006, teachers working part-time, including job sharing, and wishing to contribute to the Teachers’ Pension had to elect to do so, unless they had previously made a part-time election, in which case details of that election must be provided to the Teachers’ Pension Section in order that pension contributions continue to be deducted. From 1st January 2007 parttime teachers starting a new contract are included automatically in the Teachers’ Pension Scheme. Part time teachers who do not change their contract and have not previously joined or been admitted automatically to the scheme will not become a member unless they choose to join. Full details are available from the authority’s Teachers’ Pension Section. Support staff are admitted to, and remain in, the Local Government Pension Scheme unless they specifically elect not to join it. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 152 Notes for Guidance – Employees in Schools Job Sharing 5.16 A job-sharing arrangement may arise either when someone applies to share a full-time job which has been advertised or when an employee applies to share his/her present job. Applications for vacancies from people wishing to share a job not already shared should be considered entirely on their merits alongside those from “full-time” candidates. If such an applicant is appointed it will be necessary to fill the rest of the job, usually by advertisement, although it is possible for joint applicants to be considered at the outset. The most common type of application to share will be from an employee who wishes to share his or her current job. In these circumstances the other part of the job needs to be advertised. It is also possible for two employees holding the same type of job to share one of the jobs involved, with the resultant full-time vacancy being advertised and filled in accordance with normal recruitment procedures. In these cases the employees must be occupying comparable jobs on the same grade, have compatible skills and be undertaking similar work. 5.17 How an application to share a job is processed will depend on the extent to which the governing body has delegated its powers to select staff and vary the school’s staffing establishment. If the governing body has delegated its powers in this respect to the head teacher then the head teacher will be able to make all the necessary arrangements without reference to the governing body; otherwise the head teacher will need to make a recommendation to the governing body or to a committee of the governing body as appropriate. 5.18 A full-time employee may apply to work part-time on return from maternity leave. As such an employee has the right to be employed in the same job on her return an application to work part-time in that full-time job is effectively an application to share the job. Given the time required to recruit someone to share a job, employees who wish to share their jobs on return from maternity leave are asked to make an application at least three months before their anticipated date of return and should be advised of this before starting maternity leave. If it proves difficult to find a suitable partner in time the employee should be offered the option of extending her maternity leave. Alternatively, arrangements can be made for a temporary appointment to the other share of the job. Head Teachers were advised in Circular 000135 (March 1994) of a tribunal ruling in favour of a teacher who claimed indirect sex discrimination when her application to share her job on her return from maternity leave was refused. Schools should have regard to that ruling; if a governing body is considering the possibility of rejecting an application to share a job head teachers are advised to contact the Employee Relations Unit for further guidance. 5.19 There are cases in which an employee wishes to reduce his or her level of responsibility (and corresponding remuneration) at the same time as reducing from full-time to part-time. Such an employee would not be proposing a return to the same job and such an application would involve renegotiation of Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 153 Notes for Guidance – Employees in Schools Job Sharing a contract, which would be possible only if a suitable part-time vacancy existed in the school. 5.20 When one party to a job-sharing arrangement resigns the governing body is recommended to offer the remaining sharer the opportunity to work full-time. If this offer is declined the vacant share should be advertised. Pending the appointment of a suitable replacement the remaining sharer provides some continuity and may agree, voluntarily, to work extra hours until the new appointment is made. 5.21 In the event of an employee being dissatisfied with the response to an application to share his or her job he or she should follow the normal procedure in the case of a grievance. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 154 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers PART-TIME WORKING AND JOB SHARING FOR HEAD TEACHERS 1. Introduction 1.1 The Education Act 2002 states that the teaching staff of any school to which the Act applies “shall include a person appointed as head teacher, or a person appointed to carry out the functions of the head teacher of the school pending the appointment of a head teacher or in the absence of the head teacher.” Although some lawyers interpret this as meaning that the job cannot be shared, others point to legal provisions on interpreting the single as the plural and hold that the job can be shared. This authority is prepared to support the appointment of two people to share the job of a head teacher provided that the joint appointment is carefully arranged to ensure effective management of the school and suitable contracts of employment. 1.2 Depending on the source of the proposal and individual circumstances, it may be that, rather than working jointly with another head teacher, an existing head teacher would like to work part-time but retain overall responsibility for the school with extra assistance from a strengthened leadership team. Head teachers may work part-time, so this may be an alternative to sharing the job. 1.3 Both options require careful consideration and this guidance explains the various factors which should be included in that consideration. 1.4 Decisions around recruitment and selection are open to challenge in relation to equal opportunities legislation. The authority reserves the right, in the event of its advice being disregarded and a claim of unfair treatment being made, to expect the governing body to meet the costs arising from any such claim. 2. Reasons for a head teacher seeking to work part-time, including sharing a job 2.1 The reasons for proposing that a particular job of head teacher should be part-time, or shared between two head teachers, may affect the way in which the arrangements are made. These are some of the circumstances leading to such proposals: The governing body may decide to open the job to more than one applicant in order to widen the field for recruitment Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 155 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers An applicant for the job not so advertised may nonetheless express the wish to share it or otherwise work part-time Two people may apply jointly for the job A current head teacher may wish to work part-time for personal reasons, such as family commitments, reducing stress, preparing for retirement (there may be medical advice in support of this wish) A governing body may have had difficulty in recruiting a head teacher and be seeking to make temporary arrangements involving people unwilling to undertake a full-time commitment (such as retired head teachers with earnings restrictions under the pension scheme). 2.2 The proposal may be for an indefinite, temporary or fixed period. If the intention of one of the people wishing to share the job is to work part-time for a limited period, or if a head teacher wishes to work part-time for a limited period preparatory to retirement, then the arrangements for filling the other part of the job, or strengthening the senior leadership team as the case may be, will usually be temporary also. If the other part of the job is filled temporarily by another person within the school, then there are likely to be implications for other teachers, because of the need temporarily to cover part of that person’s substantive job. 2.3 As the governing body will need to consider the implications of part-time work or sharing the job of head teacher any proposal will need to be made well in advance. A serving head teacher wishing to work part-time, including sharing the job, should be aware that the governing body will need time to consider the application and, if the application is approved for job share, to fill the other part of the job, a process which could take several months. In particular the governing body will need to consider the implications for the workload of other employees in the school. 2.4 Part-time work and job sharing are not a right, but governing bodies are strongly advised to have regard to relevant employment tribunal rulings, which are in favour of such arrangements. There is an expectation that an application to work part-time, including sharing a job, will be approved and a governing body would have to specify objectively justified grounds for refusing an application. Detailed evidence would be required. If an application to work part-time or share a job is rejected the applicant has the right to challenge the decision in an employment tribunal and that challenge will be extremely difficult to resist, especially if it is made by a woman returning from maternity leave or a person with a disability. A governing body minded to refuse an application to work part-time or share a job should seek advice from the authority, because the authority reserves the right not to support a school which has acted against its advice. 3. Factors for the governing body to consider Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 156 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers 3.1 Before agreeing to the proposal the governing body needs to consider carefully the implications and the details of any proposal for a head teacher to work part-time, or for the job of head teacher to be shared. These considerations should be undertaken by the staffing/personnel committee, so that there are some governors who have not been involved in the decisions and can serve on an appeal committee if required. It must be very clear whether the arrangement is to be on an indefinite, temporary or fixed-term basis and if temporary or fixed-term the reason for this, having regard to the Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations 2002, under which an employee continuously employed under a fixed-term contract or a succession of fixedterm contracts for a period of four years or more becomes a permanent employee after four years unless the contract is justified on objective grounds. If the job sharing is the result of an existing head teacher wishing to work part-time in a job-share arrangement (rather than from two applicants being appointed jointly as the result of a normal recruitment process) the staffing committee must decide how the governing body would fill the other part of the job (see below). If a job-sharing arrangement is to be open-ended then the staffing committee should decide what would happen when one party to the job-share leaves, whether that part would then be advertised openly or whether the other head teacher could be offered the job on a full-time basis. If one of the job-sharing head teachers is the substantive deputy appointed, without advertisement, to work jointly with the original head teacher, the authority would advise that when the original head teacher retires or leaves for other reasons the job is advertised openly as full-time or job share, as the deputy has not been appointed to headship in open competition. If part-time working, including job sharing, is to be temporary or fixed-term it must be very clear what will happen when the contracts, or the temporary variations to existing full-time contracts, end. For example, a deputy promoted on a temporary basis to share the job will be entitled to revert to full-time deputy at the end of the temporary or fixed-term contract and the staffing structure should provide for this. There may be consequential effects on the staffing structure of the school, for example, when a governing body strengthens the senior leadership team to support a head teacher working part-time, or if the governing body considers promoting a deputy head teacher to share the job of head teacher and that deputy continues to be a deputy for the rest of the time. This would mean that the school would only have a part-time deputy and might wish to appoint a second deputy on a full-time or part-time basis for an indefinite, temporary or fixed-term period according to the duration of the job-sharing arrangement. In turn the second, temporary deputy might only be working part-time in that capacity and the arrangements for covering the other part of his or her normal, full-time job would also be temporary. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 157 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers If there is a proposal to promote a deputy head teacher to share the job the staffing committee should interview the deputy head teacher, with a representative of the local authority in attendance, before making a recommendation to the governing body. During the interview the staffing committee should ascertain not only whether the deputy is capable of discharging the extra accountability attached to the job of head teacher but also whether he or she is willing to accept this extra accountability. The committee should also discuss with the deputy how long the arrangement would last and what would happen when it ends and explain that the authority’s advice is that the appointment should be temporary because the deputy has not gained a headship in open competition. The deputy must also have obtained the National Professional Qualification for Headship for the appointment to be possible (the exemption from that qualification only applies to a person carrying out the functions of the head teacher of a school pending the appointment of a head teacher or in the absence of the head teacher). If a job sharing arrangement with a deputy head teacher is proposed there should also be discussions with the existing head teacher to ensure that he or she is prepared to change the relationship with the deputy to that of equal partner. This might be a difficult adjustment, especially if the deputy continues to work full-time and remains as deputy for part of the week, when he or she would not be an equal partner but would be answerable to the original head teacher. Where a school has two or more deputies and the proposal is to promote one of them to share the job of head teacher, the staffing committee should ensure that each deputy is given the opportunity to express an interest in sharing the job of head teacher and, if more than one does express such an interest, to decide between the two on the basis of an internal recruitment and selection process, with a representative of the local authority attending the interviews. If the school does not have a deputy head teacher the governing body should advertise for someone to share the job of head teacher. Assistant head teachers are unlikely to hold the National Professional Qualification for Headship and so would not be eligible for appointment as substantive head teachers, even on a temporary basis. Moreover, it is most unlikely that they will have obtained the breadth of experience necessary for the role of head teacher. When an existing head teacher would like to work part-time but retain overall responsibility for the school with extra assistance from the leadership team, the staffing committee should consider carefully, in discussion with the head teacher, how that arrangement would work, as the head teacher would have to be prepared to work a flexible timetable in order to be present for all governing body meetings, parents’ meetings, OFSTED inspections and other events in the life of the school. Extra work and responsibility would be required of the deputy head teacher(s) and the governing body would have to determine a suitable increase in remuneration. They would also have to consider whether an extra deputy would be needed. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 158 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers Whilst not prescribing a particular pattern of part-time working or job sharing, the staffing committee should set out its basic expectations of working arrangements, for example, an expectation of consistency, with the same working arrangements applying each week. The staffing committee must ensure that two head teachers sharing the job have satisfactory arrangements to communicate with each other when exchanging responsibilities during the week. The staffing committee should consider what it would expect of both head teachers in job sharing arrangement, in respect of attending governing body meetings, parents’ meetings, OFSTED inspections and other important events in the life of the school. It should discuss these arrangements with both head teachers and ensure that it is satisfied with the arrangements, having regard to the expectations of staff and parents. 4. Advertising the job of head teacher 4.1 The School Staffing Regulations state that the governing body must advertise a post of head teacher (or deputy) in such manner as it considers appropriate unless it has good reason not to. The statutory guidance accompanying the Regulations recommends that the governing body seeks advice from the local authority (and diocesan authority where appropriate) before deciding not to advertise. Such a decision should not leave the governing body open to challenge. 4.2 The authority would advise that a governing body need not advertise if the appointment is for a temporary period, as is the case for acting arrangements. Part-time or job sharing arrangements usually last for a longer period than acting arrangements and should therefore be substantive, even if temporary, appointments rather than acting. The authority would agree that the other half of a job sharing arrangement need not be advertised if, for example, the governing body has failed to recruit a head teacher on an open-ended contract through open advertisement and has found two retired head teachers prepared to share the job on a temporary basis, that is until the job has been re-advertised and a permanent appointment made. When an existing full-time head teacher wishes to work part-time pending retirement within a year or two and if there is an experienced deputy head teacher within the school whom the governing body judges, after interview by the staffing committee, to be capable of serving as head teacher jointly with the head teacher until the head teacher retires, then this too would be a situation in which the job share need not be advertised, but the authority would expect this to be a temporary appointment and that the job of head teacher would be advertised openly when the original head teacher retired or left for other reasons, as the deputy has never competed openly for a headship. 4.3 Where a school has two or more deputies and the proposal is to promote one of them to share the job of head teacher, the staffing committee should Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 159 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers ensure that each deputy is given the opportunity to express an interest in sharing the job of head teacher and, if more than one does express such an interest, decide between the two on the basis of an internal recruitment and selection process, with a representative of the local authority attending the interviews. 4.4 A head teacher cannot be a member of the selection panel which has to be appointed when the post of head teacher is advertised, so an existing head teacher cannot be a member of the panel selecting his or her job-share partner. The selection panel may choose to ask the head teacher for advice, but should be mindful of the statutory guidance to act in a fair and open manner. 5. Contractual arrangements 5.1 Although technically each head teacher in a job sharing arrangement has a part-time contract or a temporary variation to a full-time contract, it is essential for the contracts of employment, or variations to existing contracts, to explain that the head teachers are to share the job and are expected to work jointly with each other to discharge the shared responsibility of the head teacher of the school. The contract (or variation to the existing contract) should specify the contractual proportion of full-time for each head teacher. The job may be shared equally, with each working for half of full-time, or in other ways, such as 0.4 and 0.6. 5.2 It is also essential for part-time or job-share contracts, or variations to existing contracts, to state whether the arrangement is fixed-term or temporary and the reasons for this, also what is to happen when fixed-term or temporary arrangements come to an end. For example, if a deputy head teacher is invited to share the job with an existing head teacher who wishes to work part-time and the deputy wishes to remain full-time, then the governing body should ensure that the deputy has two contracts, one as a part-time head teacher and one as a part-time deputy, with a clear undertaking that the deputy reverts to being a full-time deputy when the job sharing ends and the staffing structure reflecting this. 5.3 If both head teachers were recruited in open competition the governing body may wish to specify that when one leaves the other will have the option of becoming full-time or remaining part-time. 5.4 If the arrangement is for a head teacher to work part-time, with extra support from a strengthened leadership team, then the governing body must consider carefully how that extra support is to be provided, with temporary adjustments to the school’s staffing structure and temporary variations in contracts. The governing body should ensure that the there is an appropriate level of remuneration for deputy head teachers undertaking additional responsibilities Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 160 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers when a head teacher works part-time, reviewing the salary range in accordance with the School Teachers’ Pay and Conditions Document. 5.4 Whatever arrangements are agreed, they must be put in writing so that there is no cause for misunderstanding either during the appointment or when it ends. 6. Sharing responsibilities 6.1 The two head teachers must reach an understanding between themselves and the governing body as to how the job will be shared, whether all aspects will be managed jointly or whether one will take the lead on a particular responsibility. For example, one might lead on the budget and another might undertake the performance management of teachers. If responsibilities are shared in this way, each must know enough about what the other is doing to be able to deal with any matter arising on the days when the other is not at work. In considering a proposal for sharing the job the staffing committee of the governing body should have decided whether both are required to attend meetings of the governing body, staff and parents’ meetings, or whether they alternate according to whether they normally work on the days in question. 6.2 Attached is a list of some of the functions of a head teacher to which particular consideration should be given in relation to sharing the job. 6.3 Good communications are essential, not only between the two head teachers, but between them and the governing body, staff of the school and parents. People must know to whom they go when they need advice or seek action from the head teacher. Particular attention should be given to lines of communication with the deputy head teacher, so that the deputy head teacher is fully involved in the management arrangements and conversant with all relevant issues in the absence of both head teachers. It is recommended that the deputy should participate in handover arrangements between the two head teachers. 6.4 The relevant committee of the governing body must agree performance management objectives with each head teacher. The objectives may be the same for both, but may differ according to relevant experience and the division of responsibilities. The time allocated to the School Improvement Partner for supporting governors in the performance management process will not be increased and will remain at the same level as if there were a single, full-time head teacher. 6.5 If a deputy head teacher works part-time as a head teacher and part-time as a deputy head teacher, that person should have objectives for each role. The governing body should consider how the performance of the deputy head teacher as deputy should be managed. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 161 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers 7. Remuneration 7.1 If the governing body is advertising for a new head teacher with the possibility of applicants seeking to share the job, then the governing body should determine the individual school range as it would normally do when advertising the job. If an existing head teacher is asking to share the job there is no need to review the individual school range, although the governing body may choose to do so. 7.2 The School Teachers’ Pay and Conditions Document requires the governing body to “determine a school’s individual school range”. The range is for the school, not particular head teachers. Therefore, whatever individual school range is chosen, it applies to the job of head teacher and both head teachers will be paid on the same individual school range. Their positions on the range may differ according to when they are appointed. An existing, experienced, head teacher may be at the top of the individual school range. A newly appointed head teacher, whether from outside or within the school, would normally be appointed on the minimum of the range and cannot be appointed above the midpoint. 7.3 Salary progression may also differ between the two head teachers. A head teacher at the top of the individual school range cannot progress further, but a head teacher on a lower point may progress each September in accordance with the provisions of the School Teachers’ Pay and Conditions Document. The staffing/pay committee can only advance the head teacher’s salary if there has been “a sustained high quality of performance by the head teacher” having regard to the most recent review carried out in accordance with the Performance Management Regulations. It is possible that, having regard to the review statements, the pay committee might decide that one head teacher had achieved a sustained high quality of performance and the other had not, but where accountability is shared this would be a difficult case to make. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 162 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers IMPLICATIONS OF JOB SHARING Function Taking a place as a school governor Participating in the selection and appointment of staff Managing staff, including performance management, threshold assessment or assessment for advanced skills teachers, allocating directed time, arranging cover Operating disciplinary including investigations procedures, Employee Relations Unit - CYPF HR © Birmingham City Council Comments The position of school governor is not a job and cannot be shared. Therefore, if both head teachers exercise their right to be a governor of the school, one of the staff governor places will have to be held vacant against the second head teacher or the school’s Instrument of Government will have to be varied to increase the number of staff positions on the governing body, with possible consequent variations to other parts of the Instrument. Both head teachers could interview staff below the level of deputy head teacher if the governing body has delegated that responsibility to the head teacher. However, both head teachers would have to be governors if both were to be appointed by the governing body as members of a selection panel for a deputy head teacher (see above). Otherwise the selection panel could invite the head teachers to advise the selection panel. Head teachers sharing a job would have to ensure that the other employees of the school knew which of them was responsible for the various aspects of managing the school and its employees and to provide consistent management. It is frequently the practice for head teachers to ask a deputy head teacher who has not been involved in the case to investigate allegations of misconduct. If a deputy is also sharing the job of head teacher, then the deputy, by virtue of sharing the job of head teacher and therefore all information and all matters within the head teacher’s functions, would be July 2011 Page of 1012 163 Notes for Guidance – Employees in Schools Job Sharing and part-time working for head teachers precluded from undertaking the investigation. Attending meetings of the governing If the head teachers decided to divide body some functions, then it would be reasonable for the governing body to expect both head teachers to attend to answer any questions about their respective functions Attending and chairing staff meetings Staff might expect to be able to communicate directly with both head teachers Attending parents’ evenings The governing body needs to decide whether it expects both head teachers to attend every parents’ evening or just the head teacher who is on duty on the day. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 164 Notes for Guidance – Employees in Schools Federations and Collaborations 6. Federations and Collaborations 6.1 ‘Federation’ and ‘collaboration’ have legal definitions in education law and are also used to refer to some types of less formal partnership between schools. This guidance concentrates on the staffing arrangements in federations and collaborations established in accordance with regulations made under sections 24 to 26 of the Education Act 2002. 6.2 Governing bodies may propose federations of schools under a single governing body. There are statutory requirements for giving notice of the proposal and for consultation with specified interested parties, but there is no public statutory notice. Each federated school remains open, retains its own status, ethos, admissions policy and a head teacher. Their establishment and organisation are regulated by the School Governance (Federations) (England) Regulations 2004 (http://www.opsi.gov.uk/si/si2004/20042042.htm ). The governing body of the federation acts as the governing body of each school. 6.3 The Regulations include (in Schedule 9) modifications applying the School Staffing (England) Regulations 2003 to federations or federated schools. The regulations permit schools of different types to federate. In such federations the governing body would be the employer for employees in voluntary aided or foundation schools but not for employees in community, community special, voluntary controlled and nursery schools, whose conditions of service would continue to be determined by the local authority as the employer. 6.4 The Education Act 2002 requires every school to have a head teacher (sections 35 and 36). By implication the references in the Federations Regulations to the head teacher of a federation as well as to the head teacher of a federated school mean that there may be a head teacher of the federation in addition to the head teachers of the schools within the federation, but the governing body of a federation may appoint the same person to two or more schools, effectively requiring the head teacher to work part-time in each school. Asking a head teacher to work in this way should have regard to the governing body’s duty to promote the work/life balance of a head teacher. 6.5 The School Staffing Regulations as amended now empower both the governing body and head teacher of a federation to suspend a person employed or engaged to work at the federation, with the governing body and head teacher of a federated school permitted to suspend an employee or person engaged to work at the school. No other amendments to the School Staffing Regulations define the respective responsibilities of the head teacher of a federation and the head teacher of a federated school. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 165 Notes for Guidance – Employees in Schools Federations and Collaborations 6.6 The Education Act 2002 also provides for collaboration between schools, which retain their separate governing bodies. The Act permits the making of regulations to enable the governing bodies of two or more maintained schools to arrange for any of their functions to be discharged jointly or by a joint committee of theirs and for them to appoint such a joint committee for those purposes. The School Governance (Collaboration) (England) Regulations 2003 deal in detail with the proceedings of joint committees and state that where collaborating governing bodies make arrangements for joint discharge in respect of any of their functions relating to individual members of the school staff then the School Staffing Regulations apply to the discharge of such functions. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 166 Notes for Guidance – Employees in Schools Code of Professional Conduct 7. Code of professional conduct 7.1 The City Council’s Code of Conduct is reproduced on the following page. The Government is consulting interested parties on a proposal to introduce a statutory code of conduct for local government employees. In the meantime some advice is set out below on the City Council’s Code and the policies of the City Council on the use of departmental facilities, etc., by employees. The General Teaching Council’s ‘Code of Conduct and Practice for Registered Teachers’ has been revised with effect from April 2009 (http://www.gtce.org.uk/publications/code_conduct1007/ ). In accordance with regulations made under Section 5 of the Teaching and Higher Education Act 1998 the Code lays down standards of professional conduct and practice expected of registered teachers. Although the General Teaching Council has powers to determine the ability of registered teachers to be employed in certain sectors, it does not make individual decisions about the employment of teachers in particular schools and its remit does not yet extend to all unqualified teachers and other teachers who are not registered. It advises that its Code sits alongside existing statutory and contractual provisions governing the employment of teachers and that it is desirable to have a measure of consistency between the Code and any local codes. 7.2 The City Council’s code of conduct and associated advice reflects the ethos of a public organisation. Whereas many private companies allow members of their staff to buy the firm's products at favourable prices or to use the firm's purchasing or other facilities for private purposes, there has been for many years an embargo on such practices by staff of the City Council; this policy still applies. This means that no staff may be allowed facilities such as : buying from the Council's stores; ordering private supplies through the Council's order books and having the amounts recharged through the departmental accounts; having work carried out in Council's garages or works departments on a rechargeable basis; having work done at a discount by firms who work for the Council; ordering materials, etc, at a discount through firms who deal with the Council. 7.3 The use of equipment, tools, stationery and other materials provided for the work of the Authority, for personal purposes (including ‘borrowing' at weekends, etc) cannot be condoned and no Officer of the Department has authority either to make use of official property for his/her own personal use, or to authorise such use by others. It is also inappropriate (and indeed it Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 167 Notes for Guidance – Employees in Schools Code of Professional Conduct would be unlawful) for staff to be offered concessionary terms for the use of facilities provided for public use. 7.4 Attention is also drawn to the need for close observance of the Financial Regulations of the City Council, which govern all the financial work of the Authority and the need for care in the acceptance of hospitality and gifts. It is in the best interests of the staff and of the Local Government Service that all gifts and presents of a personal nature (including cigars, cigarettes and drinks of whatever value) should be refused; all staff should be cautious in accepting any form of hospitality which may be offered, since it may be construed as placing the recipient in a position of obligation to the donor. Anyone in any doubt over particular circumstances is advised to consult the Head of Section or other appropriate senior officers. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 168 Notes for Guidance – Employees in Schools Code of Conduct Code of Conduct The public is entitled to demand conduct of the highest standard of all employees of the City Council. Public confidence in an employee’s integrity would be shaken were the least suspicion to arise that she/he could in any way be influenced by improper motives. From this it must follow that a City Council employee must be honest in fact, and must also be beyond the reach of the suspicion of dishonesty. Employees must not subordinate their duty to their private interests or put themselves in a position where duty and private interests conflict. They must not make use of their employment to further those interests; but neither should their private affairs be ordered so as to allow the suspicion to arise that a trust has been abused or a confidence betrayed. In general, the Council will not be concerned with an employee’s private activities so long as his/her conduct in those activities does not bring discredit upon the City Council. The Council will not attempt to preclude employees from undertaking additional employment, but any such employment must not, in the view of the Council, conflict with or react detrimentally to the Council’s interests, or in any way weaken public confidence in the conduct of the Council’s business. An employee of the City Council must be courteous to all people with whom his/her duties bring him/her in contact. Chief Officers may also apply guidelines which give particular guidance to employees in that Department. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 169 Notes for Guidance – Employees in Schools Politically Restricted Posts 8. Politically restricted posts 8.1 The Local Government and Housing Act 1989 disqualifies certain local government employees from political office or activity. Section 2 of the Act prohibits specified office holders (such as local authority chief officers or deputy chief officers) or people occupying jobs considered sensitive by virtue of their duties from standing for election to local authorities (other than parish and town councils), Parliament and the European Parliament, Welsh and Scottish assemblies, from acting as an election agent or sub-agent, from being an officer of a political party, from canvassing, and from speaking in public, publishing or allowing to be published any written or artistic work that could give the impression that they are advocating support for a political party. However, employees may appeal to be exempted from the prohibition, on the grounds that they do not influence policy or speak on behalf of the authority to journalists or broadcasters. From 1 April 2008, the appeal should be made to the Standards Committee of the City Council. The Act specifically exempts head teachers or principals of schools, colleges or other educational establishments maintained by local authorities and also teachers and lecturers in such establishments. Until January 2010 there was also a prohibition on support staff paid on spinal column 44 and above, but this provision of the Act was then repealed. Information on the address of the independent adjudicator is available from the Local Government Employers http://www.lge.gov.uk/lge/core/page.do?pageId=119739 Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 170 Notes for Guidance – Employees in Schools Residential Accommodation 9 Data Protection and Personal records 9.1 The authority’s policy on personal (paper) records, introduced in 1989 (hence the references in it to colleges), is reproduced in the following pages. It is included here principally for the information of schools, as personal files are held by the authority. In the case of staff in most voluntary aided and some foundation schools for which the authority provides personnel services, the authority will hold a file, but there will also be records held by the school’s governing body as the employer. 9.2 The authority’s computerised personnel records system is subject to the requirements of the Data Protection Act. Any computerised records relating to employees kept by schools should also comply with that law. Schools are reminded that they must register such records separately with the Data Protection Registrar. 9.3 The content of personal files should follow the Government’s statutory guidance in ‘Safeguarding Children and Safer Recruitment in Education’ published in January 2007 – see http://www.everychildmatters.gov.uk/_files/AD6343FE3EF01D9FC86617FE1 1940A48.pdf (paragraphs 4.34, 4.36 and 5.10). 9.4 As the employer, the authority will remain responsible for the maintenance and security of the personal file for each employee. However, it is acknowledged that copies of certain records, such as letters of appointment, will be kept in educational establishments and schools are strongly recommended to follow the policy on personal records in respect of these copies. In particular, access to such papers should be restricted to the head teacher, or, in the absence of the head teacher, the deputy head teacher. 9.5 Members of governing bodies are subject to the same restrictions as city councillors (see details in the policy). 9.6 It is acknowledged that the training record (paragraph 1.1 of the policy) will be incomplete for teachers because no formal recording system exists for such training. 9.7 Employees may ask to see their personal file. The authority will ask for at least forty-eight hours notice of such a request. Schools should give staff similar access to personal files which they may hold. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 171 Notes for Guidance – Employees in Schools Residential Accommodation EDUCATION COMMITTEE’S POLICY ON PERSONAL RECORDS The policy applies to all employees of the City Council on the staff of the Education Department and its establishments. It is commended to the governing bodies of voluntary aided schools for adoption in respect of their own employees. As the employer, the Authority will remain responsible for the maintenance and security of the personal file for each employee (see paragraph 2.4 of the policy). Responsibility for implementing the policy in respect of personal files will therefore rest primarily with the Education Department. However, it is acknowledged that copies of certain records, such as letters of appointment, will be kept in educational establishments. If, in exceptional circumstances, the head of an establishment does keep a duplicate file it must be subject to the Education Committee's policy. Access such files should be limited to the head or, in the absence of the head, the deputy. Members of governing bodies are subject to the same restrictions as elected members. See paragraph 2/2 of the Appendix. It is acknowledged that the training record (paragraph 1.1 of the policy) will be incomplete for teachers because no formal recording system exists for such training. The Education Department will ask for at least forty-eight hours notice of a request from an employee to see his or her personal file. Those who write references on an employee, or former employee, must give a copy of the reference to its subject. A request to a third party for a reference on an employee or prospective employee must state that, in accordance with the Authority's policy, the person who is the subject of the reference would have access to it if appointed to the post. A request from a third party for a confidential reference should be answered in accordance with the policy; the recipient should be told that a copy is being given to the subject of the reference. POLICY ON PERSONAL RECORD FILES - PAPER FILES - APPLICABLE TO ALL EDUCATION DEPARTMENT EMPLOYEES Effective from 1 November 1989 1. ITEMS SUITABLE FOR RETENTION ON FILE (The following are intended as examples and cannot be comprehensive or exhaustive). 1.1 Factual information relating to the employee eg: Personal details (e.g. date of birth, sex, ethnic origin, next of kin etc) Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 172 Notes for Guidance – Employees in Schools Residential Accommodation Job History Training Record Qualifications Absence History Accidents 1.2 Correspondence with the Employee, particularly that relating to the contract of employment e.g. Letter of Appointment Correspondence relating to Conditions of Service, Grading etc. 1.3 Correspondence about the Employee e.g. References obtained from Employers (see 5 below) References given to prospective employers (see 5 below) Bank/Building Society References (given with the employee's permission) Medical Reports from the Authority's Medical Advisers (see 6 below) 1.4 Disciplinary and Grievance Matters e.g. Notes of Disciplinary/Grievance Hearings Letters sent to the Employee relating to such hearings Records of Disciplinary Warnings 1.5 Payroll Documentation e.g. Pay Deduction Authorisation Forms 1.6 2. Probation Reports (formal probation assessments only) SECURITY OF FILES 2.1 Personal files should be kept in locked filing cabinets at an appropriate location. Thus personal files for each Schools Area should be held within the Area Office, under the control of the staffing officer. 2.2 Access to personal files must be limited to those officers whose duties require them, and who have authority, to have such access. Elected members who require access to personal files of individuals in the execution of their constitutional duties must have such requests authorised personally by the Chief Education Officer. The employee who is the subject of the enquiry will be informed. 2.3 Facilities should be available for files to be inspected within the filing room. Files should be removed from the filing room only for Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 173 Notes for Guidance – Employees in Schools Residential Accommodation supervised work or in exceptional circumstances authorised by the Chief Education Officer. A signed record should be maintained of the date of issue and the person taking the file. That person then assumes full responsibility for the safe keeping and prompt return of the file, including that it should not be shown to any other person, and that it should be kept in a locked cabinet or desk whenever it is not actually in use. 2.4 As a general rule there should be only one personal file for each employee and all relevant documents should be located on that file. An exception to this would be for employees based at schools or colleges where for administrative reasons it may be appropriate to maintain duplicate files, one centrally and the other at the school or college. All local files must be retained under similar conditions of security as the central file and employees will have an equal right of access to either file. It is the responsibility of the Head Teacher or other local manager to ensure that a copy of any important document placed on the local file is passed to the relevant staffing officer for filing on the central file. 3. ACCESS TO EMPLOYEES' OWN FILES 3.1 Any employee will be allowed access to his/her own personal file or duplicate file (if any) during normal office hours having given reasonable advance notice. 3.2 Employees should not be allowed to remove their files from the filing room, but should be given facilities to examine the file within that room. At no time should the employee be left alone with the file, nor should he/she be allowed to enter, amend, or remove any item from the file. If the employee requests a copy of any document or documents from the file, then he/she should be asked to flag the relevant pages and a member of the clerical staff should do the photocopying either then or at a later date. N.B. In general there should be no charge for meeting reasonable requests for photocopies. However, the right is reserved to make a charge in exceptional situations, where the request is for the copying of an entire file for example. 3.3 Any employee who identifies an error of fact within their personal file should bring this to the attention of their staffing officer. The staffing officer can then authorise the amendment of the error, after requesting documentary evidence from the employee if appropriate. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 174 Notes for Guidance – Employees in Schools Residential Accommodation 4. ACCESS TO PERSONAL FILES BY PERSONS OTHER THAN EMPLOYEES OF THE CITY COUNCIL 4.1 No person not an employee of the City Council shall be allowed access to an employee's personal file without the employee's personal permission, given in writing. 4.2 Similarly no personal information (including home address/telephone no.) on any employee should be released to any third party, verbally, by telephone, or in writing without the permission of the employee concerned. 4.3 Enquiries from the Police concerning personal details of employees need to be handled particularly carefully. The City Council would wish to co-operate with the Police but staffing officers should satisfy themselves both as to the bona fides of the caller and the reasonableness of the request. Information should never be given directly on the telephone. At the least call back to ensure that the caller is genuine. Information given should be restricted to factual information directly related to employment. For example confirmation that we employ the person concerned, how long for, what as, and whether they were at work on particular dates. If the police request a home address/telephone number ask them first what address/telephone number they have and then confirm whether or not that agrees with our own information. Requests for information on personal circumstances should be politely but firmly refused and the caller advised to contact the employee direct. If any staffing officer is unsure how to handle particular requests, seek the advice of the Personnel Unit before divulging any information. 5. References Personal references given about an individual have traditionally been regarded as confidential, even from the person about whom they are written. Ethically, however, any personal reference must be regarded as of questionable validity if its author is reluctant for it to be shown to the person about whom it is written. From the effective date of this policy, therefore, and as a matter of good employee relations, a copy of any reference written within the education department about an employee or former employee to a third person, will be sent to the person who is the subject of that reference. Similarly any request to a third person for a reference upon an employee or prospective employee Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 175 Notes for Guidance – Employees in Schools Residential Accommodation will include a statement that the person concerned would have access to that reference if he/she is appointed to the authority. Since it is accepted that existing references on files could have been given in confidence staffing officers should ensure that any references on personal files which pre-date the effective date of this policy should be removed from the file and destroyed. 6. 7. Medical Reports 6.1 Medical reports given upon an employee or potential employee to the Authority are very sensitive documents and need to be treated accordingly. Employee's doctors are occasionally more direct or explicit in reporting upon an employee's medical condition to the employer than they are to the employee him or herself. This can occasionally lead to distress for the employee, particularly where the medical prognosis is poor, if the situation is mis-handled. 6.2 At the same time the Access to Medical Reports Act l988 gives individuals the right to check the accuracy of medical reports prepared by a medical practitioner who is or has been responsible for their clinical care, in response to a request from an employer. However there are exceptions to this right and thus it is not safe to assume that the employee can be shown a medical report. 6.3 Employees should always be informed of the outcome of any medical examination upon them. Where that outcome has implications for their continuing employment with the Authority it is essential that this should be discussed on a face to face basis, rather than by letter. Staffing officers or line managers need to be very sensitive in their handling of such interviews and should never allow the employee actually to read the medical report, or quote from it themselves, if there is any likelihood of causing distress to the employee by so doing. If in doubt the advice of the Personnel Unit/Occupational Health Unit should be sought before entering into discussion with the employee, or allowing him/her access to the medical report. REMOVAL OF TIME EXPIRED DISCIPLINARY WARNINGS FROM PERSONAL FILES 7.1 Staffing officers should ensure that an appropriate diary or "bring forward" system is set up to remove disciplinary warnings from personal files on expiry. 7.2 In any event a visual check of the personal file should be made by the staffing officer in advance of releasing the file to a line manager or Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 176 Notes for Guidance – Employees in Schools Residential Accommodation other authorised person and any time expired disciplinary warnings still remaining on the file should be removed. 8. GENERAL If further guidance is needed in relation to policies on employees' personal files, this should be sought from the Personnel Unit. Footnote: Throughout this document the term "staffing officer" is used in the context of any person whose job includes responsibility for the maintenance and security of personal files. It does not denote a specific job title. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 177 Notes for Guidance – Employees in Schools Residential Accommodation 10 Residential accommodation 10.1 Some jobs carry a requirement for the employee to occupy residential accommodation provided for the purpose. In the case of building services supervisors, this is not an automatic requirement and in many cases governing bodies have decided to waive it. Where the requirement exists, arrangements should be made in the recruitment process to include it in the advertisement and job description and to ensure that the candidates see the accommodation before the interviews. Details of the obligations on the occupant (such as the bills to be paid – building services supervisors do not pay rent but meet other outgoings on the property) should be given. For community, community special, voluntary controlled and maintained nursery schools it is essential that the school informs Schools Personnel Services that the successful applicant is to be resident, so that the necessary arrangements can be made for a service licence to be drawn up between the authority and the employee. Where the accommodation is not owned by the authority, the responsibility for the occupancy agreement will fall to the landlord. 10.2 In residential special schools there are requirements on other categories of staff to live in or sleep in on certain nights in the week. In these cases also details should be given during the recruitment process. Where the accommodation is self-contained Schools Personnel Services must be asked to arrange for the appropriate service tenancy agreement to be sent to the successful candidate. Subsidised rent is payable for accommodation in special schools. 10.3 There are special arrangements for additional remuneration for certain categories of employee in residential special schools. These are covered by the national agreements reached in the Joint Negotiating Committee for Teachers in Residential Establishments and include payments for the additional responsibilities carried by the head teachers and deputies in residential special schools (at different levels according to size of school, proportions of pupils in residence and whether the head teacher and deputy themselves reside on site – it is for the governing body to decide on the latter before advertising the jobs) as well as sleeping-in duty and extraneous duty allowances. Full information is obtainable from Schools Personnel Services. The additional remuneration is brought within the School Teachers’ Pay and Conditions Document by a paragraph in that Document giving the relevant body discretion to determine payments to teachers for residential duties and is therefore pensionable. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 178 Notes for Guidance – Employees in Schools Qualifications QUALIFICATIONS 1 Qualifications, including regulatory requirements, pre-employment checks, specified work and special categories of teacher Requirements of education law 1.1 Before confirming the appointment of a person selected by a governing body (or head teacher or governors acting under properly delegated authority from the governing body), the local education authority must satisfy itself that the governing body has undertaken the checks required of the governing body under the School Staffing Regulations 2009 http://www.opsi.gov.uk/si/si2009/uksi_20092680_en_1). . These checks include identity, the staff qualification requirements defined in the Regulations, and the right to work in the United Kingdom. In addition, the governing body must obtain an enhanced criminal record certificate before, or as soon as practicable after, the person’s appointment. If the person has lived outside the United Kingdom for such a period of time that an enhanced criminal certificate is not sufficient, then the governing body must make further checks having regard to any guidance issued by the Secretary of State. 1.2 Staff qualification requirements are defined in the School Staffing Regulations as including academic qualifications required under various regulations, registration with the General Teaching Council (for teachers), health and physical capacity (for any employee undertaking activities prescribed by the regulations) and statutory prohibition or barring from regulated activity relating to children. If a prospective employee does not meet the staff qualification requirements the authority will refuse to issue a contract. If an existing employee ceases to meet the staff qualification requirements schools should seek the advice of the Employee Relations Team. 1.3 Governing bodies, or head teachers acting on their behalf, are advised to make preliminary enquiries of HR Services for schools before interviewing candidates if information on the application form suggests that the applicant may not meet all the staff qualification requirements. 1.4 For example, a teaching qualification gained abroad may, or may not, have been recognised by the General Teaching Council for England (or, before the Council acquired that function, the Government) for the purposes of qualified teacher status in England and Wales. Qualifications in Scotland and Ireland should also be checked; the teachers concerned must have their qualifications formally accepted by the General Teaching Council in order to count as qualified teachers in England and Wales. Enquiries should always be made about teachers who hold certificates for further education teaching, as such certificates do not confer qualified teacher status. Schools should also be aware that the BA in Education is not equivalent to a B. Ed and does Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 179 Notes for Guidance – Employees in Schools Qualifications not confer qualified teacher status. Records of qualified teacher status are kept by the General Teaching Council and the best way of checking a teacher’s qualified status is to see whether the teacher is registered fully with the Council (as distinct from provisional registration, which applies to categories of unqualified teacher) 1.5 Nationals of the European Economic Community who have been trained as teachers may apply directly to the General Teaching Council for recognition as qualified teachers in England and Wales under the European Directive on the mutual recognition of higher education qualifications. General Teaching Council 1.6 All qualified teachers must be registered with the General Teaching Council in order to teach in schools. Other teachers may choose to register. They are required to pay a registration fee, which their employers must deduct if the fee is not paid by other means and for which the teacher is entitled to receive a special payment under the School Teachers’ Pay and Conditions Document. The various categories of unqualified teacher, including those on the employment-based teacher training scheme must be provisionally registered with the General Teaching Council. Cases in which a teacher is dismissed on grounds of incapability or might have been considered for dismissal had not he or she resigned or withdrawn his or her services have to be referred to the General Teaching Council. The Independent Safeguarding Authority also refers to it cases of misconduct in which dismissal occurred or might have been considered, where those cases do not lead to automatic barring of the teacher. The Government is bringing forward legislation to abolish the General Teaching Council in 2012, but some of the Council’s functions will be transferred to the Department for Education or other bodies. Pre-employment checks, including child protection 1.7 Schools must be aware of the required pre-employment checks and their responsibilities in those arrangements, including identity, the right to work in the United Kingdom, medical clearance, checks with the Criminal Records Bureau and with the barred lists maintained by the Independent Safeguarding Authority As part of its personnel services to schools, the authority provides full support to schools for checks on the right to work, enhanced criminal records certificates, and checks on the lists of people barred from employment with children, through the Schools Plus section. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 180 Notes for Guidance – Employees in Schools Qualifications Health checks are processed through the Schools HR Section. The following forms should be used to obtain medical clearance Medical clearance forms for teachers Medical Clearance form for Support Staff 1.8 For teachers and other people working with children and young people, the Criminal Records Bureau will cover the barring lists, maintained by the Independent Safeguarding Authority, of people who have been barred, or restricted, by the Secretary of State from employment with children or young persons, either on grounds of misconduct or on medical grounds. Details of the current regulations on barring (formerly known as List 99) can be found on the website of the Independent Safeguarding Authority http://www.isagov.org. and on Teachernet at guidance on child protection. 1.9 The Regulations also provide that volunteers or contract workers who provide services which involve regular contact with pupils under the age of nineteen must not have not been barred from employment in such work by the Secretary of State. 1.10 The guidance on checks with the Criminal Record Bureau also covers selfemployed people or organisations which provide services involving regular contact with pupils off site as well as on the premises. Such contract workers may include teachers and other professionals who are self-employed (and who can satisfy the authority of their business status and arrangements for paying tax and national insurance); in these cases schools should obtain evidence that the appropriate checks have been carried out already or, in conjunction with the person concerned, ensure that these checks are made. 1.11 There are special requirements for checking people from overseas – see the guidance published by the Department for Education and Skills in 2006 on child protection (which is currently under review ) (http://www.teachernet.gov.uk/wholeschool/familyandcommunity/childprotecti on/goodpractice/saferrecruitment/) 1.12 Schools buying personnel services from organisations other than the local authority must make appropriate arrangements with those organisations. Schools providing their own personnel services must register directly with the Criminal Records Bureau. 1.13 The Immigration, Asylum and Nationality Act 2006 requires employers to ensure that all employees have the right to work in the United Kingdom; it is a criminal offence to employ a person who is not authorised to work in the United Kingdom. All prospective employees should therefore be asked to produce one or more of the documents specified in the Act. Full guidance can be found under Guidance for the Prevention of Illegal Working. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 181 Notes for Guidance – Employees in Schools Qualifications Information is also available on the website of the United Kingdom Border Agency - http://www.bia.homeoffice.gov.uk/. Teaching qualifications, including qualifications for head teachers 1.14 When a teacher is recommended for appointment, the authority will check academic and related qualifications to ensure that the teacher satisfies the requirements of the Education (School Teachers’ Qualifications) (England) Regulations 2003. Offers of employment are made to student teachers on condition that they obtain qualified teacher status, which will not be granted unless the student has also passed the skills tests. Prospective teachers who have not passed the skills tests are not qualified and their contracts of employment are void. They cannot be employed as qualified teachers. With the consent of the governing body and the authority they may be offered temporary employment as instructors, but only if and for so long as no suitable qualified teacher is available for appointment or to give the instruction, that is, while the school recruits a suitable replacement. The authority is prepared to agree to appointment as an instructor when the prospective teacher has not yet passed the skills tests but not when he or she has failed the teacher training course. 1.15 The Education (School Teachers’ Qualifications) (England) Regulations specify that teachers of pupils with hearing or visual impairment or a combination of both must have a special qualification in addition to normal qualified teacher status. It is permissible to employ a teacher without such a special qualification if the teacher has the intention of obtaining the necessary qualification and then only for a maximum of three years. 1.16 There are additional requirements for head teachers. A head teacher first appointed to such a job after 1st April 2004 and before 1st April 2009 must have, or must have applied successfully to train for and within four years obtain, the National Professional Qualification for Headship or such comparable qualification as is prescribed by subsequent relevant regulations. From 1st April 2009 there is no transitional period – new head teachers must already have obtained the necessary qualification in order to serve as a head teacher. Special Educational Needs Co-ordinators 1.17 The Education (Special Educational Needs Co-ordinators) (England) Regulations 2008, as amended in 2009, provide that from 1st September, 2009, a special educational needs co-ordinator must be either a qualified teacher who has completed satisfactorily an induction period and is working as a teacher at the school, or the head teacher or acting head teacher of the school, or a person who has had responsibility for co-ordinating the making of special educational provision for pupils with special educational needs for a period of at least six months ending on 31st August 2009 and the governing Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 182 Notes for Guidance – Employees in Schools Qualifications body is satisfied that this person is taking steps to become trained as a teacher and there is a reasonable prospect of the person meeting that requirement by 1st September 2011. In addition, if on 1st September 2009 a school’s designated special educational needs co-ordinator has not been designated as such for twelve months or if someone is appointed as such after 1st September 2009 but at that date has not been a special educational needs co-ordinator elsewhere for twelve months, the governing body must ensure that the co-ordinator achieves the qualification known as “The National Award for Special Educational Needs Co-ordination” within three years. Governing bodies must determine the main responsibilities of their special educational needs co-ordinator and monitor the effectiveness of the coordinator in carrying out those responsibilities. The regulations include a list of the kind of tasks appropriate to a co-ordinator. Teachers qualified in Scotland and Northern Ireland 1.18 Teachers qualified in Scotland and Ireland must have their qualifications formally accepted by the General Teaching Council for England in order to work as qualified teachers in England and Wales. Other persons and Specified Work 1.19 It is permissible to employ unqualified people for some teaching duties. These duties have been defined as ‘specified work’ by Government regulations introduced following ‘Raising Standards and tackling workload: a national agreement’ signed in 2003. Some guidance on the employment for specified work of people who are not qualified teachers is included in the authority’s 2004 agreement on the grading of classroom-based support staff and in the authority’s guidance on cover for teachers. 1.20 The phrase ‘specified work’ was introduced by the Education Act 2002. The Education (Specified Work and Registration) (England) Regulations 2003 define specified work as “(a) planning and preparing lessons and courses for pupils; (b) delivering lessons to pupils; (c) assessing the development, progress and attainment of pupils; and (d) reporting on the development, progress and attainment of pupils.” A person may only carry out this specified work in a school if he or she is a qualified teacher, is one of the types of unqualified teacher specified in the Regulations (see below), or is a person satisfying the other requirements specified in the Regulations. These other requirements are that a person may carry out specified work only “in order to assist or support the work of a qualified teacher or a nominated teacher in the school”, must be “subject to the direction and supervision of such a qualified teacher or nominated teacher in accordance with arrangements made by the head teacher of the school” and that the head Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 183 Notes for Guidance – Employees in Schools Qualifications teacher must also be satisfied that the person “has the skills, expertise and experience required to carry out” the specified work. The guidance accompanying the Regulations includes some advice on the arrangements to be made by the head teacher for the required direction and supervision of a person undertaking specified work. 1.21 1.22 The Regulations effectively define categories of unqualified teacher to include the following and make their employment subject to certain conditions. Further information on the three main categories is included in the following sections. persons on the employment-based teacher training scheme overseas trained teachers instructors with special qualifications or experience Student teachers as defined in the Regulations are not normally employed in Birmingham. They must be subject to the direction and supervision of a qualified teacher in accordance with arrangements made by the head teacher of the school and the head teacher must be satisfied that they have the skills, expertise and experience required to undertake specified work. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 184 Notes for Guidance – Employees in Schools Employment-based Teacher Training Scheme, including Former Graduate Teachers, Registered Teachers and Licensed Teachers 2. Employment-based teacher training scheme, including former graduate teachers, registered teachers and licensed teachers 2.1 The employment-based teacher training scheme introduced by the Government in 2002 is the latest in a succession of such schemes, replacing the separate categories of graduate and registered teacher and the former licensed and overseas-trained teachers. These categories have been retained in some regulations, because of people who have not yet finished their training. The employment of unqualified teachers on employment-based teacher training scheme is permissible under Government regulations, with which appointments must comply. The scheme is intended to enable suitably qualified, mature candidates to work as teachers in schools while following an individual training programme designed to lead to qualified teacher status and to give schools money for this programme. It is administered on the Government’s behalf by the Training and Development Agency for Schools (formerly the Teacher Training Agency). Full details of the scheme are also available from this authority’s Advisory and Support Service. 2.2 Schools wishing to employ a teacher under the scheme must have the formal support of a ‘designated recommending body’. A full list is available on the website of the Training and Development Agency for schools (http://www.tda.gov.uk) and advice is also available from the authority’s Advisory and Support Service. The designated recommending body will advise on the procedure and on the admission criteria, including qualifications. As implied by the title, graduate teachers had to hold a first degree or equivalent qualification (and meet certain other criteria), whereas registered teachers were required to have completed a recognised programme of professional training for teachers outside the United Kingdom or have at least two years’ full-time higher education in England or Wales or equivalent (and meet certain other criteria). The current employment-based teacher training scheme continues to distinguish between graduate and nongraduate teachers in respect of the admission criteria, the timing, nature and length of the training. Funding arrangements differ between graduates and other trainees on the scheme and the title ‘graduate teacher’ is still used. The requirements for preliminary qualifications in English and Mathematics (and Science for primary teaching) are the same as for the regular routes into teaching. If the application is successful the designated recommending body will allocate funds to support the approved programme of training. The recommending body may at the same time apply on behalf of the school for a grant from the Training Development Agency to support the salary costs of a graduate teacher, but funds are limited and a graduate teacher may be employed on the scheme on the understanding that the school meets all the costs. Further information is available from the Advisory and Support Service, which is a designated recommending body. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 185 Notes for Guidance – Employees in Schools Employment-based Teacher Training Scheme, including Former Graduate Teachers, Registered Teachers and Licensed Teachers 2.3 The School Teachers’ Pay and Conditions Document gives governing bodies the responsibility for deciding whether a teacher on the employment-based teacher training scheme shall be paid as a qualified or unqualified teacher. If paid as an unqualified teacher the same arrangements should apply as for instructors. 2.4 Further guidance on the scheme, including the roles of the local authority and schools, pay and conditions and contracts of employment can be found at http://ebriefing.bgfl.org/index.cfm?p=resources,view_resource&id=2422&zz= 20060801154032776 and the Training and Development Agency’s website at http://www.tda.gov.uk . Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 186 Notes for Guidance – Employees in Schools Overseas Trained Teachers 3. Overseas trained teachers 3.1 This term has had different definitions over the years, both in Government regulations and in a general, non-statutory sense. Currently, the Education (School Teachers’ Prescribed Qualifications, etc.) Order 2003 and the Education (Specified Work and Registration) (England) Regulations 2003 (as amended) provide that a person who is not a qualified teacher may carry out work specified in regulation 6 of the Specified Work Regulations in a school (other than a pupil referral unit) if he or she has successfully completed a programme of professional training for teachers in any country outside the United Kingdom and which is recognised as such a programme of training by the competent authority in that country. The employment for specified work is for a maximum of four years from the date when the person first carries out specified work in a school in this country (i.e. not just in Birmingham), subject to an extension to take account of absence from work on account of maternity leave, paternity leave, parental leave, adoption or pregnancy. The letter of appointment and statement of particulars should include the statutory limit and the reason for the temporary duration of the contract. There is no discretion in the School Teachers’ Pay and Conditions Document to pay overseas trained teachers as qualified teachers, so they must be paid as unqualified teachers. Schools Personnel Services checks on the qualification of such a person and, given the specific provisions of the Regulations, the length of their previous employment. Schools using teachers from private agencies should check that the agency is complying with this provision of the Regulations (see the guidance under the section on qualifications for further details). 3.2 Schools must also satisfy themselves that overseas-trained teachers are legally permitted to work in the United Kingdom. Detailed information can be found on the section entitled “Guidance for the Prevention of Illegal Working”. 3.3 Nationals of the European Economic Community who have been trained as teachers may apply directly to the General Teaching Council (www.gtce.org.uk ) for recognition as qualified teachers in England and Wales under the European Directive on the mutual recognition of higher education qualifications. 3.4 It is possible for overseas trained teachers from outside the European Community to obtain qualified teacher status through the employment-based teacher training scheme. They must apply to join the employment-based teacher training scheme in time to complete the training before four years expire since they first taught in this country. 3.5 A former overseas trained teacher who becomes qualified may still have only temporary residence or restrictions on the type of work he or she can Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 187 Notes for Guidance – Employees in Schools Overseas Trained Teachers undertake, so the teacher’s circumstances must be checked before a contract of employment as a qualified teacher is offered. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 188 Notes for Guidance – Employees in Schools Instructors 4 Instructors 4.1 The Education (Specified Work and Registration) (England) Regulations 2003 (as amended) permit, in prescribed circumstances only, the appointment of a person who is not a qualified teacher to give instruction in any art or skill or in any subject or group of subjects (including any form of vocational training) where special qualifications or experience or both are required in order to carry out the work specified in regulation 6. The prescribed circumstances are that the governing body acts with the consent of the local authority, which must be satisfied with the proposed instructor’s qualifications or experience or both (as the case may be) and that no suitable qualified teacher or teacher on the employment-based teacher training scheme is available for appointment or to give the instruction. Once appointed the instructor may carry out the work only for such period of time as no suitable qualified teacher or teacher on the employment-based teacher training scheme is available for appointment or to give instruction, i.e. on a temporary basis. 4.2 Consequently instructors can only be appointed on a temporary basis and schools should continue their endeavours to find a suitable qualified teacher or a suitable candidate for training on the employment-based teacher training scheme. It is recommended that the vacancy should be re-advertised regularly, preferably every term, but certainly at least every academic year. The termination of the contract for an instructor when a qualified replacement has been found must follow the provisions of the Dispute Resolution Regulations and include due notice once the procedures have been completed. 4.3 An instructor appointed before 8th April, 1982, may have permanent employment status. 4.4 Instructors must be paid on the special scale for unqualified teachers in the School Teachers’ Pay and Conditions Document and in accordance with the rules in that Document. The authority recommends that the starting salary should be assessed as set out in the model pay policy. The Pay and Conditions Document permits the payment of “such additional allowance” as the governing body considers “appropriate” either because the instructor has taken on a sustained additional responsibility which is focussed on teaching and learning and requires the exercise of a teacher’s professional skills and judgement or qualifications or experience which bring added value to the role of that particular instructor. 4.5 The notice period for instructors is one month, unless they are entitled to longer notice under employment legislation. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 189 Notes for Guidance – Employees in Schools Instructors 5. Teacher trainees who have yet to pass the skills tests 5.1 The Education (Specified Work and Registration) (England) Regulations 2003 permitted the employment for specified work of persons over the age of eighteen who were not qualified teachers, who were required to pass the teacher trainee skills tests in order to satisfy the specified standards and who would have been awarded qualified teacher status but for the fact that they had not passed all the teacher trainee skills tests. They could be employed in that capacity until 31 August 2008; that period could be extended to take account of any period when the person was absent from work in the exercise of statutory rights to maternity leave, paternity leave, parental leave or adoption leave, or because of her pregnancy. There should not now be any people in this category. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 190 Notes for Guidance – Employees in Schools Right to work in the United Kingdom 6. Right to work – procedure for checking identity and the right to work in the United Kingdom The authority’s guidance is currently under review. For further information contact Ellen Osborne on 303 4524 Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 191 Notes for Guidance – Employees in Schools Right to work in the United Kingdom Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 192 Notes for Guidance – Employees in Schools Probation and Induction PROBATION AND INDUCTION 1. Probation Support staff 1.1 Except in the case of an officer transferred from the service of another authority, or from any other service accepted by the City Council as appropriate to the post to be filled, support staff newly appointed to the service of the City Council are subject as a condition of service to a probationary period of twenty-six weeks. The appropriate officer is responsible for reviewing progress two months after such an employee starts work. After a further two months there will be another report leading to a decision whether the probationary period has been completed satisfactorily after the total period of twenty-six weeks. Head Teachers will be asked by Schools Personnel Services to provide probationary reports at appropriate intervals. 1.2 It is City Council policy that induction should be designed for all employees regardless of the hours they work and the type of work they do and whether or not they are subject to probation. All employees should be given an appropriate programme of induction, which should provide over a reasonable period of time an understanding of policies, procedures and standards, an introduction to colleagues and contacts, arrangements for supervision, guidance and development, information on health and safety and terms and conditions of employment. A checklist is very useful when planning induction. Teachers 1.3 In 1999 the Government introduced statutory induction for school teachers qualifying on or after 7th May, 1999. Full details of the requirements for statutory induction are given in the following pages. 1.4 For the first appointment of any teacher who qualified before 7th May, 1999, and who is therefore not subject to statutory induction, schools are advised to use the local probationary scheme introduced in 1992 on the abolition of statutory probation. This is reproduced in the following pages. (There is a parallel scheme for voluntary aided schools, which could also be used by foundation schools.) 1.5 The local probationary scheme introduced after the abolition of statutory probation in 1992 was intended to help schools give newly qualified teachers systematic support and to provide schools with a framework to appoint newly qualified teachers on a permanent basis. In Circular 000639 the Authority explained its wish to encourage commitment amongst its staff and its concern at the number of schools appointing teachers on temporary contracts. It Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 193 Notes for Guidance – Employees in Schools Probation and Induction commended the local probationary scheme as a fair means of assessing a newly 1qualified teacher's suitability. However, the scheme was not used for eligible teachers on temporary or fixed-term contracts. This was because the scheme provided that where a newly qualified teacher was experiencing difficulties probation would normally be extended by at least one term and could be held to bind the employer to extend a temporary or fixed-term contract, regardless of the reason for that contract. This drawback does not apply to statutory induction, which covers all teachers who qualified on or after 7th May, 1999, and work for at least one term. 1.6 The old statutory requirement for teachers to serve a period of probation (rather than induction) was abolished on 1st September, 1992, except for teachers who had begun, but not completed, probation before that date. The regulation that teachers who failed statutory probation under the Education (Teachers) Regulations 1989 may be appointed to another post in a different school still applies. So does the regulation prohibiting the re-appointment, without the express consent of the Secretary of State, of teachers who failed probation under the Education (Teachers) Regulations 1982 or earlier Regulations. 1.7 The authority continues to advise against offering temporary contracts to newly-qualified teachers. Detailed advice is given in the section on temporary and fixed-term contracts. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 194 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers 2. Statutory induction of school teachers Introduction: the statutory framework 2.1 Section 19 of the Teaching and Higher Education Act 1998, as amended by Section 139 of the Learning and Skills Act 2000 and Schedule 21 of the Education Act 2002, and the Education (Induction Arrangements for School Teachers) (England) Regulations 2008 require newly qualified teachers employed at relevant schools to have completed satisfactorily an induction period of not less than three school terms, or the equivalent number of terms or days in a school year, in accordance with the detailed provisions of the regulations. For statutory guidance on the 2008 regulations see http://www.teachernet.gov.uk/professionaldevelopment/induction/IndSept200 8onwards/ . Teachers who have completed their statutory induction period at 1st September 2008 but who are deemed not to have passed induction and are waiting on the outcome of an appeal, are covered by the Education (Induction Arrangements for School Teachers) (Consolidation) (England) Regulations 2001 and subsequent amendments; these cases will already be the subject of special attention from the local authority as the Appropriate Body under the Regulations. 2.2 The Regulations cover the requirement to serve an induction period, schools in which that period may be served, the length of the induction period, periods of employment counting towards induction, supervision and training during induction, standards for determining whether a person has completed induction satisfactorily, completion of induction, extension and failure of induction. Detailed guidance on each aspect of the Regulations is given in the following sections of these notes. 2.3 The Regulations provide that the Secretary of State may determine the standards against which a person who has completed an induction period shall be assessed for the purpose of deciding whether he or she has completed it satisfactorily. The statutory guidance provides that these shall be the core standards for teachers. They also provide that a person or body exercising a function under the Regulations “must have regard” to any guidance given by the Secretary of State from time to time as to the exercise of that function. In view of the provisions in the Regulations, the standards effectively have statutory force. This means that the guidance would be taken into account in any proceedings brought in an employment tribunal by a teacher claiming unfair dismissal on the grounds that his or her statutory induction period had not been adequately supported, supervised or assessed. 2.4 The School Teachers’ Pay and Conditions Document imposes a responsibility on head teachers “for the supervision and training of teachers during their induction periods in accordance with the Induction Regulations, and making a recommendation at the end of such induction periods as to Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 195 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers whether such teachers have met the prescribed induction standards as required by those Regulations”. Head teachers are responsible under the statutory guidance for notifying the Appropriate Body (the local authority in the case of maintained schools) of the appointment of all newly qualified teachers, so that they may be registered, and for informing the authority if a teacher leaves before the end of the induction period. Head teachers also have a duty to ensure that “teachers serving induction periods under the Induction Regulations do not teach for more than 90 per cent of the time a teacher at that school who does not receive payments in respect of additional duties or responsibilities would be expected to teach”. The professional duties of teachers include a requirement to participate in arrangements for their own induction training (where applicable) and contributing to the induction and assessment of teachers serving induction periods. The professional duties of Advanced Skills Teachers also include participating in the induction and mentoring of newly qualified teachers. 2.5 The School Teachers’ Pay and Conditions Document also specifies that teachers who have failed induction and are awaiting the outcome of an appeal must only carry out such limited teaching duties as the Secretary of State determines under the Induction Regulations (see teachernet website above). 2.6 The Teaching and Higher Education Act 1998 provides that the salary of a teacher who has failed to complete induction satisfactorily and who is in school but not undertaking normal duties there (as provided by the Regulations) pending the outcome of dismissal or appeal proceedings shall not be charged to the school’s budget share unless the local education authority has good reason for so charging. The local education authority would regard as “good reason” any failure by the school to discharge its responsibilities under the Regulations for supervising and training the newly qualified teacher. 2.7 In fulfilling their obligations towards newly qualified teachers, schools will find the authority’s guidance, including a model induction commitment, a very useful source of good practice and a recruitment incentive when advertising for teachers (http://inline.birmingham.gov.uk/nqt ) Requirement to serve an induction period 2.8 The Regulations provide that no person shall be employed as a teacher at a relevant school in England unless he or she has completed satisfactorily an induction period in accordance with the Regulations or unless he or she falls within one of the exceptions allowed under the Regulations. 2.9 The exceptions cover, inter alia, teachers who qualified on or before 7th May 1999, a person serving an induction period, a person awaiting the outcome of an appeal against a decision that induction has not been completed Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 196 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers satisfactorily, a person employed as a supply teacher for one or more periods of less than one term during the sixteen months starting on the date of first employment in that capacity or for whom the appropriate body has authorised further employment as specified in the Regulations, a person employed on the employment based teacher training scheme or an instructor, a person covered by that part of the regulations governing certain qualified teachers in Wales or Northern Ireland, a person who has full registration as a teacher of primary or secondary education with the General Teaching Council for Scotland, and a person deemed to have the necessary qualifications from Europe (as provided in the details of the Regulations). 2.10 Schools are advised to keep in place the existing local probationary scheme for any teacher who qualified on or before 7th May and who takes up his or her first appointment on or after 1st September 1999, as that teacher is not subject to statutory induction. With the passage of time such cases are rare, but the scheme is included with this guidance for reference. Schools in which an induction period may be served 2.11 An induction period may only be served in a relevant school in England or in an independent school in England which follows the appropriate sections of the National Curriculum and whose proprietor and a relevant body have agreed that the relevant body is to act as the Appropriate Body or in a further education institution where, before the start of the induction period, the governing body of the institution and a local authority have agreed that the authority shall act as the Appropriate Body in relation to the institution. A relevant school is a school maintained by a local authority. An Appropriate Body has specific functions under the Induction Regulations. 2.12 A teacher may not serve an induction period in a school which is eligible for intervention or under special measures unless his or her induction period, or employment under the Government’s employment based teacher training scheme, started before the imposition of those measures or unless one of Her Majesty’s Inspectors of Schools in England certifies in writing that he or she is satisfied that the school is fit for the purpose of providing induction supervision and training. 2.13 There may be occasions on which the local authority, as part of its procedures for monitoring schools in partnership with them, advises a governing body that for the time being the school does not have the appropriate arrangements for the induction of a newly qualified teacher. A governing body is not obliged to heed that advice, but should be warned of the consequences of failure to do so. A school is under a statutory requirement to ensure that the supervision of a newly qualified teacher and the conditions under which that teacher works shall be such as to facilitate a fair and effective assessment of that person’s conduct and efficiency as a teacher against the core standards. The local authority could refuse to meet Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 197 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers the costs associated with any dismissal arising from a school’s failure to fulfil that requirement. 2.14 Where a school is unable to provide the teacher with the breadth of experience needed to meet the requirements for satisfactory completion of the induction period, the head teacher is responsible for ensuring that the teacher is provided with appropriate additional support. The necessary experience will be informed by the Career Entry and Development Profile and the core standards prescribed by the Secretary of State. The additional support may need to include experience in another school, and may particularly be the case in respect of newly qualified teachers undertaking an induction period in a special school or maintained nursery school. 2.15 A pupil referral unit does not count as a school under the Regulations and induction may not be served in a pupil referral unit. Length of an induction period and employment counting towards induction 2.16 A full-time teacher is required to serve an induction period of three school terms where a school year consists of three school terms (there are separate provisions for schools where the school year is divided differently). There are detailed provisions in the Regulations (repeated in the statutory guidance) to cover induction started part way through a term, induction served in separate parts (each of which must be at least a normal term or equivalent in length), and part-time employment. 2.17 A part-time teacher is required to serve an induction period for the period of time which it would take him or her to complete the number of operating days in the school year of the school where the teacher started induction. The Regulations specify how to calculate the number by counting part of a day when the teacher does not work full-time on that day. In the case of employment in a further education institution the regulations specify 189 working days falling in term time. 2.18 An induction period may be served in a succession of schools, but only with periods of employment of at least one school term counting towards the total, or two terms in the case of a six-term year, or 63 days. The requirement under earlier Regulations to complete induction within five years of qualifying as a school teacher has been removed. 2.19 No period of employment as a supply teacher counts towards an induction period unless the head teacher of the school so agrees before the start of such a period. This provision allows a head teacher to agree part way through the contract that a supply teacher may serve induction in respect of future work in the school, but only if the subsequent time spent working in the school is at least a term in length. A supply teacher is defined as a teacher employed wholly or mainly for the purpose of supervising or teaching pupils Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 198 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers whose regular teacher is not available to teach them. Provided the arrangements for the induction of a supply teacher comply with the Regulations, they may extend to a supply teacher employed by a private agency. 2.20 Where a person serving an induction period is absent from work for an aggregate period of thirty school days or more in an induction period the induction period shall be extended by the aggregate period of absences, but there is no requirement to extend the induction period for fewer days of absence. A newly qualified teacher on maternity leave does not have her induction period extended by the period of her absence on statutory maternity leave. It is open to her to request an extension if she so chooses, but this is voluntary and any such request from her must be granted. A teacher in this position is advised to seek appropriate advice from her head teacher or professional association. In no other circumstances can induction be extended before its completion. 2.21 All schools must maintain accurate records of the date induction started, how much of the induction period has been completed and any absences. The induction period: programme, monitoring and support 2.22 The induction programme will combine monitoring, support and assessment. 2.23 Responsibility for the management of the induction is placed on both the head teacher of the school and the appropriate body, which for all schools maintained by the local authority is that authority. The respective roles and responsibilities of the head teacher, the appropriate body, the induction tutor, the newly qualified teacher and the governing body are set out on the teachernet website quoted above. The induction tutor should be the newly qualified teacher’s line manager, a senior member of staff or suitably experienced teacher who has considerable contact with the newly qualified teacher; the head teacher may be the induction tutor. 2.25 Head teachers, along with the appropriate body, are responsible for the supervision and training of a newly qualified teacher during the induction programme. They must also recommend to the appropriate body whether the newly qualified teacher has met the requirements for satisfactory completion of the induction period. While head teachers may not delegate these responsibilities, they should arrange for the supervision and training to be overseen on a day to day basis by a suitable induction tutor, and ensure that this and other support are given by suitably experienced qualified teachers with considerable contact with the newly qualified teacher. The head teacher should keep the governing body informed of arrangements for induction in the school and the results of any formal assessment meetings. The head teacher should inform the appropriate body when a newly qualified teacher joins or leaves the school, including one from a supply agency. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 199 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers 2.26 The Regulations stipulate that the duties assigned to a person serving an induction period, the supervision of that person and conditions under which that person works shall be such as to facilitate a fair and effective assessment of that person’s conduct and efficiency as a teacher. The School Teachers’ Pay and Conditions Document imposes on the head teacher the duty to ensure that “teachers serving induction periods under the Induction Regulations do not teach for more than 90% of the time a teacher at that school who does not receive payments in respect of additional duties or responsibilities would be expected to teach”. The time released should be used for specific objectives within the induction programme and not simply as non-contact time. 2.27 The Standards Fund grant for schools provides money to pay for cover for the time for which a newly qualified teacher must be released from teaching and to release the induction tutor as necessary for the discharge of his or her responsibilities. The intention of this additional funding is to ensure that the teacher receives appropriate support without any adverse effect on the pupils or other staff in the school. 2.28 The teachernet website (http://www.teachernet.gov.uk/_doc/12703/080623%20Induction%20Statutor y%20Guidance.pdf ) gives detailed statutory guidance on the induction programme, monitoring and support. A person or body exercising a function under the Regulations is required to have regard to any guidance given by the Secretary of State. The authority also provides a toolkit for the induction of newly qualified teachers http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6690&key=&zz=2 0091104122905238&zs=n 2.29 The newly qualified teacher should be actively involved in planning the induction programme with the induction tutor. The teacher should make the Career Entry and Development Profile available to the head teacher and induction tutor, should be familiar with the induction standards and should monitor his or her own work in relation to them. If the teacher is dissatisfied with aspects of the induction programme he or she should raise these concerns within the school at the earliest opportunity and is advised to seek the guidance of his or her professional association as to how this might best be done. If he or she feels that the concerns remain unresolved he or she should contact the Appropriate Body through the Adviser for statutory induction. Recording and assessment of induction 2.30 During the induction period the head teacher is responsible for ensuring that progress of the newly qualified teacher is recorded, although the actual recording may be delegated to the induction tutor. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 200 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers 2.31 Detailed guidance on assessment and reviews of professional progress is given on the teachernet website. 2.32 The local authority, as the appropriate body, is responsible for quality assurance in respect of induction arrangements in schools. In monitoring schools’ provision it will seek evidence from the head teacher that the school has in place arrangements for supporting, supervising, monitoring and assessing newly qualified teachers which fulfil the guidance given by the Secretary of State. 2.33 There should be three formal assessment meetings during the induction period, usually one towards the end of each term. They should be informed by written reports from at least two observations and two progress review meetings that have taken place during the term. The observation should take place at least once in any six to eight week period, that is, once in each half of a term and include one observation during the first four weeks in post. It is recommended that the teacher should be told at the beginning of each term the weeks in which it is intended to observe teaching. Judgements should be based on evidence that has been gathered systematically during the induction period, with written records being maintained during that period. The judgements should not come as a surprise to the teacher. They should relate directly to the standards for the award of qualified teacher status and the induction standards. 2.34 All information should be treated with the same confidentiality as information on an employee’s personal file in accordance with the local authority’s policy on access to personal records. 2.35 If a teacher is not making satisfactory progress early action is essential (http://services.bgfl.org/services/nqtinduc/difficulty.htm for guidance on this aspect of induction). The head teacher is responsible for ensuring that procedures are in place to give early warning of any difficulties and for communicating concerns to all concerned, including the teacher and the appropriate body. Action should not be delayed until a formal assessment meeting. The head teacher should personally observe the teaching of any newly qualified teacher deemed to be at risk of failing induction. Both the head teacher and the appropriate body should assure themselves that the assessment is well founded and accurate, weaknesses have been correctly identified, and appropriate objectives set and support provided to remedy them. 2.36 If for any reason the head teacher has concerns about the progress of the teacher he or she is strongly recommended to arrange for an appropriate subject or phase adviser to visit the school as soon as possible and observe the teacher in the classroom and in any other context which may have given rise to the concerns, and to arrange for additional visits if the concerns Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 201 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers continue. The adviser would make a report to both the head teacher and the teacher after each visit. The report would include recommendations on additional support, supervision or training where deemed appropriate. The local education authority would retain a copy of the adviser’s report as part of the documentation relating to the induction of the teacher. 2.37 The head teacher should notify the teacher in writing in advance of any possibility that he or she will recommend that the teacher has failed to complete the induction period satisfactorily. This will allow the teacher to prepare any representations which he or she might wish to make, and is entitled to make, to the appropriate body within the short period specified for such representations in the Regulations. In this connection he or she may also wish to inform his or her professional association of the position before the end of the school term. A copy of the head teacher’s preliminary written notification to the teacher should be sent to both the link adviser and Schools Personnel Services. 2.38 When it is made aware of a possibility that head teacher, at the conclusion of the induction period, will recommend that the induction period has not been completed satisfactorily, the local authority, as the appropriate body, will request the opportunity to visit the school and observe the teacher. This visit will take place towards the end of the induction period specifically to assist the authority in its duty of deciding whether the teacher has completed the induction period satisfactorily or not. Governing bodies and head teachers are expected to give the local authority access to the school to observe a teacher if the authority needs to do so in order to determine whether a teacher has failed induction. 2.39 Assessment forms should be completed and sent to the Appropriate body following each of the first two formal assessment meetings, i.e. at the end of each of the first two terms in the case of a full-time teacher. The head teacher should ensure that the appropriate assessment form is completed each term and must take ultimate responsibility for it when countersigning as required by the form. In addition to the head teacher, the teacher and the induction tutor (if other than the head teacher) should also sign the form; there is space on the form for any comments which the teacher may wish to make on the summary of progress presented on the form. If all the signatures cannot be obtained the head teacher should send the form to the appropriate body with a note of explanation about the missing signatures. (Assessment forms recommended by the authority can be downloaded from http://services.bgfl.org/services/nqtinduc/documents.htm ). 2.40 Completed assessment forms should be sent to Schools Plus within ten working days of the relevant assessment meeting. A copy should also be given to the teacher and one kept by the head teacher in the school. Schools Plus will expect to have all reports by the end of the first week of the following term and will keep its copy on file. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 202 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers 2.41 A dated copy of all reports of observations, review meetings and objectives should be kept by the induction tutor or head teacher until the outcome of the induction period has been decided by the Appropriate Body or appeal body. Copies of all these records should be given to the teacher by the induction tutor or head teacher as soon as they are written, and the local authority as the appropriate body should have access to them. The teacher should be informed that all this documentation will be available to the Appropriate Body when that body decides whether or not the teacher has completed induction satisfactorily or not. Recommendation to the appropriate body 2.42 Within a period of ten working days starting with the date on which the teacher completed the induction period the head teacher is required by the Regulations to make a recommendation to the local authority, as the Appropriate Body, as to whether the teacher has achieved the standards (specified by the Secretary of State) for the satisfactory completion of the induction period. Working days are defined as days other than Saturdays, Sundays and Bank Holidays and for this purpose therefore include school holidays. Normally the induction period will finish at the end of a school term, so head teachers will need to plan for the submission of the recommendation by the ninth working day of the subsequent school holiday. Their plans should include ascertaining the holiday address of the teacher, who must receive a copy of the recommendation at the same time. A calendar of dates is available at http://services.bgfl.org/services/nqtinduc/calendar.htm . 2.43 The recommendation should be made on the appropriate assessment form, available on the teachernet website (http://www.teachernet.gov.uk/professionaldevelopment/opportunities/nqt/ind uction). Copies should be sent to Schools Plus. At the same time the head teacher must, under the Regulations, send a copy to the teacher, with a list of all other documents which are available to the appropriate body in relation to the induction period, including any reports from advisers. The teacher should already have received copies of all these documents and should be told that the decision of the Appropriate Body will be based on them. 2.44 The teacher must also be reminded of his or her right to make written representations to the Appropriate Body no later than the end of the period of ten working days beginning with the date on which it received the head teacher’s recommendation. This right is not confined to cases in which the head teacher recommends that the teacher has failed to meet the induction standards. 2.45 The local authority, as the Appropriate Body, must make a decision on the head teacher’s recommendation not later than the end of the period of twenty working days beginning with the date on which it received the Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 203 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers recommendation (working days are defined as above). In making the decision the local authority must have regard to any written representations received from the teacher in question no later than the end of the period of ten working days beginning with the date on which it received the head teacher’s recommendation. 2.46 The local authority has delegated the decision on the induction period to the holders of specific senior posts in the Advisory and Support Service. The local authority, as the Appropriate Body, will inform the teacher, school and General Teaching Council of its decision. If the teacher is deemed to have failed statutory induction the teacher will be informed of the appeal rights (including the time limits in the Regulations) and the Advisory and Support Service will also inform the Employee Relations Team, which will advise on appropriate actions with regard to the termination of the employment of the teacher. 2.47 Any appeal against a decision of the Appropriate Body will be to the General Teaching Council. The employer must ensure that pending the appeal the teacher’s duties are limited during this period as set out in paragraph 2.5 above. Advice will be given by the Employee Relations Team and the Advisory and Support Service. The local authority must not charge the cost of the teacher’s salary during this period to the school’s budget unless it has good reason to do so (see paragraph 2.6 above). Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 204 Notes for Guidance – Employees in Schools Statutory Induction of School Teachers DIAGRAM TO ILLUSTRATE INDUCTION PROCESS Actions by school Actions by LEA Appoints teacher (if employer) subject to usual checks, collects information about teachers in voluntary aided and foundation schools and enters details on database Selects teacher and notifies LEA if teacher qualified before 7 May 1999 Chooses induction tutor Prepares reduced teaching timetable (90%) and arranges rest of induction programme – see statutory guidance Allocates NQT grant and offers CPD sessions for teachers which schools can fund with the grant Implements the induction programme, alerting BASS to any concerns Head teacher sends copies of first assessment report to Schools Plus and teacher, using standard form Schools Plus records receipt of report, chases any missing report or follows up any unsatisfactory report Continues induction programme and produces second assessment report as in first term Records, chases or follows up as in first term Receives report and makes a decision within 20 days, taking account of any representations from teacher where applicable. Decision reported to teacher, school and GTC. If teacher fails BASS Adviser informs Employee Relations, which advises on appropriate actions At end of induction period head teacher reports and recommends to Schools Plus, copy to teacher, following statutory guidance Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 205 Notes for Guidance – Employees in Schools Probation 3. Probation for teachers qualified before 7th May 1999 3.1 With the passage of time a case in which a school might be advised to use the following procedure is rare. It would be appropriate when a teacher who qualified before 7th May 1999 delayed his or her entry to teaching for whatever reason. LOCAL PROBATIONARY SCHEME - COMMUNITY, VOLUNTARY CONTROLLED, SPECIAL AND NURSERY SCHOOLS 1 Introduction 1.1 Birmingham Local Education Authority, as the employer, recommends that every teacher should serve a satisfactory period of probation. This period of probation will normally last 12 months. 1.2 The suitability of probationers for employment as teachers will be judged in relation to a particular post in a particular school. A teacher who fails probation in one post is eligible for appointment to another post within the LEA in which a further period of probation will be served. However, a teacher who has successfully completed a period of LEA probation is not required to serve a further period of probation on taking up another appointment within the LEA. Teachers who have failed statutory probation under the Education (Teachers) Regulations 1989 may be appointed to another post in another school; teachers who failed probation under the Education (Teachers) Regulations 1982 or earlier regulations may not be re-appointed to a school under any circumstances. 2 Length of local probation period 2.1 The period of probation will be one year. The governing body of a delegated school will have the power to substitute shorter or longer probationary periods as it sees fit or even to waive the requirement for probation altogether in exceptional circumstances (for example, where the governing body is satisfied that the teacher is suitably experienced from service in the independent sector or a grant-maintained school). 2.2 Periods of employment at different Birmingham maintained schools can be aggregated for probation purposes, provided that there has been no break between the periods of employment and that all the schools are maintained by the LEA. a. Probation may be extended in cases of maternity leave or sick leave amounting in aggregate to more than six weeks in any year. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 206 Notes for Guidance – Employees in Schools Probation b. Where probation is shortened or extended the school will notify the teacher in writing and inform the LEA. 3 Probation arrangements 3.1 The duties which are assigned to probationary teachers, the supervision of them and the conditions under which the teachers work shall be such as to facilitate fair and effective assessment of their conduct and efficiency as teachers. 3.2 DFE Administrative Memorandum 2/92 sets out the types of appointment which are considered suitable for newly qualified teachers. 3.3 The Head Teacher of the school in which the probationer is employed will provide from the date of appointment detailed induction, general oversight and assistance, advice and support within the resources available, and prepare reports on progress. The Head Teacher is recommended to nominate a mentor to give support to the probationer. Induction sessions arranged by the Education Department will complement the school's probationary procedures but should not be regarded as the main source of support. 3.4 The School Adviser and the appropriate Curriculum Adviser will be available to assist the professional aspects of the procedures and advise the Head Teacher at the appropriate times. The school adviser will visit and assess the probationer's progress in the first term; further visits will be at the request of the Head Teacher. 3.5 The Head Teacher will be responsible for initiating the administrative procedures, including completing a probation/assessment form for the teacher and taking formal action in accordance with the scheme, to confirm the completion or failure of probation. The Head Teacher will inform the Authority on progress by copy of the probation form for the individual's personal file. The Head Teacher must advise the LEA of decisions about completion, extension or failure of probation in accordance with the scheme. 4 Completion of probation 4.1 It is recommended that the governing body should delegate to the head teacher the power to determine that a teacher has completed probation successfully. The head teacher will notify the teacher of the successful completion before the end of the last term of the probationary period and will report the decision to the governing body and the LEA. 4.2 If the head teacher considers that probation has not been completed successfully, the procedures in paragraphs 5 or 6 will be followed as appropriate. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 207 Notes for Guidance – Employees in Schools Probation 5 Extension of probation 5.1 Most probationary teachers will complete their probation satisfactorily within the normal period, but some will need additional help and sometimes a longer period of probation. 5.2 Where criticisms are made of a probationer's performance which seem likely to lead to a decision that probation should be extended, this should be indicated, by the Head Teacher, (with adviser support as necessary) to the probationer in writing at an early stage. 5.3 If, despite additional help, the probationary teacher does not make sufficient progress by the middle of the final term of probation, the Head Teacher will consider extending the teacher's probation. Probation may be extended on up to two occasions by one term (or longer if the head teacher deems that appropriate.) 5.4 The head teacher will advise the teacher in writing of any proposal to extend probation and inform the teacher that, if the teacher disagrees with the proposal, the teacher may make representations to a committee of the governing body. This letter will normally be sent to the teacher before the half-term break in the last term of the probation period. 5.5 If the teacher decides to make representations about the head teacher's proposal the matter will be referred to the clerk to the governing body, who will arrange for a committee to consider the matter before the end of the school term. 5.6 Notification of the date of the committee's meeting should be given to the teacher in writing, with copies of documents to be used in the hearing, including the head teacher's proposal and copies of the probationary reports given to the teacher during probation. The teacher shall have the right to be accompanied and/or represented by a friend or union representative and to make oral and/or written representations. The teacher shall also be notified of the procedures to be followed at the meeting of the committee and the names of the committee's members. 5.7 Reasonable notice of the committee's meeting shall be given, at least ten working days. It will be helpful to agree a date in advance with the teacher's union/professional association. Written documentation should be exchanged at least five working days before the meeting. 5.8 As the committee is effectively hearing the teacher's appeal against the decision of the head teacher that probation should be extended, there will be no right of appeal against a decision by the committee to extend probation. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 208 Notes for Guidance – Employees in Schools Probation 6 Failure of probation 6.1 If the head teacher considers that the teacher has failed probation, a hearing will be arranged with the governing body's first committee. The hearing and any subsequent appeal will be conducted in accordance with the relevant sections of the disciplinary procedures adopted by the governing body. A decision by the committee that a teacher has failed probation will necessarily be accompanied by a determination that the teacher should cease to work at the school. In these circumstances the Chief Education Officer or his representative has the right to attend the meetings of the first committee and the appeals committee. 6.2 The head teacher will not normally recommend that a teacher has failed probation until probation has been extended. There may be exceptional circumstances in which a teacher's performance gives such cause for concern that the head teacher asks the governing body's first committee to decide that the teacher has failed probation without an extension. In these circumstances the head teacher should seek the advice of the Education Department as to whether, pending the hearings, it is appropriate to suspend the teacher, ask the teacher to work with another teacher, or move the teacher to other duties. 6.3 If the first committee decides that the teacher has not failed probation it may decide either that probation has been completed successfully or that probation should be extended; in the latter case it shall specify the duration of the extension. 6.4 The teacher is entitled to the contractual period of notice, as prescribed in the Burgundy Book. The governing body will be responsible for meeting the salary costs of the teacher until the end of the notice period. 6.5 If the teacher chooses to resign, the notice requirements of the Burgundy Book shall apply unless, at the teacher's request, the governing body agrees to waive the normal notice period. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 209 Notes for Guidance – Employees in Schools Probation BIRMINGHAM CITY COUNCIL EDUCATION DEPARTMENT FIRST REPORT ON A SCHOOL TEACHER'S PROBATION To be completed in the second half of the first term and copied to the Schools Personnel Services Section. Part I Name_______________________________________ School______________________________ Previous school(s), if any, (including dates which count towards completion of probation)___________________________________________________________ _______ Training: four year/PGCE/other at_______________________________________________ Main phase/subject(s) during training____________________________________________ Age range Primary/Secondary Date of Appointment to LEA___________________________ Agreed probation period: From________________________To_____________________ Part II - to be completed by the Head Teacher * EITHER This teacher is making satisfactory progress and I will report in detail next term. *OR This teacher is making satisfactory progress on the whole, although experiencing some difficulties for which support and advice are being given. I will report in detail next term. *OR This teacher is experiencing exceptional difficulties and I have asked the appropriate Adviser for help. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 210 Notes for Guidance – Employees in Schools Probation Signed________________________________(Head Teacher) Date____________________ *Delete as appropriate Part III - to be completed by the Adviser at the request of the Head Teacher I visited this teacher on ____________________________________ and have discussed his/her progress to date with him/her and with the Head Teacher. My comments on this teacher's progress are as follows: Signed____________________________________(Adviser) Date________________________ ___________________________________________________________________ Part IV - to be completed by the teacher in the presence of the Head Teacher as an indication that the report has been read. I have read the report overleaf. I wish to comment as follows*/I do not wish to comment* Signed____________________________________(Teacher) Date_______________________ * delete as necessary Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 211 Notes for Guidance – Employees in Schools Probation BIRMINGHAM CITY COUNCIL EDUCATION DEPARTMENT SECOND REPORT ON A SCHOOL TEACHER'S PROBATION To be completed during the second term, and copied to the Schools Personnel Services Section. Part I Name_______________________________________ School__________________________________ Agreed probation period: From__________________________ To____________________ Part II - to be completed by the Head Teacher. This teacher has the additional support of_____________________________________ as a "mentor". a) Teaching performance (Quality of teaching and learning) (NB Please include details of the time spent in teaching specialist subjects if teacher in a secondary school). b) Lesson content/preparation c) Professional Relationships with pupils, staff and parents Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 212 Notes for Guidance – Employees in Schools Probation d) Outline the help, guidance and advice given to the probationer and his/her response e) Assessment/recording of the pupils' progress in accordance with school policy f) Overall assessment/summary Part III - to be completed by the Adviser when requested by Head Teacher I visited this teacher on the following dates_______________________________________ My comments are as follows: Signed___________________________________(Adviser) Date_____________________________ Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 213 Notes for Guidance – Employees in Schools Probation Part IV - to be completed by the Teacher in the presence of the Head Teacher as in indication that the report has been read. I have read the above report. I wish to comment as follows*/I do not wish to comment* Signed___________________________________(Teacher) Date_____________________________ * delete as necessary Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 214 Notes for Guidance – Employees in Schools Probation BIRMINGHAM CITY COUNCIL EDUCATION DEPARTMENT THIRD REPORT ON A SCHOOL TEACHER'S PROBATION To be completed in the third term and copied to the Schools Personnel Services Section. Part I Name_______________________________________ School_________________________________ Date on which probation is due to end___________________________________________ Part II - to be completed by the Head Teacher * EITHER This teacher continues to make satisfactory progress and I am pleased to recommend that probation has been completed satisfactorily. * OR This teacher has made satisfactory progress in most/all of the areas which the previous report identified as requiring improvement and I am therefore pleased to recommend that probation has been completed satisfactorily. * OR This teacher continues to experience significant difficulties and I recommend that his/her probationary period should be extended. These difficulties are as follows: Signed__________________________________(Head Teacher) Date________________________ *Delete as appropriate Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 215 Notes for Guidance – Employees in Schools Probation Part III - to be completed by the Adviser where requested by the Head Teacher Since the second report I have visited the teacher on the following dates: My comments are as follows: Signed_________________________________(Adviser) Date______________________________ Part IV - to be completed by the Teacher in the presence of the Head Teacher as an indication that the report has been read. I have read the above report. I wish to comment as follows*/I do not wish to comment* Signed___________________________________(Teacher) Date_____________________ * delete as necessary Part V - to be completed by the Head Teacher. EITHER: I have written to the Teacher confirming that probation has been completed satisfactorily and will inform the Governing Body's Staffing Committee OR: probation I have written to the Teacher confirming my intention to extend and explaining the right of appeal to the Governing Body's Staffing Committee. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 216 Notes for Guidance – Employees in Schools Probation Signed___________________________________(Head Teacher) Date_________________ Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 217 Notes for Guidance – Employees in Schools Probation BIRMINGHAM CITY COUNCIL EDUCATION DEPARTMENT REPORT ON A SCHOOL TEACHER'S EXTENDED PROBATION To be completed and copied to the Schools Personnel Services Section. Part I Name_________________________________ School_______________________ Period of extended probation: From________________________ To__________________ Original starting date of probation_______________________________________________ Part II - to be completed by the Head Teacher The following special support has been given during the extended period of probation: I now report as follows: a) Teaching performance (Quality of teaching and learning) NB Please include details of the time spent in teaching specialist subjects if a teacher in a secondary school. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 218 Notes for Guidance – Employees in Schools Probation b) Lesson content/preparation c) Professional relationships with pupils, staff and parents d) Outline help, guidance and advice given and his/her response e) Assessment/recording of pupils' progress in accordance with school policy f) Overall assessment/summary * EITHER This teacher has made satisfactory progress in most/all of the areas which were identified as requiring improvement in the letter which notified extension of probation and I, therefore, recommend that probation has been completed satisfactorily. * OR Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 219 Notes for Guidance – Employees in Schools Probation This teacher has not made satisfactory progress in the areas which were identified as requiring improvement in the letter which notified extension of probation and I, therefore, EITHER * have decided that probation should be extended again, until [date] OR * consider that this teacher has failed to complete probation satisfactorily and will submit a recommendation to that effect to the appropriate committee of the governing body Signed________________________________(Head Teacher) Date____________________ * Delete as appropriate Part III - to be completed by the Adviser where requested by the Head Teacher I have visited the teacher on the following dates during the extended period of probation___________________________________________________________ ________ In accordance with my observations and with the report of the Head Teacher, my comments are as follows: Signed____________________________________(Adviser) Date_____________________ *Delete as appropriate Part IV - to be completed by the teacher in the presence of the Head Teacher as an indication that the report has been read. I have read the above report. I wish to comment as follows*/I do not wish to comment* * delete as necessary Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 220 Notes for Guidance – Employees in Schools Probation Signed______________________________________(Teacher) Date___________________ Part V I have written to the Teacher and attach a copy of my letter. Signed____________________________________(Head Teacher) Date________________ Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 221 Notes for Guidance – Employees in Schools Probation Dear EXTENSION OF PROBATION I am writing to confirm that, after careful consideration, I intend to extend your probation to You will be aware from the reports on your probation of the concerns about your performance. During the extension of your probation you will be expected to achieve the objectives set out below and you will have the extra support described below. It is hoped that this extension of probation will enable you to progress to the point at which you are considered to have passed your probation successfully. It may be helpful if I remind you that your appointment to the school was conditional on the successful completion of probation and that, ultimately, your continued employment depends upon it. You have the right to appeal against my decision to a committee of the Governing Body. Please let me know within the next ten working days whether you wish to appeal. I enclose a second copy of this letter should you wish to consult your professional association. A copy will also be placed on your personal file with copies of the reports on your probation. Yours sincerely Head Teacher Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 222 Notes for Guidance – Employees in Schools Probation Dear Final Extension of Probation I am writing to confirm that after careful consideration I intend to extend your period of probation for a second and final time. The extension will be from to . You will recall that my letter of explained the reasons for the first extension of probation and set out the objectives which you were expected to achieve. Despite the support which has been given to you those objectives have not been fully achieved and your performance has not yet reached a satisfactory standard. During the second extension of probation you will be expected to: Your progress and development will continue to be monitored carefully. I must warn you that if you do not achieve the required standard of performance a committee of the governing body will be recommended to agree that you have failed your probation and to reach a determination that you should cease to work at the school. You would have the right to make representations to the committee and the right of appeal, details of which would be given to you in advance in accordance with the school's disciplinary code. You have the right to appeal against extension of probation to a committee of the Governing Body. Please let me know within the next ten working days whether you wish to appeal. Please confirm in writing that you have received this letter and that you understand that failure to achieve the required standard of performance during this final extension of probation will lead to proceedings for dismissal. I enclose a second copy of this letter should you wish to consult your professional association. A copy of this letter will be placed on your personal file with copies of the reports on the basis of which this decision was made. Yours sincerely Head Teacher Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 223 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses PAY, GRADING, ALLOWANCES AND EXPENSES 1. Salaries Responsibilities of governing bodies, including requirement for pay policy 1.1 The function of governing bodies is to govern a school. As part of that function they determine, within statutory provisions, national agreements and local conditions of employment, the remuneration of staff employed at the school. They must also discharge specific responsibilities for pay. They must comply with relevant legislation, both that specific to schools and general employment law. They have also been given some powers to appoint, engage or pay staff other than for the purposes of the school, subject to the conditions described below. 1.2 Governing bodies may delegate certain responsibilities and these delegations must be specified precisely and formally. Responsibilities relating to individual remuneration should be delegated to a committee, so that in the event of any grievance about pay there is a route of appeal to governors who have not been involved in the original decision. To ensure fairness, all decisions should be within the framework of a policy approved by the governing body on the recommendation of the committee responsible for pay. The School Teachers’ Pay and Conditions Document requires relevant bodies to adopt a policy setting out the basis on which it determines teachers’ pay and the date by which it will determine the teachers’ annual pay review and to establish procedures for addressing teachers’ grievances in relation to their pay. The authority’s model pay policy for schools covers these legal requirements but also extends them to all other employees at the school. The authority’s annual guidance, including the pay policy, is given below. 1.3 Governing bodies should also discuss with the pay committee and the head teacher the kind of decisions which the head teacher might take on pay, and then pass a formal resolution delegating to the head teacher such matters as are considered appropriate for that school. It is important that the pay committee and the head teacher fully understand the extent and limits of their respective responsibilities. Employee Relations Unit - CYPF HR © Birmingham City Council July 2011 Page of 1012 224 Out of school activities 1.4 Governing bodies may provide activities before and after the school day for pupils at the school, also at weekends and during school holidays, provided that the activities in question are for the pupils of the school and the purposes of the school. Governing bodies may use their budget share for costs associated with such activities, including premises, equipment and the employment of staff, on the basis that such expenditure is for the purposes of the school, although they may also meet the costs from grants or charges. If charges are made in accordance with the Education Act 1996 they must be paid directly into the school budget share (and entered as income). The staff must be selected and employed in the same way as any other staff at the school. If the activities are learning activities the governing body is empowered to make payments to teachers for voluntary participation in them - see guidance below. Further education within a school 1.5 A governing body is empowered by Section 80 of the School Standards and Framework Act 1998 to provide part-time education suitable to the requirements of persons of any age over compulsory school age or full-time education suitable to the requirements of persons who are nineteen or over. However, it may not use the school’s budget share for such purposes. The authority’s advice on further education in schools in Circular 000493 explained that funds obtained from charging fees or from external agencies must cover the cost of premises and administration as well as the staffing of such provision. If further education takes place alongside pupils of the school a qualified school teacher must be present in accordance with the Education (Further Education in Schools) Regulations 1993. Otherwise, if separate provision is made, further education rates of pay for local authority staff (as distinct from the further education salary scales which have been introduced in many incorporated colleges) may be used. Extended schools 1.6 The Education Act 2002 empowers governing bodies to provide any facilities or services whose provision furthers any charitable purpose for the benefit of pupils at the school or their families or people who live or work in the locality in which the school is situated. The funding of such services depends on whether the provision benefits the pupils or other people. It is essential for schools to refer to the guidance in the Financial Procedures Manual (http://ebriefing.bgfl.org/bcc_ebrief/content/resources/resource.cfm?id=5376& key=&zz=20091210151349506&zs=n ). The personnel implications will depend on whether the governing body provides and organises the activities or allows the school premises to be used for such purposes by an external organisation. January 2010 222 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses 1.7 The governing body will wish to weigh various considerations when deciding whether to provide activities directly or invite an external organisation to do so, having regard to its overall duty to ensure that the proposed activity will not to a significant extent interfere with the performance of any duty imposed by the Act to promote high standards of education. Specific personnel issues may affect these considerations. For example, The extra responsibilities involved in recruiting and managing additional staff for direct provision of activities will add to the workload of the head teacher and/or other employees with managerial responsibilities in the school and to that extent may detract from the effort given to other duties. The governing body will need to ensure that there are enough suitably qualified and experienced employees to run the activities. It must ensure, for example, that activities taking place during school holidays have adequate building services, employing extra staff where necessary. If the activities to be provided are not directly related to education services, the school will have to engage employees with professional qualifications, salaries and conditions of service unfamiliar to the head teacher, complicating the work involved in managing these employees. On the other hand direct involvement in certain community activities may bring such positive advantages for the school that the governing body considers that the extra work involved in recruiting and managing the employees required for these activities will be outweighed by the benefits. Advice from the Department for Education and Skills indicates that the provisions of the School Teachers’ Pay and Conditions Document cannot be used to remunerate teachers for responsibilities outside those listed in the Document and that separate contracts should be offered for childcare and other extended use not directly related to the purposes of the school. It may or may not be possible to provide community activities in partnership, with employees seconded from an external organisation. When a school provides activities directly the employment arrangements are the same as for other employees in the school whose salaries are funded externally. The appropriate local authority salary grade and conditions of service apply. The school makes the necessary arrangements for recruitment, selection and employment in the same way as for other employees, but ensuring that salary costs are coded to the special budget. The Day Care (Application to Schools) (England) Regulations 2003 cover young children’s nurseries run by schools. 226 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses When activities are provided by an external organisation using the school premises under a letting arrangement or, subject to the authority’s consent, a transfer of control agreement, then the external organisation is the employer and responsible for all aspects of employment. However, the governing body and local authority as appropriate should ensure that the written agreement with the external organisation includes relevant regulatory requirements, such as the current requirement on childcare organisations to register with OFSTED. A governing body of a community, community special or voluntary controlled school may let accommodation to voluntary organisations on a licence basis only, which gives no security of tenure. Leases of City Council premises are the responsibility of the Council and any proposal for use involving a lease should be referred to the appropriate officer responsible for property services in schools (Asset Management). If the governing body provides activities with an external organisation in a partnership and sharing responsibility for staffing the activities, the employment status of the staff will depend on the nature of the agreement. For example, in a healthy living project the school might agree to provide a teacher of physical education and a health trust a nutritionist, with the local authority and health trust as the respective employers and managers of the employees. However, a project might involve the secondment of an employee of one organisation to work under the direction of another. In such cases arrangements should be made for a formal secondment with a clear explanation of the arrangements for managing the work of the employee and any consequences for conditions of service (such as disciplinary procedures). 1.8 1.9 The funding arrangements for extended schools will also affect the arrangements made for staffing the activities. From April 2006 schools have been able to use their School Standard Grant on a wider range of extended school activities than is currently the case. If there is a known, limited period to the funding, then fixed-term contracts of employment may be appropriate to employees recruited for the activities. If it is proposed to use existing employees, by voluntary variation to their contracts, the consequences of loss of funding for both employee and employer should be clearly understood. Subject to the statutory regulations on temporary and fixed-term contracts, variations in contracts must be conditional on the relevant part of the contract terminating when the funding and activity cease. The Business Plan (required by the authority before activities start) must include employment costs. Schools Financial Services will advise on exactly which costs must be included. Those schools already providing out of school hours activities will need to consider whether to continue with the current arrangements or provide 227 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses activities under the statutory provisions for extended schools. If a school is providing activities solely for the benefit of pupils of the school it may be much easier to continue with the existing arrangements rather than incur the extra obligations under the arrangements for ‘extended schools’. However, facilities for children not pupils of the school or facilities for the local community had previously to be provided by voluntary groups, which had to assume responsibility for employing and managing all employees, including contracts of employment, payroll responsibilities (including payment of tax and national insurance contributions), and conditions of service. The authority cannot act as a paying agent for an organisation which does not come within the scope of the Local Authorities (Goods and Services) (Public Bodies) Regulations. The Birmingham Voluntary Service Council has a section which gives advice and support to voluntary organisations on employment matters. Despite this some voluntary groups have found their employment responsibilities complicated and there have been employment tribunal cases involving voluntary groups in the city for which the local education authority has no power to offer support. The legislation on extended schools allows the governing body or local authority as appropriate to employ people to provide community activities in the same way as other employees in the school. Head teachers may find this much easier and less time consuming than serving on the committee of a voluntary organisation and less complicated than trying to separate the role of head teacher from that of member of the external organisation. In addition the City Council can organise holiday play schemes in partnership with the school, provided that the costs (including costs for using school premises, such as caretaking) are met by income and/or other external funds. On the other hand, where a voluntary organisation is well established, with proper financial and administrative arrangements, the workload of the school and head teacher would benefit if the voluntary organisation provided the facility or service. However, when services are transferred from one employer to another, as distinct from being established at the outset, the Transfer of Undertakings regulations apply, requiring the new employer to safeguard the salary and conditions of service of those staffing the service. Such transfers can cause unforeseen difficulties, so head teachers should seek advice from the Employee Relations Team if a proposal for a transfer is made. Extended leave of absence and secondment 1.10 A governing body may give an employee temporary leave of absence for various purposes, including taking up paid employment elsewhere (often called secondment). The arrangements for that employee’s pay and conditions of service during absence will depend on the particular circumstances. It is possible for the employer to continue paying the salary and to receive reimbursement from the body for which the employee is temporarily working. If employees are permitted to assist another school or organisation during their working time, as distinct from being on leave, they are effectively providing a service to that school or organisation. Payment for 228 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses that service should be credited to the school’s budget and not paid to the employee. Reimbursement of salary costs or payment for services enables the governing body to employ a temporary replacement and thus ensure the continued functioning of the school. In each case (where the school uses these services) there should be prior discussion with Schools Personnel Services and Schools Financial Services as appropriate on the administrative arrangements and agreement should be reached on these before the leave of absence begins. 1.11 If, in exceptional circumstances, an employee is given paid leave of absence on the initiative of the school, the arrangements should specify whether or not the employee may undertake paid employment during that leave and what should happen to any earnings. Teachers’ salaries 1.12 Teachers (including head teachers, deputy head teachers and various categories of unqualified teacher) employed by the authority or by the governing body of a voluntary aided or foundation school are entitled to remuneration consisting of a salary and allowances determined in accordance with the School Teachers’ Pay and Conditions Document (“the Document”) and must be paid in accordance with the scales and other provisions within it. Governing bodies are also required to have regard to the statutory guidance published with the Document, i.e. follow that guidance unless there is good reason not to do so. The authority would give advice in such circumstances. Teachers’ salaries cover all the duties set out in the Conditions of Employment in the Document and it is not permissible by law for the authority or governing body to pay anything more for those duties. A governing body with a delegated budget has no wider powers than the authority and cannot by its decision mandate the authority to act unlawfully. A new Document is published annually (usually shortly before 1st September) and is accessible on the internet (http://www.education.gov.uk/schools/careers/payandpensions/teacherspay/t eacherspayandconditionsdocument/a0064179/school-teachers-pay-andconditions-document-2010 ) The local authority gives, annually, its own detailed guidance on the implementation of both the Document and the statutory guidance – for 2010 see below 1.13 The Document also specifies arrangements for the working time of teachers. A school teacher within the scope of the Document shall be available to perform such duties at such times and at such places as may be specified by the Head Teacher or authority for up to 1265 hours and 195 days for full-time teachers and proportionately less for part-time teachers, as specified by the Document. A teacher shall also work such additional hours as may be needed to discharge effectively his or her professional duties, but cannot be directed as to time or place for that work. Term dates therefore cover 195 days. The Document states that none of these provisions on working time 229 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses shall be taken to conflict with the European Council Directive on working time. Guidance on working time for teachers is given in a separate section. 1.14 The Document also provides for the relevant body to make such payment as it sees fit to a teacher, including a head teacher, in respect of participation in out-of-school hours learning activity agreed between the teacher and the head teacher, or, in the case of the head teacher, between the head teacher and the relevant body. Guidance on good practice and rates of pay is given in the authority’s annual guidance on the Document – for 2009 see http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6520&key=&zz=2 0090921085138011&zs=n . This guidance applies also to payment for individual tuition given in accordance with the special grant under the Standards Fund, provided that the teacher is already employed at the school and is undertaking the work outside the pupil day. However, if a teacher is engaged specifically for individual tuition, that teacher must be offered a normal contract as a part-time teacher and paid in accordance with the School Teachers’ Pay and Conditions Document. 1.15 The Document also gives the relevant body the discretion to pay teachers, including head teachers, in respect of continuing professional development undertaken outside the school day or for activities relating to the provision of initial teacher training as part of the ordinary conduct of the school. Further guidance is given on the former in Appendix 5 of the authority’s annual guidance on the School Teachers’ Pay and Conditions Document http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6520&key=&zz=2 0090921085138011&zs=n . For the latter schools are referred to the statutory guidance accompanying the School Teachers’ Pay and Conditions Document. 1.16 Teachers may have separate contracts of employment for non-teaching duties which are not listed in the School Teachers’ Pay and Conditions Document, such as mid-day supervision, which is specifically excluded from the duties of a classroom teacher. An appropriate grade of pay for support staff should be used for such contracts, which should be arranged in the same way as for support staff and which of course must not conflict with their contract as a teacher. 1.17 The Document does not provide for the payment of honoraria or bonuses to teachers. However, a temporary addition to the duties and responsibilities of a teacher may be recognised by the temporary award of an additional payment specified in the Document. The circumstances in which temporary teaching and learning responsibility payments can be made are restricted and schools should consult the appropriate section of the authority’s annual guidance on the Document (http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6520&key=&zz=2 0090921085138011&zs=n ) for guidance on how to deal with the restrictions. 230 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses 1.18 For teachers not yet on the maximum of the main pay scale the Document also permits the permanent award of an extra point for excellence, although this practice is not recommended by the authority. ‘Salary sacrifice’ schemes 1.19 The Document has been amended to permit teachers to take advantage of any salary sacrifice schemes offered by employers. Such schemes provide for reductions (as distinct from deductions) in salary replaced with childcare vouchers or special purchases (cycles, cycling safety equipment or mobile telephones in the case of teachers), effectively making that expenditure tax free. Birmingham City Council offers a scheme for childcare vouchers, but not for the other items. Enquiries should be directed to the Childcare Vouchers Team on 303 2562/2563 or by electronic mail to childcarevouchers@birmingham.gov.uk. Unqualified teachers 1.20 There is a special section in the School Teachers’ Pay and Conditions Document for unqualified teachers and, with one exception, all categories of unqualified teacher must be paid in accordance with it. Governing bodies may decide to pay teachers on the employment-based teacher training scheme as qualified teachers. Information on the main categories of unqualified teacher as detailed in the Specified Work Regulations is given elsewhere in this guidance as shown below persons on the employment-based teacher training scheme overseas trained teachers instructors with special qualifications or experience Other persons and specified work 1.21 The category of “other persons who may carry out specified work” does not designate them as teachers and they are excluded from the definition of teacher in Section 122 of the Education Act 2002 by the Education (School Teachers’ Prescribed Qualifications, etc) Order 2003. The Government’s (non-statutory) guidance accompanying the Specified Work Regulations explains that the category of other persons who may carry out specified work includes classroom-based support staff. As part of the agreement reached in 2004 between the authority and the recognised trade unions the job descriptions of classroom-based support staff were altered to reflect the regulations allowing them to be employed, within specified limitations, for specified work and appropriate salary scales were set. As the employees are not teachers their salary scales are therefore on the salary spine of the National Joint Council for Local Government Services. They may only carry out specified work 231 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses to assist or support the work of a qualified teacher or a nominated teacher in the school subject to the direction and supervision of such a qualified teacher or nominated teacher in accordance with arrangements made by the head teacher of the school if the head teacher is satisfied that they have the skills, expertise and experience required to carry out specified work 1.22 In determining whether a person has the skills, expertise and experience required the head teacher may have regard to such standards for higher level teaching assistants or guidance on school support staff as the Secretary of State may publish from time to time, and such guidance on contractual matters relating to school support staff as may be published from time to time by any local authority. This authority has provided that guidance as part of the 2004 agreement on classroom-based support staff. 1.23 The Government’s (non-statutory) guidance accompanying the Specified Work Regulations explains that the category of other persons who may carry out specified work includes not only classroom-based support staff but also technical support staff or visitors from other professions, such as emergency services, or business people. Even if spending only a short time in specified work, these people must be subject to the same system of supervision required for classroom-based support staff engaged in specified work. 1.24 The Government’s guidance is silent on the status of specialists brought in to coach pupils in various sports, to encourage pupils to participate in various arts – music, drama etc., or to provide specialist instruction in subjects for which the school has no suitable qualified teacher. Payment to such specialists will depend on their employment status. For one-off engagements a fee can be paid (see below). Otherwise there should be a contract for regular employment on an appropriate salary grade depending on the job description. If the job description resembles that of a sports coach employed in a City Council leisure centre the rate of pay applicable to that job would be appropriate. Instructors can only be employed on a temporary basis. Schools should seek advice from Schools Personnel Services in the first instance. Support staff 1.25 It is for the governing body of a community, community special, maintained nursery or voluntary controlled school with a delegated budget to recommend support, i.e. non-teaching, staff to the local authority for appointment in accordance with the School Staffing (England) Regulations 2009 (http://www.opsi.gov.uk/si/si2009/uksi_20092680_en_1) and accompanying statutory guidance http://publications.teachernet.gov.uk/default.aspx?PageFunction=productdeta 232 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses ils&PageMode=spectrum&ProductId=DCSF-01081-2009. The recommendation must be sent to the authority with a job specification for the post and that specification must include the governing body’s recommendations as to the duties to be performed, the hours to be worked where the post is part-time, the duration of the appointment, the grade and the remuneration. The grade must be on the scale of grades applicable to employment with the authority, and such as the governing body considers appropriate. Where the authority has discretion with respect to remuneration, it must exercise that discretion in accordance with the governing body’s recommendation. Information on the local government pay scales as adopted by Birmingham City Council is circulated to schools annually. The national pay spine is part of the single-status agreement. Information on the application of this agreement to schools in Birmingham is given at http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6294&key=&zz=2 0090818165350194&zs=n . 1.26 If within a period of seven days after receiving the job specification the authority makes written representations to the governing body relating to the grade or remuneration to be paid, the governing body must consider those representations and, where it decides not to change the grade or remuneration to be paid, notify the authority in writing of its reasons. Provided that the person recommended meets all relevant staff qualification requirements as defined in the regulations the authority must appoint that person. 1.27 Guidance on honoraria, acting up payments and stand-in payments is given in the Single Status scheme for schools Payroll deductions 1.28 Taxation and national insurance deductions and pension contributions are arranged by the Payroll Section in accordance with statutory requirements. For national insurance purposes, employees must inform that Section of marriage or divorce. ‘General’ Salary safeguarding - teachers 1.29 General salary safeguarding for teachers refers to protection of salary grade on displacement from his or her job. It is in accordance with the relevant paragraphs of the School Teachers’ Pay and Conditions Document, which changed in September 2005. For teachers displaced before 1 st January 2006 general safeguarding is mandatory and unlimited when a teacher continues teaching for the same employer after displacement from his or her job because of school closure or reorganisation, including internal as well as statutory reorganisation. The authority has helped governing bodies for a limited period with the financial consequences of safeguarding of teachers’ salaries in these circumstances. From 1st January 2006 mandatory general 233 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses safeguarding for classroom teachers is limited to a maximum of three years from the relevant date as defined in paragraph 5.3 of the School Teachers’ Pay and Conditions Document and only available when a teacher is displaced due to closure or reorganisation. (There are separate arrangements for safeguarding parts of a teacher’s salary, usually management allowances and in certain circumstances teaching and learning responsibility payments.) Governing bodies remain responsible for safeguarding the salaries of head teachers and other members of the leadership group in schools where the salary group has fallen due to a reduced number of pupils, but that safeguarding is now limited to a maximum of three years provided that the teacher remains in the same school and the safeguarded salary is not overtaken by other circumstances set out in the details of the Document. Detailed Government guidance on general safeguarding is available at http://www.teachernet.gov.uk/docbank/index.cfm?id=9155. 1.30 The salaries of support staff who are redeployed may be safeguarded under local arrangements for a maximum of six months. In these cases also the cost of safeguarding is met by the governing body. Advice should be sought from Schools Personnel Services. Fees – employees undertaking work for other organisations 1.31 For many years teachers have requested leave to undertake part-time work as examiners for external examining bodies and if the governing body grants leave to teachers for that purpose the examining bodies pay directly to schools the cost of cover for the absence of the examiners. More recently, many head teachers have obtained the agreement of their governing bodies to undertake part-time work as OFSTED inspectors or School Improvement Partners or to help run conferences or training for external organisations. Other staff may be invited to contribute to the work of external organisations. Usually the work is connected with their employment in the school, in that the employees have expertise from their employment in schools which the outside organisation wishes to use. In cases like this the following arrangements should apply: The employee should apply to the governing body (through the appropriate committee) for leave of absence to undertake the work. The governing body should consider the request in relation to its policy on leave of absence, having regard to the needs of the school and the career development of the employee. If the governing body grants paid leave, the employee should pay any fees received to the school, in recognition of the fact that the employee would otherwise be paid twice for the same period of employment, has been invited to undertake the work because of experience gained in his or her employment, and in order to pay for cover in his or her absence. 234 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses 1.32 If part of a fee relates to work outside the employee’s contract with the school (for example, for preparation undertaken in the employee’s own time) the governing body may agree that an appropriate proportion of the fee may be retained by the employee and should set out that agreement in writing. If the governing body grants unpaid leave, the governing body should permit the employee to retain all remuneration from the work undertaken whilst on unpaid leave. If the work is undertaken entirely outside the employee’s contract of employment and working time, any fee will be payable directly to the employee and the governing body will not be involved in any way. Fees payable to the governing body should be paid directly either to the school or to the authority for crediting to the school’s budget. Fees which the governing body has agreed may be retained by the employee may either be paid directly to the employee by the outside organisation or transferred by the governing body to the employee. If the governing body is transferring a fee to an employee please arrange for the attached form to be completed. In either case the fee will be subject to tax and national insurance deductions, so if it is paid directly by the outside organisation directly to the employee, that employee must ensure that the outside organisation has made the necessary deductions. These arrangements are distinct from those which apply when a governing body asks an employee to work temporarily in another school as part of a service-level agreement. Under service-level agreements a providing school supports a receiving school, and the providing school charges the receiving school for those services. The employee providing the services is not on leave or secondment, but is simply working elsewhere at the governing body’s direction. No fees are payable to the employee. However, if the governing body agrees that the head teacher may provide a service relating to the raising of educational standards to one or more additional schools other than as acting head teacher (for example, as a Consultant Leader) then the pay committee may consider whether it would be appropriate to make an additional payment to the head teacher – and to other teachers supporting the head teacher. If the work is undertaken during school sessions, additional remuneration would not be appropriate, but if the arrangements oblige the head teacher to work outside his or her normal school sessions (for example, by attending a meeting of the governing body of the other school one evening) then the pay committee may agree that payment may be made under paragraph 49.1 (d) of the School Teachers’ Pay and Conditions Document (http://publications.education.gov.uk/default.aspx?PageFunction=productdeta ils&PageMode=publications&ProductId=DFE-00516-2010 ), having regard to the statutory guidance in paragraphs 176-179 of Section 3 of the Document. 235 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses Payments for one-off engagements 1.33 Arrangements for payments to persons who attend the school for one-off engagements e.g. local artists, sports coaches or to give one-off advice/training sessions to staff are currently under review and new guidance will be issued shortly. Engagements should comply with the Specified Work Regulations and with the salary appropriate to the type of work involved. Schools Personnel Services will advise on the administrative arrangements. In view of the complexities of tax law and the financial penalties which could accrue and which would have to be charged to the school’s budget if the authority were not to deduct in cases where deductions are deemed by the Inland Revenue to be necessary, arrangements will be made to comply with the law and protect schools by deducting income tax and national insurance contributions in accordance with the guidelines in the Schools Financial Procedures Manual. Payment for services provided by a person operating as a business 1.34 Schools should ensure that they make proper contractual arrangements with any person operating as a business and providing services to schools. The contract should be for services from that business and not a contract of employment. If schools make payments on the basis that an individual is self-employed, but do not see any evidence in support of this, they may be unwittingly assisting in tax evasion by the person. Moreover, under the Working Time Regulations it is possible that a person may claim to be a worker even if not an employee and claim certain benefits, such as paid holidays. Further guidance is given in the section of the Schools Financial Procedures Manual dealing with Payroll and Pensions, paragraph 7, reproduced below. Employment or Self-Employed? (extract from Schools Financial Procedures Manual) 1 It is very important that a worker’s status is correctly determined because if a worker is offered employment, the employer is required to deduct income tax and national insurance contributions (NICs) from the employee’s earnings where appropriate. The employer must also pay secondary Class 1 NICs and, if expenses and/or benefits are provided, the employer may also be required to complete Forms P9D or P11D and pay any associated Class 1A NICs that arise. 2 There is no single satisfactory test that can conclusively decide whether a worker is employed or self-employed. It is necessary to consider a number of factors or “tests” before making a decision and have regard to the “regular” engagement of an individual. 3 Her Majesty’s Revenue and Customs (HMRC) have developed a tool (an Employment Status Indicator or ESI) to help determine whether a worker is employed or self-employed. The following “tests” are the key questions in the ESI: 236 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses Employed - As a general guide, if the answer is “yes” to most of the following questions, then the worker is probably an employee: Do they have to do the work themselves? Can someone tell them what to do, where, when or how to do it? Are they required to work a set amount of hours? Can someone move them from task to task? Are they paid by the hour, day, week or month? Do they get paid overtime or bonus? Self-Employed - If the answer is “yes” to all of the following questions, it will usually mean the worker is self-employed: Can they hire someone to do the work or engage helpers at their own expense? Do they risk their own money in the business? Do they provide the tools/equipment they need to do the job? Do they agree to do a job for a fixed price regardless of how long the job may take? Can they decide what work to do, how and when to do it and where they do it? Do they regularly work for a number of different people? Do they have to correct unsatisfactory work in their own time and at their own expense? More information is available at www.hmrc.gov.uk/calcs/esi.htm 4. If there is any doubt about an individual’s employment status, further advice should be sought from the Payroll Services Section before any agreement is made to make any “gross payments” (without deduction of Income Tax/National Insurance Contributions) to individuals for work undertaken. 5. HMRC can impose financial penalties for non-compliance with Pay as You Earn (PAYE) regulations. These are in addition to settlement of any underpayment of Tax/NIC. 237 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses EMPLOYEES UNDERTAKING OUTSIDE ENGAGEMENT (INCLUDING TEACHERS) - FEES - PAYMENT AUTHORISATION FORM (Please complete in accordance with guidance, attach a copy of the governing body minutes agreeing to the external work and to the payment of fees, then send these to Chito Sutton, Senior HR Advisor, Schools HR Services, 4th Floor, 38-50 Orphanage Road, Erdington, Birmingham, B24 9HW) School Name Employee Name Post Title Employee Personal No. Type of external work undertaken (Please give full description including the name of the relevant body). Has the governing body agreed for the employee to undertake this work?* Yes No Date/s when work was undertaken The total number of hours worked OUTSIDE ENGAGEMENTS DURING SCHOOL DAY Yes Was all work undertaken during school hours? No Yes If all work was undertaken during school hours was the employee granted unpaid leave to undertake the work? No If all work was not undertaken during school hours in proportion to total work undertaken, how much, as a percentage, was work undertaken outside school hours? OUTSIDE ENGAGEMENT OUTSIDE OF SCHOOL DAY Was all work undertaken outside school YES hours? If all work was not undertaken outside of school hours in proportion to total work undertaken, how much, as a percentage, was work undertaken during school hours? How much in fees have been received for the work? Who is to receive fees for this work? (please encircle) If shared, how is payment split? NO SCHOOL/EMPLOYEE/SHARED What is rationale for payment arrangement?* Chair of Governors Signature: Date: 238 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses September 2010 To: Chairs of Governing Bodies, Head Teachers of all maintained schools and Heads of Centres and Services Dear Colleague Title: School Teachers’ Pay and Conditions Document 2010: advice to schools Summary: LEA advice Action required: Refer to governing body for action required under the School Teachers’ Pay and Conditions Document Reply by: N/A Contact officers: Sarah Wager (303 4683), Chito Sutton (464 7876) 1.1 This is the latest in the series of annual circulars giving guidance on the implementation of the School Teachers’ Pay and Conditions Document. It starts with a contents page, followed by a summary of the main changes since 2009 and a description of the main features of the Document. The appendices start with a model pay policy and continue with appendices explaining various aspects of teachers’ pay. 1.2 The School Teachers’ Pay and Conditions Document 2010 is available at http://www.teachernet.gov.uk/management/payandperformance/pay/ and at http://publications.education.gov.uk/default.aspx?PageFunction=productdetai ls&PageMode=publications&ProductId=DFE-00516-2010 . It will be accompanied by statutory guidance, which does not have the same statutory force as the Document, but a relevant body “must have regard to any relevant guidance given by the Secretary of State”. If there is good reason not to follow a particular part of the statutory guidance the local authority will draw attention to this in the relevant section of its advice. 1.3 The main changes in this year’s Document are The introduction of a range within which governing bodies are to select points for special educational needs allowances. The authority is holding consultations with the teachers’ associations and the heads of special schools and schools with resource bases before issuing further guidance. In the meantime the annual determination of salary for teachers currently in receipt of SEN allowances should be provisional, pending the governing body’s consideration of the new range and the criteria governing the award of allowances henceforward. 239 Notes for Guidance – Employees in Schools Pay, Grading, Allowances and Expenses Revision of duties and responsibilities within the conditions of employment (Parts 8 to 10 of the Document) 1.4 The revised duties and responsibilities within the conditions of employment should be drawn to the attention of all teachers in the school. 1.5 In addition, there are changes to the model pay policy to take account of the new ‘Single Status’ arrangements for support staff in schools. 1.6 The opportunity has been taken to review and where possible condense the information in the appendices and to present it in a clearer format. Yours sincerely, Sarah Wager Employee Relations – Schools 240 Schools Teachers’ Pay and Conditions 2009: Advice to Schools ADVICE ON SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT THE SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT ADVICE TO SCHOOLS – 2010 Contents Page Number A. Changes to the previous Pay and Conditions Document B. Summary of School Teachers’ Pay and Conditions Appendices 1A. Introduction to model pay policy 1B. Model pay policy 2. The leadership spine, including performance objectives 3. Classroom teachers – main and upper pay scales 4. Special educational needs allowances 5. Teaching and learning responsibility payments 6. Unqualified teachers’ salaries 7. One-to-one tuition 8. 9. Compensation for teachers participating in continuing professional development outside the school day Payment for out-of-school hours learning activity 10. Advanced Skills Teachers 11. Excellent Teachers 12. Salary safeguarding 241 Schools Teachers’ Pay and Conditions 2010: Advice to Schools ADVICE ON SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT A CHANGES TO THE PREVIOUS PAY AND CONDITIONS DOCUMENT The new Document and accompanying statutory guidance have been published on Teachernet at http://www.teachernet.gov.uk/management/payandperformance/pay/ The publication consists of four sections: an introduction the Document itself general statutory guidance statutory guidance arising from the National Agreement on standards and workload. In addition to the salary award of 2.3 per cent effective on 1 st September the main changes this year are: The introduction of a range for special educational needs Revised conditions of employment 242 Schools Teachers’ Pay and Conditions 2010: Advice to Schools ADVICE ON SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT B. SUMMARY OF SCHOOL TEACHERS’ PAY AND CONDITIONS Teachers must be paid in accordance with the provisions of the Document, which is published under an Order made by the Secretary of State under Section 122 of the Education Act 2002. Governing bodies are also required to have regard to the statutory guidance published with the Document, i.e. follow that guidance unless there is good reason not to do so. The authority would give advice if a school considered that it might have good reason. Teachers’ salaries determined within the provisions of the Document cover all the duties set out in the Conditions of Employment in the Document and it is not permissible by law for the authority or governing body to pay anything more for those duties. A governing body with a delegated budget has no wider powers than the authority and cannot by its decision mandate the authority to act unlawfully. Annual determination of salaries Teachers’ salaries have to be reviewed annually with effect from 1 st September, even if there has been no change to their remuneration, and also whenever they take up a new post, or have a change in salary for any other reason. Annual salary reviews should take place by 31st October for teachers and 31st December for head teachers. Schools should plan accordingly in conjunction with the governing body’s pay committee, having regard to its model pay policy, including the opportunity for employees to make representations to the pay committee. Model pay policy The School Teachers’ Pay and Conditions Document requires all governing bodies to “adopt a policy that sets out the basis on which it determines teachers’ pay and the date by which it will determine the teachers’ annual pay review” and “establish procedures for addressing teachers’ grievances in relation to their pay.” The authority has consistently advised governing bodies, as a matter of good personnel practice, to adopt a pay policy covering not only teachers but also support staff in the school. The Birmingham model pay policy and the introductory comments to it therefore cover all employees. The model policy is revised annually to take account of changes relating to the salaries of teachers and support staff, so governing bodies should review their policy accordingly. Other advice 243 Schools Teachers’ Pay and Conditions 2010: Advice to Schools ADVICE ON SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT The authority offers advice on the following aspects of the Document and statutory guidance: Leadership spine Classroom teachers – main and upper pay scales Special educational needs allowances Teaching and learning responsibility payments Unqualified teachers Out of school hours learning activity One-to-one tuition Advanced Skills Teachers ‘Excellent’ teachers Salary safeguarding There is separate guidance on performance management for teachers and on the provisions of the Document for working time for teachers. These can be found in the relevant sections of ‘Notes for Guidance: Employees in Schools’. This year the changes in the conditions of employment in respect of professional responsibilities for teachers in Parts 8 to 10 of the Document should be drawn to the attention of all teachers. 244 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) APPENDICES APPENDIX 1A INTRODUCTION TO MODEL PAY POLICY Consultation on exercise of discretionary powers Statutory guidance accompanying the School Teachers’ Pay and Conditions Document states that the policy should be reviewed annually, and kept up to date to take into account any legal changes, and that teachers and representatives of recognised unions should always be consulted about any changes. There are certain choices open to individual governing bodies under the School Teachers’ Pay and Conditions Document and the conditions of employment for other employees. The model policy gives governing bodies a choice over the use of their discretionary powers. The pay committee of each governing body should therefore consult employees and school representatives of the recognised unions and associations, giving them the opportunity to make representations, before making recommendations to the governing body on changes to the way in which they exercise their discretionary powers. Discretionary powers The model pay policy set out in the following pages draws attention to the matters on which governing bodies have discretion under the School Teachers’ Pay and conditions Document, describes various options and makes recommendations in favour of some of those options. On the advice of its pay committee the governing body must make choices on these options. These include: Number of points awarded on the main scale for classroom teachers in respect of experience other than teaching as defined in the Document Extra points on the main scale for classroom teachers to reward excellence The values of teaching and learning responsibility payments Criteria for second special educational needs allowances (under review) The values of recruitment and retention benefits and criteria for awarding them Payments for out of school hours learning activity Payments for undertaking in-service training outside directed time Salary scale for teachers on the employment-based teacher training scheme (qualified or unqualified) Method of assessing salaries of teachers on the unqualified scale The value of any special allowances to unqualified teachers and the criteria for awarding them The date by which the teachers’ annual pay review will normally be determined and the date by which teachers should normally make threshold applications The spot salary for an ‘Excellent Teacher’ within the range in the Document. 245 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) Implementation of pay policy The governing body must make appropriate arrangements for implementation of its pay policy. It should Delegate the implementation of most parts of the policy to a committee (commonly referred to as the pay committee) and specifically the pay and performance management of the head teacher Delegate the hearing of appeals to the appeals committee Delegate to the head teacher as necessary the power to determine starting salaries within both the pay policy and the staffing structure approved by the governing body. In exercising delegated authority in relation to starting salaries, head teachers should emphasise to candidates that the salary offered is subject to verification of qualifications and experience, the statutory provisions of the School Teachers’ Pay and Conditions Document or the Single Status scheme where applicable, and the pay policy of the governing body. Publish the pay policy and staffing structure to all employees, so that all employees in the school know of their rights to make personal submissions and appeals and of the agreed procedures for these purposes. The governing body must by law delegate to the head teacher decisions on threshold assessment. Timescales The statutory guidance accompanying the School Teachers’ Pay and Conditions Document states that the annual review of teachers’ pay should be completed by 31st October, or 31st December for head teachers. The date set by the governing body in the light of this statutory guidance, together with dates by which applications for pay progression should be submitted, should be published to all employees in the school. Within the pay policy the pay committee should set an internal procedure to provide for the annual determination of salaries to be completed by the due date, including provision for personal representations by individuals (with union representation if they so wish) to the pay committee before that committee takes a decision on their salary and provision for appeals (see model pay policy). There is statutory guidance on the timescale for appeals. As applications for crossing the threshold are no longer retrospective, schools may wish to set a date by which applications should be submitted to the head teacher. Teachers submitting applications after this date but before the statutory deadline should be advised that their applications will be accepted but that there may be some delay in assessing them. School staffing structure 246 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) The School Teachers’ Pay and Conditions Document prescribes that when determining the remuneration of a teacher the governing body (through the pay committee) must have regard to its pay policy and to the teacher’s particular post within its staffing structure. The statutory guidance says that the school’s staffing structure and implementation plan should be attached to the pay policy. Any changes to the staffing structure should be the subject of full consultation in accordance with the agreed procedures. Grievances over pay The School Teachers’ Pay and Conditions Document requires the governing body to establish procedures for addressing, in accordance with section 29 of and Schedule 2 to, the Employment Act 2002, teachers’ grievances in relation to their pay. The employment legislation requires governing bodies to make similar provision for grievances of support staff. Following repeal of the Employment Act 2002 (Dispute Resolution) Regulations 2004 employers must have regard to the new ACAS Code of Practice for Disciplinary and Grievance Procedures, which provide for appeals as a requisite and final part of the grievance procedure. The model procedure in the model pay policy therefore makes provision for representations, which may include a complaint or grievance, to be made before an appeal. As the model performance management policy for schools provides for any appeals to be heard in accordance with the school’s pay policy, the model pay policy has been amended to make specific reference to this. If a decision which has prompted a complaint or grievance is entirely in conformity with the pay policy adopted by the governing body, the pay committee or the appeal committee may decide to recommend the governing body to change the policy. Recognised unions and teachers’ associations may pursue collective grievances on behalf of groups of their members. The section of the policy on employees dissatisfied with a decision refers to an employee’s statutory right to representation. Under the Employment Relations Act 1999 as amended an employee has the right to be accompanied at a disciplinary or grievance hearing if he or she reasonably requests to be accompanied at the hearing. The employer must permit the employee to be accompanied by one companion who is chosen by the employee and is either employed by a trade union as an official within the meaning of sections 1 and 119 of the Trade Union and Labour Relations (Consolidation) Act 1992 or is an official of a trade union whom the union has reasonably certified in writing as having experience of, or as having received training in, acting as a worker’s companion at disciplinary or grievance hearings, or is another of the employer’s workers. Under these procedures such a companion or representative may be present at each stage of the grievance procedures. Where an employee chooses to be accompanied or otherwise assisted by a representative in accordance with the legislation, the head teacher, or the clerk 247 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) to the governing body as the case may be, will seek to arrange hearings, etc, in consultation with the chosen trade union official or chosen employee. Pay and appeals committees – terms of reference Suggested terms of reference for a committee implementing the pay policy are as follows. They may be added to the terms of reference of an existing committee. recommending a pay policy to the governing body, including advice on exercising discretionary powers; implementing the relevant sections of school’s pay policy, as adopted by the governing body and subject to the employee’s right of appeal; annually agreeing performance objectives with the head teacher, other teachers on the leadership spine, and advanced skills teachers, and reviewing performance against those objectives where this responsibility has not been delegated to the head teacher; determining remuneration for employees undertaking additional responsibility on a temporary basis at the direction of the governing body or of the head teacher acting on the governing body’s behalf; where the committee’s terms of reference include general staffing or personnel matters, making recommendations to the governing body on the staffing structure of the school as appropriate and in the light of the school’s development plan and budget; ensuring that records are maintained, by the clerk to the governing body or the head teacher as appropriate, of all matters relating to salaries; subject to an employee’s right of appeal, ensuring that there is an annual review of teachers’ salaries under the School Teachers’ Pay and Conditions Document in accordance with the school’s pay policy and the budget allocated by the governing body or its finance committee Suggested terms of reference for an appeals committee in respect of pay and performance management are as follows. They may be added to the terms of reference of an existing committee (dealing with appeals under the disciplinary procedures etc.) hearing an appeal by an employee against a determination of salary by the head teacher or pay committee and deciding on that appeal within the pay policy adopted by the governing body 248 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) hearing an appeal by an employee as provided under various regulations within the Performance Management Regulations. Pay and appeals committees – membership and proceedings The constitution, membership and proceedings of the pay and appeals committees must be subject to the requirements of the current School Governance Regulations. The statutory guidance on appeals under the School Teachers’ Pay and Conditions Document states that no-one who has been involved in a prior decision should be involved in hearing an appeal and recommends that the appeals committee should consist of three governors. However, it is for the governing body to decide whether to specify a quorum for its pay and appeals committees. If a quorum is not specified all members of the committee will have to meet in order for its decisions to take effect. The governing body must also decide who will act as clerk to the committees (subject to the provisions of the School Governance Regulations) and who will ensure that reports from the committees are made to the governing body. The committees must also follow the requirement of the School Governance (Constitution and Procedures) (England) (Amendment) Regulations 2003 that any person employed to work at a school, other than the head teacher, shall withdraw from a meeting during discussion of the pay of a particular employee and that the head teacher shall also withdraw when his or her own pay is discussed. As changes to the salaries of other members of the leadership team could have implications for the salary of the head teacher, the head teacher, having reported on their performance and given advice, should also withdraw whilst the committee discusses the pay of the teacher concerned. 249 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) PAY POLICY OF *________________________ SCHOOL ADOPTED BY THE GOVERNING BODY ON *________________ [DATE] [*Text marked with an asterisk requires the Governing Body to insert details or decide which option to follow in its policy.] THE CURRENT STAFFING STRUCTURE AND IMPLEMENTATION PLAN APPROVED BY THE GOVERNING BODY IS APPENDED 1. Introduction 1.1 The Governing Body has adopted this policy following consultation with employees in the school and the school-based representatives of the recognised unions and professional associations. It will review the policy annually in similar consultation. The policy meets the requirements of the School Teachers’ Pay and Conditions Document, has regard to the statutory guidance accompanying the Document, and conforms to the local authority’s salary scales and conditions of service for support staff. 1.2 The Governing Body will ensure that all employees are made aware of the existence of this policy and have ready access to a copy of it. In particular it will ensure that arrangements are made to draw the attention of employees to relevant dates within the policy, to prevent any employee being disadvantaged by ignorance of the date by which an application relating to pay should be submitted. It will publish the policy through its scheme of publication in accordance with the Freedom of Information Act 2000. 1.3 The Governing Body delegates the implementation of this policy to the *_______ Committee (hereinafter referred to as the ‘pay committee’), with the exception of threshold assessment for teachers and determining the salaries of newly appointed employees in accordance with this policy, both of which are delegated to the Head Teacher. *[The Head Teacher is also asked to agree performance objectives with other teachers on the leadership spine, review those objectives annually and report on the outcome of that review to this Committee in time for the annual review of salaries of those teachers.] Following City Council consultations on performance and pay progression for support staff the Governing Body will delegate the implementation to the head teacher. 2. Guiding principles 2.1 The Governing Body recognises that it must follow national and local agreements on pay and conditions of service but it must also take account of the overall needs of the school. The Governing Body’s pay policy will be based on the following key principles:- 250 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) 2.2 Legal obligations The Governing Body acknowledges that it must comply with the law, including not only general employment law but also the specific provisions of educational legislation, in particular the School Staffing Regulations, the School Teachers’ Pay and Conditions Document and regulations relating to qualifications, specified work and registration. 2.3 Equal opportunities The Governing Body is firmly committed to equal opportunities for all employees and will comply with relevant legislation. 2.4 Commitment to employees The Governing Body recognises that the employees of the school are the school’s most important asset and values their commitment, support and goodwill. The Governing Body wishes to use its pay policy to assist with the recruitment and retention of employees through: recognising that decisions about pay should be fair, justifiable, open, objective, accountable and within agreed policies and procedures maintaining a grading structure within the school that reflects the levels of responsibility that employees undertake and provides career development opportunities working to maintain harmonious relations with employees. 2.5 School development and improvement plans The Governing Body will ensure that its policy is consistent with the school’s development and improvement plans and will use it in implementing those plans. 2.6 Local authority advice The Governing Body will take account of the Authority’s policies and advice on pay and remuneration. 3. Staffing structure 3.1 As required by the School Teachers’ Pay and Conditions Document, when determining the remuneration of a teacher the governing body will have 251 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) regard to this pay policy and to the teacher’s particular post within its staffing structure. 3.2 The school’s staffing structure will be reviewed annually in relation to the school’s development and improvement plans and equal pay legislation. A review will cover in particular: the grading structure within the school in relation to the levels of responsibility undertaken by staff and the grading of similar jobs elsewhere in the Authority, with particular reference to the provisions of the ‘Single Status’ scheme for support staff in schools; salary differentials; the method of advertising promotion/additional responsibilities within the school. 3.3 All opportunities for promotion, permanent or temporary, will be advertised to all staff (other than in a re-organisation, when as part of the consultations it may be agreed that vacancies will be advertised to displaced employees only in the first instance). 3.4 Particular care will be taken to ensure that part-time and temporary staff have the same levels of pay as would be attached to similar responsibilities or work of equal value undertaken by full-time and permanent staff and that temporary contracts are offered only in compliance with the Part-Time Worker and Fixed Term Employees Regulations. 3.5 Where a standard local authority job description is used the recommended local authority salary grade will be attached to the job. 3.6 Where the responsibilities and salary grading of one particular job are reviewed the implications for other jobs in the school will be considered to ensure that account is taken of the impact of additional responsibilities on all staff. Equally, account will be taken of the equal pay implications. 3.7 The Head Teacher will review all job descriptions annually. Job descriptions will be revised as and when necessary through consultation between the head teacher and individual employees. Where there are any significant changes to the job description the implications for the grading of the job will be considered. 3.8 Additional responsibilities undertaken on a temporary basis, whether for a particular task, or to cover for an absence or vacancy, will be rewarded by additional payment in accordance with the relevant national pay scales having regard to the level of additional responsibility undertaken and the City Council’s advice on honoraria (for support staff only) and temporary 252 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) arrangements to act during a vacancy or absence. In particular the governing body will comply with the statutory requirements relating to acting allowances for persons acting, as distinct from temporarily appointed, as head teacher, deputy head teacher or assistant head teacher. 4. Dates relating to the annual reviews of salary (teachers) 4.1 As required by the School Teachers’ Pay and Conditions Document the committee, on behalf of the Governing Body, will determine the salary of each teacher annually with effect from 1st September. This review will be undertaken by the dates set out below and the committee will ensure that the teachers are notified in writing of the outcome, showing the details specified in the Document, including the point on the pay scale, any allowances and any special payments or benefits. 4.2 In order for the committee to complete the annual determination of salaries of teachers by the date in the autumn term set out below, there will be other dates by which representations or applications should be made. The dates for the current school year are set out below and will be published to all teachers. *[insert dates at points shown] date by which any teacher wishing to make representations about the annual determination of salary should notify the head teacher or committee clerk *___________ date of the committee meeting(s) for reviewing performance objectives for teachers on the leadership spine or advanced skills teachers and for the annual determination of the salaries of all other teachers *_______________ date by which the committee clerk or head teacher as appropriate will send a written statement of salary to every teacher in the school as required by the School Teachers’ Pay and Conditions Document *_____________(i.e., within one month of the determination of salary). Where a teacher wishing to make representations to the committee is absent, for reasons such as sick leave or maternity leave, arrangements will be made in consultation with the teacher and may be outside the dates published by the committee for the generality of teachers in the school. Written statements of salary will also be sent in relation to any subsequent changes in salary during the year, for example, if a teacher passing the threshold is entitled to a backdated payment to 1st September of the current school year, or if a teacher is promoted or awarded an acting payment during the year. Pay statements will include the information specified in the Government’s model pay statements. Where necessary teachers will be 253 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) given information about rules on safeguarding their salaries, obtainable through the Government’s Teachernet website. 5. Salaries of classroom teachers 5.1 The Committee will determine the salary for individual classroom teachers on appointment or promotion in accordance with the current School Teachers’ Pay and Conditions Document, this pay policy, the approved school staffing structure, and in the light of the advice given by the local authority and the recommendations of the head teacher. 5.2 The Committee’s procedure and timetable for the annual determination of salaries will include arrangements for assessment by the head teacher against the post-threshold standards. The Committee expects the head teacher to ensure that the performance management process provides that the performance management criteria for teachers who will become eligible to apply to cross the threshold in the future will enable the reviewer to assess whether the post-threshold standards have been met throughout the preceding two years. 5.3 The Committee’s procedure and timetable for the annual determination of salaries will include arrangements for progression on the upper pay scale in accordance with the guidance provided by the local education authority and the statutory guidance accompanying the School Teachers’ Pay and Conditions Document. 5.4 In determining the salaries of classroom teachers, whether on appointment or for the annual review of salary, the committee will follow the mandatory provisions of the School Teachers’ Pay and Conditions Document. For qualified classroom teachers who are post-threshold teachers it will determine advancement up the upper pay scale in accordance with the provisions of the Document. For classroom teachers who are not postthreshold teachers it will exercise its discretionary powers in respect of the main pay scale of that Document as specified below. Criterion for salary point(s) on the main pay scale for classroom teachers and mandatory provisions Starting with the point on the main pay scale on which the teacher was first placed on the six-point pay scale in accordance with either the 2002 Document, the 2003 Document, the Exercise of discretionary powers The governing body will recognise all teaching employment during periods of special leave of absence as service for the award of experience points. The discretion to discount a previous year of employment for unsatisfactory service will, except in exceptional circumstances, only be exercised if separate formal procedures have resulted in a disciplinary sanction 254 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) 2004 Document, the 2005 Document, the 2006 Document, the 2007 Document, the 2008 Document or the 2009 Document add mandatory points for each year of employment as a classroom teacher completed since that first placement, year of employment being defined by paragraph 1.8 of the School Teachers’ Pay and Conditions Document, teaching in an Education Action Forum or MOD school, teaching as a recognised qualified teacher in countries in the European Economic Area outside England and Wales, subject to the maximum of the scale. Also add an extra point for fast track teachers on appointment, subject to the maximum of the scale. For a first appointment with no previous experience and not a fast track teacher place on the minimum of the scale. For a second or subsequent appointment of a teacher with a break in service and never previously employed on the six-point scale follow the provisions of paragraph 26 of the Document. “year of employment” as a classroom teacher is defined by the Document as a periods of employment amounting to related to performance. This teaching experience cannot be combined with other experience in determining salaries. 255 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) at least 26 weeks in aggregate within the previous school year for a teacher employed by a local authority or governing body of a maintained school. Mandatory points can no longer be awarded for years of employment as an unqualified teacher in the maintained sector, only on a discretionary basis (see below) Teaching experience other The governing body will recognise other teaching than employment as a experience outside the strict definition of years of qualified school teacher employment as a qualified school teacher as defined in the School Teachers’ Pay and Conditions Document and the Education Act 2002 (s.122). It will recognise teaching as an unqualified school teacher, as the employee of a private agency, teaching in an independent school, other types of school not maintained by local authorities, sixth form college, further education college or teaching outside the European Economic Area, awarding points on the basis of 1 point for each full year1 subject to the maximum allowed under the Document and only (as the Document now specifies) if the experience has not been recognised previously, either when first appointed to the new six-point scale or in the salary on the old scale assimilated to the new scale. This kind of experience is part of the other, discretionary experience in the Document and can therefore be combined with other experience (see below) when calculating the number of years accrued. Other experience If the experience involves work with young people outside teaching, e.g. youth work, the discretion to recognise other experience will be applied on the basis of one point for each full year of such experience and only if the experience has not been recognised previously, either when first appointed to the new six1 The provision that 26 weeks of teaching experience shall entitle a teacher to an additional point applies only to teaching as a qualified teacher under a contract to a local education authority or governing body in a maintained school in England and Wales (see the Education Act 2002, Section 122). Other teaching experience, including work in Scotland and Northern Ireland and work in LEA schools as an instructor or the employee of a private agency, must amount to a full year before a point may be awarded. 256 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) point scale or in the salary on the old scale assimilated to the new scale. Otherwise, the discretion to recognise experience which the governing body considers of value to the performance of the classroom teacher’s duties will normally be applied on the basis of one point for every three years, subject to the maximum allowed under the Document and only if it has not been recognised previously, either when first appointed to the new six-point scale or in the salary on the old scale assimilated to the new scale, *[also to a maximum determined by the Governing Body of ______ points] and taking into account the advice of the local authority on the recognition of such experience. It will be for the pay committee to decide whether the experience is of value to the performance of the classroom teacher’s duties. Additional experience point for excellent performance over the last twelve months where a teacher has not yet reached point M6 on the main pay scale for classroom teachers EITHER *The discretion to reward excellent performance over the last twelve months, with particular regard to classroom teaching, by the award of an additional experience point over and above the mandatory point will not be exercised at present in view of the fact that this discretion is available only in respect of teachers who have not already been awarded the maximum number of points for experience permitted by the Document, and the implications for equal opportunities. OR *From September, 2009 [or such later date as it may determine], the governing body will award an additional experience point over and above the mandatory point to any teacher below the maximum of the classroom teacher’s pay scale whose performance during the previous twelve months has been excellent having regard to all aspects of that teacher’s professional duties but in particular classroom teaching, excellence being defined as significantly above the national performance threshold standards and in accordance with criteria published to all teachers in the school at the beginning of the previous academic year. *[Delete as appropriate] Criterion for additional payments for qualified classroom teachers and teachers on the leadership spine Exercise of discretionary powers 257 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) Recruitment and retention benefits EITHER *The discretion to award recruitment and retention benefits will not be used as this raises the difficulties of individual selection, parity, equity and divisiveness OR *A recruitment and retention benefit in accordance with a list approved by the governing body annually will be awarded for a period of [insert duration, subject to a maximum of 3 years] and will be paid *with monthly salary/*at the end of the specified period [*delete as appropriate] Either *To all teachers in the school Or *on the basis of the following criteria:*to all teachers in the following shortage subjects [insert subjects] *for any vacancy advertised unsuccessfully on at least two occasions *to fulfil an earlier contractual commitment *to attract applicants for temporary responsibilities, either during a vacancy or to undertake specific, shortterm duties [*Delete as appropriate] OR *A recruitment and retention benefit in accordance with the Government’s ‘Golden Handcuff’ scheme will be paid to *all teachers/*teachers of the following subjects [*insert subjects] (other than Advanced Skills Teachers and ‘Excellent Teachers’) recruited to the school from September 2009 for as long as the ‘Golden Handcuff’ scheme continues to apply to the school Initial training of teachers Continuous professional development The discretion to remunerate teachers for responsibilities in the initial training of teachers will be exercised having taken account of the Government’s statutory guidance and in accordance with a list approved by the governing body annually. Having regard to the workload of teachers and equal opportunities, the governing body will EITHER *not encourage attendance at in-service training in evenings, at weekends or in holidays and will not therefore need to avail itself of the discretion to compensate teachers for such attendance 258 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) Out-of-school hours learning activity OR *compensate teachers (at 1/195 of the annual salary of the teacher for each full day of training) for voluntary attendance at in-service training in evenings, at weekends or in school holidays where that training is approved in accordance with the school’s policy on continuous professional development and the individual needs of the teacher and on the understanding that a teacher will not be disadvantaged by choosing instead to undertake such training during school hours [*Delete as appropriate] Having regard to the workload of teachers and equal opportunities, the governing body will EITHER *exercise its discretionary powers under the School Teachers’ Pay and Conditions Document having regard to the guidance issued by the local authority in Appendix 8 of its annual advice OR *decline to exercise its discretionary powers under the School Teachers’ Pay and Conditions Document [*Delete as appropriate] 5.5 For all classroom teachers, whether paid on the main pay scale or the upper pay scale (but not for advanced skills teachers or excellent teachers, who are excluded from the definition of classroom teacher and can only be paid the special salaries set out in the School Teachers’ Pay and Conditions Document), the Committee will exercise its discretion in relation to remuneration for extra responsibilities, including those for pupils with special educational needs, as follows: Allowances available for Exercise of discretionary powers classroom teachers on the main pay scale or the upper pay scale Teaching and learning The values of teaching and learning responsibility responsibility payments payments awarded in this school will be: Where a school has awarded teaching and learning responsibility payments before 1st September 2009 it must increase those payments by the percentage [TLR 1* where used] TLR 2* Each year the governing body will increase the value of these payments by the mandatory percentage to ensure that new appointments are paid on the same 259 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) specified in the School Teachers’ Pay and Conditions Document with effect from that date. Special educational needs allowances A SEN allowance of no less than £2001 and no more than £3954 per annum is payable to a classroom teacher in accordance with this paragraph. level as teachers already in post. The discretion to award teaching and learning responsibility payments will be exercised having regard to the school’s staffing structure (appended) and the plan for implementing that structure and in accordance with the criteria specified in the School Teachers’ Pay and Conditions Document and associated statutory guidance. The Document specifies that the payments may be awarded to a classroom teacher for undertaking a significant responsibility not required of all classroom teachers in the context of its staffing structure and meeting specified criteria. It also provides that payments at level 1 can only be made if the teacher’s significant responsibility includes “line management responsibility for a significant number of people”. The Document also requires the governing body to include in its statement of the determination of salary the annual value of the award, the nature of the significant responsibility for which it is awarded, and, if the award is temporary, the date on which as well as any circumstances in which (if occurring earlier than that date) it will come to an end. The governing body will review its policy on the values of special educational needs allowances as required by the School Teachers’ Pay and Conditions Document and following guidance from the authority after local consultations on these values. 25.2 The relevant body must award a SEN allowance to a classroom teacher(a) in any SEN post that requires a mandatory SEN qualification; (b) in a special school; (c) who teaches pupils in one or more designated special classes or units in 260 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) a school or, in the case of an unattached teacher, in a local authority unit or service; (d) in any nondesignated setting (including any PRU) that is analogous to a designated special class or unit, where the post (i) involves a substantial element of working directly with children with special educational needs; (ii) requires the exercise of a teacher’s professional skills and judgement in the teaching of children with special educational needs; and (iii) has a greater level of involvement in the teaching of children with special educational needs than is the normal requirement of teachers throughout the school or unit within the school or, in the case of an unattached teacher, the unit or service. 25.3 Where a SEN allowance is to be paid, the relevant body must determine the spot value of the allowance, taking into account the structure of the school’s SEN provision and the following factors- 261 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) (a) whether any mandatory qualifications are required for the post; (b) the qualifications or expertise of the teacher relevant to the post; and (c) the relative demands of the post. 6. Salaries of head teachers, deputy head teachers, assistant head teachers, and advanced skills teachers 6.1 The salaries of the Head Teacher, Deputy Head Teacher(s), and any Assistant Head Teacher or Advanced Skills Teacher, will be reviewed annually as required by the School Teachers’ Pay and Conditions Document. There will be a procedure and timetable for the annual review giving the option of personal appearance before the committee, with the option to be accompanied by a representative if the teacher so chooses. For all members of the leadership group and advanced skills teachers, written notification will be given not only of the salary determined under the Document but also of the performance objectives agreed or set under the Document and which will be reviewed as part of the next annual salary determination. 6.2 The individual school range which the governing body is required to set for head teachers by the School Teachers’ Pay and Conditions Document will reflect the responsibilities of the job in addition to the size of the school, any other factors specified in the Document (such as those relating to group size) and the advice issued annually by the local authority on the salaries of head teachers. The governing body will determine the pay ranges of the deputy head teacher(s) and any assistant head teacher(s) and advanced skills teachers in relation to the duties and responsibilities of those teachers. 6.3 If the Head Teacher, Deputy Head Teacher(s) and any Assistant Head Teacher(s) have been given additional responsibilities the committee will consider whether there have been corresponding additions to the duties and responsibilities of other staff in the school and the consequences for the school’s statutory staffing structure, including temporary, acting payments. 6.4 If the governing body agrees (having regard to the workload implications for all employees in the school) that the Head Teacher, or any other teacher, is to work for part of his or her time temporarily in another school, the governing body will follow the special provisions of paragraphs 12.2.8 and 12.2.9 and 262 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) 49.1 (d) the School Teachers’ Pay and Conditions Document and associated statutory guidance, according to the kind of work to be undertaken. It will retain responsibility for the entire remuneration of the head teacher and/or other teachers, will record the arrangements in writing with the employees concerned and will enter into a written service agreement with that other school, including agreed charges for the services provided, in accordance with legal advice from its personnel service provider. 7. General provisions applicable to teachers and short-notice teachers 7.1 The governing body recognises that it has no powers to remunerate teachers other than those specified in the School Teachers’ Pay and Conditions Document. 7.2 The governing body acknowledges that part-time teachers are entitled to the appropriate proportion of the remuneration (including allowances) which they would receive if full-time, that proportion corresponding to the proportion of the school timetabled teaching week that the local authority deems the teacher to be normally employed as a school teacher (breaks between timetabled activities, registration and assemblies all being excluded). It will pay a safeguarded salary as specified in the Document to any part-time teacher whose salary is reduced by the new method of calculating the proportion of full-time salary required by the Document. 8. Unqualified teachers 8.1 The governing body will pay unqualified teachers (whether instructors or overseas trained teachers, or, as the case may be, a teacher on the employment-based teacher training scheme) as required by the special pay scale and related provisions in Part V of the School Teachers’ Pay and Conditions Document. With regard to appointments of new unqualified teachers on the pay scale the governing body will use its discretion to award points above point 1 as follows: one point for each year of other teaching service (e.g. in further education or independent schools, or abroad) or other directly relevant experience, e.g. youth work one point for every three years of other experience which the governing body considers of value to the performance of the unqualified teacher’s duties, subject to the maximum allowed under the Document and only if it has not been recognised previously, either when first appointed to the new scale or in the salary on the old scale assimilated to the new scale, *[also to a maximum determined by the Governing Body of ______ points]. 263 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) 8.2 The Governing Body will recognise the responsibilities of these teachers under the Education (Specified Work and Registration) (England) Regulations 2003 as amended. Where appropriate and on the recommendation of the head teacher, the governing body may decide to pay a special allowance in accordance with the criteria set out in the Document. The value of such an allowance will be _____*. 8.3 From 1st September 2009 an unqualified teacher in service is entitled to a point for the previous school year’s service (using the definition in the Document of 26 weeks teaching in that year) subject to the maximum of the scale. 8.4 The governing body will pay teachers on the employment-based teacher training scheme (as defined in the Education (Specified Work and Registration) (England) Regulations 2003 as amended) as qualified*/unqualified* teachers [*delete as appropriate]. 8.5 The governing body will ensure that, when the Document is amended at a future date, the calculations of pay for short-notice teachers employed by the school (as distinct from those relief teachers provided and employed by private agencies) show the working element and holiday element separately and will pay the holiday element as prescribed by the School Teachers’ Pay and Conditions Document and statutory guidance. 9. Support staff 9.1 Remuneration for the responsibilities of the job will be determined when selecting the salary grade for the job as part of the staffing structure for the school. The governing body recognises that it is required to use a salary grade applicable in relation to employment with the authority and such as the governing body considers appropriate. In selecting the salary grade the governing body will have regard to the job description and to the advice of the local authority on the salary grades attached to the School Single Status Package. The Governing Body will arrange for any new job not matching a generic post to be evaluated in accordance with the Job Evaluation Scheme. The Governing Body notes that any deviation from the recommended grades may lead to Equal Pay claims. 9.2 The Governing Body will follow the recommended grades for generic jobs. 9.3 The governing body will normally place new employees on the minimum of the salary grade in accordance with the local authority’s practice. The governing body will consider using its discretion to award additional increments in exceptional circumstances, for example, in the case of a person who has previous experience at the same level as the job concerned and who is currently receiving a salary for such work at a higher level than the minimum of the local authority salary grade for the job. Employees who 264 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) are appointed from other local authority employment on a lower salary grade will be paid a salary on the new grade which is at least one spinal column point higher than the employee’s previous salary. 9.4 ‘Acting up’ on a temporary basis at the direction of the governing body (or of the head teacher acting on the governing body’s behalf) will be recognised where appropriate by the payment on a higher salary grade for the period in question. Additional responsibilities not equivalent to a higher graded post but nonetheless exceeding the role expected in the employee’s substantive grade may be recognised by an honorarium as specified in the single status package. 9.5 The governing body recognises that it has no powers to remunerate support staff outside the provisions of the local authority’s salary grades and conditions of service. 9.6 Support staff may make representations about individual salary grades at any time. The governing body expects representations to be made to the head teacher in the first instance, but subsequently representations may be made to the pay committee, with a right of appeal to the appeals committee as set out below. Grievances about equal pay are dealt with under the separate procedure recommended by the local authority. 10. Job descriptions 10.1 Deploying and managing all teachers and support staff and allocating particular duties to them are the responsibility of the head teacher. 10.2 Every member of staff will be provided with an appropriate job description. The head teacher will ensure that all job descriptions are reviewed annually. Job descriptions will be revised as and when necessary through consultation. Where there are any significant changes to the job description the implications for the grading of the job will be considered. 11. Rights of employees who are dissatisfied with a decision taken about pay or in accordance with the performance management regulations 11.1 The Governing Body, in determining and publishing its pay policy, aims to ensure that all decisions taken on pay and remuneration are justifiable and fair. 11.2 The Governing Body will provide for: all school-based representatives of any recognised union or teachers’ association to make representations about the contents of its pay policy to the governing body before the adoption or annual review of that policy; 265 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) any employee to be able to approach the head teacher informally if he/she has any concerns about his/her salary; any teacher who has been unable to resolve informally a grievance arising at the specified points in the performance management regulations to submit a grievance in writing to the head teacher if the head teacher is not the reviewer or reviewee, otherwise to submit a grievance in writing to the pay committee; the head teacher, or pay committee, as the case may be, to meet with any teacher who has submitted a written grievance arising from the performance management regulations, with the teacher having the statutory right to be accompanied on request, and with the teacher being informed, in writing, without unreasonable delay of the outcome of the meeting and of the right of appeal; the head teacher or any other employee to make representations, which must be in writing although they may also be made orally, to the pay committee on his or her individual salary and with the employee having the statutory right to be accompanied on request. The governing body’s arrangements must provide for the pay committee to invite the employee to attend a meeting to discuss the complaint or grievance, for the committee, after the meeting, to inform the employee of the decision in response to the complaint or grievance and of the employee’s right to appeal against the decision if dissatisfied with it. The decision should be communicated to the employee, in writing, without unreasonable delay. use of the local authority’s recommended procedure for equal pay grievances raised by support staff. appeals to an appeals committee (as required by the School Teachers’ Pay and Conditions Document in the case of teachers and by the Single Status package in the case of support staff) with the employee being required to notify any appeal within twenty working days of being notified in writing of the decision against which the appeal is lodged. collective grievances against the Governing Body to be considered in accordance with the Governing Body’s grievance procedure. 11.3 Employees may wish to seek the advice of their union/professional association in making representations, submitting a grievance or making an appeal. 11.4 The procedure for making oral representations to the committee responsible for pay decisions shall be the same as that for making an appeal to the appeals committee. 266 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) 11.5 The appeals committee will hear an appeal as follows: The Employee and his/her representative and the Head Teacher shall attend the meeting simultaneously to present their cases. The Chairperson will perform the necessary introductions. The Head Teacher or the Chairperson of the pay committee will describe the policy of the governing body and present the management case by explaining how the salary determination for the employee fits within that policy. They may call witnesses as appropriate. Any witness called will only attend to give evidence and answer any questions on that evidence and will then withdraw. The Employee and his/her representative may question the Head Teacher or Chairperson of the pay committee The Chairperson of the appeals committee, members of the committee and Technical Adviser may question the Head Teacher or Chairperson of the pay committee The Employee and his/her representative will present his/her case. They may call witnesses as appropriate. Any witness called will only attend to give evidence and answer any questions on that evidence and will then withdraw. The Head Teacher or Chairperson of the pay committee may question the Employee and his/her representative. The Chairperson of the appeals committee, members of the committee and Technical Adviser may question the employee and his/her representative. The Head Teacher will sum up his/her case (no new evidence shall be introduced at this stage). The Employee and/or his/her representative will sum up their case (no new evidence shall be introduced at this stage). The Head Teacher and the Employee and his/her representative will withdraw. The committee will consider the material and evidence presented at the hearing, decide the outcome and notify its decision in writing to the appellant, normally within seven working days of the hearing. Where the appeal concerns a decision by the full governing body on the exercise of its discretionary powers, the committee may decide to make recommendations to the governing body to amend the policy in such a way as will meet the employee’s concern. 267 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 1 – REVISED MODEL PAY POLICY FOR SCHOOLS (SEPTEMBER 2010) NB The questioning of any witnesses called will follow the procedure outlined above. 11.6 The School Teachers’ Pay and Conditions Document provides that the outcome of a teacher’s appeal shall not be subject to any further review under the governing body’s staff grievance procedure. However, the governing body may decide to accept a recommendation from its appeals committee to amend its pay policy in response to an individual appeal or collective grievance. 11.7 Where several employees wish to appeal on the same grounds, they may ask the officers of the recognised unions or associations to submit a collective grievance on their behalf to be considered in accordance with arrangements made by the governing body. 12. Review and consultation 12.1 The Governing Body will review its pay policy at least annually in order to ensure that the policy continues to comply with the law and promotes good personnel practice and in particular to take account of pay awards, changes in national and local agreements governing pay, the school development plan and the school’s budget. 12.2 It will undertake such reviews in consultation with staff, including school representatives of all the recognised unions and teachers’ associations. 268 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES Summary This appendix gives guidance on the rules for salaries of head teachers, deputy head teachers and assistant head teachers, whose salary ranges fall within the ‘leadership spine’ of the School Teachers’ Pay and Conditions Document. The School Teachers’ Pay and Conditions Document defines head teachers, deputy head teachers and assistant head teachers as members of the “leadership group”. This definition does not preclude schools from operating with a senior management team including teachers with teaching and learning responsibility payments as well as members of the “leadership group”. Differentials Summary of rules for new appointments Head teachers in charge of more than one school Head teachers supporting other schools Annual review and determination of salaries Performance objectives and performance management Changes in the Individual School Range during an appointment Temporary appointment to the leadership spine Support from the local authority Differentials The Document specifies minimum differentials between the salary ranges of head teachers, deputies and any assistant head teachers, and between the minimum salary on the leadership spine and the salary of the highest paid classroom teacher in the school. The Document gives a precise definition of the highest paid classroom teacher and does not take account of points 2 and 3 on the upper pay scale. Summary of rules for new appointments General Salary range and criteria for the starting point (subject to statutory maximum starting point) to be determined by the governing body or a committee with delegated authority from the governing body (not by the selection panel) Follow the rules of the School Teachers’ Pay and Conditions Document – see Teachernet under Teachers’ Pay for the Document http://www.teachernet.gov.uk/management/payandperformance/pay/ Detailed guidance produced for Birmingham schools each September – look in e-briefing under School Teachers’ Pay and Conditions Document 269 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES Group size (head teachers) Use formula in the School Teachers’ Pay and Conditions Document with pupil numbers from the DCSF Annual School Census (age-weighted pupil numbers, extra weighting for SEN pupils – see paragraph 9 of the Document, or for special schools the more complicated formula in paragraph 10 of the Document) to derive the unit total, which gives the group size Head of Schools HR Services will provide that information and calculate the group size on request Obtain range of Leadership points for that Group (from School Teachers’ Pay and Conditions Document) Decide whether the Group size offers adequate scope for paying the head teacher or whether to exercise discretion to use up to two groups higher for recruitment and retention or because the school is causing concern. The governing body can also take into account projected changes in pupil numbers. (Large secondary schools can go above the maximum of the leadership scale in order to achieve the equivalent of two higher groups.) Individual School Range (ISR) (head teachers) Choose 7 consecutive points on that section of the Leadership spine within the Group Consider against requirements for differentials (no overlap with ranges for deputy and assistant head teachers or the salary of the highest paid classroom teacher as defined in the Document – upper pay scale 1 plus the highest total of TLR/SEN allowances paid to a teacher in the school) ISR may exceed the top of the Group in order to avoid an overlap with deputy/assistant head teacher but only by the minimum for achieving the required differential Consider special factors affecting where to set the ISR within the Group, such as the proportion of pupils with English as a second language, social and/or economic problems affecting pupils, split site school, other users on site, children’s centre run by the governing body, organisation of significant out-ofschool hours learning provision as part of the school development plan Determine the criteria for the starting point within the chosen ISR, for example, a point which would be at least one or two points above the applicant’s current salary, subject to the rule that the starting point cannot be above the midpoint of the salary range. These criteria are to be determined by the governing body or relevant committee (not by the selection panel) in advance and should be included in the information for applicants. Ensure that the ISR and criteria for the starting point are made clear in the details supplied to potential applicants The governing body should not alter the salary range during the selection process, because any such change would affect people’s decisions as to whether or not to apply for the job. A change during the selection process 270 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES could lead to complaints that potential applicants were denied the chance to apply for the job as amended. Salary ranges for deputy head teachers and assistant head teachers The governing body must determine a five-point range, which must not overlap with the Individual School Range. There is no fixed differential between the two, they simply must not overlap. There may be different salary ranges for different deputies, if the jobs have different levels of responsibility. The five-point range for a deputy head teacher may overlap the five-point range for an assistant head teacher, provided that the former exceeds the latter by at least one point. The minimum of the salary ranges for both deputy and assistant head teachers must exceed the salary of the highest paid classroom teacher as defined in the School Teachers’ Pay and Conditions Document. As with head teachers, the governing body is responsible for determining the criteria for the starting point within the chosen salary range, for example, a point which would be at least one or two points above the applicant’s current salary, subject to the rule that the starting point cannot be above the midpoint of the salary range. These criteria are to be determined by the governing body or relevant committee (not by the selection panel) in advance and should be included in the information for applicants. As with head teachers, the governing body should not alter the salary range during the selection process. Appointment of new head teacher or deputy or assistant head teacher Apply decisions of the governing body or delegated committee to the appointment Relevant committee to agree performance objectives with new head teacher or deputy or assistant in accordance with the Performance Management Regulations Relevant committee to reach understanding with new head teacher or deputy or assistant as to whether achievement of performance objectives will equal a sustained high quality of performance and whether this will lead to advancement on ISR (subject to the maximum of the range), because advancement is at the governing body’s discretion and not automatic. Residential special schools The head teachers, deputy head teachers and assistant head teachers of residential special schools are entitled to special additional payments in recognition of the extra responsibilities involved in managing a residential establishment. The payments vary according to the proportion of pupils who 271 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES are resident and whether the head teacher or deputy head teacher is also resident on site. The payments are made under a clause in the School Teachers’ Pay and Conditions Document permitting the governing body to make payments for residential duties. The actual rates are determined by the local adoption of the rates negotiated nationally in the Joint Negotiating Committee for Residential Establishments. Head teachers in charge of more than one school There are special rules in the School Teachers’ Pay and Conditions Document according to whether the arrangement is permanent or temporary. If the head teacher is appointed permanently as head teacher of more than one school the relevant body of the head teacher’s original school must determine the individual school range by the application of the total unit score of all the schools involved. This arrangement is possible in the case of a formal federation, although even here it may be temporary. If the arrangement is temporary and a head teacher is appointed as acting head teacher of one or more additional schools the governing body of the original school is responsible not only for the agreement under which the head teacher is allowed to undertake this additional responsibility but also for the salary arrangements. It must, for the duration of the acting appointment, determine the head teacher’s individual school range by whichever produces the higher of the application of the total unit score of both schools or a group which is up to two groups higher than the head teacher group of either of the schools. In making its determination the governing body must be aware of the rules in the School Teachers’ Pay and Conditions Document for assimilation when a higher individual school range is introduced for a head teacher. The cost to the other school(s) of the services of the head teacher is to be agreed between the respective governing bodies and should be recouped through a written agreement. The statutory guidance accompanying the School Teachers’ Pay and Conditions Document (see paragraphs 29 to 41 of Section 3 of the School Teachers’ Pay and Conditions Document and Guidance) advises that a governing body should take into account workload implications before agreeing that a head teacher may temporarily work in more than one school. Head teachers supporting other schools If the governing body agrees that the head teacher may provide a service relating to the raising of educational standards to one or more additional schools other than as acting head teacher (for example, as a Consultant Leader) then the pay committee may consider whether it would be appropriate to make an additional payment to the 272 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES head teacher. If the work is undertaken during school sessions, additional remuneration would not be appropriate, but if the arrangements oblige the head teacher to work outside his or her normal school sessions (for example, by attending a meeting of the governing body of the other school one evening) then the pay committee may agree that payment may be made under the School Teachers’ Pay and Conditions Document. The governing body should also consider whether the arrangement requires other teachers to undertake extra responsibilities as a consequence of the head teacher’s absence and, if so consider extra remuneration for those teachers. Where possible the extra remuneration should be in accordance with the normal provisions of the Document such as temporary variation in leadership pay range or teaching and learning responsibility payment, but where this is not applicable the governing body may exercise its discretion under paragraph 49.1 (d) of the Document to make a special payment. As with all remuneration under the School Teachers’ Pay and Conditions Document payments of this kind are pensionable. Governing bodies contemplating payments to employees as a consequence of the provision of external services should read the statutory guidance in paragraphs 163 to 166 of Section 3 of the School Teachers’ Pay and Conditions Document 2009 and Guidance and should take advice from the Head of Schools HR Services. There should be a written agreement. Annual review and determination of salaries Governing bodies should determine the salaries of head teachers, deputy head teachers and assistant head teachers at the same time, through the same committee and within the same budgetary constraints as the annual determination of salary for other teachers. As with all teachers, when determining the remuneration of members of the leadership group the governing body must have regard to its pay policy and to the teacher’s particular post within its staffing structure. The governing body’s pay policy must include a date for the annual determination of salaries and the authority’s model pay policy reflects this requirement. Performance objectives and performance management The committee (or a separate committee specifically for that purpose) should be given delegated powers to manage all aspects of the process of performance review for the head teacher and to take decisions on the annual salary review of all teachers on the leadership spine (using information supplied by the head teacher as necessary). The head teacher, deputy head teacher or assistant head teacher should be given the opportunity to attend a meeting of the committee and make representations to the committee, should he or she wish. 273 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES Performance objectives must be agreed with teachers on the leadership spine at the beginning of each school year, or when a new appointment is made during the school year. They must be reviewed as part of the annual review of salary. Performance objectives for all members of the leadership group must also be agreed for the new academic year. However, the school improvement partner involved in the performance management of head teachers has no duty to give advice on salary levels or progression up the pay range. The pay committee should ensure that it reviews the performance of members of the leadership group in accordance with the provisions of the School Teachers’ Pay and Conditions Document and taking “full account” of the statutory guidance on the criteria for progression on the pay scale and any considerations set out in the school’s pay policy. The statutory guidance states “To achieve progression, the School Teachers’ Pay and Conditions Document requires individuals on the leadership spine to have demonstrated sustained high quality performance. To be fair and transparent, judgements must be properly rooted in evidence and there must have been a successful review of overall performance. “A successful performance review, as prescribed by the Regulations, will involve a performance management process of Performance objectives Classroom observation (where relevant) Other evidence “To ensure that there has been high quality performance, the performance review will need to assess that the teacher has grown professionally by developing their leadership and (where relevant) teaching expertise.” Head teachers, deputy head teachers and assistant head teachers will make proposals to governors (assisted by the external adviser or school improvement partner as appropriate) for their performance objectives and criteria. The aim should be to reach mutual agreement and it is not expected that there should be a need for governors to set objectives other than in exceptional circumstances. If, in exceptional circumstances, mutual agreement cannot be reached, head teachers governing bodies are advised to contact the appropriate adviser within the Schools Effectiveness Division for assistance in resolving the situation. The Government’s guidance refers to the relevant body, i.e. the governing body. As explained above, the advice from the authority is that pay decisions should always be delegated to a committee of the governing body, thus allowing for any appeal to be heard by a different group of governors. The governing body’s committee should follow the school’s performance management policy. 274 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES If there has been a sustained high quality of performance and if the teacher is not at the top of the range, he or she may be advanced one or two points up the scale provided that he or she has achieved sustained high quality of performance. The presumption will usually be that the governing body will exercise its discretion in the teacher’s favour unless the committee has stipulated some other criterion in addition. The governing body’s line on this should be made clear, so that there can be no misunderstandings arising from an unwarranted assumption that sustained high quality of performance as defined in the statutory guidance will automatically entitle members of the leadership group to be advanced a point or two on the salary range. The governing body is advised to consider carefully whether it wishes to avail itself of the discretion to award two points rather than one after each annual review. Subject to the outcome of the review of performance, there should be a consistent approach to all members of the leadership spine. The governing body should be aware that awarding two points rather than one will advance a teacher on a five point range from the minimum to the maximum of that range within two years and a head teacher from the minimum to the maximum of an individual school range within three years. It should also be aware of the cost implications of awarding more than one point. Paragraph 4.4 (a) of the School Teachers’ Pay and Conditions Document requires the governors to notify the head teacher, deputy head teacher(s) and assistant head teacher(s) in writing of the criteria on which future salary reviews will be based. Reference to this has been made in the model letters appended to this advice. Should the school be placed in a special category after performance objectives have been agreed, the governing body’s committee is advised to review them and where appropriate change some of them, or add to them, in discussion with the head teacher (or deputy or assistant, as the case may be). Changes in the Individual School Range during an appointment A governing body may determine an Individual School Range whenever it sees fit and in particular in order to help recruit or retain a head teacher. A governing body must determine an individual school range when it determines that the school has moved into a different head teacher group or if it determines to set a pay range for a deputy head teacher or assistant head teacher whose maximum equals or exceeds the minimum of the individual school range, but the increase must be no more than necessary to achieve the statutory difference between the ranges. 275 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES When an individual school range is increased with effect from the beginning of a school year for a head teacher in post, any point or points awarded following the review of performance objectives for the previous school year must be awarded on the basis of the old individual school range. Therefore, if a head teacher is advanced to the maximum of the individual school range on 1st September 2008 there can be no further advancement on 1st September 2009 unless the relevant body determines and implements an increase in the range before the end of the intervening period. Temporary appointments to the leadership spine The salary of a person appointed temporarily as acting head teacher (unless that person is also the permanent head teacher of another school, for which see above), acting deputy head teacher or acting assistant head teacher must be determined in the same way as the salary of a permanent appointment. This will include the provisions for performance objectives, which should be agreed when arrangements for the temporary appointment are made. Teachers temporarily carrying out duties (not necessarily all duties) of head teachers, deputy head teachers, or assistant head teachers, but not appointed formally on a permanent or acting basis, are eligible for acting allowances under the School Teachers’ Pay and Conditions Document. Moreover, a governing body must consider, within four weeks of the day on which the employee started to carry out those duties, whether or not such an allowance should be paid. The School Teachers’ Review Body has recommended that an acting allowance should be paid from, or backdated to, the time when the teacher performs tasks that require the full authority of the post to be exercised. Any allowance must bring the salary of the individual at least to the minimum specified in the School Teachers’ Pay and Conditions Document (the minimum of the individual school range for the head teacher and of the pay range for a deputy or assistant head teacher), but it need not be at the same level as would have been paid to the substantive appointment. The salary should reflect the respective responsibilities of the substantive appointment and the person exercising the full authority of the post on a temporary basis. For example, a deputy head teacher covering for a head teacher absent for a month or two will exercise the full authority of the post, but may not undertake specific development work which the head teacher is planning. If an allowance is paid the relevant conditions of employment prescribed by the School Teachers’ Pay and Conditions Document shall apply to the person so remunerated. Support from the local authority Officers of the authority are available to give advice, at any stage of the process, to the governors of any school purchasing personnel services. Enquiries should be directed to Schools HR Services in the first instance. Model letters to head teachers, deputy head teachers and assistant head teachers are available in the following pages. 276 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES 277 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES MODEL LETTER from the relevant committee of the governing body to HEAD TEACHERS in the same post on 31st August and 1st September, 2010, notifying them of the outcome of the ANNUAL DETERMINATION of salary and confirming agreement of performance objectives for the academic year 2010-2011 N.B. Schools are recommended to use the model pay statements published by the Government on http://www.education.gov.uk/schools/careers/payandpensions/teacherspay/teachers payandconditionsdocument/a0064179/school-teachers-pay-and-conditionsdocument-2010 Dear ANNUAL DETERMINATION OF SALARY WITH EFFECT FROM 1 SEPTEMBER 2010 I write to inform you of the outcome of the annual determination of your salary which the committee, acting under delegated authority from the governing body, is required to undertake under paragraph 4 of the School Teachers’ Pay and Conditions Document 2010. Before making this determination the committee has first reviewed your performance in the light of the performance objectives agreed with you under paragraph 7.2 of the School Teachers’ Pay and Conditions Document 2009. It has concluded that you have [not]* achieved sustained high quality of performance. It has then considered your salary having particular regard to the criteria in paragraph 7.3 of the School Teachers’ Pay and Conditions Document 2009, a copy of which is available for inspection in School. Your salary point has been determined as point L____ on the leadership spine for the following reason(s): EITHER You have achieved sustained high quality of performance [and – insert any other criterion already specified by the governing body]* OR You have achieved sustained high quality of performance, but - insert reason why a point for progression has not been awarded* OR You have not achieved a sustained high quality of performance* [The Committee has exercised its discretion to review your individual school range of seven points at 1st September, 2010 and has determined that it should be unchanged at*/altered to* points ___ to ___ on the leadership spine.]* 278 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES In undertaking the next determination of your salary with effect from 1 st September 2011 the committee will have regard to those criteria contained in the School Teachers’ Pay and Conditions Document for the time being in force as it is required to do. In particular it will review your performance against the performance objectives agreed with you in accordance with the Performance Management Regulations. If you are then judged to have achieved a sustained high quality of performance taking account of those agreed performance objectives, your salary will be advanced one [or two*] point[s*] up the individual school range, provided that you have not reached the maximum of the range already [*unless – TO BE INSERTED BY THE RELEVANT COMMITTEE IF IT DOES NOT AWARD A POINT AUTOMATICALLY]. If you have any queries in relation to this letter please raise them with me in the first instance. Where this does not answer your question to your satisfaction, you may complain to the pay committee. The complaint or grievance must be in writing and sent to me. The pay committee will then write to you advising you of a date for a meeting to discuss your complaint or grievance. A copy of this letter is being sent to the authority with a request to pay you on the appropriate point on the leadership spine with effect from 1st September 2010. Yours sincerely (clerk to governors or chair of the relevant committee as appropriate). *DELETE AS APPROPRIATE Copy to: Children, Young People and Families Directorate, Performance and Support Services, Schools Personnel Services, P.O. Box 14512, Birmingham B2 2JH. 279 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES MODEL LETTER from the relevant committee of the governing body to DEPUTY HEAD TEACHERS in the same post on 31st August and 1st September, 2010, notifying them of the outcome of the ANNUAL DETERMINATION of salary. N.B. Schools are recommended to use the model pay statements published by the Government on http://www.education.gov.uk/schools/careers/payandpensions/teacherspay/teachers payandconditionsdocument/a0064179/school-teachers-pay-and-conditionsdocument-2010 Dear ANNUAL DETERMINATION OF SALARY WITH EFFECT FROM 1 SEPTEMBER 2010 I write to inform you of the outcome of the annual determination of your salary which the committee, acting under delegated authority from the governing body, is required to undertake under paragraph 4 of the School Teachers’ Pay and Conditions Document 2010. Before making this determination the committee has first reviewed your performance in the light of the performance objectives agreed with you under paragraph 13.2 of the School Teachers’ Pay and Conditions Document 2000. It has concluded that you have [not]* achieved sustained high quality of performance. It has then considered your salary having particular regard to the criteria in paragraph 13.3 of the School Teachers’ Pay and Conditions Document 2009, a copy of which is available for inspection in School. Your salary point has been determined as point L___ on the leadership spine for the following reason(s): EITHER You have achieved sustained high quality of performance [and – insert any other criterion already specified by the governing body]* OR You have achieved sustained high quality of performance, but - insert reason why a point for progression has not been awarded* OR You have not achieved a sustained high quality of performance* [The Committee has exercised its discretion to review your salary range of five points at 1st September, 2010 and has determined that it should be unchanged at*/altered to* points ___ to ___ on the leadership spine.]* 280 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES In undertaking the next determination of your salary with effect from 1 st September 2011 the committee will have regard to those criteria contained in the School Teachers’ Pay and Conditions Document for the time being in force as it is required to do. In particular it will review your performance against the performance objectives agreed with you in accordance with the Performance Management Regulations. If you are then judged to have achieved a sustained high quality of performance taking account of these agreed performance objectives, your salary will be advanced one [or two*] point[s*] up your pay range provided that you have not reached the maximum of the range already [*unless – TO BE INSERTED BY THE RELEVANT COMMITTEE IF IT DOES NOT AWARD A POINT AUTOMATICALLY]. If you have any queries in relation to this letter please raise them with me in the first instance. Where this does not answer your question to your satisfaction, you may complain to the pay committee. The complaint or grievance must be in writing and sent to me. The pay committee will then write to you advising you of a date for a meeting to discuss your complaint or grievance. A copy of this letter is being sent to authority with a request to pay you on the appropriate point on the leadership spine with effect from 1st September 2010. Yours sincerely (clerk to governors or chair of the relevant committee as appropriate). *DELETE AS APPROPRIATE Copy to: Children, Young People and Families Directorate, Performance and Support Services, Schools Personnel Services, P.O. Box 14512, Birmingham B2 2JH. 281 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES MODEL LETTER from the relevant committee of the governing body to ASSISTANT HEAD TEACHERS in the same post on 31st August and 1st September, 2010, notifying them of the outcome of the ANNUAL DETERMINATION of salary. N.B. Schools are recommended to use the model pay statements published by the Government on http://www.education.gov.uk/schools/careers/payandpensions/teacherspay/teachers payandconditionsdocument/a0064179/school-teachers-pay-and-conditionsdocument-2010 ) Dear ANNUAL DETERMINATION OF SALARY WITH EFFECT FROM 1 SEPTEMBER 2010 I write to inform you of the outcome of the annual determination of your salary which the committee, acting under delegated authority from the governing body, is required to undertake under paragraph 4 of the School Teachers’ Pay and Conditions Document 2010. Before making this determination the committee has first reviewed your performance in the light of the performance objectives agreed with you under paragraph 15.2 of the School Teachers’ Pay and Conditions Document 2009. It has concluded that you have [not]* achieved sustained high quality of performance. It has then considered your salary having particular regard to the criteria in paragraph 15.3 of the School Teachers’ Pay and Conditions Document 2009, a copy of which is available for inspection in School. Your salary point has been determined as point L___ on the leadership spine for the following reason(s): EITHER You have achieved sustained high quality of performance [and – insert any other criterion already specified by the governing body]* OR You have achieved sustained high quality of performance, but - insert reason why a point for progression has not been awarded* OR You have not achieved a sustained high quality of performance* [The Committee has exercised its discretion to review your salary range of five points at 1st September, 2010 and has determined that it should be unchanged at*/altered to* points ___ to ___ on the leadership spine.]* 282 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES In undertaking the next determination of your salary with effect from 1 st September 2011 the committee will have regard to those criteria contained in the School Teachers’ Pay and Conditions Document for the time being in force as it is required to do. In particular it will review your performance against the performance objectives agreed with you in accordance with the Performance Management Regulations. If you are then judged to have achieved a sustained high quality of performance taking account of these agreed performance objectives, your salary will be advanced one [or two*] point[s*] up your pay range provided that you have not reached the maximum of the range already [*unless – TO BE INSERTED BY THE RELEVANT COMMITTEE IF IT DOES NOT AWARD A POINT AUTOMATICALLY]. If you have any queries in relation to this letter please raise them with me in the first instance. Where this does not answer your question to your satisfaction, you may complain to the pay committee. The complaint or grievance must be in writing and sent to me. The pay committee will then write to you advising you of a date for a meeting to discuss your complaint or grievance. A copy of this letter is being sent to the authority with a request to pay you on the appropriate point on the leadership spine with effect from 1st September 2010. Yours sincerely (clerk to governors or chair of the relevant committee as appropriate). *DELETE AS APPROPRIATE Copy to: Children, Young People and Families Directorate, Performance and Support Services, Schools Personnel Services, P.O. Box 14512, Birmingham B2 2JH. 283 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES MODEL LETTER TO NEWLY APPOINTED HEAD TEACHERS, DEPUTY HEAD TEACHERS AND ASSISTANT HEAD TEACHERS CONFIRMING AGREED PERFORMANCE OBJECTIVES Dear School Teachers’ Pay and Conditions Document 2010 and the Education (School Teachers Performance Management) (England) Regulations 2006 – performance criteria Following your discussions with the School’s _____________committee*/reviewer* I am writing to confirm that performance criteria have been agreed with you following your appointment and included in the planning statement required by the Education (School Teachers Performance Management) (England) Regulations 2006. These objectives will be reviewed with you after the end of the current academic year, the precise arrangements for the review being determined in accordance with the Performance Management Regulations and the provisions of the School Teachers’ Pay and Conditions Document for the time being in force. If you are then judged to have achieved a sustained high quality of performance taking account of these agreed performance objectives, your salary will be advanced one [or two*] point[s*] up your pay range provided that you have not reached the maximum of the range already [*unless – TO BE INSERTED BY THE RELEVANT COMMITTEE IF IT DOES NOT AWARD A POINT AUTOMATICALLY]. For head teachers only* Your individual school range of 7 consecutive points on the leadership pay spine is confirmed as points ___ to ___. For deputy head teachers and assistant head teachers only* Your pay range of 5 consecutive points on the leadership pay spine is confirmed as points ___ to ___. Yours sincerely, (clerk to governors or chair of the relevant committee as appropriate). *DELETE AS APPROPRIATE 284 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 2 - THE LEADERSHIP SPINE, INCLUDING PERFORMANCE OBJECTIVES Copy to: Children, Young People and Families Directorate, Performance and Support Services, Schools Personnel Services, P.O. Box 14512, Birmingham B2 2JH. 285 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE Summary This appendix summarises the provisions of the School Teachers’ Pay and Conditions Document for the salaries of classroom teachers. Definition of a classroom teacher Role of the governing body Annual determination of salary Main pay scale Threshold and upper pay scale Progression on the upper pay scale Allowances and other payments to classroom teachers Definition A classroom teacher is a qualified teacher employed under the terms of the School Teachers’ Pay and Conditions Document and who is not a member of the leadership group, an advanced skills teacher or an excellent teacher. (The definition is given in the first section of the Document entitled ‘commencement and interpretation’.) Role of the governing body It is the legal responsibility of the governing body to determine the salaries of classroom teachers in accordance with the rules of the School Teachers’ Pay and Conditions Document and the school’s pay policy. The Document requires the governing body to adopt a pay policy. The pay policy must show how the governing body will exercise the discretions which it has under the Document. The authority has provided a model pay policy – (insert link to model pay policy). The governing body may delegate the implementation of the relevant parts of its pay policy to the head teacher and is recommended to do so for the salaries of new appointments. Both head teachers and governors should always explain that salary assessments depend on verification of qualifications and experience as well as the rules of the School Teachers’ Pay and Conditions Document and the governing body’s pay policy. Schools HR Services will help schools with the verification of qualifications and experience on request. Annual determination of salary 286 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE Every teacher must have an annual determination of salary and written statement, effective from 1st September, even if no salary increase is due. The model pay policy provides for the head teacher to recommend the annual determination for all teachers to the governing body’s pay committee for approval. In addition, any change in salary during the school year should be confirmed in a new determination and written statement – a model letter is given below. Main pay scale The main pay scale consists of six points, M1 to M6. A newly qualified teacher must be placed on the first point of the main scale, unless he or she has been employed at a Ministry of Defence school, an Education Action Forum, in schools in the European Economic Area or Switzerland, - when one extra point must be awarded for each year of employment or unless he or she has been appointed as a Fast Track teacher in which case one extra point has to be awarded or unless he or she has other experience which the governing body decides to recognise by using its discretionary powers under the Document – for details see the model pay policy. A teacher progresses up the main pay scale annually at 1st September, provided that he or she has been employed as a classroom teacher by a local authority or the governing body of a maintained school (not by a private supply agency) for at least 26 weeks in the preceding school year. A classroom teacher appointed with previous experience and who is not defined as a post-threshold teacher must be placed on the appropriate point on the main scale in accordance with the rules of the School Teachers’ Pay and Conditions Document. This point will be calculated by taking the point on which the teacher was placed when first qualified (assuming that this was on or after 1.9.2002 – there are separate rules for teachers who started work earlier) and adding one point for each year of employment as a classroom teacher subsequently, a year of employment being defined in this case as at least 26 weeks. Governing bodies may award additional points for other experience (subject to their pay policy), but only if that experience has not been recognised in previous salary assessments. In all cases points are subject to the maximum of the scale. If the teacher meets one of the criteria for a post-threshold teacher and is therefore on the upper pay spine, see below. 287 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE Threshold and upper pay scale Teachers who have reached the maximum of the main pay scale are eligible to apply to cross the threshold on to the upper pay scale, which has three points, U1, U2 and U3. The School Teachers’ Pay and Conditions Document sets out the rules for applications and requires the governing body to delegate the assessment of applications to the head teacher. Teachers who pass the threshold are placed on the first point of the upper pay scale for teachers. For advice on progression up the upper pay scale see below. In addition, the following are entitled to be paid on the upper pay scale. In these cases the governing body has discretion to pay above the first point on the upper pay spine and may choose which point: Former head teachers, deputy head teachers and assistant head teachers (with service in that capacity for at least one year if appointed on or after 1.9.2000) subsequently re-employed as classroom teachers or supply teachers Former advanced skills teachers or teachers assessed as meeting the standards for advanced skills teachers Teachers in other specified teaching establishments where there has been successful assessment against the threshold standards (or professional standards in the case of sixth form college employment) – it is necessary to consult the School Teachers’ Pay and Conditions Document for the precise details Teachers appointed with at least one year’s employment as a local education authority adviser or inspector paid on the Soulbury pay spine Progression on the upper pay scale It is the responsibility of the governing body to ensure that teachers on the upper pay scale who are eligible for progression on the upper pay scale are considered for progression. Teachers do not apply for progression. Progression for eligible teachers should be considered as part of the annual determination of salaries for all teachers. Save in exceptional circumstances there must be no progression unless two years have elapsed since the teacher was placed on his or her current point on the scale and unless the teacher’s achievements and contribution to the school (or school or schools in which the teacher previously worked) have been substantial and sustained, having regard to the two most recent reviews under the performance management regulations. The ‘exceptional circumstances’ would normally include maternity leave, but not prolonged absence due to sickness. 288 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE Guidance on successful performance management reviews conducted in accordance with the Education (School Teachers’ Performance Management) (England) Regulations 2006 is given at . The statutory guidance on the School Teachers’ Pay and Conditions Document continues to give the following advice on the provision of the Document that progression on the upper pay scale requires the achievements of post-threshold teachers and their contribution to the school or schools to have been substantial and sustained. “Progression on UPS should be based on two successful consecutive performance management reviews, other than under the exceptional circumstances as set out in the School Teachers’ Pay and Conditions Document. A successful performance review as prescribed by the appraisal regulations involves a performance management process of performance objectives, classroom observation and other evidence. To ensure that the achievements and contribution have been substantial and sustained, that performance review will need to assess that the teacher has continued to meet threshold standards and grown professionally by developing their teaching expertise post threshold.” This statutory guidance effectively reinforces the authority’s advice in recent years that the teacher should have sustained over the intervening two years the substantial level of performance exemplified by post-threshold status and have addressed (although where resources are restricted may not yet have wholly achieved) any further development indicated in the threshold assessment, with that judgement being based on the written record of performance shared and accumulated during the preceding two years in accordance with the normal, agreed arrangements in the school. When a teacher is absent the recommendation on pay progression should normally be delayed until the teacher has returned to school and the performance management review completed. However, where the reviewer is prepared to make a positive recommendation on the basis of evidence already accumulated, the head teacher may write to the teacher proposing to make that recommendation in the teacher’s absence. The head teacher should ensure that appropriate evidence is gathered and recorded throughout the performance management cycle so that in the event of a teacher leaving the school enquiries about progression from his or her new school can be answered promptly and effectively, thereby not delaying that teacher’s progression on the upper pay scale. In cases where an eligible teacher is due to move school at 1st September, or has moved since passing the threshold, the responsibility for determining salary at that date rests with the governing body of the new school. The head teacher of the new school is advised to discuss with the teacher concerned arrangements for obtaining appropriate information from the previous school so that the agreed procedures can be followed. 289 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE In cases where an eligible teacher is temporarily undertaking the duties of a job on the leadership spine, the governing body should determine the teacher’s salary on the upper pay scale to be paid from the date of return to the substantive job. In addition, there is a requirement for an annual determination of salary for temporary (as well as permanent) appointments on the leadership spine and such a determination will be separate from the salary for the substantive job. The attached diagram shows the recommended process which head teachers and governors should follow for reaching decisions on the progression of post-threshold teachers on the upper pay scale. The process should be managed so that decisions are made before the end of the autumn term. Allowances and other payments to classroom teachers Classroom teachers are eligible, where appropriate and within the staffing structure and pay policy of the school, for Teaching and learning responsibility payments Special educational needs allowances Recruitment and retention benefits 290 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE PAY PROGRESSION ON THE UPPER PAY SCALE Head teacher identifies all teachers in the eligible cohort and ensures that they have a copy of this process so that they are clear about how it will be applied. Head teacher ensures that reviewers agree appropriate performance management objectives for teachers eligibleIntroduction for pay progression and that all teachers have received performance management review and have an appropriate written review statement. Head teacher draws upon an appropriate range of school monitoring information to assess whether the teacher has met the appropriate requirements for progression to the next point on the pay scale. Head teacher informs finance committee of the governing body of all possible teachers to be considered for pay progression including post-threshold, Advanced Skills Teachers and Leadership Group. Finance Committee determines the total sum of money needed for pay progression (from PPP grant and school budget if necessary). Head teacher informs each eligible teacher whether or not a recommendation for progression to point 2 or 3 is to be made to the pay committee along with a general statement of the evidence it was based upon. Where no recommendation for pay progression is to be made a full discussion takes place with the teacher in which the evidence used to inform the decision is reviewed. Additional evidence may be submitted to the head teacher within five working days by a teacher who believes that some relevant evidence has not been considered. The head teacher will consider this additional evidence and notify the teacher of his/her decision before making recommendations to the pay committee. Head teacher takes all recommendations to the Pay committee of the Governing Body for a decision. In accordance with the school’s pay policy any teacher may make representations to the pay committee about pay. If a teacher is dissatisfied with the decision made by the pay committee, the teacher may appeal to the appeals committee established under the school’s pay policy and should do so within ten working days of receiving written notification of the decision against which the appeal is lodged. 291 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 3 - CLASSROOM TEACHERS – MAIN SCALE AND UPPER PAY SCALE MODEL LETTER from the committee of the Governing Body to CLASSROOM TEACHERS notifying them of the outcome of the ANNUAL DETERMINATION of salary. N.B. Schools are recommended to use the model pay statements published by the Government - see http://www.education.gov.uk/schools/careers/payandpensions/teacherspay/te acherspayandconditionsdocument/a0064179/school-teachers-pay-andconditions-document-2010 ) Dear ANNUAL DETERMINATION OF SALARY FROM 1 SEPTEMBER 2010 I write to inform you of the outcome of the annual determination of your salary, which the Governing Body is required to give you in accordance with the School Teachers’ Pay and Conditions Document. The attached paper shows your salary with effect from 1st September, 2010 [*or subsequent date in respect of later appointments]. Any safeguarded element in your salary from previous changes to the salary scale is shown on the form. Revised salary assessments (also using the Government’s pay calculator) are issued when teachers pass the threshold. If you have any queries in relation to this letter please raise them with your Head Teacher in the first instance. Where this does not answer your question to your satisfaction, you may complain to the pay committee. The complaint or grievance must be in writing and sent to me. The pay committee will then write to you advising you of a date for a meting to discuss your complaint or grievance. A copy of this letter is being sent to the authority for information and with a request to pay in cases where any change of salary is necessary from September 2010. Yours sincerely (Head Teacher/Clerk to Governors/Chair of Committee*) *choose signatory as appropriate Copy to: Children, Young People and Families Directorate, Performance and Support Services, Schools Personnel Services, P.O. Box 14512, Birmingham B2 2JH. 292 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 4 - SPECIAL EDUCATIONAL NEEDS ALLOWANCES APPENDIX 4 – SPECIAL EDUCATIONAL NEEDS ALLOWANCES This appendix gives guidance on the provisions in the School Teachers’ Pay and Conditions Document for paying special educational needs allowances. Revisions to the School Teachers’ Pay and Conditions Document 2010 Guidance on the changes in the School Teachers’ Pay and Conditions Document introducing a range within which governing bodies have discretion to determine points for special educational needs allowances will be given after local consultations on the implementation of these provisions. 293 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS Summary This appendix gives guidance on the award of teaching and learning responsibility payments to teachers. Criteria in the School Teachers’ Pay and Conditions Document Advice on responsibility and accountability Advice on criteria for teaching and learning responsibility payments Teaching and learning responsibilities – broad model outlines of responsibilities and framework for a job description Values of payments for teaching and learning responsibilities Temporary teaching and learning responsibility payments Criteria in the School Teachers’ Pay and Conditions Document The School Teachers’ Pay and Conditions Document permits governing bodies to award of a teaching and learning responsibility payment to a classroom teacher “for undertaking a sustained additional responsibility in the context of their staffing structure for the purpose of ensuring the continued delivery of high-quality teaching and learning and for which the teacher is made accountable”. The Document sets rules for the governing body to determine the amount of the payment. The governing body must select the value within the prescribed range for a TLR1 or the prescribed range for a TLR2 in accordance with the school’s pay policy. There are specified differentials between teaching and learning responsibility payments, at least £1,500 between each point chosen within either range. The criteria for awarding a TLR and whether it should be a TLR1 or a TLR2 are also prescribed in the Document as follows: Before awarding a TLR the relevant body must be satisfied that the teacher’s duties include a significant responsibility that is not required of all classroom teachers and that (a) is focused on teaching and learning; (b) requires the exercise of a teacher’s professional skills and judgement; (c) requires the teacher to lead, manage and develop a subject or curriculum area; or to lead and manage pupil development across the curriculum; (d) has an impact on the educational progress of pupils other than the teacher’s assigned classes or groups of pupils; and 294 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS (e) involves leading, developing and enhancing the teaching practice of other staff. In addition, before awarding a TLR1, the relevant body must be satisfied that the significant responsibility includes in addition line management responsibility for a significant number of people. Advice on responsibility and accountability The statutory guidance attached to the School Teachers’ Pay and Conditions Document states that teachers are expected to contribute, both orally and in writing as appropriate, to curriculum development by sharing their professional expertise with colleagues and advising on effective practice. The guidance adds that this does not mean that they can be expected to take on the responsibility of, and accountability for, a subject area or to manage other teachers without appropriate additional payment. Responsibilities of this nature should be part of a post that is in the leadership group or linked to a post which attracts a TLR. The focus of teaching and learning responsibility payments is on teaching and learning – the effectiveness of the processes for pupils’ education rather than processes themselves. Teaching and learning responsibility payments are intended to reward teachers for ensuring that the curriculum plan is delivered in such a way that pupils learn, or that the professional development helps teachers teach, or that pupils entering secondary school feel secure and are eager to learn. Head teachers seeking support in assessing the effectiveness of teachers undertaking such responsibilities are recommended to contact the authority’s advisory and support service. Advice on criteria for teaching and learning responsibility payments The School Teachers’ Pay and Conditions Document fails to define terms used in the criteria for teaching and learning responsibility payments. The following advice is offered to schools. The title ‘line manager’ is commonly used in schools in relation to performance management. However, line management responsibility involves more than performance management. It is part of a hierarchical staffing structure, with clear lines of reporting and levels of accountability. A line manager is responsible for ensuring that those whom they manage fulfil their job description, receive appropriate professional development and that appropriate action is taken if any problems occur or in relation to any terms and conditions of employment. 295 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS The manager does not necessarily take all the action directly, but will be responsible for ensuring that action is taken and may participate in that action. Where procedures provide for action to be taken by another manager in the organisation, that division of responsibility should be clearly defined and understood. For example, a head of department would normally be the first in the school to be told that one of the teachers in the department is pregnant. The head of department would be responsible for ensuring that the teacher knows where to find information about maternity leave, for discussing with her the likely length of her absence, for checking in due course that she has applied for maternity leave, ensuring that the head teacher is informed of the pregnancy, that an appropriate member of the school staff undertakes a risk assessment, and that the appropriate persons arrange for cover during the teacher’s absence. The head of department would be directly responsible for explaining to the teacher how performance management might be affected by maternity leave. School procedures should clearly define any division of line management responsibility between the head of department and the school’s leadership group. “Significant number of people” implies that teachers may manage support staff and volunteers as well as other teachers. However, some schools employ a senior member of the relevant support staff to manage those staff and in these cases classroom-based support staff work under the supervision or direction of teachers rather than being managed by them. “Significant” will vary according to a number of factors including the type of job being managed. The phrase “lead and manage pupil development across the curriculum” should not refer simply to academic achievement. It should reflect the contribution of education to “the spiritual, moral, mental and physical development of the community” (Education Act 1996, s. 13, repeating s.7 of the Education Act 1944) and the relationship between pupils’ personal and educational development. A belief in the education of the whole person has been fundamental to the English education system. This is the purpose of pastoral education in schools. Pastoral responsibility exercised in the normal course of teaching the teacher’s assigned classes or groups of pupils will not meet the criteria for a teaching and learning responsibility payment, but a payment could be awarded if the responsibility has an impact on the educational progress of other pupils, involves leading, developing and enhancing the teaching practice of other staff and meets the other criteria specified in the School Teachers’ Pay and Conditions Document. Teaching and learning responsibilities – broad model outlines of responsibilities and framework for a job description Depending on the precise details of the job description – which must include responsibility for leading, developing and enhancing the teaching practice of other staff - examples of the kinds of responsibility fitting the criteria for teaching and 296 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS learning responsibility payments within TLR2 include the teaching and learning dimensions of: leading a faculty or department (a second in department would have responsibility for a specific area of work) leading, managing and developing subjects or areas of the curriculum, including special educational needs, policies for various aspects of personal, social and health education, citizenship etc. co-ordinating provision at foundation or one of the various key stages leading a year group or primary phase leading on policies and strategies for school behaviour leading on policies and strategies for equal opportunities and diversity co-ordinating assessment organising transition of pupils co-ordinating links between school and parents, and/or between school and community organisations or other services managing collaborative work with other schools and networks co-ordinating professional development and/or performance management, statutory induction of newly qualified teachers, or school participation in employment-based teacher training schemes co-ordinating school self-evaluation arrangements. The authority’s guidance on contributions to curriculum development refers to the kinds of responsibility appropriate to teaching and learning responsibility payments. Schools may find helpful the authority’s suggested framework for a job description for a teacher with a teaching and learning responsibility payment – see below. Values of payments for teaching and learning responsibilities The rules for determining the value of payments are in the School Teachers’ Pay and Conditions Document, with advice on factors to be taken into account being included in the accompanying statutory guidance. Variations in the number and nature of special responsibilities combined in the job, as well as the workload attached to each responsibility, will be factors affecting the level of the teaching and learning responsibility payment. The same generic job description may carry different levels of responsibility in different schools, because of the particular circumstances in which teachers work, such as the type of school, the complexity of the work, the number of pupils on whom the area of responsibility has an impact and the number of staff whose teaching practice will be developed and enhanced in that particular area. The statutory guidance on the School Teachers’ Pay and Conditions Document states that governing bodies should ensure that “equal pay legislation must be respected” and warns that any decisions which are not made on objective criteria 297 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS may lead to claims being made to employment tribunals. The criteria used to assess the weight of various responsibilities should be carefully defined and recorded, so that the salary grade attached to each can be justified. Each year the School Teachers’ Pay and Conditions Document provides for increasing teaching and learning responsibility payments by the annual pay award. Temporary teaching and learning responsibility payments The School Teachers’ Pay and Conditions Document states that a teaching and learning responsibility payment may be awarded for a “sustained additional responsibility” “while a teacher remains in the same post or occupies another post in the temporary absence of the post holder”. If a post is vacant, there is no post holder to be absent, so the authority’s interpretation of the Document is that it does not permit a temporary teaching and learning responsibility payment during a vacancy, nor the award of a teaching and learning responsibility payment for undertaking a short-term project. The statutory guidance (paragraph 83) emphasises that such payments can only be awarded for a “sustained” responsibility and states that temporary teaching and learning responsibility payments “may only be awarded on a temporary basis where the teacher is temporarily occupying a different post in the staffing structure to which a TLR payment is attached (such as in cases of cover for secondments, maternity or sick leave or vacancies pending permanent appointment) and for the duration of that responsibility.” The discrepancy between the Document itself and the statutory guidance in respect of temporary teaching and learning responsibilities during vacancies must be resolved in favour of the Document, which has priority. Schools anticipating difficulty in attracting applications for temporary teaching and learning responsibility payments to cover vacancies may wish to consider recruitment and retention benefits in order to find anyone to undertake additional responsibilities on an acting basis. Please note that governing bodies wishing to pay recruitment and retention benefits and whose pay policies at present exclude such benefits will need to amend their policies, including specifying the amount of such benefits. When the extra temporary responsibilities are due directly or indirectly to the provision of services to another school then the governing body may avail itself of the provisions of paragraph 49.1 (d) of the Document; the pay committee will need to take specific decisions in any such case. 298 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS Framework for job descriptions for teachers with teaching and learning responsibility payments BIRMINGHAM CITY COUNCIL SCHOOL___________________________________________________________ NAME OF TEACHER _________________________________________________ SALARY SCALE:_ TLR [specify level and amount] JOB DESCRIPTION - effective from _________________________________ 1.0 JOB TITLE [specify, e.g. Head of Faculty/Department, Head of Sixth Form, Head of Year, Head of Phase, Subject Leader or Co-ordinator etc.] 2.0 JOB PURPOSE To assist the head teacher in the leadership and management of teaching and learning in the school, to achieve the outcomes required by Government regulations and the school development/improvement plan adopted by the governing body. The teacher will be required to take particular responsibility for [specify area of work] 3.0 PROFESSIONAL DUTIES 3.1 To undertake the duties and responsibilities of a classroom teacher as required by the head teacher (see extract from School Teachers’ Pay and Conditions Document attached). 3.2 To lead, manage and develop [insert a subject or curriculum area or an aspect of pupil development across the curriculum] and make an impact on the educational progress of pupils other than the teacher’s assigned classes or groups of pupils. 3.3 To lead, develop and enhance the teaching practice of other staff in [the designated subject or curriculum area or aspect of pupil development]. 3.4 [for TLR 1 only] To exercise line management responsibility for a significant number of people [specify the group(s) of people concerned and those 299 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 5 - TEACHING AND LEARNING RESPONSIBILITY PAYMENTS aspects of conditions of service and employment which the teacher is expected to manage where those people are employees].2 4.0 LINE MANAGEMENT - RESPONSIBILITY TO AND FOR 4.1 Required by the School Teachers’ Pay and Conditions Document to carry out the professional duties of a teacher under the reasonable direction of the head teacher of the school, *[and to report for the purposes of day to day management to ____________] 4.2 Responsible for the management, direction and supervision as appropriate of designated employees and other people as specified by the head teacher. 5.0 CONDITIONS OF EMPLOYMENT The above responsibilities are in accordance with the requirements of the Education Act 2002 and statutory orders in terms of duties and working time (including those special provisions relating to the proportion of teaching time within working time for guaranteed time specifically for assessment, planning and preparation), also any local agreements, local authority circulars and guidelines giving interpretations of teachers’ conditions of employment. 6.0 SPECIAL CONDITIONS 6.1 A teacher on the upper pay scale shall meet the performance threshold standards as specified in the School Teachers’ Pay and Conditions Document. 6.2 The duties required of a teacher under this job description shall be such as require the exercise of a teacher’s professional skills and judgement. 7.0 REVIEW AND AMENDMENT This job description is normally subject to annual review. It may be amended at the request of the Head Teacher or the post holder but only after full consultation with the post holder. Job Description issued, after consultation, by ___________________________________ (Signature of Head Teacher or designated member of the leadership team) date _____________________ 2 For guidance on a definition of line management and examples of the way in which a teacher can be expected to assist with the management of conditions of service and employment, see the authority’s annual advice on the School Teachers’ Pay and Conditions Document, Appendix 6, paragraphs 7.1 – 7.3: http://ebriefing.bgfl.org/bcc_ebrief/content/resources/resource.cfm?id=1874&key=zz=20051031152037&zs=n 300 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 7 - ONE-TO-ONE TUITION APPENDIX 6 – UNQUALIFIED TEACHERS’ SALARIES Summary This section describes the rules on the salaries of teachers who are not qualified. Types of unqualified teacher The rules vary according to the type of unqualified teacher. For information on the different types of unqualified teacher and the circumstances in which they can be employed, see ‘Notes for Guidance: Employees in Schools’. Instructors and overseas trained teachers must be paid on the special scale for unqualified teachers as set out in Part V of the School Teachers’ Pay and Conditions Document. Teachers on the employment-based teacher training scheme may be paid either as qualified or unqualified teachers. The governing body should specify which when adopting its pay policy. The authority would normally recommend paying on the special scale for unqualified teachers. New appointments The rules are set out in Part V of the School Teachers’ Pay and Conditions Document. The rules for new appointments for unqualified teachers are complicated by the introduction of a new salary scale in September 2008. The salary assessments for new appointments depend on whether the teacher has been employed previously. If the person has been employed in the past as an unqualified teacher on the old salary scale which applied until 1.9.2008 the rules require an assessment on the old scale and a transfer to the new. If in previous employment the teacher has already been assimilated to the new, current unqualified salary scale the salary assessment starts with the last point on which he or she was paid on the new scale. It may be necessary to add a point for a year’s unqualified teaching experience since the person was placed on that point, but the experience must be in teaching covered by the Document, i.e. employed by a governing body of a maintained school or a local authority, not by a private agency or other body. For first appointment as an unqualified teacher the person is placed on the minimum of the scale, but governing bodies have discretion to award 301 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 7 - ONE-TO-ONE TUITION additional points for other experience. A governing body’s pay policy should specify the circumstances in which additional points would be awarded. Schools HR Services will assist with the details on request. Discretionary allowances for unqualified teachers A governing body may determine that “such additional allowance as it considers appropriate “ should be paid to an unqualified teacher “where it considers, in the context of its staffing structure and pay policy, that the teacher has Taken on a sustained additional responsibility which is focussed on teaching and learning and requires the exercise of a teacher’s professional skills and judgment; or Qualifications or experience which bring added value to the role being undertaken. The governing body has discretion to determine the amount of any such allowance. It should include criteria for determining the amount in its pay policy, to ensure fair and consistent treatment, and delegate the decision to its pay committee. Annual determination of salary The salaries of unqualified teachers should be reviewed annually, as should the salaries of all teachers. 302 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 7 - ONE-TO-ONE TUITION APPENDIX 7 – ONE-TO-ONE TUITION Conditions of Standards Fund grant The Standards Fund grant for 10 hours of one-to-one tuition for designated pupils stipulated that the tuition should be provided either by a qualified teacher, an overseas-trained teacher eligible to teach in schools in England, or an instructor who is suited to the work either because he or she has completed a training course and is awaiting the award of qualified teacher status or because he or she is qualified to teach in further or higher education. When the grant is withdrawn schools continuing to provide one-to-one tuition will no longer be constrained by this requirement. They could even use higher level teaching assistants for this work. However, if they continue to use teachers they will have to continue to comply with the regulations on the use of qualified and unqualified teachers. Statutory regulations provide that instructors may be employed only when, and only for so long as, no suitable qualified teacher or teacher on the employment-based teacher training scheme is available for appointment or to give the instruction. The governing body has to act with the consent of the local education authority in satisfying itself as to the qualifications or experience of the proposed instructor. Rate of pay for teachers engaged in one-to-one tuition The Standards Fund grant allocation to schools was calculated on the assumption of an average hourly cost. The assumption could not be interpreted as an hourly rate of pay. Teachers undertaking one-to-one tuition, however it is funded, must be paid in accordance with the School Teachers’ Pay and Conditions Document, unless they are provided by a supply agency under a contract for service as distinct from a contract of employment and the agency is the employer. In order to comply with the Document the salary payments to a teacher will depend on whether the work is undertaken during or outside school hours, by a teacher who is already employed at the school, by a teacher recruited specifically for the purpose, the salary scale appropriate to the teacher (qualified or unqualified, main scale or upper pay scale). For teachers already employed at the school and where the tuition is taking place outside school hours, information on payment for out-of-school hours learning activity is available in the following appendix. The work is voluntary on their part. 303 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 7 - ONE-TO-ONE TUITION The following table sets out the rates of pay complying with the School Teachers’ Pay and Conditions Document 304 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 7 - ONE-TO-ONE TUITION Tuition provided during the school day Existing teacher within Extend a part-time the school contract temporarily, recalculating the proportion of full-time temporarily. (The cost will vary according to the salary scale on which the teacher is paid.) Tuition provided out of school hours Offer the work and confirm the agreement in accordance with the guidance on out of school hours learning activity, for which the governing body has discretion to decide the level of payment (see the school’s pay policy for the rate for your school) and for which the authority recommends an hourly rate currently £26.36 (1.9.09). Teacher recruited Offer a fixed-term contract on the appropriate specially for the purpose salary scale (qualified or unqualified, main scale or upper pay scale). Former members of the leadership spine, such as retired head teachers, are to be paid on the upper pay scale, but on a point determined by the governing body. Determine the appropriate proportion of full-time in relation to the number of hours in the school’s timetabled teaching week. It is possible to pay someone as a relief teacher for the appropriate proportion of the school day, but the salary must still be calculated in accordance with the School Teachers’ Pay and Conditions Document and the school’s pay policy. Schools HR currently makes an administrative charge for these payments. It is possible to pay an additional allowance to unqualified teachers under the section of the School Teachers’ Pay and Conditions Document dealing with unqualified teachers. The work is pensionable. Teachers who have already retired should check whether there is an earnings limit for employment when they are in receipt of a pension. All appointments for one-to-one tuition should be made following the normal recruitment and selection procedures with all necessary pre-employment checks. 305 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 8 - COMPENSATION TO TEACHERS PARTICIPATING IN CPD OUTSIDE SCHOOL DAY APPENDIX 8 - COMPENSATION FOR TEACHERS PARTICIPATING IN CONTINUING PROFESSIONAL DEVELOPMENT OUTSIDE THE SCHOOL DAY 1. In September 1995 relevant bodies were given the power to compensate fulltime classroom teachers who undertook voluntarily additional in-service training outside the 195 days on which they have to be available for work. In September 2001 this discretion was extended to evenings and lunch-times, provided that the hours were outside the 1265 hours of directed time. From 1st September, 1996, deputy head teachers and part-time teachers became eligible for such compensation in addition to full-time teachers, in respect of training undertaken on a Saturday or Sunday or during school holidays and from 1st September, 2000, assistant head teachers became eligible for such payments on the same basis. 2. Since September 2003 the Document simply permits payments to all teachers, including head teachers, in respect of continuing professional development undertaken outside the school day. The Authority’s legal officers have defined the school day as including “the time where teachers are directed to be at school for those short periods immediately before the school day begins and ends” - what in Birmingham is generally called ‘buffer time’ - and the midday break. For this purpose, therefore, they do not equate school hours with the pupil day, but define them as the pupil day plus buffer time and the midday break. The word ‘voluntary’ has been dropped from the Document, but the accompanying statutory guidance acknowledges that some teachers may not wish or be able to attend training courses in the evening, at weekends or during holidays and states that head teachers and governors should respect the right of individuals to make their own choice and take proper account of equal opportunities. 3. The amount of compensation is at the discretion of the relevant body. The statutory guidance states that the payments should be met from savings on supply cover. All payments are subject to deductions for national insurance and tax and are pensionable. 4. The School Teachers’ Review Body recommended the introduction of compensation principally to reduce the absence of teachers from the classroom and coincidentally to reduce expenditure on supply cover. 5. In addition to the factors noted in the statutory guidance, the Review Body’s intentions should also be counterbalanced by equal pay issues if governing bodies have different policies on the rates of compensation. 6. The authority’s advice, as set out in the model pay policy, is that equal opportunities and the work/life balance outweigh the advantages of weekend/school holiday in-service training. 306 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 8 - COMPENSATION TO TEACHERS PARTICIPATING IN CPD OUTSIDE SCHOOL DAY 7. In the absence of definitive advice from the National Employers’ Organisation for School Teachers and the national teachers’ associations, the authority advises that an appropriate payment would be 1/195 of the teacher’s salary for each full day of training at the weekend or during the school holidays. Instructions for payment should be made in writing to Schools HR Services, confirming the rate of pay approved by the governing body. In addition, the normal arrangements for reimbursing travelling and subsistence expenses should apply. 307 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY Summary This appendix advises on the use of the provision in the School Teachers’ Pay and Conditions Document for paying teachers for “out-of-school hours learning activity”. Definition Advice on staffing out-of-school hours learning activity Payment for out-of-school hours learning activity Written agreements Administration of payments Payment outside the special provisions of the School Teachers’ Pay and Conditions Document Activities provided by other organisations using school premises Model letter Definition The School Teachers’ Pay and Conditions Document does not define out-of-school hours learning activity. It simply gives the governing body discretion to “make such payments as they see fit to a teacher, including a head teacher, in respect of … participation in out-of-school hours learning activity agreed between the teacher and the head teacher or, in the case of the head teacher, between the head teacher and the relevant body”. However, the statutory guidance accompanying the Document states that all such activities “should require the exercise of the teacher’s professional skills or judgment”. A teacher cannot be required to undertake out-of-school hours learning activity; participation must be by agreement. The teacher has the right to refuse and should suffer no detriment by refusing. The statutory guidance accompanying the School Teachers’ Pay and Conditions Document also states that payments for such activity “should only be made in respect of those activities undertaken outside of either the 1265 hours of directed time for full-time teachers or the appropriate proportion of the 1265 hours of directed time for part-time teachers.” It follows that in the case of members of the leadership group the activity should be outside their normal working hours. A governing body should therefore consider whether any activity which it provides outside the school day requires the guidance of a teacher, because only such an activity will meet the definition of out-of-school hours learning activity for the purpose 308 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY of the School Teachers’ Pay and Conditions Document. The governing body may of course provide other activities within the school development plan and these might be appropriately supervised by a member of the support staff. For example, in some schools, especially primary schools, pupils in ‘homework’ clubs need help from a teacher, whereas in a secondary school, where individual study skills are more developed, they may simply need supervision in a library or other study area. Advice on staffing out-of-school hours learning activity When considering proposals for providing out-of-school hours learning activity a governing body should ensure that in addition to the teacher in charge of each group of participating children there should be at least one other, senior member of staff on the premises who is available to assist in an emergency, for example, in cases of illness or accident. Some schools manage this need by arranging for the activity to take place after school on an evening when the senior managers of the school meet regularly. Such arrangements take account of the safety of both pupils and staff on the premises. If for any reason a second, senior, member of staff becomes unavailable the activity planned for that day should be cancelled in order not to compromise health and safety. expect the head teacher to prepare a description of each activity and the contribution expected of each participating teacher consider employing staff from outside the school for at least some of the activities, partly in order to enrich the programme with specialist subjects and partly, having regard to their responsibilities for the work/life balance of employees, to manage the overall workload of teachers in the school (such staff would be engaged on separate contracts as payment for out-of-school hours learning activity is only possible for teachers already working in the school). have particular regard to the workload of newly qualified teachers, who will be concentrating on consolidating and developing their teaching skills in the normal school curriculum. Generally it would not be advisable for such teachers to participate regularly in out-of-school hours learning activities during their first year of teaching, but there may be special circumstances in which it would be appropriate for them to be involved in such activities. In these exceptional cases the teacher’s involvement should be monitored through the statutory induction programme. In any event a newly qualified teacher should not be invited to participate on more than one evening a week. Participation in holiday activities is not advised during the statutory induction period, which usually runs from the beginning of the Autumn Term to the end of the Summer Term and therefore has relatively short holidays. Payment for out-of-school hours learning activity 309 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY The governing body must decide whether it wishes to exercise its discretion to make payments to teachers in the school who agree to participate in out-of-school hours learning activity at the invitation of the school, and, if so, what payments will be made. The statutory guidance to the School Teachers’ Pay and Conditions Document states that the level of payment should be covered by the school’s pay policy. Since the introduction of payment for out-of-school hours learning activity the authority has recommended that a reasonable payment would be an hourly rate derived by dividing the maximum of the salary point M6 by 1170 hours. This figure is included in its model pay policy for schools and schools are strongly recommended to adopt it, having particular regard to equal pay legislation. The payment is made under the School Teachers’ Pay and Conditions Document and is therefore pensionable. Pension contributions will be deducted in addition to other normal deductions. Written agreements The statutory guidance accompanying the School Teachers’ Pay and Conditions Document states that all agreements and payments to be made should be documented. Both the head teacher’s request and the teacher’s agreement should therefore be recorded in writing. A model letter is provided for use in schools – see below. There are separate arrangements for teachers not already employed at the school. The model written agreement sets out the basis on which the teacher may subsequently withdraw from the activity. It is advised that a reasonable period of notice should be required if the teacher wishes to end the commitment. For regular weekly activities it would seem reasonable to require notice by the usual notice deadlines (31st October, 28th/29th February, 31st May) if a teacher wishes to withdraw from participation at the end of a term. (It would be reasonable to apply the same dates to activities taking place in the main school holidays and for halfterm holidays to expect notice by the end of the first week of term.) Other than in exceptional circumstances similar notice arrangements should apply if the head teacher for any reason withdraws an invitation to a teacher to participate. By mutual agreement the teacher may withdraw from the commitment at other times. For newly qualified teachers provision should be made for the notice period to be waived if participation in out-of-school hours learning activity has become unduly burdensome and a hindrance to induction. The School Teachers’ Pay and Conditions Document makes payment consequent on voluntary participation. Therefore the model letter explains that if the activity does not take place for any reason the teacher will not be paid. The Authority’s legal officers also advise that the teachers’ sick pay scheme does not extend to 310 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY payment for out-of-school hours learning activity in which the teacher does not participate due to illness. Therefore payment should not be made if the teacher is absent for this or any other reason. Administration of payments Schools must record hours worked and advise Schools HR Services periodically, normally on a monthly basis, of the payments due, using the specified form. Payment will be made with the regular salary on the next available occasion. Schools must therefore bear in mind the time needed for processing payments through the payroll and should make notification as required. Schools should keep copies of their records. Payment outside the special provisions of the School Teachers’ Pay and Conditions Document Where a teacher who is not already on the staff of the school is to be employed solely for out-of-school hours learning activity a part-time contract should be recommended in the same way as for other part-time teachers. The special provisions for payment for out-of-school hours learning activity are only for teachers already employed in the school. Where the activity is not a learning activity and is therefore supported by a member of the support staff, payment to such staff will be at the appropriate non-teaching rate of pay. The ability of the governing body to determine the level of pay applies only to teachers at the school who engaged in out-of-school hours learning activity as specified in the School Teachers’ Pay and Conditions Document and does not therefore extend to support staff. As distinct from participating in out-of-school hours learning activity, members of the leadership group will have additional responsibility for managing out-of-school learning activities. This, as with other extra responsibilities, should be taken into account when setting their salary ranges. Activities provided by other organisations using school premises Various organisations may provide out-of-school hours learning activities for children. A governing body may let school premises to an organisation for such purposes, provided that all the costs, including heating, lighting, caretaking and cleaning, are met by the outside organisation and do not fall on the school’s budget. A governing body which makes a letting to an outside organisation on this basis should of course satisfy itself of the ability of the organisation to run activities for children, including any statutory registration requirements applicable, safety, insurance, discipline, safeguarding of children, employment of staff, financial accounts etc. and is advised to make its expectations clear to the organisation. The governing body has the right to terminate the letting if no longer satisfied. 311 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY If teachers work on activities run by an outside organisation as distinct from the governing body they will be employed and paid by that organisation on terms and conditions determined by the organisation and will be responsible to it, not to the governing body. They must ensure that their contract with the organisation does not conflict with their contract of employment as a school teacher. 312 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY Model letter of agreement on participation in out-of-school hours learning activity under the School Teachers’ Pay and Conditions Document Dear Participation in out-of-school hours learning activity [title of activity] I am writing to invite you voluntarily to agree to participate in the above activity on*/from ............. to..................* Your participation will be for .... hours [per week for .... weeks].* These hours will be extra to the directed time which you are required to work as a school teacher. A short description of the activity and nature of your participation is attached. [As this activity will be taking place on a regular basis you will be required to make a regular commitment to participate in it. If you wish to withdraw subsequently you will be expected to give written notice of your intention to withdraw at the end of a term by the end of October in the Autumn Term, the end of February in the Spring Term or the end of May in the Summer Term.]* [If you wish subsequently to withdraw from this holiday activity you should give written notice of your intention to withdraw by the end of October for an activity taking place during the Christmas holiday, the end of February for an activity taking place during the Easter holiday, or the end of May for an activity taking place during the Summer holiday, or by the end of the first week of term for an activity taking place during a half-term holiday.]* If you are prepared to agree to these arrangements the Governing Body is prepared to make payment to you in respect of your participation in accordance with the provisions of paragraph 49 of the School Teachers’ Pay and Conditions Document. The Governing Body will pay at the hourly rate recommended by Birmingham Education Department (currently £____). Please note that under paragraph 49 payment is conditional on participation; consequently payment will be in arrears and there will be no payment if the activity does not take place or in the event of your absence for any reason. The Governing Body will review the payment annually to comply with paragraph 49. I should be grateful if you could confirm your agreement voluntarily to participate on this basis by signing and returning the enclosed copy of this letter. Yours sincerely, *use/delete as appropriate according to duration of activity Head Teacher 313 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 9 - PAYMENTS FOR OUT-OF-SCHOOL HOURS LEARNING ACTIVITY Participation in out-of-school hours learning activity - acceptance I, [name of teacher] agree to participate in out-of-school hours learning activity on the basis set out above. Signed ..................................................………Date .......................................... 314 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS APPENDIX 10 - ADVANCED SKILLS TEACHERS Summary This section gives information on the rules around the appointment of ‘advanced skills teachers’, a particular type of teacher defined by the School Teachers’ Pay and Conditions Document. Advanced skills teachers in the staffing establishment Role of an advanced skills teacher Salary Conditions of service and contracts of employment Appointment procedures Protocol for outreach work and advice on future deployment and employment – July 2011 Advanced skills teachers in the staffing establishment of the school Posts of advanced skills teacher must be established within the staffing structure of the school in the same way as other posts. A teacher who has been assessed as meeting the advanced skills teacher standards is not an advanced skills teacher until appointed to a specific advanced skills teacher post as defined in the School Teachers’ Pay and Conditions Document (insert hyperlink to Teachernet for the School Teachers’ Pay and Conditions Document). The role of an advanced skills teacher The School Teachers’ Pay and Conditions Document defines an advanced skills teacher as a teacher who holds an advanced skills teacher post, which in turn is defined as a post in which the post-holder is required to be a qualified teacher, satisfy certain specified standards and undertake duties set out in the Document. The School Teachers’ Pay and Conditions Document also specifies conditions of employment for advanced skills teachers. In addition to carrying out the professional duties of a teacher other than a head teacher, an advanced skills teacher may be required to carry out the following professional duties: (a) participating in initial teacher training; (b) participating in the induction and mentoring of newly qualified teachers; (c) advising other teachers on classroom organisation and teaching methods; (d) producing high quality teaching materials; 315 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS (e) disseminating to other teachers materials relating to best practice and educational research; (f) advising on the provision of continuous professional development; (g) participating in the appraisal or review of performance of other teachers; (h) helping teachers who are experiencing difficulties; (i) producing high quality resources and materials, including video recordings of lessons, for dissemination in their own school and other schools. The Document specifies that an advanced skills teacher “must normally spend” 20 per cent of his or her time undertaking outreach work carrying out the duties specified in the Document with or for the benefit of teachers or trainee teachers from other schools, whether at the school of the advanced skills teacher, at that of the other teachers, in higher education institutions, at facilities of the authority or elsewhere. The job description of an advanced skills teacher should therefore reflect not only the conditions of employment of classroom teachers but also these additional professional duties. It does not have to include all of them. Where the appointment is funded by a Standards Fund grant there may be conditions attached to the grant which should be reflected in the job description. The duties and responsibilities of the advanced skills teacher should be decided before the salary is determined. The job description should also specify the line management arrangements within the school. Salary The School Teachers’ Pay and Conditions Document includes a special pay spine of 18 points which must be used for advanced skills teachers. This pay spine is completely separate from the pay spine for other teachers and advanced skills teachers are not eligible for teaching and learning responsibility payments or special needs allowances. The governing body must select a pay range of five consecutive points on the spine when establishing a post of advanced skills teacher. A newly appointed advanced skills teacher must start on the lowest of those five points. When choosing the five points the governing body should have regard in particular, but not exclusively, to the following criteria set out in the School Teachers’ Pay and Conditions Document: 316 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS (a) the nature of the work to be undertaken, including any work with teachers from other schools; (b) the degree of challenge of the role; (c) the professional competencies required of the teacher; and (d) such other criteria as they consider appropriate. In determining the salary of an advanced skills teacher, therefore, the duties of the advanced skills teacher have to be considered alongside the aims of retaining able teachers in the classroom whilst recognising the responsibilities carried, for example, by the deputy head teacher of the school and any assistant head teacher. The governing body should therefore consider the appropriate salary range for an advanced skills teacher when considering salary ranges within the leadership spine in relation to the staffing structure of the school. Although advanced skills teachers cannot be required to undertake the management responsibilities of head teachers and deputies, they may undertake additional duties allocated to classroom teachers in accordance with the conditions of employment in the School Teachers’ Pay and Conditions Document. They may have undertaken these duties in the past as classroom teachers and may have received a teaching and learning responsibility payment for responsibilities meeting the criteria for such payments. If the job description for the advanced skills teacher includes these responsibilities or other responsibilities matching the criteria in the Document the pay range chosen should reflect those additional responsibilities, as a teaching and learning responsibility payment cannot be given to an advanced skills teacher. Likewise the salaries of advanced skills teachers employed in a special school should reflect the special needs allowance payable to classroom teachers in the school. The School Teachers’ Pay and Conditions Document requires governing bodies annually to agree performance criteria with the advanced skills teacher and to review performance against those criteria. When undertaking the annual determination of salary required by the School Teachers’ Pay and Conditions Document the governing body must not determine any movement up the pay spine “unless there has been sustained high quality performance by the teacher taking account of the performance criteria previously agreed”. Movement up the pay spine is limited to a maximum of two points a year. The statutory guidance accompanying the School Teachers’ Pay and Conditions Document advises on the application of pay progression criteria for advanced skills teachers. It states that sustained high quality of performance must be demonstrated in a successful review of overall performance taking place each year as prescribed by the performance management regulations, with a similar performance management process to that for teachers on the upper pay scale, but leading to an annual advancement on the pay range. 317 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS Participation in out-of-school hours learning activity can be remunerated under the special provisions of the Document or taken into account in the salary scale for the advanced skills teacher. Conditions of service and contracts of employment The School Teachers’ Pay and Conditions Document exempts advanced skills teachers from its provisions on the working time of teachers. This means that an advanced skills teacher is not limited to 195 days or 1265 hours of directed time, but has the same entitlement to planning and preparation time. The Document also specifies that an advanced skills teacher is entitled to a break of reasonable length as near to the middle of each school day as is reasonably practicable. The conditions of service of advanced skills teachers are in other respects the same as those for other teachers. Appointment procedures Schools will be told formally when a teacher has been certified by an assessor appointed by the Secretary of State. The governing body (through the relevant committee) should then discuss funding with the appropriate adviser in the local authority. Before an interview takes place the teacher should be provided with the job description, pay range and information on conditions of employment, working time, and the duration of the proposed contract if this is not open-ended. It is important that the teacher understands fully, before accepting any offer, the implications for his or her salary, conditions of employment and contractual position. When a governing body (or relevant committee) has selected a teacher for appointment as an advanced skills teacher the head teacher should make the necessary arrangements for an appropriate contract to be issued, including all the special contractual arrangements for advanced skills teachers. If another teacher in the school temporarily undertakes additional duties as a result of the appointment of an advanced skills teacher, the school should ensure that the notification to that teacher includes the temporary duration of those arrangements, the reason for them and the consequent additional salary. Protocol for outreach work and advice on future deployment and employment – July 2011 The following guidance was published to schools in July 2011, consequent on the withdrawal of the grant supporting the employment of many advanced skills teachers. 318 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS 1. The head teachers of some schools with Advanced Skills Teachers have been seeking advice on the future deployment and employment of these teachers following the withdrawal of the grant towards the cost of their employment. Information on the funding situation was given to schools with local authority funded Advanced Skills Teachers on 22nd March. 2. In order to meet some of the concerns voiced by head teachers, a protocol has been prepared to help schools manage the outreach of their Advanced Skills Teachers to support school improvement and this is set out below. The protocol includes the possibility that schools may charge for the outreach services. 3. Charging for some services provided by Advanced Skills Teachers is one of the options available to schools which find that, despite the minimum funding guarantee, the removal of the grant is not a manageable reduction in the budget. The second part of this letter gives guidance on these options and the process schools are advised to follow in such cases. A: Outreach protocol 4. ASTs are excellent classroom practitioners who focus on developing and sharing their skills by working with other teachers through coaching and mentoring. ASTs spend 80 per cent of their time teaching their own classes and 20 per cent sharing good practice in their own and other schools (outreach). They have a commitment to professional growth and working with others and, working closely with leadership teams, play an important role in raising standards. This role continues to evolve (see below). 5. The purpose of this protocol is to enable ASTs to continue to do this valuable work by setting out guidelines about the management of their outreach and any charging for this work. Clear expectations about these will help ensure that ASTs are effective in their improvement role and that their work is professionally rewarding. Managing Outreach 6. From 2011-12, AST outreach will continue to be commissioned directly between head teachers, within partnerships, by NLEs, by LA improvement officers, as well as by School Improvement Boards. The LA holds a database of ASTs which it will also share with School Improvement Boards. Schools are advised to make a formal service-level agreement when providing services to other schools. Model agreements will be provided to schools early in the autumn term. 319 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS Commissioning outreach: whoever commissions outreach has an important role in ensuring that this work is appropriately directed, monitored and evaluated. They will: Make requests for any outreach work to the AST’s headteacher, not direct to the AST Agree the focus of the work and brief the AST Receive and review copies of the outreach support agreement at the start, and the evaluation at the end of the project. The host school will identify a contact person within the leadership team to: liaise with whoever commissions the work and with the AST to plan, monitor and evaluate the project brief other teachers within their school likely to be involved support the AST, e.g. by welcoming them to the school, ensuring they have a good understanding of their school’s needs, briefing them about school procedures etc, and any trouble-shooting during the project. Schools which use the services as an AST will need to bear in mind the following: Time to negotiate, plan and evaluate outreach should be factored into the project; ASTs will not be expected to solve classroom difficulties immediately; they will be offering support and advice whilst seeking collaborative solutions; ASTs will not be asked to act as a supply teacher or take repeated ‘demonstration lessons’, to write references for teachers they are working with, or take part in activities designed as part of a teacher’s performance management or capability procedures. ASTs will: Make contact with the host school and arrange the initial visit 7. Plan the outreach work and reach a formal agreement about its focus with a senior leader there, together making sure its objectives and success criteria are clear and achievable in the time scale agreed Adhere to the host school’s procedures Monitor the progress of the project and evaluate its impact at the end of the work; primary ASTs normally keep a simple weekly log of their activities to support this monitoring Share the agreement and evaluation of the work with the colleague who commissioned it. These monitoring and evaluation activities are important to ensure the outreach work is successful, and will also provide good evidence of ASTs’ achievements for performance management. 320 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS Child safeguarding checks 8. It is the host school’s responsibility to check an AST’s details before they begin an outreach placement, and to add these details to their single central register. They should contact the AST’s home school for their full name, date of birth, disclosure number and date of disclosure. The AST should take a photo ID for their first visit to a school, which may be asked for on arrival. Charges for outreach 9. Some heads are prepared to lend or swap ASTs, others may wish to charge for their contribution. The suggested minimum charge should be the equivalent cover cost; beyond that a range of £250-350, to be paid from the receiving school’s improvement plan. Future of ASTs 10. The DFE is currently reviewing the roles of leading practitioners including ASTs and Excellent Teachers, with the possible development of a Specialist Leaders in Education role, with similar skills and expertise to ASTs. This review is linked to revisions to the Teacher Standards Framework and new forms of collaborative support to raise standards in schools, including the development of Teaching Schools. It is likely these changes will be in place by autumn 2012; meanwhile new ASTs continue to apply and be appointed to the role. Further guidance and formats for agreements, monitoring and evaluation can be found on http://inline.birmingham.gov.uk/ast B. Contractual and employment matters Selling services to other schools 11. The authority is preparing guidance on service-level agreements for the provision of services by one school to another and hopes to publish a model early in the autumn term. The employee remains on the establishment of the providing school, which is responsible for all aspects of the employee’s contract of employment. Governing bodies would be able to decide how much to charge for the service provided. Current fixed-term contracts 321 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS 12. If there is no possibility of selling the services of an Advanced Skills Teacher to another school and that teacher has been employed on a temporary or fixed-term basis because of the temporary nature of the funding, schools should follow the recommended procedure for temporary or fixed-term contracts, which includes offering employees suitable alternative employment where this is available. 13. If a school has two or more Advanced Skills Teachers on temporary or fixedterm contracts and would be able to afford to employ a smaller number then the school should establish a selection process based on robust and transparent criteria to establish which teachers should have their contracts extended. If you need advice on these criteria please contact the Employee Relations Team. 14. An employee whose temporary or fixed-term contract is not extended may be entitled to a redundancy payment and advice should be taken from the Employee Relations Team. Open-ended contracts 15. It is understood that the majority of Advanced Skills Teachers have been employed on open-ended (so-called ‘permanent’) contracts, on the assumption that a school would be able to replace the grant from its own budget in the event of the grant being withdrawn. 16. If a school cannot afford to employ the same number of Advanced Skills Teachers than on its present establishment then the school may need to consider re-structuring or possibly even redundancy. 17. Before seeking advice from the Employee Relations Team on these processes, head teachers are advised to consider the possibility of alternative employment within the school. 18. Under the School Teachers’ Pay and Conditions Document (paragraph 44) it is possible for the governing body to end the designation of a post of Advanced Skills Teacher. It should do so if the Advanced Skills Teacher is no longer providing an outreach service as specified in paragraph 59 of the Document (unless the school is in challenging circumstances or special measures, or requires significant improvement or is funded under the New Opportunities Scheme, in which cases outreach work does not have to be undertaken). Schools may be able to offer an Advanced Skills Teacher alternative employment as a classroom teacher with a suitable teaching and learning responsibility payment or as a teacher on the leadership spine. A former Advanced Skills Teacher is entitled to be paid on the upper pay scale (see the definition of ‘post-threshold teacher’ in paragraph 1.2 of the School Teachers’ Pay and Conditions Document); the Document provides 322 Schools Teachers’ Pay and Conditions 2010: Advice to Schools APPENDIX 10 –ADVANCED SKILLS TEACHERS (paragraph 19.4.7) that the governing body must determine which point on the upper pay scale for a former Advanced Skills Teacher. If a governing body ends the designation of a post of Advanced Skills Teacher it will be restructuring the staffing establishment of the school. The authority has guidance on re-structuring staffing and head teachers may seek advice on the appropriate procedure from the Employee Relations Team. 19. If the governing body ends the designation of a post of Advanced Skills Teacher and no longer has the need for the teaching services which the Advanced Skills Teacher has been providing within the school, then the school will be in a potential redundancy situation and should seek advice from the Employee Relations Team as soon as possible on the redundancy procedure. 20. If the school still needs the teaching services which the Advanced Skills Teacher has been providing but is in financial difficulties due to the withdrawal of the grant, then the governing body will need to consider its financial position, as a result of which it may be advised to consider how savings can be made through a reduction in expenditure on staff. In such cases also the Employee Relations Team should be consulted. 323 Schools Teachers’ Pay and Conditions 2010 - Advice to Schools APPENDIX 11 – EXCELLENT TEACHERS APPENDIX 11 – ‘EXCELLENT TEACHERS’ An ‘Excellent Teacher’ is defined (in paragraph 1.2 of the School Teachers’ Pay and Conditions Document) as a teacher holding an ‘Excellent Teacher’ post and meeting the requirements for such an appointment, including successful assessment against the relevant standards (specified in the Document) at the time of appointment. If contemplating an application for a job as an ‘Excellent Teacher’, a teacher should submit a written application for a certificate to the head teacher of the school where he or she is currently employed. Once a teacher has been employed as an ‘Excellent Teacher’ he or she may be appointed to a similar job elsewhere without a new certificate. Like Advanced Skills Teachers, ‘Excellent Teachers’ cannot be awarded teaching and learning responsibility payments or special needs allowances. ‘Excellent Teachers’ must be paid a salary within the range specified in the Document for ‘Excellent Teachers’. Relevant bodies must determine the salary of each ‘Excellent Teacher’ having regard only to the nature of the work to be undertaken and the degree of challenge of the role. ‘Excellent Teachers’ are subject to the same provisions on working time as other teachers. 324 Schools Teachers’ Pay and Conditions 2010 - Advice to Schools APPENDIX 11 – EXCELLENT TEACHERS APPENDIX 12 - SALARY SAFEGUARDING Summary This section summarises the complicated safeguarding provisions for teachers’ salaries as set out in the School Teachers’ Pay and Conditions Document. Types of safeguarding General safeguarding Safeguarding of parts of a teacher’s salary Safeguarding – leadership group, advanced skills teachers, excellent teachers Reasonable additional duties during safeguarding Written notification Safeguarding of teachers of visually and hearing impaired children Types of safeguarding There are different kinds of salary safeguarding (sometimes called protection) general safeguarding covers the whole salary of teachers who lose their posts as the result of the closure, prescribed (i.e. statutory) alteration or reorganisation of a school or service safeguarding of a specific part of a teacher’s remuneration, such as a teaching and learning responsibility payment safeguarding of a salary when a salary range has been changed (for example, members of the leadership group or advanced skills teachers) General safeguarding General safeguarding differs according to whether the teacher was displaced before or after 1st January 2006. Any teacher displaced before 1st January 2006 is subject to the old provisions on general safeguarding, and is safeguarded for so long as he or she continues to be employed provided that he or she does not unreasonably refuse the replacement job offered or move voluntarily to another job. The safeguarding is the salary point on which the teacher is employed, so it attracts annual salary awards. Any teacher displaced through closure or reorganisation of a school on or after 1 st January 2006 is entitled to general safeguarding for a maximum of three years only from the relevant date (calculated in accordance with paragraph 5 of the School Teachers’ Pay and Conditions Document). The Document requires the calculation of a safeguarded sum. The sum is reduced by subsequent progression up the pay scale or move to a higher paid job until it is overtaken or until it ceases after the three years. The duration and phasing out of cash safeguarding is complicated. 325 Schools Teachers’ Pay and Conditions 2010 - Advice to Schools APPENDIX 11 – EXCELLENT TEACHERS Details, including a link to the Teachernet website, are given in the statutory guidance attached to the School Teachers’ Pay and Conditions Document; advice and support are also available from Schools HR Services. Safeguarding of parts of a teacher’s salary The School Teachers’ Pay and Conditions Document provides that if a governing body decides to remove or reduce a teacher’s teaching and learning responsibility payment it must pay a safeguarded sum calculated in accordance with the detailed rules in the Document for up to three years and that the safeguarded sum will be reduced by subsequent progression up the pay scale or move to a higher paid job until it is overtaken or until it ceases. The duration and phasing out of cash safeguarding is complicated. Details, including a link to the Teachernet website, are given in the statutory guidance attached to the School Teachers’ Pay and Conditions Document; advice and support are also available from Schools HR Services. However, withdrawal, or reduction in the value of, a teaching and learning responsibility payment, whether as a result of a change to the governing body’s pay policy or the school’s staffing structure, is likely to mean that the post is effectively redundant. Therefore any proposal of this kind should be discussed with the Employee Relations Team at the earliest opportunity. Safeguarding – leadership group, advanced skills teachers, excellent teachers As a result of changes to a school’s pay policy or its staffing structure safeguarding also applies if the relevant body determines to: Reduce the number of members of the leadership group End the designation of one or more advanced skills teachers’ posts Reduce the individual school range, resulting in the reduction of the head teacher’s pay; reduce the pay range of a deputy head or assistant head resulting in the reduction of pay, or reduce the pay range of an AST resulting in the reduction of pay Reduce the salary of an excellent teacher Reduce the allowance paid to an unqualified teacher In each of these cases the prior advice of the employee relations team of the authority should also be obtained, because of the requirements of employment law. Teachers who are the subject of such decisions will receive a safeguarded sum for a maximum of three years from the relevant date as defined in paragraph 5.3 of the Document unless the safeguarded salary is overtaken or replaced as specified in the detail of the School Teachers’ Pay and Conditions Document. Reasonable additional duties during safeguarding 326 Schools Teachers’ Pay and Conditions 2010 - Advice to Schools APPENDIX 11 – EXCELLENT TEACHERS Paragraph 5 of the School Teachers’ Pay and Conditions Document requires the governing body to allocate reasonable additional duties to a teacher whose safeguarded sum or sums (as calculated in accordance with the rules of the Document) exceed £500 in total. There is a similar provision for teachers subject to general safeguarding. Written notification Governing bodies are required to give teachers written notification of any safeguarded sum, including its termination date, as part of the formal notification of any determination of salary and to do so within one month of the determination of salary which includes the safeguarding. Safeguarding of teachers of visually and hearing impaired pupils The 2008 Document withdrew, without warning, the safeguarding of teachers of visually and hearing impaired pupils awarded to those who held a special point in 1993. As this safeguarding had previously been treated as permanent and as the change was made without warning, the authority recommends governing bodies of the relevant schools to award an appropriate retention benefit to the teachers concerned for the three years from 1st September 2008 to 31st August 2011. 327 Classroom-based support staff 2. Classroom-based support staff 2.1 In 2004 the authority negotiated a local agreement for classroom-based support staff, covering job titles, salary grades, hours of work and conditions of service, to cover different kinds of support for teachers in the classroom. The local agreement was influenced to some extent by the national agreement on teachers’ workload. For example, the use of the title ‘teaching assistant’ to cover a variety of responsibilities within a general role (and replacing the previously separate jobs of classroom assistant, nursery nurse, integration assistant, special needs assistant) and the establishment of a new role of ‘higher level teaching assistant’ reflected the terminology of the national agreement. The local agreement was replaced by the Single Status arrangements for schools in 2009 – see http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6294&key=&zz=2 0090818165350194&zs=n . 2.2 The Single Status arrangements themselves will be subject to review in the light of the forthcoming recommendations of the School Support Staff Negotiating Body, and the powers of the Secretary of State to apply statutory provisions on salaries and conditions of employment to support staff in schools. 2.3 There is detailed guidance on the role of teaching assistants in relation to cover supervision (which is distinct from cover) 328 Notes for Guidance – Employees in Schools Exam Invigilation 3. Examination invigilation 3.1 Introduction “Workforce Remodelling” is focused on raising standards by freeing teachers from bureaucracy and reducing their working week to enable them to focus much more directly on teaching and learning. It encourages a radical rethink of the roles of all staff and the way in which schools operate to maximise the contribution of all school staff. From September 2005 a teacher is not required “routinely to participate in any arrangements that do not call for the exercise of a teacher’s professional skills and judgement, such as invigilation” (School Teachers’ Pay and Conditions Document 2005, paragraph 73.10.2). Paragraphs 78-82 of the statutory guidance accompanying the Document gives some advice on the application of this paragraph and states that schools should use support staff to invigilate external examinations e.g. National Curriculum tests, GCSE and AS/A2 examinations. Definition of Invigilation Invigilation is the supervision of an examination in the examination room in accordance with the regulations of the Joint Council for General Qualifications and any requirements of the examining authority in relation to a specific paper. The statutory guidance accompanying the School Teachers’ Pay and Conditions Document states that invigilation “does not require a teacher’s professional expertise” but describes certain aspects of the conduct of an examination which do require that expertise. For example, it states that teachers may reasonably be expected to be present at the beginning of an external examination in their subject area to check the paper and ensure that there are no problems with it. Such teachers may also be asked to return for the end of an external examination to ensure its efficient conclusion. The statutory guidance also recognises that there may be occasions when a teacher’s professional expertise is required during an examination. It states that support staff invigilating an examination should be made aware of the procedure for dealing with emergencies and for contacting a teacher in the subject area under examination should any candidate raise a concern or problem with the paper which requires that teacher’s professional judgement. It adds that teachers may be required to invigilate internal examinations and tests where these take place during their normal timetabled teaching time, but that if the school timetable is reorganised for ‘mock’ examinations to replicate the external examination process then teachers should not be required to invigilate. 329 Notes for Guidance – Employees in Schools Examination Invigilation External examination of modular science courses, whether held in a special examination room or in the normal teaching room, should be managed in the same way as other external examinations for small groups of pupils outside the main examination period. It may be that some of these modular examinations coincide with mock examinations in the school, so that joint invigilation arrangements can be made. Examination invigilation is predominantly an activity in secondary schools. Externally regulated tests in primary schools require interaction between teacher and pupil, particularly in key Stage 1, and take place over a much longer period of time. Schools should examine their current practices for Key Stage 2 and satisfy themselves that these address the needs of all pupils and comply with the statutory guidance in the School Teachers’ Pay and Conditions Document. Examination Invigilation and Examination Administration: the difference Invigilation is but one part, albeit a vitally important part, of the whole process of organising and conducting examinations. Some schools have employees responsible for the administration of all aspects of examinations, including the supervision of those invigilating. For example, that person will be responsible for entering pupils for examinations, checking and securing examination papers and stationery on receipt, organising the accommodation and timetables for examinations, and organising invigilation. He or she will provide the invigilator with all the necessary regulations and notices, papers and stationery, seating plan and name cards. Invigilation includes admitting the candidates to the room in a quiet and orderly manner, registering those in the room, starting, supervising and finishing the examination in accordance with the regulations, and collecting the question papers and completed scripts and taking them to the examinations office. Who should be deployed to undertake Examination Invigilation? There are a number of possible ways of deploying support staff to undertake examination invigilation. Invigilation may be added to an existing, wider role within a school, although schools considering this arrangement should ensure that invigilation is not undertaken at the expense of other elements of the role. One way of dealing with this issue is to put an agreed limit on the time any one individual member of staff is required to provide invigilation, or to plan workloads so that it is possible for other aspects of a person’s role to be reduced during the period when pupils are taking examinations. An alternative approach could be to create new roles combining examination invigilation and other types of supervisory activity (such as cover supervision). 330 Notes for Guidance – Employees in Schools Examination Invigilation Training and knowledge required to undertake Examination Invigilation Someone undertaking invigilation must be appropriately trained, particularly in pupil behaviour management, both whole class and individual behavioural need, and be fully conversant with and able to operate within the school’s behaviour management policy. Qualifications should be at NVQ Level 3 or equivalent in an appropriate job, such as teaching assistant or youth worker. The authority is providing training for examination administration and examination invigilation and may make arrangements for accreditation. Grading for Examination Invigilation There are obvious similarities between examination invigilation and other functions in schools, particularly cover supervision. The National Joint Council for Local Government services has made it clear that the type of duties undertaken within cover supervision meet Level 3. The Local Agreement in Birmingham has determined that the appropriate grade for Level 3 is Sc 4/5. Therefore it would be appropriate for similar remuneration to apply to examination invigilation. Where a person is engaged solely for examination invigilation, or, being part-time, is invited to work additional hours for examination invigilation, the appropriate part-time or hourly rate should be paid on the basis of this grading. If teaching assistants employed at the school are asked to undertake examination invigilation as an additional responsibility, then a responsibility point should be paid in accordance with the criteria for additional responsibility points set out in the Local Agreement. (In primary schools, where external tests last for no more than one week in a year, the work involved would usually be part of the normal role of a teaching assistant.) If examination invigilation is combined with other duties advice should be sought on an appropriate grade for the whole job. Examination Invigilation Duties The emphasis of the role is on supervision of pupils working through a set examination paper and managing their behaviour. It is recommended that the role should be based on the following duties: To assist the Senior Invigilator/Examinations Officer in the smooth and efficient invigilation of examinations in accordance with the regulations governing those examinations To assist in admitting the candidates to the examination room and enabling them to find their seats quietly and efficiently 331 Notes for Guidance – Employees in Schools Examination Invigilation To assist in registering all candidates in the examination room To assist in the distribution of examination papers and any associated materials immediately before the beginning of the examination and to collect them at the end and to distribute additional paper and/or equipment as necessary To assist in the efficient timekeeping of the examination To supervise the examination candidates in a quiet and unobtrusive manner, being vigilant to the exclusion of any other task To respond to candidates’ queries in accordance with the examination regulations To ensure that any minor behavioural issues are dealt with in line with school policy and under the guidance of the Senior Invigilator/Examinations Officer To summon assistance, in accordance with the school’s procedures, in the event of an emergency or a query from a pupil requiring the professional expertise of a teacher To escort and supervise candidates who may need to leave the examination room in an emergency To carry out other duties appropriate to this position as instructed by the head teacher . 332 Notes for Guidance – Employees in Schools Pensions Pensions Teachers 4.1 Full-time teachers will be admitted to the Teachers’ Pension Scheme unless they elect to the contrary. Part-time teachers used not to be admitted automatically to the Teachers’ Pension Scheme and were required to make an election if they wished to join it, or provide details of an election made previously. From 1st January 2007 new part-time teachers, or part-time teachers changing contracts, are admitted automatically to the Scheme and if they do not wish to contribute must decide to opt out. Details of this change and of other changes to the Scheme in 2007 are available in a special guide within the Teachers’ Pensions website (http://www.teacherspensions.co.uk/employerToolkitSite/www/3_3.html). 4.2 Details of all the benefits and rules of the Scheme are available in the guide published by Teachers Pensions (http://www.teacherspensions.co.uk/), the company administering the Scheme on behalf of the Government. Advice is also available from the authority’s Teachers’ Pension Section. 4.3 Teachers’ pensions are based on total reckonable service and final average salary. Reckonable service may include service transferred from another pension scheme (within the prescribed time limit) and past added years bought in before 2007 or additional pension purchased from 2007, as well as pensionable employment. Absence on sick leave is pensionable if the employer approves and records the period as sick leave and if the teacher receives at least half pay. Where a teacher is absent from duty on maternity leave, such absence is treated as pensionable employment as long as the teacher receives a salary or Statutory Maternity Pay. Teachers on unpaid maternity leave may wish to consider purchasing additional pension to cover the period of unpaid leave (as they can no longer pay combined contributions). 4.4 Teachers have options for making additional pension provision, by purchasing additional pension in the Teachers’ Pensions Scheme or by an Additional Voluntary Contribution in the form of money paid into an investment plan with an insurance company. Advice on these options is available in leaflets published by Teachers’ Pensions, copies of which can be obtained from the authority’s Teachers’ Pension Section, or on the national teachers’ pensions website (see above). 4.5 It is important that teachers understand that the occupational pension scheme is related to final salary as defined in the scheme. Pension benefits are based on ‘reckonable service’ representing periods for which pension contributions have been paid (with the possible addition of other service credits) and ‘average salary’ representing the salary received in the final twelve months before retirement (or, from 1st January 2007 the average of 333 Notes for Guidance – Employees in Schools Pensions the re-valued best three consecutive years’ salaries in the ten years prior to retirement). Pension benefits are therefore not based on the total pension contributions paid. 4.6 Teachers who are considering a variation to their contract, such as a reduction in contractual hours or a post of lower responsibility, are advised to consult the Teachers’ Pensions Section about the implications for their pension benefits. There are different ways in which such teachers may be eligible to protect the level of their eventual pension benefits, in part or in whole. 4.7 Responsibility for the correct deduction of pension contributions rests with the City Council (or a third party payroll provider if the teacher’s schools has chosen to use a different payroll provider). However, teachers are advised to check their pay advice to confirm the deduction of pension contributions and ensure that the deduction is valid and correct. The standard employee contribution rate for all teachers in 6.4 per cent of pay. Tax relief is given automatically on pension contributions. The deduction will be shown on the pay advice under the description of ‘Pension’. If no pension deduction is shown and the teacher is a member of the Scheme, the teacher should contact the City Council’s Teachers’ Pensions Team immediately, also if the teacher thinks that the level of deduction is incorrect. 4.8 Part-time reckonable service will accrue in the Pension Scheme at the prorata rate of full-time. In the case of regular part-time work, the average salary will be based on the contract period in the same way as a full-time teacher. The average salary for irregular part-time work is based on the service credit for the period concerned rather than the calendar period. A teacher in pensionable part-time employment may increase prospective retirement benefits by purchasing additional pension with the Teachers’ Pension Scheme, or by paying to an AVC (Additional Voluntary Contribution) arrangement. The Teachers’ Scheme has a group arrangement with the Prudential Assurance Company. 4.9 In view of the complexity of the regulations each case must be treated on individual merits, taking into account age, years of reckonable service and prospective service to retirement, the difference in the former and new salaries and prospective inflation rates, which clearly cannot be determined in advance. Individual circumstances must be noted in conjunction with the appropriate literature. Nothing said in this advice can override the statutory provisions of the Teachers’ Pension Regulations and associated Pensions Increase Acts. 4.10 A range of leaflets is available from the Teachers’ Pension Section, together with informal advice (tel. 0121-303 2611/4921). The Section’s staff are also available on request to visit schools and give pension sessions; there is no cost for this service to schools that purchase local authority payroll and 334 Notes for Guidance – Employees in Schools Pensions pension services. General advice should also be available from the Pension Scheme Administrators, namely Teachers’ Pensions (call centre 01325745746). Written enquiry may be made to Teachers’ Pensions, Mowden Hall, Darlington, DL3 9EE (quoting your teacher reference number). Teachers may also wish to consult their Teachers’ Association or seek independent financial advice. Other employees 4.11 Support staff, full-time or part-time, except for casual staff, are admitted automatically to the Local Government Pension Scheme unless they opt out by giving prior notice on form A1. Casual employees are eligible to join the Scheme but will need to make a specific request by completing form A1. 4.12 The relevant pension fund for employees (other than teachers) of Birmingham City Council is the West Midlands Metropolitan Authorities Pension Fund administered by Wolverhampton Metropolitan Borough Council. Details of the benefits and rules of the Scheme are published by the Fund, which issues annually information on individual accrued pension rights to all members of the Scheme. Further information may be obtained from the Fund or from the Pension and Payments Manager in the Corporate Services Division of Birmingham City Council. As with the Teachers’ Pension Scheme the Government is proposing changes to the Local Government Pension Scheme. These are available at http://www.lgps.org.uk/ . 4.13 As with teachers’ pensions, local government pensions are based on total reckonable service and final average salary as defined in the scheme. It is possible to transfer pension payments from other recognised pension schemes and there are limited provisions for buying added years. There is also the possibility of making Additional Voluntary Contributions through an investment plan with an insurance company. 4.14 Unpaid maternity leave will not count as reckonable service for pension purposes unless the employee pays back pension contributions to cover the unpaid leave. Employees should inform their employer’s pension section if they intend to do this within 30 days of returning to work (or leaving employment, as the case may be). 335 Notes for Guidance – Employees in Schools Advances of Salary – Teachers’ Loan Scheme 5 Advances of salary - teachers’ loan scheme 5.1 The authority offers loans to newly qualified teachers on their first appointment. The loan is a maximum of £500, repayable over ten months and interest free. Details and an application form are available from the Schools Personnel Services Section. 336 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses 6. Travelling and subsistence expenses 6.1 In accordance with the Burgundy Book the former Education Committee decided that teachers’ travelling and subsistence expenses should be paid on the same basis as those of support staff. Accordingly the national agreements on travel and subsistence apply to teachers as well as to support staff, as a condition of service. 6.2 The relevant sections of the City Council’s Staff Handbook setting out these agreements are reproduced in the following pages. For schools with delegated budgets the discretionary aspects of the arrangements, representing an improvement on the basic provision, such as authorising the use of cars beyond a twenty-mile radius of Birmingham city centre, rest with the governing body, which may delegate decisions of this nature to one of its members or the head teacher. 6.3 Before an employee uses his or her car for official business the school must check that the employee’s motor insurance policy covers business use and is with an insurance company which is a member of the Motor Conference. Such cover is a condition of the payment of car mileage, as well as being an essential safeguard for the teacher. Annual checks should be carried out thereafter. 6.4 Details of how to make claims, forms to be used etc., are given in the authority’s Schools Financial Procedures Manual at http://ebriefing.bgfl.org/bcc_ebrief/content/resources/resource.cfm?id=5399& key=&zz=20100129094057603&zs=n Mileage allowances are increased annually, but subsistence allowances have remained at the rate applicable in 1997. 6.5 Vouchers must be presented to substantiate expenses. 337 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses Extract from BIRMINGHAM CITY COUNCIL STAFF HANDBOOK 69 Travelling and Subsistence Allowances (a) Travelling Expenses Travelling expenses necessarily incurred by officers in the performance of their official duties shall be reimbursed, after authorisation, by the Council. When travelling by rail this will normally be Standard Class - see Circular P/1167. (b) Subsistence Allowances (i) Subsistence allowances will be payable to officers who are prevented by their official duties from taking a meal at their home, administrative centre or establishment where they normally take their meals and thereby incur additional expenditure; the officer will be required so to certify. The allowance shall not be paid where a suitable meal is provided. To ensure there is no tax payable on subsistence allowances, where the allowances claimed within a 24 hour period exceed £9.30, individual vouchers should be produced. Revised levels of subsistence allowances have been agreed with effect from 1 January 1997. The new rates set out below. Breakfast Lunch Tea Evening Meal £4.48 £6.17 £2.43 £7.64 (ii) In exceptional circumstances, and where authorisation has been given to an individual officer by their Chief Officer prior to expenditure being incurred, additional expenses, beyond the allowance at (i) above, shall be payable. Any such claim shall be supported, wherever practicable, by receipted vouchers. (iii) Officers travelling by rail who necessarily take a meal in a restaurant car shall be reimbursed the actual cost of the standard meal. (c) Work at Normal Place of Employment (i) The allowances of paragraph 69(b)(i) shall also apply to officers working at their normal place of employment but outside their normal hours and who are above the salary limit for overtime payments. 338 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses (ii) The overtime to be worked for the payment of a tea allowance shall be one and a half hours excluding the time taken for tea; the overtime to be worked for the payment of a dinner allowance (in addition to a tea allowance) shall be three hours, excluding the time taken for tea and/or dinner; and the overtime to be worked for the payment of a lunch allowance on Saturdays shall be one and a half hours excluding the time taken for lunch. (iii) Subsistence allowances shall not be paid when compensatory leave of absence is granted. (d) Officers Attending Evening Meetings Offices whose duties involve regular evening attendance and who are prevented by these official duties from taking their evening meal at home are entitled to subsistence allowances, providing they are not in receipt of any of the following: (i) (ii) (iii) overtime payment; planned overtime; subsistence allowance in lieu of overtime then an entitlement exists to either a tea allowance or, if a meeting continues after 2030 hours, an Evening Meal Allowance - see circular P/1585. (e) Overnight Provision Officers who are required to make overnight stays in the performance of their official duties shall be reimbursed approved expenses. Notes 1 There shall be prior authorisation in each case by the Chief Officer. 2 The account shall be rendered at such intervals as may be required by the Chief Officer, and shall be so certified by the Chief Officer or senior officer authorised for that purpose. 3 The bulk travel arrangements existing with British Rail for the provision of railway tickets shall be used in all instances of rail travel. 70 Travelling and Disturbance Allowances for Transferred Officers The scheme of travelling and disturbance allowances et out in Appendix ‘C’ hereto is applicable in the case of (a) officers who because of local government reorganisation, have their administrative centres changed; or 339 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses (b) officers who are made redundant, are granted compensation (under the Local Government (Compensation) Regulations), and who return to the local government service within the period in which they are entitled to compensation but who - rather than claim it - obtain employment with another local authority and thereby need to move home; or (c) officers whose administrative centres are changed by other circumstances beyond their control, if these changes are not referred to in their conditions of appointment. 71 Recruitment Incentive Scheme The Council operates a Recruitment Incentive Scheme, details of which are set out in Appendix ‘D’ hereto. This scheme shall not apply where an officers receives assistance under the Removal Expenses Scheme. ........ 74 Motor Car Allowances (a) Officers requiring the use of their private motor cars for the efficient performance of their official duties fall into two classes: (i) Essential Users Officers who use their cars on approved official business for a minimum of 3,000 miles per annum, excluding journeys to and from home and journeys for which the appropriate rail fare is payable under (p) below. Such an officer must be the effective owner of the vehicle in respect of which such classification is agreed, i.e. only one allowance shall be payable for the use of any one vehicle, to be paid to the officer who is the effective owner. (ii) Casual Users Officers who use their cars on approved official business for less than 3,000 miles per annum, excluding journeys to and from home. (b) Officers shall be eligible to receive allowances for the use of their cars on official business only after being so authorised by their Chief Officer and in accordance with such grading as may be determined. (c) Administrative Centre 340 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses (i) Each Chief Officer shall determine the appropriate centre for administrative purposes in respect of each authorised user (this will normally be the office, depot or centre form which they regularly operate). (ii) The appropriate mileage allowance is payable in respect of journeys between an officer’s administrative centre and an official location. (iii) Journeys from home to the administrative centre do not qualify for mileage allowances except as provided in (viii) below. (iv) Where an officer is required to travel from home direct to an official location, or from an official location to their home and this is a greater distance than from their home to their administrative centre, then the additional mileage only will be paid. (v) All mileage is payable from the first official location to all other official locations including such diversionary time - up to a maximum of three miles as is necessarily incurred in order to obtain a lunch. (vi) Officers called out on emergency or special duty after normal working hours to places other than their administrative centres, shall be permitted to charge mileage allowances from their homes (see (ix) below). (vii) Officers undertaking authorised journeys on official duty from their homes after normal hours and at weekends to places other than their administrative centres, shall be permitted to charge mileage allowances from their homes (see (ix) below). (viii) Officers who are required to return to their administrative centres on emergency or special duties which are not within their regular and normal duties, during the night, at weekends or on Bank Holidays, shall be permitted to charge mileage allowances from their homes provided no public transport is available. (See (ix) below). (ix) Where Officers covered by sub-paragraphs (vi), (vii) and (viii) above reside outside the boundary of the Birmingham City Council, mileage allowances may be claimed for journeys up to 20 miles in each direction between the place of resident of the officers and the emergency location. (x) Where either an early start or late finish is required at times when normal day-time public transport is unavailable and this necessitates exceptionally officers using their own private transport to travel to and/or from home to the place of work, the officers concerned shall be permitted to charge mileage allowance as appropriate for the journey, less the normal bus/rail fare. Note: In claiming allowances regard should be had to the Notes for Guidance issued by the Director of Personnel and Equal Opportunities (Circular P/986). 341 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses (f) Where the private car of an essential user is out of use because of a mechanical defect or the absence of the officer through illness, the allowances under this scheme shall be payable as follows: (i) The lump sum allowance shall be payable for the remainder of the month in which the car first ceased to be available and for a further three months thereafter. For the following three months, payment shall be made at the rate of 50% of the lump sum allowance. These payments shall be made on the condition, however, that mileage is completed at the rate of 3,000 miles per annum during the period under review after excluding the period when the car was out of use. (ii) Any such period shall be excluded for the purpose of determining whether the minimum mileage to entitle the officer to essential user allowances has been completed. Where the minimum mileage has not been completed, the officer shall be paid the appropriate casual user allowance after taking into account any lump sum or mileage allowance already paid to them as an essential user in respect of the period under review. (g) The Council shall have the right to require authorised users to carry official passengers without any additional payment. (h) In the case of an essential user who leaves the Council’s service, or who takes up their appointment after 1 April, the allowance shall be so calculated that the amount payable bears the same proportion to a full year’s allowance as the number of months in the year during which the officer uses their car, bears to twelve. The allowance shall therefore be calculated on a proportionate basis as follows: The mileage allowance to be paid at the higher rate would be equivalent to 917 miles per month of service. The excess over 917 miles per month of service would be paid at the reduced rate, eg where the total service in the financial year is five months then up to 4,585 miles would be paid at the higher rate and the excess over 4,585 miles would be paid at the lower rate. Essential Users failing to complete 3,000 miles (i) If an officer designated as an essential user does not cover an average of 750 miles on official business for each quarter during the period under review, other than by reason of a mechanical defect of the car or the absence through illness of the officer concerned (see (f) above), their actual mileage shall be paid at the casual user’s rate after taking into account any lump sum and mileage allowance already paid to them as an essential user during that period, any such adjustment shall be made quarterly. 342 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses (ii) If at the end of the year under review, an officer designated an essential user has not covered a total of 3,000 miles on official business, they shall start the following year s a casual user, provided that if their total mileage at the end of any subsequent quarterly period totals an average of 750 miles for each quarter during the period under review, they shall be paid the appropriate lump sum and mileage allowance as an essential user in respect of their total mileage after taking into account he allowance already paid at the casual user’s rate during that year. (iii) Paragraphs (i) and (ii) above shall not apply to certain defined categories of officers who, notwithstanding that they may not cover 3,000 miles per annum on official business, have been designated as essential users by virtue of their duties. (j) For the purpose of this scheme, the period of calculations Shall be 1 April in any year to the following 31 March. (k) Public transport shall be used whenever possible. (l) Officers shall keep an official record showing reasons for each journey and all other relevant particulars, including the names of any official passengers carried. (m) Journeys, and subsequent claims for the payment of allowances, shall be authorised by the Chief Officer concerned or a responsible officer nominated by them for that purpose. (n) Officers shall not use their cars when there is room in a Council car or in the car of another officer making the same journey and, as far as possible, journeys shall be arranged with this in mind. (o) Authorised officers shall have included and maintained in their insurance policies a clause indemnifying the Council against third party claims arising from the use of their cars on official business, unless they are insured with companies which have given undertakings to the effect that such endorsements to their policies recognising official use are not necessary. All authorised users shall, therefore, ascertain from the City Treasurer whether the Insurance Companies with which they are insured are on the official list of companies who have given such an undertaking. (p) Use of Private Cars for Official Journeys Outside the City (i) For journeys outside the City on official business, reimbursement for the use of a private car shall normally be the appropriate rail fare and, where authorised passengers are carried, additional payment shall be made at the rate of one third of the appropriate rail fare for each passenger, except that 343 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses the maximum amount paid in respect of passengers on any approved journey shall not exceed the cost of one additional rail fare. (ii) Where, however - convenient public transport is unavailable, or - heavy or bulky equipment needs to be conveyed, or - the use of an officer’s private car would be beneficial to the efficient conduct of the Council’s business, or - an overnight stay would be avoided then the Chief Officer may authorise the payment of the appropriate car mileage allowance prescribed by the Motor Car Allowances Scheme. Where passengers are carried, any allowance which may be authorised shall be increased by not more than 0.30p per mile in respect of each additional authorised person carried. (iii) Officers shall not use their own cars when there is room in a Council car or in the car of another officer making the same journey and, as far as possible, journeys over the same route by officers of a department should be arranged with this in mind. (q) Provision of a Motor Car - Condition of Employment It shall not be a condition of employment that officers shall provide motor cars for official use unless such officers are occupying posts which are graded in accordance with Scale 3 or above. (r) Parking Meter Fees Parking meter fees shall be reimbursed when they are necessarily incurred by authorised users on official business. (s) Car Parking Fees In exceptional circumstances and where the situation so justifies, authorised users shall be reimbursed car parking fees necessarily incurred on official business, on the understanding that parking meters will be utilised wherever possible. (t) Pedal Cycle Allowance Claims must be submitted on the appropriate form. Employees are advised that an income tax liability may arise from these payments. 344 Notes for Guidance – Employees in Schools Travelling and Subsistence Expenses Employees who are authorised by their Chief Officers to use their cycle on City Council business shall be reimbursed at the rate of 15p per mile for up to 400 miles per annum and all subsequent miles shall be reimbursed at 5p per mile. 345 Notes for Guidance – Employees in Schools Retention of Fees 7 Retention of fees 7.1 The retention of fees paid by outside organisations to City Council employees for work undertaken by them which is connected with their employment (such as speaking at a conference connected with their profession) is at the discretion of the Chief Officer but is usually permitted. In the case of schools with delegated budgets the discretion to allow retention of fees rests with the governing body. Work for outside organisations during working time comes under the leave of absence scheme. The general principle is that employees who provide services to other organisations during their working hours are acting on behalf of the authority, to whom any fees for such services are payable. For example, examination boards or groups make payments directly to the authority for the services of teachers. The fees received are credited to the budget of the school concerned, to meet cover costs. 346 Notes for Guidance – Employees in Schools Extraneous Duties – Residential Special Schools 8 Extraneous duties - residential special schools 8.1 Extraneous, or additional, duties for which the special allowance is paid will normally fall into one of the following categories:- - provision of expertise contributing to the development of individual children - involvement in clubs and activities outside school hours - presence on site during the evening with specific education/ child development duties in association with and under the direction of the Head of Care 8.2 The special allowance is payable in accordance with the provision in the School Teachers’ Pay and Conditions Document requiring the relevant body to determine remuneration for residential duties. The authority accepts the rate recommended by the national Joint Negotiating Committee for Teachers in Residential Establishments. 347 Notes for Guidance – Employees in Schools Removal Expenses 9. Removal expenses 9.1 Under the conditions of service determined by the authority teachers who qualify under the scheme for financial assistance towards the removal expenses of newly appointed teachers are entitled to removal expenses which must be met from schools’ delegated budgets. The expenses are paid to those teachers who move solely for the purpose of taking a job at the school. They are not paid to teachers who have moved to Birmingham for other reasons and then seek employment in a school in the city. Teachers who are eligible for the scheme will be advised of it in their letters of appointment. 9.2 Support staff may receive assistance under the City Council’s Recruitment Incentive Scheme, which may be applied where, in the opinion of the Chief Officer, it would materially assist in the recruitment of essential employees. Under Local Management of Schools this discretion may be exercised by school governing bodies in respect of support staff in the school. Given the fact that most support staff are recruited locally, there will be little scope for using the scheme in schools, but any governing body which considers using it is recommended to seek advice on its application. 9.3 The two schemes are set out in the following pages. The scheme for teachers refers to employees because it originally applied to all employees of the City Council and was retained for teachers when changes were introduced for other employees. 9.4 The School Teachers’ Pay and Conditions Document gives relevant bodies the discretion to assist teachers with recruitment and retention benefits and incentives. The Document sets no maximum to these benefits or incentives, but does limit the period for which the relevant body can award periodic payments or benefits over a period of time. The authority considers recruitment and retention benefits (other than the reimbursement of removal expenses) to be divisive. Its advice on the School Teachers’ Pay and Conditions Document recommends offering recruitment and retention benefits only in certain very specific circumstances. Although it would be possible to award such benefits in addition to, or in place of, removal expenses, the benefit would be paid as part of the salary and therefore taxable. . 348 Notes for Guidance – Employees in Schools Removal Expenses REMOVAL EXPENSES SCHEME FOR TEACHERS 1 Applications for financial assistance towards the cost of removal shall only be considered from employees newly appointed to the Authority’s service. Chief Officers may apply the scheme to any such employee who, at the time of his appointment, lives at more than a twenty miles radius from his new administrative centre, and where a need to move house is established. Expenses incurred within the United Kingdom only are reckonable for the purposes of this scheme. 2 In order to qualify for financial assistance and the payment of expenses under the Scheme, removal shall take place within twelve months of taking up appointment unless there are unusual and acceptable reasons for delay. 3 Financial assistance shall only be granted in respect of actual expenses reasonably incurred by the applicant in connection with the removal, i.e. those directly arising out of the carriage of furniture and household goods, and will be limited to a maximum figure of £400 inclusive of VAT. Payment under this paragraph shall be based on the lower of not less than TWO estimates of the cost of removing the employee’s furniture and other household goods, such estimates being submitted for the consideration of the employee’s Chief Officer. The receipt from the removal firm which is used must be attached to the estimate from the same company. If VAT is shown on the invoice, the firm’s vat registration number must be clearly shown; otherwise payment will not be made. 4 The following expenses shall also be payable to the employee and his dependants in respect of travelling connected with the actual removal: (i) (ii) second class rail fare from the old home to the new; the actual cost of subsistence payments reasonably incurred in the removal subject in all cases to the production of receipts. 5 The acceptance of those expenses referred to in Paragraph 3 shall be conditional upon the recipient entering into an agreement that he/she will reimburse 60% of all expenses received thereunder if he/she resigns within one year of appointment with the Council, 40% if he/she resigns between one and two years of appointment with the Council and 20% if he/she resigns between two and three years of appointment with the Council. 6 Teachers are normally expected to move house during a school/college holiday, but head teachers have discretion to grant up to two days’ leave with pay if removal during a holiday is not possible. 349 Notes for Guidance – Employees in Schools Removal Expenses 7 Written, not till, receipts, including the VAT number, must be obtained if purchasing petrol for use in a hired self-drive van. 350 Notes for Guidance – Employees in Schools Recruitment Incentive Scheme – Support Staff RECRUITMENT INCENTIVE SCHEME - SUPPORT STAFF This scheme is only to be applied where, in the opinion of the Chief Officer, it would materially assist in the recruitment of essential employees. The Chief Officer may apply the whole or any part of the scheme to any such employee who, at the time of appointment, lives more than twenty miles from the new administrative centre and where a need to move house is established. Expenses within the United Kingdom only are usually reckonable for the purposes of this scheme, but claims for expenses incurred outside the United Kingdom are payable at the Chief Officer’s discretion. There is an absolute limit of £6,000 on assistance given under the scheme. Claims may be made as follows:1. Resettlement and Removal Expenses (a) An amount to be determined by the Chief Officer towards the cost of all expenses which are reasonably attributable to removal (e.g., cost of removal of furniture and effects, storage of furniture and effects, legal and other fees connected with the sale or purchase of residences, mortgage redemption and house agent fees, adaption and installation of furniture, fittings and household apparatus, etc.) and the travelling and subsistence expenses of the employee and dependants in connection with the removal, on the following conditions: i) the claim shall be accepted only if the employee produces receipts and certifies the expenditure; ii) the amount paid by the City Council shall not include any contribution towards a higher purchase price of property; iii) any contribution by the City Council shall be limited to the employee’s first removal after accepting the appointment; iv) removal shall take place within a period determined by the Chief Officer; v) the acceptance of a claim shall be conditional upon the claimant entering into an agreement that the City Council will be reimbursed 60 per cent of the amount received if resigning within one year of the date of appointment, 40 per cent if resigning between one and two years, and 20 per cent if resigning between two and three years of the date of appointment. 351 Notes for Guidance – Employees in Schools Recruitment Incentive Scheme – Support Staff 2. Employees entering lodgings in the city or its environs to take up appointments for a period before the removal of their households are paid, for a period to be determined by the Chief Officer, the following: (a) the actual cost of accommodation, provided that the Chief Officer considers this to be reasonable; (b) the actual cost of breakfast and evening meal, subject to the agreed maxima; (c) standard class rail fare at weekends to their homes. 3. Special Leave Any employee who is allowed assistance under the scheme may be granted up to two days’ leave with pay upon moving home at the discretion of the Chief Officer. 4. Relocation companies i) The use of the services of such companies, which enable newly appointed employees to make a quick sale of their existing homes, may be used at the discretion of the Chief Officer. ii) The acceptance of such assistance shall be conditional upon the employee entering into an agreement that the City Council will be reimbursed 60 per cent of the cost of the relocation company’s services if resigning within one year of the date of appointment, 40 per cent if resigning between one and two years, and 20 per cent if resigning between two and three years of the date of appointment. 352 Notes for Guidance – Employees in Schools Apprentices – Support Staff APPRENTICESHIPS This guidance gives schools the necessary information on the financial support available from the Government and the special contracts of employment which must be used for apprentices. What is an apprenticeship? How to obtain support for an apprenticeship Recruitment of apprentices Contracts of employment Ending an apprenticeship early Ending the apprenticeship at the end of the training What is an apprenticeship? An apprenticeship has a distinct and protected status in law. There are many working arrangements that claim to be apprenticeships but cannot be because they are missing certain key components. A High Court decision summarised these key components as: That the apprenticeship secures wages for the apprentice for the duration of the training programme; That the training programme will allow him or her to acquire valuable skills; and The programme will provide employment opportunities in the labour market following the successful completion of the training. The Government’s new scheme for apprenticeships has been tested in the courts and given the same status as the traditional apprenticeship schemes. The courts found that, even though the training element of the apprenticeship was governmentfunded and the training was provided by a third party (a college) instead of by the employer, the employer was still required to ensure that the training happened (through time off, etc). An apprenticeship should therefore be a planned programmed in place for a defined period of time that combines work and learning and supports an individual to develop skills and knowledge, usually within the framework of achieving a qualification for a particular trade or profession. How to obtain support for an apprenticeship Schools, like other employers, may recommend a person to a Governmentapproved training provider which will provide subsidised training for apprentices. The school is expected to meet the rest of the training costs, including releasing the apprentice during school hours for formal training, and to meet all salary costs. The training is provided on the assumption that the apprentice will normally be employed for at least thirty hours a week, although it is possible in approved cases for the hours to be fewer. 353 Notes for Guidance – Employees in Schools Apprentices – Support Staff Further information is available from Frances Rogan (Frances.Rogan@birmingham.gov.uk ). The National Apprenticeship Scheme website also provides useful background information – www.apprenticeships.gov.uk . Recruitment of apprentices Before starting the process of recruitment, schools should contact Schools HR to ensure that the job of trainee apprentice in a particular area of work has been evaluated and matched to an appropriate wage. By using a job evaluation process, the school can justify a lower rate of pay because it will be based on an assessment of the different elements of the apprenticeship 'job' rather than on age and lack of experience or a lack of years of experience. The authority has evaluated the job of trainee teaching assistant and produced a job description. It will evaluate other trainee apprentice jobs in the future. It advises that for trainee apprentices the normal minimum wage should be paid. Schools should recruit apprentices in accordance with normal recruitment procedures and should ensure that they do not discriminate unfairly. For example, a school restricting the age range of applicants for apprenticeships would have to demonstrate that such a restriction would be a proportionate means of achieving a legitimate aim in order to avoid claims of age discrimination. In practice, many applicants for apprenticeships are likely to be young people, because the pay is relatively low, being linked to the national minimum wage. Contracts of employment Apprentices have a special form of employment contract, a contract for training rather than actual employment. Its first purpose is training; the execution of work for the employer is secondary, but employment rights still apply. An employment contract for the apprentice therefore exists when an employer agrees to teach a trade and the apprentice agrees to ‘serve and learn’. The contract should provide details relating to what training the apprentice will undertake and how this should be done (e.g. college, day release, attending different sites of the employer, etc). As with other employees, the apprentice’s contract must also contain the basic details of their role, their working hours, their rate of pay and their holiday entitlement and other employment benefits. However, although an apprentice’s contract may be for a limited period, the Fixed-Term Employees (Prevention of Less Favourable Treatment) Regulations 2002 specifically exclude apprenticeships. There are therefore special provisions for ending apprenticeship schemes (see below). Schools wishing to appoint an apprentice should ensure that they tell Schools HR Services that the person is to be a Trainee Apprentice, so that Schools HR Services can send the correct contract of employment, which will be for a limited period and 354 Notes for Guidance – Employees in Schools Apprentices – Support Staff will provide for the ordinary national minimum wage. Schools will normally use the form for a new starter (insert link) and should ensure that they use the title ‘Trainee Apprentice’ when describing the job. Schools HR will arrange for an appropriate apprenticeship contract to be issued to an apprentice. Ending an apprenticeship early As an employee, an apprentice should be managed under the school’s normal performance management policies. However, there are special rights and duties to take account of if the school wishes to terminate the apprenticeship earlier than originally specified in the contract. The school has a duty of care to support the personal growth and learning of the apprentice, in addition to providing professional development and skills, so would be expected to exercise more leeway and provide additional support for an apprentice with conduct or capability issues. Apprentices have significant additional rights that are not available to other employees. So, although a school is entitled to expect the apprentice to comply with its terms and conditions and management policies, the overarching protection for apprentices may override contractual provisions. Redundancy is one such area. If a business changes or there is a downturn in the economy and the employer can no longer fulfil the agreed training and work programme, this is a breach of contract and the apprentice will be entitled to receive remuneration and benefits to the end of the apprenticeship, and also compensation for the employer’s failure to train and the loss of prospects as a tradesman. This compensation payment is for damages for breach of contract and is not a redundancy payment and therefore the apprentice has no right to be redeployed. However, as a remedy for the breach of contract, the local authority may be able to provide a suitable alternative apprenticeship post, either in that local authority or another. If a school finds that the conduct or capability of the apprentice is so bad that it is impossible to teach him or her the agreed trade, then it should take advice from Employee Relations on ending an apprentice’s contract in such circumstances. Ending the apprenticeship at the end of the training Apprentices are normally employed under a limited term contract, with a defined end date or end event. If their employment is not renewed after this date or event, then they will be treated as having been dismissed. As apprentices have some of the same employment rights in terms of dismissal, the requirements of the Employment Rights Act 1996 (ERA) apply, i.e. the apprentice will be entitled to receive a written reason for dismissal and the ACAS Code will apply. However, although the apprenticeship is for a limited period, it is not a fixed-term contract. The Fixed-Term Employees (Prevention of Less Favourable Treatment) Regulations 2002 specifically exclude apprentices (regulation 18). Therefore the 355 Notes for Guidance – Employees in Schools Apprentices – Support Staff reason for dismissal under the Employment Rights Act 1996 will not be a failure to renew a fixed-term contract. Nor will the failure to retain the fully-trained apprentice constitute a redundancy in law. Because an apprenticeship contract is for a specific purpose – training – the contract will be discharged on the completion of that training and Employee Relations will advise on the information to be given to the apprentice towards the end of the contract. An apprentice’s rights and an employer’s obligations to secure employment at the end of a successfully completed apprenticeship will depend on individual contractual agreements. There is no legal requirement to provide employment at the end of the apprenticeship but an employer may agree contractually to do this. As there is no redundancy at the end of the apprenticeship, there is no legal duty to redeploy the apprentice into suitable alternative employment unless the local authority (or school) has entered into a contractual agreement to do so at the end of a successful apprenticeship. A failure to fulfil a contractual agreement to find a suitable post will be a breach of contract. 356 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book SICKNESS 1. Sick leave and sick pay 1.1 The Teachers’ Sick Pay Scheme is set out in the Burgundy Book and in the following pages. The Sick Pay Scheme for support staff (from the national conditions of service in the Green Book) is also set out in the following pages. The national conditions of service in the Green Book should be supplemented by provisions of the City Council’s Staff Handbook not included in the national scheme but assisting in the interpretation and implementation of it. Details of these differences are given after the relevant extracts from the Green Book appended to this section. 1.2 The relationship between sick leave and annual leave is now determined by a decision of the European Court of Justice that an employee has the right to take annual leave under the Working Time Directive outside the period of sick leave. If an employee cannot take statutory (as distinct from contractual) leave because of a prolonged period of absence on sick leave then he or she has the right to carry that statutory leave forward to the next leave year. Because of the length of the school holidays teachers and those support staff in schools who are required to take their leave in school holidays will have enough time in the school holidays to take the statutory leave which they have carried forward as well as the statutory leave for the current year. Teachers do not have a contractual leave entitlement, but for the purposes of statutory leave their leave year begins on 1st September. As public/bank holidays fall within school holidays they will be covered by these arrangements for employees required to work during school terms. 1.3 The calculation of an employee’s entitlement to pay during sick leave takes into account previous service in accordance with their conditions of service. For teachers “service”, for the purpose of entitlement to sick pay, includes all aggregated teaching service with one or more local authorities. For other employees “service” is defined in the Green Book (see extract below). 1.4 The Burgundy Book makes special provision for sickness due to accident, injury or assault at work. The Birmingham authority will not count the first six months of such absence against a teacher’s sick pay entitlement, but in cases in which there is doubt whether the absence is for a medically accepted condition caused by injury at work or by a pre-existing medical condition it will seek medical and legal advice before agreeing to the additional payment. 1.5 The sick pay scheme for support staff is separate from special provision to cover absence for medically accepted conditions caused by injury at work. This special provision is generally known as a ‘top up’ injury allowance. 357 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book Guidance on the award and review of such an allowance will be given by Schools Personnel Services. 1.6 Both schemes provide for sick pay to be suspended if the absence was due to the employee’s misconduct or has been prolonged by conduct prejudicial to recovery, or if the employee has failed to comply with the conditions of the scheme. The employee is entitled to a hearing before a decision is taken as to whether he or she should forfeit the right to any further sick pay under the scheme. 1.7 The authority will record sick leave for employees in schools for which it provides personnel services. Schools are required to submit an absence return weekly, and there are requirements for submitting medical certificates after a certain period of sickness absence (see below). The authority can provide a report of current staff absence to schools on request. 1.8 Statutory Sick Pay is payable in accordance with legal requirements and Government regulations. An employee may not receive more than his or her normal salary, so Statutory Sick Pay is offset against contractual sick pay until the employee’s sick pay entitlement reduces to half salary, when Statutory Sick Pay is added to the half salary, subject to the total not exceeding normal salary. The procedures for claiming Statutory Sick Pay are also reproduced in the following pages. 1.9 Schools should not question a valid medical certificate submitted in support of absence. Such a certificate may cover absence for medical treatment. Guidance on the new medical certificates introduced in 2010 is given below. 1.10 Please see further guidance to schools on managing staff sickness in addition to the guidance on the new medical certificates. 1.11 An employee suspended under the disciplinary procedure should be paid in accordance with his or her contract of employment. Therefore, if he or she is on sick leave whilst suspended he or she should be paid in accordance with the sick pay scheme; this should be explained to the employee in the letter confirming the suspension. 1.12 Certain medical conditions may require a teacher’s suspension from duty on medical grounds. Guidance from the Department For Education in 2002 (http://www.teachernet.gov.uk/management/atoz/o/occupationalhealthguidan ce/) dealt with the role of occupational health services in determining fitness to teach and takes account of the Disability Discrimination Act 1995. All employers of teachers should take advice from a medical adviser acting for the employer. Guidance has been produced for such advisers. In cases which may require suspension the authority will work closely with the school, as the authority is responsible for obtaining medical advice, but a decision to 358 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book suspend is made by the governing body or head teacher. Suspension can be lifted only by the governing body. 1.13 An employee may be certified as medically fit for work by her or her G.P. whilst suspended on medical grounds. In these circumstances the employee remains suspended and reverts to normal salary instead of sick pay pending clearance to return to work from the authority’s medical adviser. The authority will make every effort to expedite that medical clearance. It will then be for the governing body to consider lifting suspension. Requirements for reporting sickness 1.14 If an employee is unable to attend work due to personal illness, he or she must let the head teacher know as quickly as possible on the first day of absence. If the employee is absent for the first time on a Monday, he or she should state whether the illness started on the previous Saturday or Sunday (this relates to Statutory Sick Pay). If the illness lasts for: 4 - 7 calendar days the employee will be required to complete a selfcertification form (copy attached). More than 7 calendar days the employee must obtain a medical certificate from his or her doctor. A self-certification form will be required for 4 – 7 days unless covered by the medical certificate. Self-certification forms and medical certificates should be sent to the school in the normal way. The school should then forward them to the local authority or other personnel provider with the weekly absence return. Medical certificates should continue to be sent to the school until the employee is fit to return. 1.15 If an employee returns to duty on a Monday, it will be assumed that the absence ended on the day before, i.e. the Sunday. For guidance on the expiry of medical certificates, see the guidance on medical certificates in the following pages. Occupational health referral forms 1.16.1 Form for referring support staff at http://ebriefing.bgfl.org/index.cfm?p=resources,view_resource&id=6165&zz= 20091217164744073 and for teachers http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6896&key=&zz=2 0100112154730264&zs=n 359 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book NEW MEDICAL CERTIFICATES – ‘MAY BE FIT TO WORK’ NOTES REVISED INTERIM GUIDANCE FOR SCHOOLS INTRODUCTION From 6th April, 2010, doctors use new medical certificates. The main changes from the old medical certificates are 1. The removal of the fit for work option A new option for a doctor to advise if an employee may be fit for work with some support More space for a doctor to provide information on how an employee’s condition will affect what that employee can do Options for a doctor to tick to suggest one or more of four common ways of helping an employee return to work – a phased return to work, altered hours, amended duties and workplace adaptations – with an indication of the period for which this help is advised. 2. The new medical certificate is reproduced in the attached guidance from the Department of Work and Pensions – see page 8 of http://www.dwp.gov.uk/docs/fitnote-employer-guide.pdf 3. The phrase ‘fit note’ used in Government guidance is a misnomer. ‘May be fit to work note’ is a better title. As the ‘fit for work’ option has been removed, doctors will only complete medical certificates if an employee is not fit for work or may be fit for work. It is for the employer to decide whether to accept the doctor’s advice that an employee may be fit for work. If the employee is fully fit for work the doctor will not issue a medical certificate. 4. In dealing with any advice from a doctor that an employee may be fit for work with some support or adjustments to working arrangements, schools should build on current good practice and the guidance in ‘Managing Staff Sickness in Educational Establishments’. 5. However, in the light of the change in the format of the medical certificates the following advice is offered to schools on how employees should report during sickness, what should happen when an employee is ready to return to work, and on how schools should deal with advice that an employee ‘may be fit to work’. ADVICE TO SCHOOLS Reporting sickness 360 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book 6. The school should ensure that the following requirements are included in the school’s requirement for reporting sickness. 7. If an employee’s medical certificate states that the doctor will need to reassess the employee’s fitness for work at the end of the period which the doctor has given on the certificate, the employee must make another appointment with the doctor shortly before the end of that period. 8. An employee whose medical certificate is about to expire and who feels well, should contact the head teacher before the last working day covered by that certificate and 9. If the previous medical certificate stated that the doctor did not need to assess fitness for work again at the end of the period covered by the certificate, explain that he or she feels better and intends to return to work on the first working day after the expiry of the certificate If the previous medical certificate said that the doctor would need to assess fitness for work again at the end of the period specified on the certificate, give the date of the next appointment with his or her doctor, explain that he or she is feeling better and hopes to be fit to return on the first working day after the certificate expires, and undertake to notify the head teacher of the outcome of the doctor’s assessment as soon as practicable after the visit to the doctor. An employee who feels well enough to return to work before a medical certificate expires should notify the head teacher that he or she intends to visit his or her doctor before the end of the period covered by the medical certificate with a view to amending the duration of that certificate. An employee who returns to work before a medical certificate expires and without an amended certificate will be deemed still to be on sick leave. Employees fit for work 10. If an employee returns to work without a current medical certificate, that employee is declaring that he or she is fit for work. If the school has doubts about an employee’s fitness, advice should be taken from the Employee Relations Team. Depending on the circumstances, it may be appropriate to ask the employee to return to his or her doctor or arrange an assessment by Occupational Health. 11. If the employee has been absent for a long period either the head teacher or the employee may request a meeting before the due date of return in order to discuss the arrangements for that return. Depending on the nature of the employee’s illness, the head teacher may ask for a report from Occupational Health before the return. If the employee’s medical certificate is due to expire before a report can be obtained from Occupational Health the head teacher, in consultation with Employee Relations if necessary, should examine the 361 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book previous certificate to see whether the doctor specified that he or she would need to assess the employee again at that point. If such a specification was made the employee should be reminded of the requirement to return to the doctor and asked when he or she is due to see the doctor again. Once an employee’s medical certificate has expired without renewal, normal pay has to be restored. 12. An employee who declares that he or she is fit before a medical certificate expires and wishes to return before the end of the period specified on the certificate should be advised to ask the doctor to amend the duration of that certificate. An employee who returns to work before a medical certificate expires and without an amended certificate will be deemed still to be on sick leave. Employees who “may be fit for work” 13. If a school receives a medical certificate on which a doctor states that an employee “may be fit for work taking account of the following advice” the head teacher should consider the advice and the stated time limits and decide whether the doctor’s suggestions are reasonable and feasible, undertaking a risk assessment if necessary. The employee remains on sick leave until a decision on the doctor’s advice has been reached. The head teacher may seek advice from the Employee Relations Team if necessary, especially if there are questions about risk assessments, the adjustments advised by the doctor, or temporary variations in contracts and salary. There will be some cases in which an employee has an illness falling within the definition of disability in the Disability Discrimination Act and the employer’s obligations under that Act must be met. If the school has special sick pay cover insurance (as distinct from normal employer’s liability insurance) the school should check the position with the insurance company. The Employee Relations Team may recommend obtaining further advice from Occupational Health or the Employee Support Officer. There must be consultations with the employee, in accordance with normal practice under ‘Managing Staff Sickness’. 14. Consultations with the employee must cover not only the recommendations of the doctor but also the contractual implications, having regard to the anticipated duration of any adjustment to working arrangements recommended by the doctor which are considered reasonable and feasible. If it is agreed that a phased return or other adjustment recommended by a doctor is feasible the arrangements should be made in the same way as for an employee who has requested some help on returning to work without a medical certificate or for whom Occupational Health has advised special arrangements. 362 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book 15. If it is agreed that an employee whose doctor has advised “may be fit for work” can return to work, the employee will cease to be on sick leave and subsequent sick leave will be treated as a new period of sick leave. 16. Whatever is agreed in the discussions should be carefully recorded, including the date of the return to work, the adjustments to be made, their duration, any temporary variation in contract and salary, and arrangements for reviewing the situation, including a timescale for that. Where a temporary variation in contract is agreed, Schools HR must be informed in order to make the necessary arrangements. 17. If, in the light of advice from Employee Relations and/or Occupational Health, it is decided that the kind of support recommended by the employee’s doctor is not feasible and that there is no suitable alternative support, then the employee remains on sick leave. A date should be agreed with the employee for reviewing the situation, having regard to the doctor’s advice about the duration of special arrangements on the medical certificate. 18. Under both the Green Book (support staff) and the Burgundy Book (teachers) governing bodies have the discretion to extend the period of sick pay (‘in exceptional cases’ for support staff). Head teachers on sick leave 19. Schools should ensure that Schools HR Services are informed of the absence of head teachers in the same way as absences are notified for all other employees. 20. The school should notify the Chair of Governors of the Head Teacher’s absence. 21. The Chair of Governors should take advice from the Employee Relations Team on the application of this guidance to the absence of a head teacher as necessary and appropriate. 363 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book DIAGRAM TO ILLUSTRATE GUIDANCE ON MEDICAL CERTIFICATES Employee on sick leave with medical certificate medical certificate expires – employee returns to work If there are concerns seek advice from Employee Relations Employee receives ‘may be fit to work’ medical certificate from GP – it may include some recommendations Employee receives not fit to work medical certificate and remains on sick leave Employee recovers during sick leave Employee rings school with details of the medical certificate The advice on the medical certificate is considered, taking advice as necessary from Employee Relations and discussing with the employee, and a decision taken as to whether the recommended adjustments can be made Adjustments made and employee returns to work Employee contacts school and is asked to re-visit GP for amended medical certificate with new expiry date Adjustments not feasible – employee remains on sick leave – may be a need for further advice from Employee Relations, Occupational Health etc. Review adjustments in due course if they were temporary 364 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book Extract from the BURGUNDY BOOK (teachers) “2. Sick leave and pay “2.1 Provided the appropriate conditions are met, a teacher absent from duty because of illness (which includes injury or other disability) shall be entitled to receive in any one year sick pay as follows: During the first year of service During the second year of service During the third year of service During the fourth and successive years Full pay for 25 working days and after completing four calendar months’ service, half pay for 50 working days Full pay for 50 working days and then half pay for 50 working days Full pay for 75 working days, and half pay for 75 working days Full pay for 100 working days and half pay for 100 working days For the purpose of the sick pay scheme, “service” includes all aggregated teaching service with one or more local education authorities. 2.2 Each employer has discretion to exceed the minimum entitlement for sick leave and should review the position of teachers at an early opportunity and before their entitlements to paid sick leave expire. 2.3 For the purpose of this scheme, “working days” means teaching and nonteaching days within “directed time”, as specified under paragraph 59 of the School Teachers’ Pay and Conditions Document 2000. 3. Sick Pay 3.1 Sick Pay shall include, where appropriate, Statutory Sick Pay, and shall not exceed the full (ordinary) pay of the teacher under the contract of employment. 4. Sick Leave year 4.1 For the purpose of calculating a teacher’s entitlement during a year under paragraph 2, a year is deemed to begin on 1st April and end on 31st March of the following year. Where a teacher starts service after 1st April in any year, the full entitlement for that year will be applicable. Where a teacher is on sick leave on March 31 in any year, no new entitlements shall begin until the teacher has resumed duty and the period from April 1st until the return to duty 365 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book is regarded as part of the preceding year’s entitlement for the purpose of this scheme. When a teacher moves to another employer, any sick pay paid during the current year by the previous employer shall be taken into account in calculating the amount and duration of sick pay payable by the new employer. 5. Deductions from sick pay 5.1 Full pay The following deductions, subject to paragraphs 6.1 and 7 below, shall be made from sick pay where it equals full pay: (a) the amount of sickness and incapacity benefit receivable under the Social Security Acts 1975-1994; (b) compensation payments under the Workmen’s Compensation Acts where the right to compensation arises in respect of an accident sustained before July 5, 1948; (c) the dependency element (but not disability element) of any treatment allowance received from the Department of Social Security. Half pay 5.2 Where sick pay is less than full pay, deductions shall be made only so far as is necessary to ensure that sick pay together with benefits receivable in respect of insurance under the Social Security Acts 1975-1994 does not exceed full (ordinary) pay. 5.3 Deductions equivalent to those in paragraphs 5.1 and 5.2 above shall be on the basis that the teacher is eligible to receive such benefits, payments or allowances whether or not he or she takes the necessary steps to obtain them. 5.4 Deductions equivalent to those set out in paragraph 5.1 above shall be made from the sick pay of a teacher who is a married woman or a widow and has elected to pay reduced contributions under the terms of the Social Security Act 1975 and Social Security Contribution Regulations 1979, provided that, where a widow is in receipt of a widow’s or widowed mother’s allowance or widow’s pension, regard should be paid in calculating the amount of sick pay only to such part of the national insurance benefit receivable as is in excess of the amount received by the teacher from the Department of Social Security in weeks of full normal employment. 6. Termination of employment during a period of sick leave 366 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book 6.1 In the event of a teacher exhausting in part or full his/her entitlements under paragraph 2.1 above and being given notice of the termination of his/her contract without returning to work on the ground of permanent incapacity or for some other reason related to the sickness absence, he/she shall be paid full salary for the notice period with normal deductions only. 7. School closure periods 7.1 For the purpose of 2.1 above, two half school days shall be deemed to be equivalent to one working day. Whilst sickness during closure periods will not affect the period of a teacher’s entitlements to sick leave under 2.1 above, it will be relevant so far as deduction of benefit is concerned. Thus the same deductions applicable to a teacher in respect of sickness on working days will be applicable in respect of sickness during a closure period: 7.2 The rate of sick pay applicable to a teacher in respect of sickness during the closure of a school is the rate applicable to him/her on the last day before the closure. Where a teacher, therefore, is ill immediately preceding a closure period and: he/she is on full sick pay - he/she shall continue on full sick pay, but the closure period is not counted against his/her entitlement under 2.1 above; he/she is on half sick pay - he/she shall continue on half sick pay, but the closure period is not counted against his/her entitlement; he/she has exhausted his/her sick pay entitlement and is not receiving any pay - he/she shall continue to receive no pay. 7.3 Where a teacher is either on half pay or is not receiving pay he/she may be put back on full (ordinary) pay by the procedure in 7.4 below. 7.4 When a teacher is ill immediately preceding a closure of the school, and has exhausted his/her sick leave entitlement, or is on less than full pay, and recovers during the period of closure, such teacher shall be deemed, for the purpose of calculating the amount of salary due, to have returned to duty on the day he/she is authorised medically fit to do so by means of a doctor’s statement obtained for that purpose, provided he/she actually returns to school on the first day after the period of closure. Where a teacher in these circumstances does not return to duty on the first day after the period of closure he/she shall refund such sum as the employer at their discretion may decide. 367 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book 7.5 If, during the period of closure of a school a teacher falls ill and becomes entitled to Statutory Sick Pay or becomes or would become (but for election to be excepted from liability to pay contributions) entitled to claim any of the benefits referred to in sub-paragraph 5.1 above, it shall be his/her duty to notify the authority thereof (in accordance with sub-paragraph 8.1 below as if the days of closure were working days) so that the authority may either pay Statutory Sick Pay (where appropriate) or make the appropriate deductions. 8. Conditions 8.1 A teacher shall not be entitled to sick pay unless: (i) notification is made to the employer as may be required, not later than the fourth working day of absence; (ii) a doctor’s statement is supplied not later than the eighth day of absence; (iii) subsequent doctor’s statements are submitted at the same intervals as they are required for D.S.S. (N.I.) purposes and on return to duty in those cases where the absence extends beyond the period covered by the initial statement and at similar intervals during a period of entitlement to Statutory Sick Pay; (iv) in the case of prolonged or frequent absence, the teacher undertakes any examination that the employer may require by an approved medical practitioner nominated by them, subject to the provisions of the Access to Medical Reports Act 1988 where applicable. The cost of the examination shall not be borne by the teacher. The teacher’s own doctor may be present at such an examination at the teacher’s request. (v) the teacher declares to the satisfaction of the employer his or her entitlement to benefits under the relevant Acts as well as any alteration in the entitlement to such benefits. 8.2 When a teacher enters hospital or similar institution a doctor’s statement on entry or discharge shall be submitted in the place of periodic statements. 9. Absences arising from accidents, injury or assault at work 9.1 In the case of absence due to accident, injury or assault attested by an approved medical practitioner to have arisen out of and in the course of the teacher’s employment, including attendance for instruction at physical training or other classes organised or approved by the authority or participation in any extra curricular or voluntary activity connected with the school, full pay shall in all cases be allowed, such pay being sick pay for the purposes of paragraphs 3 to 7.5 above, subject to the production of self- 368 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book certificates and/or doctors’ statements from the day of the accident, injury or assault up to the date of recovery, but not exceeding six calendar months. 9.2 Where a teacher is still absent due to accident, injury or assault after the initial six months’ period, the question of any extension of payment under paragraph 9.1 shall be considered. In the event of no extension of leave being granted under paragraph 9.1, the teacher shall be entitled to normal sick leave and pay under the terms of paragraph 2.1 according to his/her length of service as prescribed by that paragraph. 9.3 Absence resulting from accidents, injuries or assaults referred to in subparagraph 9.1 shall not be reckoned against the teacher’s entitlements under paragraph 2 above, though such absences are reckonable for entitlement to Statutory Sick Pay. 9.4 For the purpose of sub-paragraph 9.1 “absence” shall include more than one period of absence arising out of a single accident, injury or assault. 10. Contact with infectious diseases 10.1 When the approved medical practitioner attests that there is evidence to show a reasonable probability that an absence was due to an infectious or contagious illness contracted directly in the course of the teacher’s employment full pay shall be allowed for such period of absence as may be authorised by the approved medical practitioner to be due to the illness, and such absence shall not be reckoned against the teacher’s entitlement to sick leave under paragraph 2 above, though such absences are reckonable for entitlement to Statutory Sick Pay. 10.2 Where the absence is attested by the approved medical practitioner to be due to pulmonary tuberculosis and the teacher carries out an approved course of treatment full salary shall be paid in respect of the first twelve calendar months of the period of absence after attestation and further full or half-pay shall be allowed at the discretion of the employer. 10.3 A teacher residing in a house in which some other person is suffering from an infectious disease shall at once notify the employer and the teacher shall, if required, take such precautions as may be prescribed, provided that if in the opinion of the approved medical practitioner it is considered inadvisable, notwithstanding such precautions, for such teacher to attend duty, full pay shall be allowed during any enforced absence from duty, such pay being sick pay for the purpose of paragraphs 3 to 7.5 above. This provision will also apply where, in the opinion of an approved medical practitioner, it is inadvisable for a teacher to attend duty for precautionary reasons due to infectious disease in the workplace. The period of absence under this paragraph shall not be reckoned against the teacher’s entitlement to sick 369 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book leave under paragraph 2 above, though such absences are reckonable for entitlements to Statutory Sick Pay. 370 Notes for Guidance – Employees in Schools Teachers’ Sick Pay Scheme – Extract from Burgundy Book 11 Absences caused by negligence 11.1 If the absence of the teacher is occasioned by the actionable negligence of a third party in respect of which damages are recoverable, he/she shall advise the employer forthwith and the employer may require the teacher to refund a sum equal to the aggregate of sick pay paid to him/her during the period of disability or such part thereof as is deemed appropriate but not exceeding the amount of the damages recovered. In the event of the claim for damages being settled on a proportionate basis, the employer will require full details and will determine the actual proportion of sick pay to be refunded by the teacher. 11.2 If the employer, in consultation with the governing body as appropriate, are of the opinion that the disability which has occasioned the teacher’s absence from work is due to his/her misconduct, or if the teacher has failed to observe the conditions of this scheme, or has been guilty of conduct prejudicial to his/her recovery, the payment of any sick pay under the scheme may be suspended by the employer. In any such case the employer shall inform the teacher of the grounds upon which the payment of sick pay has been suspended. He/she will then be given the opportunity to submit his/her observations and to appear (accompanied by a representative if he/she so wishes) before the employer, or governing body, as appropriate. The employer, in consultation with the governing body as appropriate, will thereupon decide that the disability was due to the conduct of the teacher or whether he/she has failed without reasonable cause to observe the conditions of the scheme, or has been guilty of conduct prejudicial to his/her recovery, then the teacher shall forfeit his/her right to any payment or further payment of sick pay in respect of that period of absence. 11.3 Sick pay shall not be paid in a case of accident due to active participation in sport as a profession unless the employer decides otherwise, though Statutory Sick Pay may be payable. 371 Notes for Guidance – Employees in Schools Support Staff Sick Pay Scheme – Extract from Green Book Extract from the GREEN BOOK (support staff) From Part 2 of the Green Book 10. Sickness Scheme 10.1 The scheme is intended to supplement Statutory Sick Pay and Incapacity Benefit so as to maintain normal pay during defined periods of absence on account of sickness, disease, accident or assault. 10.2 Absence in respect of normal sickness is entirely separate from absence through industrial disease, accident or assault arising out of or in the course of employment with a local authority. Periods of absence in respect of one shall not be set off against the other for the purpose of calculating entitlements under the scheme. 10.3 Employees are entitled to receive sick pay for the following periods: During 1st year of service: 1 month's full pay (and after completing 4 months service) 2 months half pay. During 2nd year of service: 2 months full pay and 2 months half pay. During 3rd year of service: 4 months full pay and 4 months half pay. During 4th and 5th years of service After 5 years' service: 5 months full pay and 5 months half pay. 6 months full pay and 6 months half pay. Authorities shall have discretion to extend the period of sick pay in exceptional cases. 10.4 The period during which sick pay shall be paid, and the rate of sick pay, in respect of any period of absence shall be calculated by deducting from the employee’s entitlement on the first day the aggregate of periods of paid absence during the twelve months immediately preceding the first day of absence. In the case of full pay periods sick pay will be an amount which when added to Statutory Sick Pay and Incapacity Benefit receivable will secure the equivalent of normal pay. 372 Notes for Guidance – Employees in Schools Support Staff Sick Pay Scheme – Extract from Green Book In the case of half pay periods sick pay will be an amount equal to half normal earnings plus an amount equivalent to Statutory Sick Pay and Incapacity Benefit receivable, so long as the total sum does not exceed normal pay. 10.7 Normal pay includes all earnings that would be paid during a period of normal working, but excluding any payments not made on a regular basis. 10.8 The social security benefits to be taken into account for the calculation of sick pay are those to which an employee is entitled on the basis that the employee has satisfied so far as is possible: (i) (ii) (iii) 10.9 the conditions for the reporting of sickness as required by the authority; the claiming of benefits the obligation to declare any entitlement to benefits and any subsequent changes in circumstances affecting such entitlement. An employee who is prevented from attending work because of contact with infectious disease shall be entitled to receive normal pay. The period of absence on this account shall not be reckoned against the employee’s entitlements under this scheme. 10.10 If an employee abuses the sickness scheme or is absent on account of sickness due to or attributable to deliberate conduct prejudicial to recovery or the employee’s own misconduct or neglect or active participation in professional sport or injury while working in the employee’s own time on their own account for private gain or for another employer sick pay may be suspended. The authority shall advise the employee of the grounds for suspension and the employee shall have a right of appeal to the appropriate committee of the authority. If the authority decide that the grounds were justified then the employee shall forfeit the right to any further payment in respect of that period of absence. Repeated abuse of the sickness scheme should be dealt with under the disciplinary procedure. 14. Continuous Service 14.1 For the purposes of entitlement regarding Annual Leave, the Occupational Sickness Scheme and the Occupational Maternity Scheme continuous service will include continuous previous services with any public authority to which the Redundancy Payments Modification Order (Local Government) 1983 (as amended) applies. 14.2 Where an employee returns to local government service following a break for maternity reasons, or reason concerned with caring for children or other dependants he or she will be entitled to have previous service taken into account in respect of the sickness and maternity schemes provided that the 373 Notes for Guidance – Employees in Schools Support Staff Sick Pay Scheme – Extract from Green Book break in service does not exceed eight years and that no permanent paid full time employment has intervened. For the purpose of the calculation of entitlement to annual leave the eight years time limit does not apply provided that no permanent full time employment has intervened. 14.3 Where an employee is transferred to an organisation not covered by the Redundancy Payments (Continuity of Employment in Local Government etc.) (Modification) Order 1999, continuity of service is protected under the TUPE regulations where there is a TUPE transfer. However, if that employee returns voluntarily to local government service continuity is broken. Where an employee returns in such circumstances, without a break between employments, all previous continuous service will be recognised for the purposes of calculation of entitlements to annual leave, occupational maternity leave/pay and occupational sick pay. This is subject to the return to service being within five years of the original transfer. From Part 3 of the Green Book 4.1 4.2 An employee shall not be entitled to claim sick pay under the scheme unless: (i) notification is made immediately to the person identified for this purpose by the authority; (ii) further notification is made as required by the authority; (iii) a doctor’s statement is submitted to the authority not later than the eighth calendar day of absence; (iv) subsequent doctor’s statements are submitted as necessary; (v) in cases where the doctor’s statement covers a period exceeding fourteen days or where more than one statement is necessary, the employee must, before returning to work submit to the authority a final statement as to fitness to resume duties; (vi) on return to work the employee signs a statement detailing the reasons for absence for all absences up to and including seven days. An employee shall, if required by the authority at any time, submit to a medical examination by a medical practitioner nominated by the authority, subject to the provisions of the Access to Medical Reports Act 1988 where applicable. Any costs associated with the examination should be met by the employing authority. Where it is necessary to obtain a second medical opinion, it should be provided by an independent medical referee. 374 Notes for Guidance – Employees in Schools Support Staff Sick Pay Scheme – Extract from Green Book 4.3 Where, for the purpose of qualifying for sick pay under the scheme, an authority requires a doctor’s statement from an employee, the authority will reimburse the employee the costs of such a statement on the provision of a receipt. 4.4 An employee who falls sick during the course of annual leave shall be regarded as being on sick leave from the date of a doctor’s statement. 4.5 Where an employee is receiving sick pay under the scheme, sick pay should continue if a public or extra statutory holiday falls during such sickness absence. No substitute public or extra statutory holiday should be given. 4.6 Widows and married women exercising their right to be excepted from the payment of full rate National Insurance Contributions shall be deemed to be insured in their own right for all National Insurance benefits. Where the Green Book is silent the following provisions from the sick pay scheme in the old Birmingham City Council Staff Handbook can be used to supplement the national scheme: For occupational sick pay entitlement record purposes (and without prejudice to the arrangements for self-certification days and to any local agreements on "qualifying days" for statutory sick pay purposes) "one month'" shall be deemed to be equivalent to 26 working days, Saturday being reckoned in all cases as a working day. In determining the normal pay of an employee during sick leave, the Council shall include (i) regular overtime payments made to employees whose terms of employment provide that they must, each month, work hours in excess of the usual hours (and for which overtime payment is made as a regular addition to salary) and (if) regular payments made for work outside normal working hours (including where employees are regularly required to standby). Where an employee is absent from work because of an injury in respect of which a claim will lie to the Criminal Injuries Compensation Board and the employee is otherwise qualified to receive sick pay, such sick pay shall be disbursed without a requirement to refund any proportion of it from the sum which the Compensation Board may award, and where an award has been made by the Compensation Board, the period of sick leave occasioned by the injury shall be discounted in calculating the employee's future entitlement to sick pay. After the initial notification of sickness an employee shall provide further notification if the absence continues after the third day. In addition to all the other provisions of the Green Book the authority may require, exceptionally in a particular case, more frequent doctor’s statements. 375 Notes for Guidance – Employees in Schools Support Staff Sick Pay Scheme – Extract from Green Book An employee entering a hospital or similar institution shall submit a doctor's statement on entry and on discharge in substitution for periodical statements. An employee who is absent as a result of an accident shall not be entitled to an allowance if damages are receivable from a third party in respect of such accident. In this event, the authority may, having regard to the circumstances of the case, advance to the employee a sum not exceeding the sickness allowance provided under this scheme, subject to the employee undertaking to refund to the Council the total amount of such allowances or the proportion thereof represented in the amount of damages received. Any period of absence in such a case where a refund of the monies advanced is made in full, shall not be recorded for the purposes of this scheme. Where, however, the refund is made in part only, the authority may decide to what extent, if any, the period of absence may be so recorded. Where an officer on sick leave does not return to work, either because their service is terminated by notice on either side or because they reach the age of compulsory retirement, they will be entitled to annual leave calculated on the basis of their service up to the last day of paid sick leave and given the opportunity of deciding that an appropriate period of sick leave should count as annual leave. 376 Notes for Guidance – Employees in Schools self-certification form CHILDREN, YOUNG PEOPLE AND FAMILIES SERVICES SICKNESS SELF CERTIFICATION FORM This form should be completed by an employee returning to work after a period of absences due to sickness of more than three working days including the first seven calendar days of any longer absence even where a doctor’s statement has been provided Employee Name: Post Payroll No: School/Establishment I hereby certify that I was unable to attend for work (all days of sickness including Saturdays and Sundays must be included). The reason for my absence was (Tick whichever is applicable) From Illness Other Accident To Accident at Work Describe illness symptoms or injury (words such as illness or unwell are not enough). Did you visit your doctor or hospital during this absence? (Tick whichever is applicable) Yes No I certify that the above information is correct to the best of my knowledge and claim any pay to which I may be entitled. I understand that any deliberate false information given by me will render me liable to disciplinary action under the School/Authority’s disciplinary procedures. Employees Signature Date: Head Teacher/Line Manager’s signature Date: DATA PROTECTION The information collected in the form will be used in compliance with the Data Protection Act 1998. The information is being collected by the Personnel and 377 Notes for Guidance – Employees in Schools self-certification form Equalities Division for the purpose of administering the employment and training of employees of the Education Service. The information may be disclosed, as appropriate, with in the Education Service, to school governors, to Occupational Health, to the General Teaching Council, to the Teachers Pensions Agency, to the Department for Children, Schools and Families, to the West Midlands Metropolitan Authorities Pension Fund, pension providers and relevant statutory bodies. 378 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 2. MANAGING STAFF SICKNESS ABSENCE IN EDUCATIONAL ESTABLISHMENTS CONTENTS Page 3 1. INTRODUCTION 2. ROLES AND RESPONSIBILITIES IN THE MANAGEMENT OF SICKNESS ABSENCE Role for employees 5 Role of the head teacher 5 Role of the governing body 6 Role of the local education authority 7 Data Protection Act 8 References 8 RECORDING AND MONITORING SICKNESS ABSENCE 9 Return to work discussion 9 Further absence – sickness absence investigation 11 Special circumstances 11 Stress related to work 12 Further action – absence monitoring interviews 13 FREQUENT SHORT-TERM SICKNESS ABSENCE 15 Considering whether further action is necessary and what is appropriate 15 3. 4. 5 379 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) Review of the employer’s concern 16 Issuing a notification of concern 17 Special leave 19 Time off for medical appointments 20 5. LONG TERM SICKNESS ABSENCE 21 6. PHASED RETURNS TO WORK AFTER ABSENCE DUE TO SICKNESS 24 7. REFERRAL FOR AN OCCUPATIONAL HEALTH ASSESSMENT 27 8. SICKNESS ABSENCE, DISMISSAL AND THE LAW 32 APPENDIX 1 PROCEDURE FOR REPORTING SICKNESS ABSENCE 34 APPENDIX 2 CERTIFICATION OF SICKNESS ABSENCE 37 APPENDIX 3 HOW TO CONDUCT SICKNESS ABSENCE MONITORING INTERVIEWS 38 APPENDIX 4 DISABILITY DISCRIMINATION ACT 40 APPENDIX 5 MODEL RETURN TO WORK DISCUSSION FORM 43 APPENDIX 6 MODEL SICKNESS ABSENCE MONITORING INTERVIEW FORM 44 APPENDIX 7 MODEL LETTER PROPOSING A VISIT TO AN EMPLOYEE ON LONG-TERM SICK LEAVE 45 APPENDIX 8 MODEL NOTIFICATION OF CONCERN LETTER 46 APPENDIX 9 MODEL FINAL NOTIFICATION OF CONCERN LETTER 48 APPENDIX 10 MODEL TEXT FOR REQUESTING AND GIVING INFORMATION ON SICKNESS ABSENCE IN A REFERENCE 49 ILLUSTRATIVE DIAGRAM 50 APPENDIX 11 380 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) MANAGING STAFF SICKNESS ABSENCE IN EDUCATIONAL ESTABLISHMENTS 1. INTRODUCTION 1.1 The local education authority (hereafter referred to as the authority) recommends to governing bodies that schools adopt a number of principles, which should govern the way sickness absence is monitored and management action considered, in managing staff sickness absence. The principles are designed to ensure that schools take pro-active measures to effectively manage sickness absence, whilst also having regard to the need to support employees who are sick and treat them with sympathy and understanding. The principles schools are recommended to adopt are:- 1.2 all employees are entitled to expect fair and reasonable treatment, including taking account of equal opportunity considerations; all employees who suffer from serious or chronic ill-health problems necessitating long periods of absence from work should be treated sensitively and with sympathy; employees are entitled to a working environment and to systems of work that do not create health problems and, in particular, do not impose an undue level of stress; sickness absence needs to be managed fairly, consistently and systematically to ensure the continued provision of high quality education; all employees should be aware of and adhere to the procedures relating to sickness absence. Dealing effectively with absence calls for a continuous and coordinated effort by head teachers, chairs of governors in cases of ill health of head teachers, support from the authority and adherence to relevant personnel procedures. Employees and their representatives will want to see management showing an understanding towards those who need to be absent through sickness. Equally, it is recognised that appropriate action should be taken in the case of anyone who abuses the relevant sick pay schemes or in those cases where sickness absence is having an adverse effect upon the provision of education. 381 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 1.3 2. This guidance applies also to teachers in centrally managed services, in which the head of service will be expected to undertake the responsibilities assigned to a head teacher in this guidance. ROLES AND RESPONSIBILITIES IN THE MANAGEMENT OF SICKNESS ABSENCE 2.1 There is a need for clarity in the respective roles and responsibilities of the employee, head teacher, chair of governors (in the case of the absence of a head teacher), school governing body and authority in the management of sickness absence. The ‘who does what’ is important to establish so that when problems arise all parties know both who is responsible and what can reasonably be expected. Role for Employees 2.2 The role of each employee is to: attend work when fit to do so. comply with the school's sickness absence reporting procedures. ensure medical advice and treatment, where appropriate, is sought as quickly as possible in order to facilitate a return to work. keep the head teacher (or chair of governors in the case of a head teacher) informed of any significant developments. provide the school with a completed self-certification form after a period of sickness absence from four to seven calendar days, a medical certificate/ doctor’s statement if the absence continues after seven consecutive days, and a signing off note before returning to work in the circumstances set out in Appendix 2; notify the head teacher as soon as possible in the case of an injury sustained in the course of employment. Role of the Head Teacher 2.3 The role of the head teacher is to manage the attendance of teaching and support employees. This can be achieved by: recommending the governing body to adopt the policy (if it has not done so already), studying the policy, attending training provided by 382 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) the authority as appropriate, and seeking advice from appropriate personnel officers. ensuring that the procedure for reporting sickness absence is made known to all employees in the school, that they are informed that it applies during any period of special leave and holidays, and that it is a condition of the sick pay scheme; and making all new employees aware of these rules and procedures. Employees need to know whom they should contact when sick and how much information they will be asked to give. acting fairly and consistently in applying the appropriate procedures; ensuring that accurate sickness absence records are maintained and absence returns are quickly and accurately completed, both for monitoring and sick pay purposes; reviewing each employee's sickness absence record in accordance with the procedures set out in these guidance notes; contributing to the development and implementation of policies and practices that will reduce the health and welfare risks to individual employees, using the full range of the school’s sickness absence monitoring records and advice from the authority; ensuring that where appropriate and justifiable, quick and decisive action is taken with employees who do not comply with the sickness absence notification procedures; establishing clear plans for an employee where it is decided that action is needed. ensuring that any employee with responsibility for receiving notification of another employee’s sickness absence is properly trained in the school’s procedure and in particular treats the information as confidential. Role of the Governing Body 2.4 The role of the governing body is to ensure that: the school has a policy on this issue there is a clear procedure for reporting absence the head teacher carries out his/her responsibilities 383 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) there is a designated governor, usually the chair of governors or the chair of the staffing committee, to act as appropriate in relation to sickness absence of the head teacher and that the designated governor seeks advice from the authority’s employee relations team in respect of such sickness absence it monitors the absence of the head teacher and applies the appropriate procedures. Role of the Local Education Authority 2.5 The role of the authority in reducing levels of absence due to sickness is to assist schools as follows: ensure that the authority’s policies/procedures on management of sickness absence are recommended for implementation by schools. provide training to head teachers on managing sickness absence. ensure that the management of sickness absence is given a high priority and schools are made aware of action they need to take. ensure that sickness absence information is regularly monitored and utilised in developing health and safety policies, which will lead to improved levels of attendance. provide advice and assistance on individual cases as requested including where appropriate referral to the Occupation Health Service used by the authority, so that an employee's medical position can be established. Role of Occupational Health Services 2.6 The role of Occupational Health is to: arrange an appointment to see an employee as quickly as possible after a referral has been made. deal with employees referred to them in a sympathetic way. provide, in as much detail as professionally possible, relevant medical information about an employee’s condition and circumstances to allow head teachers to be able to take informed management decisions about a particular employee’s likely return to work, ability to contribute 384 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) to the work of the school and, where necessary, the long-term prognosis about that employee’s overall health. recommend phased returns or reasonable adjustments where appropriate. Data Protection Act 2.7 All parties have responsibilities under the Data Protection Act when dealing with cases of sickness absence. They should treat all aspects of a case as confidential. In addition, cumulative or general sickness data generated by schools comes within the Data Protection Act’s definition of ‘sensitive personal data’. Any monitoring of sickness absence using data about an employee’s sickness absence record will therefore need to comply with the eight data protection principles outlined within the Act requiring personal data to be 1. processed fairly and lawfully 2. processed for limited purposes and not in any manner incompatible with those purposes 3. adequate, relevant and not excessive 4. accurate 5. not kept for longer than is necessary 6. processed in line with data subjects' rights 7. secure 8. not transferred to countries that don’t protect personal data adequately. References 2.8 All parties must also act responsibly in relation to sickness absence and new appointments. References provide important information for appointment panels about the suitability of a candidate. It would be appropriate in this context for head teachers to ask for a statement about certain types of sickness absence and for people providing a reference to respond appropriately having regard to the legal requirement that any reference should be fair and balanced. Appendix 10 gives recommended text for requesting and giving information. 385 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 3. RECORDING AND MONITORING ABSENCE What to do when a Member of Staff is Absent Sick 3.1 Each school should have a clear and well-understood method whereby employees notify the appropriate person of their absence due to sickness. It is recommended that the procedure for notification (see Appendix 1) be displayed on the staff notice board or in some other appropriate way. 3.2 Upon receiving a telephone call from an employee, an enquiry must be made of the general nature of the illness and its expected duration, in a discreet and sympathetic manner. This information must be treated as confidential. (Appendix 1 sets out a suggested telephone recording message system). The absence must be properly recorded in accordance with the school’s procedures and the requirements of the authority in relation to sick pay and sickness records. The records will also be used to monitor sickness absence in the school. 3.3 For effective sickness absence management, it is essential that head teachers (or chair of governors in the case of the head teacher) show the employee that they are aware of the absence and have an interest in the employee's health. This should happen on every occasion of absence. Return to Work Discussion 3.4 It is only courteous to enquire after an employee's health when someone is returning to work after a period of absence due to sickness. If the period of absence has been relatively short this will probably be sufficient but for longer periods of absence, say ten days or more, a return to work pastoral discussion will be appropriate. This should be conducted either by the head teacher (or head of a centrally managed service), deputy head teacher or assistant head teacher (or head of centre) as appropriate. 3.5 The discussion itself may only last a few minutes. It should take place within three days of the return or, at the end of a long-term absence, it may even be held shortly beforehand. The basic purpose is to recognise that an employee has been off work, express interest in his or her health, and offer support and encouragement in the return to work, including any appropriate adjustments, temporary or permanent, to working arrangements. Discussion can be particularly useful when an employee has been absent for many weeks or months and may be 386 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) apprehensive about the return. Reassurance should be supplemented by discussion of arrangements for sharing information about any new developments, catching up on news about colleagues and pupils, and re-arranging missed training opportunities. Discussion about the reasons for absence should always be handled sensitively, balancing the need for the employer to have relevant information with respect for people’s attitudes towards, or wishes for confidentiality about, their medical conditions, pregnancy or disability. Discussion should cover, when necessary, reasonable adjustments for disabilities, pregnancy, or recommendations from Occupational Health. If relevant new information about the employee’s health emerges during the discussion it may be appropriate to seek further advice from Occupational Health. Occasionally an employee may seek a temporary or permanent change to his or her contract of employment to enable part-time working. 3.6 Return to work discussions should be supportive. They should not be used to express doubts about the validity of a particular absence, deal with concerns about levels of absence, or raise matters of misconduct or capability. Separate arrangements should be made for dealing with such matters in accordance with the relevant procedures adopted by the governing body. Discretion should be exercised, in consultation with the Employee Relations Team, in the timing of those arrangements. 3.7 The matters covered in a return to work discussion should be summarised in an ‘aide mémoire’ for retention in the school and a copy given to the employee (see Appendix 5). The employee should be invited to comment on the ‘aide mémoire’ and may share its contents with his or her representative. There may be reference to the ‘aide mémoire’ subsequently if further action is deemed necessary. 3.8 Any claim by the employee that his or her absence has been caused by an injury at work should have been reported to the head teacher during the absence. The head teacher should have ensured the proper recording of the injury in accordance with the procedures of the authority and the school (including any accident book) and reported it to the authority on the appropriate form after a preliminary investigation. A copy of each accident report should be given to the employee concerned. Where appropriate and in particular if there is any doubt over the cause and extent of the injury the matter will be referred to Occupational Health. If the investigations are complete and an agreed report received, any recommendations for remedial action not already implemented may be discussed at the return to work meeting, but if the matter is outstanding the head teacher, or other appropriate person conducting the interview should simply confirm that a report is awaited. 387 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) Further action – sickness absence investigation 3.9 It is not advisable to set a general level of "acceptable" sickness absence as, in accordance with their contracts of employment all employees are expected to work for 100% of the time. Head teachers will need to make a judgement about whether the level of absence in the school, given all of the local circumstances, needs to be addressed. Schools should investigate sickness absence levels when patterns have emerged that cause concern, or after two separate absences amounting to six days in total in a term. Unless the head teacher is satisfied with the response to enquiries made on the employee’s return to work or in a pastoral discussion, or there are special circumstances as described below, this investigation should include discussion with the employee in an absence monitoring interview. 3.10 All information relating to an employee’s sickness must be treated confidentially. The principles of the Data Protection Act must also be followed in handling cumulative data from a number of employees. Special circumstances revealed in sickness absence investigation 3.11 An employee with a terminal illness or life-threatening degenerative illness where the employee's medical condition is known and will not improve should not be asked to attend sickness absence monitoring interviews. Naturally, the school is expected to provide support and encouragement to individuals in these circumstances (and it may be some that external sources of funding are available) and this could well mean that other meetings, interviews etc. are held at reasonable intervals. However, such action does not form part of a management initiative to reduce sickness absences. The wishes of employees in these cases to keep their circumstances confidential must be respected. 3.12 Some employees may be absent from work as a result of an illness or injury subsequently diagnosed as constituting a disability. Employees who develop a disability during the course of their employment should not automatically be considered unfit to continue working. In these situations additional support to enable the employee to work effectively and to continue in employment may be available. Contact should be made, for information and advice, with Employee Relations and/or Disabilities Adviser and the employee should be advised to seek advice from his or her union 388 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) (see Appendix 4 for more advice on disability issues and managing sickness). 3.13 If the sickness absence is caused or is alleged to have been caused in whole or part by an injury at work the head teacher must report this to the authority immediately and seek advice on appropriate action, including determining the extent of injury allowance payable. A copy of the report should be given to the employee. The employee should ensure that the head teacher is aware of the cause of the sickness absence as soon as the absence begins and may seek the assistance of his or her union or professional association to ascertain that the necessary action has been taken. 3.14 All pregnancy related absence should be recorded in the normal manner, return to work interviews held and absences investigated. The school has a duty not to endanger the health and safety of a pregnant woman. There may be a referral to Occupational Health where it is thought appropriate, but it is not appropriate to count periods of sickness absence for reasons connected with the pregnancy in deciding whether to issue a notification of concern. Women who are pregnant have a right not to be discriminated against because of the effect of their pregnancy on their ability to carry out the full range of their responsibilities whilst at work. 3.15 Occasionally an employee is taken ill whilst away from home, perhaps abroad on holiday. In these cases there may be a delay in obtaining medical information, although the head teacher must take all possible steps to ensure that the employee is aware that normal procedures for reporting sickness and obtaining medical certificates apply and should seek advice from appropriate personnel officers if any difficulties arise. Stress related to work 3.16 There is an obligation on employers to take into consideration an employee’s mental as well as physical health and safety in the workplace. An employer has a duty of care to its employees and a failure to carry out this duty could result in legal redress. These provisions are particularly important when dealing with employee stress and there have been cases of employees receiving compensation because of the failure by their employer to safeguard their health. Schools need to address the problems created by stress at work, and seek to prevent or at least reduce 389 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) stress, as well as alleviating the effects of stress on the school's workforce. 3.17 Governing bodies should adopt and implement the policy and associated guidance in ‘Mental well-being: Policy and Guidance for Dealing with Work Related Stress in Education Employees’. They should also implement the provisions of ‘Raising standards and tackling workload: a national agreement’ and the consequent changes to the School Teachers’ Pay and Conditions Document requiring head teachers to “have regard to the desirability of teachers at the school being able to achieve a satisfactory balance between the time required to discharge their professional duties … and the time required to pursue their personal interests outside work.” Statutory guidance accompanying the School Teachers’ Pay and Conditions Document states that “In transferring administrative and clerical tasks to support staff, head teachers should have regard to the suitability of the task to the member of staff’s current role; whether sufficient time is available or could be freed up; whether additional training is needed; and any implications for pay and grading.” The statutory guidance also refers to the responsibilities of governing bodies for the health and welfare of head teachers. Whilst schools cannot prevent stress arising from employees’ personal circumstances, they should fulfil their responsibilities under health and safety legislation by ensuring that the demands of the workplace do not place excessive pressure on employees. This guidance for schools, particularly the discussions on returns to work and monitoring absences, will assist heads to judge at an early stage if one of the school's employees is suffering from stress related to work. If the early symptoms can be identified, then measures can be taken to protect the employee from situations that may exacerbate the situation and eventually lead to a breakdown. 3.18 In order to identify early symptoms there must be an environment of trust in schools whereby an employee is able to discuss problems or issues without feeling under pressure and vulnerable to management action. Measures which could be taken to protect an employee include reallocating duties, providing close support from a senior manager, encouraging the employee to seek advice and treatment from his or her general practitioner or consultant, or referral, through Schools Personnel Services, to the appropriate Occupational Health service for advice. People suffering from stress find themselves feeling extremely vulnerable and they can easily become concerned at their future employment position, even when there is no foundation for these beliefs. Schools should therefore provide a supportive environment since this will materially improve the recovery process. Absence monitoring interviews with 390 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) employees at risk from work related stress should be conducted in accordance with this guidance. Further action - absence monitoring interviews 3.19 Absence monitoring interviews must be based on reliable evidence justifying concern over levels of sickness absence and should therefore be preceded by proper investigation of the case. An absence monitoring interview does not have to be preceded by a return to work discussion, because the pattern of absence causing concern may not have met the recommended criteria for a return to work discussion or because the employee may be absent on long-term sick leave. 3.20 The absence monitoring interview (see Appendix 3) should be conducted by the employee's head teacher, deputy head teacher for whom such a responsibility is a designated duty, head of care (for residential staff in a residential special school) head of a centrally managed service, or deputy head of service for whom such a responsibility is a designated duty. Its purposes are to investigate, to offer help and advice to the employee and to improve attendance. The interview should be conducted in private with the sickness absence record available for discussion. An employee has the right to be accompanied by a representative of his/her choice. The discussion would normally cover the reasons for sickness absence, any remedial action that might be feasible, including the employee seeking further medical investigation where appropriate, and guidance from the authority. A plan of action should be agreed and a date arranged for a second meeting to assess the outcome of the agreed plan. 3.21 There may be cases, usually of stress-related illness, in which an employee is unwilling to attend an absence monitoring interview because he or she associates the stress with the person conducting the interview and claims that the interview would exacerbate the stress. In such cases the head teacher should seek further advice from the appropriate personnel officer, who may advise an initial meeting with the employee’s union representative. 3.22 The matters covered in the interview should be summarised in an ‘aide mémoire’ for retention in the school and a copy given to the employee (see Appendix 6). The employee should be invited to comment on the ‘aide mémoire’ and will have the opportunity to share its contents with his or her representative. The ‘aide mémoire’ does not constitute a warning and should not be part of the employee’s personal file. It should be filed separately in confidence and may be used subsequently but only if further action is appropriate. 391 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 3.23 The head teacher should ensure that any action promised by management as part of the agreed plan of action should be taken as quickly as possible and that the employee’s absence record should continue to be monitored, on a rolling basis. 392 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 4. ACTION FOLLOWING ABSENCE MONITORING - FREQUENT SHORTTERM SICKNESS ABSENCE Considering whether further action is necessary and what is appropriate 4.1 Some of the most difficult cases to deal with relate to patterns of frequent short-term absence due to sickness where there is a shortage of evidence about the causes of the sickness. When, despite the support offered during absence monitoring, the level of sickness absence becomes or remains unacceptable to the work of the school then (with the exceptions described above) there should be further action on the lines described below. 4.2 Before taking further action for frequent short-term absences due to sickness a head teacher should: obtain full details of the employee’s short-term absences due to sickness and examine the amount and patterns of absence, seeking advice when necessary as to whether these are reasonably a matter of concern; establish what medical evidence is available, and decide whether a report from the Occupational Health adviser is appropriate at this stage; consult the records of previous interviews, whether on return to work or for monitoring absence and check on action taken following those interviews; review the reasons given for absences, either in the sickness records or interviews; consider whether the sickness is related to work and, in the light of reports from Occupational Health and/or the Health and Safety Officers, whether any action is appropriate on the part of the school; establish what advice has been given to the employee about the amount of sickness absence, the effect on the school, the need to reduce frequent short-term absence, the timescale for that reduction (a minimum of thirteen working weeks is recommended, with an extended period in special circumstances), and the consequences of absence continuing at past levels; consider whether a reduction has been achieved within the agreed timescale, whether that reduction is sufficient, and, if not, why sickness absence has not diminished. 393 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) Where the head teacher has frequent short-term absences the chair of governors should seek help from an employee relations officer before carrying out the recommended action. 4.3 If there is clear evidence that the absences are not genuine head teachers are advised to seek further guidance on appropriate action. In certain circumstances an effective means of improving short-term absence levels may be to ask employees to submit a medical certificate to cover every single absence, even for as short a period as one day. However, there are practical difficulties in imposing such a requirement; the school would have to pay for such certificates and in many cases of single days of absence most medical practitioners would not be able to see the employee on the day of sickness, thus leading to some employees needing to take more time off work to visit their doctor (some doctors only hold surgeries or offer appointments during normal working hours). Suspected abuse of the sick pay scheme should be investigated under the disciplinary procedure adopted by the governing body. 4.4 Having reviewed the situation as set out above, the head teacher should decide whether, given all the circumstances, the amount of absence due to sickness remains unsatisfactory. If this is the decision, then the head teacher should ensure that adequate medical evidence, including a report from Occupational Health, has been obtained before proceeding further, and that the report includes a prognosis for the illness. Then a judgement must be made as to whether it is reasonable to regard the unsatisfactory level of sickness absence as having an unacceptable effect upon the provision of education at the school. This would be on the basis that it is not acceptable (even with a satisfactory medical explanation) for an employee to incur frequent short-term absences at regular intervals. In this case consideration should be given to issuing a notification of concern. 4.5 There may be occasions when a previous head teacher has not held an absence monitoring interview or managed the situation. Where such cases involve exceptionally high levels of absence the new head teacher should review the evidence as set out in paragraph 4.2 above and immediately seek advice from Employee Relations. Review of the employer’s concern 4.6 The head teacher (or head of service as the case may be) should write to the employee asking him or her to attend a meeting to review the employer’s concern. Before sending the letter the head teacher should arrange a suitable date, time and venue with the employee’s 394 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) representative. The letter to the employee should give details of the meeting, including a statement of its purpose, copies of all relevant paperwork to be considered and confirmation that the employee may be accompanied by a friend or representative of his or her choice. The employee will be invited to offer an explanation for his or her frequent absences, including any new information. At the meeting the head teacher will, in the light of the information available, decide on one of the following options (a) (b) (c) (d) 4.7 continued monitoring of the employee’s absence; no further monitoring necessary; support for the employee in pursuing an option in paragraph 4.7; issue of a notification of concern – see paragraph 4.8 below. There may be circumstances where an employee is suffering from genuine illness that results in absence on frequent occasions for short periods of time. It will be necessary to discuss with the employee and his/her representative the options available, which may include a consideration of ill-health retirement or reducing contractual working hours, or stepping down to a job with less responsibility. In order that the employee and his or her representative may consider these options, it may be necessary to adjourn the meeting. Issuing a notification of concern 4.8 Once all options have been explored and if no other solution is readily available, the employee should be advised that, despite the fact that it is accepted the sickness is genuine, the school is unable to sustain the current level of absence. The head teacher should explain that, although it has concern for the employee’s future, the school has an overriding duty towards its pupils. The individual should be advised that if the number of sickness absences does not drop to a satisfactory level, further action might be necessary which could result ultimately in termination of the contract. The head teacher will issue a notification of concern, confirmed in writing (see appendix 8). The notification will last for thirty-nine working weeks. 4.9 Thirteen working weeks after the date on which the notification was issued there will be further meeting to review the level of absence in the expectation that it will have reached an acceptable level. This meeting will be known as the ‘interim review’. The employee will be offered the opportunity of being accompanied at the interim review by a friend or representative of his or her choice. The employee will be given the opportunity to offer an explanation if his or her attendance has not improved during the interim period. The head teacher will 395 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) given consideration to the employee’s representation but may feel the need to reiterate the importance of an improvement in the employee’s attendance. Regardless of whether there has been sufficient improvement a further meeting will be arranged to take place thirteen working weeks from the date of the interim review. This second meeting will be known as the ‘formal review’. If at the formal review the head teacher decides that the level of sickness absence has improved sufficiently the employee will be advised that if the improvement is maintained subsequently the notification of concern will lapse at the end of the thirty-nine working weeks with no further review. However, if the head teacher decides at the formal review that the level of attendance is still unsatisfactory, even if there has been some reduction in absence, the head teacher will warn the employee that if no significant reduction occurs within the remaining thirteen working weeks then the case will be referred to the appropriate committee of the governing body with the power to review the situation and possibly decide that the contract of employment should be terminated. This warning will be confirmed in writing as a final notification of concern (see appendix 9). If, prior to the meeting, the head teacher is considering the latter course of action, an employee relations officer will also be in attendance at the formal review. 4.10 The final notification of concern will last for thirteen working weeks. At the end of that period there will be another meeting at which the head teacher will either decide that the level of sickness absence has reached an acceptable level, in which case the notification will lapse, or decide that the level of sickness absence remains unacceptable and refer the matter to the appropriate committee of the governing body. If, during the twelve months after the lapse of a final notification of concern the employee’s level of absence due to sickness again becomes unacceptable, the head teacher will hold a further meeting with the employee and the employee’s representative at which the head teacher may decide to issue another final notification of concern. 4.11 An employee dismissed for frequent short-term absences will be dismissed for ‘some other substantial reason’ in failing to maintain a satisfactory level of attendance. 4.12 At each stage an employee has a right of appeal to the appeals committee of the governing body. An employee wishing to exercise the right of appeal should notify the clerk to the governing body in writing within ten working days of receiving the notification of concern, or final notification of concern as the case may be. 396 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) Special Leave 4.11 In the procedures set out in this document only the sickness absence of the employee is being monitored through this process. Where permission is given for staff to take special leave for private domestic reasons, such as childcare responsibilities, this should not be subsequently linked to sickness absence. Special leave under the authority’s contractual leave of absence scheme should always be sought in advance. The head teacher has discretion to grant leave, which must be paid leave where specified in the scheme, for up to a limited number of days, for purposes set out in the scheme. Applications for special leave for other reasons or beyond the limits specified in the leave of absence scheme have to be considered by a committee of the governing body, which has discretion over whether to grant the leave and whether it should be paid or unpaid. The head teacher and the governing body should be consistent in dealing with requests for special leave and should give an employee reasons when requests are refused. Where a request for special leave is deemed unreasonable and is therefore refused the employee has the right of appeal under the leave of absence scheme. Employees also have a statutory right to reasonable time off for emergencies involving a dependant, but this time off is limited to the time needed to make alternative arrangements for the care of the dependant and is unpaid. If there are longer-term demands on employees as carers of children it may be appropriate to consider up to three months’ unpaid parental leave under statutory regulations, or a temporary reduction in hours of work or even a permanent change to a part-time contract. 397 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) Time off for Medical Appointments 4.12 Where an employee needs to attend for a routine appointment with his or her doctor or dentist, or for other medical purposes, then, as far as possible, it is reasonable to expect these to be arranged at a time outside of school hours. However, urgent appointments may be necessary during school time and most hospital appointments do not offer flexibility. In these cases the head teacher should satisfy himself/herself of the need for the individual to have time off from school by, for example, asking the employee for a copy of the medical appointment form. When an employee’s medical condition requires long-term treatment, the head teacher, employee and employee’s representative are recommended to discuss arrangements, with the employee seeking to make appointments during school holidays as far as possible and the head teacher accepting that on occasions the frequency of treatment or the workload of hospitals may not be able to offer that flexibility. The Disability Discrimination Act includes, in its list of reasonable adjustments for disabled employees, time off during working hours for rehabilitation, assessment or treatment. Time off for medical appointments should be paid leave and does not count as sick leave. 398 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 5. LONG TERM SICKNESS ABSENCE 5.1 When dealing with cases of long-term sickness absence employees must be treated with sensitivity, as they may not return to work. The teachers’ associations and other trade unions also have an important role to play and find it helpful to be alerted to the long-term absence of a member so that they can give advice, help and support. The local education authority has found the help of the unions and associations in these cases to be of mutual benefit. 5.2 Whilst an entitlement to full sick pay may last for 100 working days (or 6 months for employees other than teachers) it is not necessary to wait for this length of time (when pay is reduced to half) before addressing the issues created by the long-term sickness absence. There is a question of how long a school can wait before taking action – see guidance in 5.3 below. It is necessary to remain sympathetic to the employee’s condition although it is inevitable at some point that the school's needs effectively override it. However, it is not appropriate to issue notifications of concern for an employee who is off work due to long term sickness. 5.3 The employee’s absence and medical condition should be reviewed at regular intervals, starting after four weeks of continuous absence. At each review the head teacher should decide on any appropriate action, such as asking Schools Personnel Services for a referral to Occupational Health, taking account of a prognosis of the condition and an expected date for a return to work where available. When the recovery from certain types of surgery can be estimated reliably a report from Occupational Health will not be necessary, but where the medical condition is not straightforward then a report should be requested after no more than six or seven weeks of absence and possibly earlier. A detailed diagnosis of the employee's medical condition may be required or it may be that an assessment of the individual's likely date of return is necessary before action in relation to the individual is decided. Care should be taken to avoid giving the mistaken impression that any referral to Occupational Health means that retirement on grounds of ill health is under consideration. It is important that matters are not allowed to drift and the appearance given that the absence is not being managed. Regular consultation is absolutely essential so that the school is kept aware of the employee’s views on the prognosis and how this may affect the employment position. 5.4 When requesting Schools Personnel Services for a referral to Occupational Health the head teacher should provide the information set out in section 7 below. 399 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 5.5 With the prior agreement of the employee a welfare visit to the employee (at home or at a neutral location) is recommended to ascertain progress and offer support if required. Head teachers are advised to write to the employee in the first instance, expressing the interest and good wishes of colleagues and asking whether the employee would like a visit from one of them. In some cases, for example when an absence is due to a stress-related illness, extra sensitivity is needed in contacting the employee. Suggestions for a model letter are appended (appendix 7) and head teachers can adapt them to the particular circumstances of a case. 5.6 Medical information, whether from a doctor’s certificate or from Occupational Health, will be essential to discussions about appropriate action. If there is a prognosis of full recovery (for example, after surgery) then the school will await the employee’s return (a phased return may be appropriate - see section 6 below). If partial recovery is predicted the employee may be able to resume employment, but may need some adjustments to working arrangements. Employers are required to consider reasonable adjustments if the condition comes within the scope of the Disability Discrimination Act (see Appendix 4). Consideration might be given to a reduction in contracted hours, or stepping down to a post of less responsibility, or medical redeployment. If medical information indicates that there is no prospect of the employee becoming fit to return to work in the foreseeable future there should be discussions with the employee or the employee’s trade union or professional association. These discussions are likely to concentrate on ill-health retirement, but there will be cases in which this may not be a suitable option (such as terminal illness) or cases in which medical practitioners disagree over the permanency of the prognosis. Throughout the discussions the emphasis should be on preserving dignity for the employee at the same time as meeting the needs of the school. 5.7 Teachers apply through their local education authority directly to Teachers’ Pensions for ill-health retirement benefits and should obtain the necessary forms from Schools Personnel Services. If ill-health retirement benefits are granted a teacher is required to resign as soon as possible. The Local Government Pension Scheme only provides for the employer to apply on an employee’s behalf and requires the employer to dismiss an employee awarded a pension on the grounds of permanent ill health. 5.8 If all other options have been discussed without an agreed acceptable outcome, it may be appropriate to consider whether to instigate a process leading to the termination of employment. This is most likely to occur when the employee has been absent for a year or more, sick 400 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) pay is due to expire and there seems no prospect of a return in the near future, but the pension authorities do not regard the illness as permanent and refuse ill-health retirement. The head teacher should take advice from Employee Relations and will need to consider the following factors: the views of the employee and in particular the employee’s expectation of being able to return to work within a reasonable period of time; the nature of the illness; medical information and advice, particularly a prognosis and including the length of the absence to date, and the likely length of the continuing absence; the effect of the continuing absence on the work which needs to be done. Further information on termination of employment is given in Section 8 below. 401 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 6. GUIDELINES ON PHASED RETURNS TO WORK AFTER ABSENCE DUE TO SICKNESS 6.1 Where an employee has been declared fit after a long absence from work due to illness it is advisable to consider whether, as part of the duty of care towards employees, the return to work would be achieved more effectively on a phased basis. These guidelines are intended to help schools make arrangements for a phased return, where appropriate, and to manage the process well, both for the sake of the individual and the school/service. 6.2 Separate consideration should be given to cases in which the employee’s general practitioner or the authority’s occupational health adviser deems the employee not fully fit but capable of reduced duties to help with rehabilitation. These circumstances do not fall within the definition of a phased return. Depending on the reasons for the medical advice, consideration may be given to reasonable adjustments in the form of a temporary alteration to the contract of employment. Definition 6.3 A phased return refers to short term arrangements for an employee declared fully fit to return to adjust to his or her normal duties and hours of work through temporarily shorter hours and a reduced workload and/or responsibilities, with an agreed plan to build up to full contractual hours and responsibilities by the end of a defined period. Arranging a phased return 6.4 This will normally be on medical advice, but a head teacher may suggest to an employee declared fully fit by his or her medical practitioner that he or she adjusts to a return to work over a short period. Likewise an employee or his or her representative may ask the head teacher to consider allowing a return to work on a phased basis. 6.5 Where a head teacher has been absent from work for a long period due to illness the authority will, usually through the Employee Relations Team in consultation with Schools Management Support Officers where appropriate, advise the designated governor on a phased return to work. 6.6 A meeting should be arranged with the employee, who should be told that they may be accompanied by friend or representative of his or her 402 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) choice when an agreed plan should be drawn up. In developing the plan, regard should be had to the following guidance on duration and duties and responsibilities. 6.7 A phased return to work should always be limited in duration. Depending on the nature of the illness, the length of the absence and the advice of the Occupational Health Adviser, the return should be phased over an appropriate period (up to a maximum of seven weeks). The plan should also specify the initial number of days per week to be worked together with the minimum hours on those days. There should be a minimum of three half days a week in the first instance, and more where this is considered appropriate. There should be a planned increase in hours over the defined period. 6.8 The exact duties undertaken will naturally vary depending on the job, the needs of the individual and those of the school. Some flexibility may be necessary on the part of everyone concerned. Often, it will be reasonable to reduce additional responsibilities, but as a minimum a teacher should normally be expected to carry out most aspects of his or her normal duties, albeit for reduced hours, from the beginning of the third week of the phased return. When appropriate the arrangements should take into account the requirements of the Disability Discrimination Act. The agreed plan should be confirmed in writing. 6.9 A review meeting should be arranged. If the phased return is for a period of two or three weeks, this may be at the end of that period. Otherwise, review meetings should be held every two or three weeks. A note should be kept of all review meetings. End of Phased Return 6.10 At the end of the agreed period (including any extension agreed during review meetings) most employees will have successfully returned to their full duties and responsibilities. Otherwise arrangements should be made for a referral to Occupational Health as a matter of urgency. Salary 6.11 Whilst on an agreed phased return, full contractual salary should be paid. 6.12 A return to work after a period of long-term sickness absence that does not meet the above guidelines is not a phased return to work. This does not mean that a head teacher cannot agree a return to work that is more generous than that contained above. In certain 403 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) circumstances it may be a sensible way forward so that work is used as a form of rehabilitation or, perhaps, as a reasonable adjustment in order to comply with the provisions of the Disability Discrimination Act. However in these latter circumstances it would also be legitimate for the head teacher, during discussions about the format of the return to work, to raise the issue of either a temporary or permanent change to the employee’s contract of employment. 6.13 The Disability Discrimination Act offers additional protection to disabled employees and head teachers may find further advice useful. Additional guidance on an employer’s obligations under the legislation is attached as Appendix 4. 404 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 7. REFERRAL FOR AN OCCUPATIONAL HEALTH ASSESSMENT Purpose of a medical assessment 7.1 The purpose of an occupational health assessment is to allow a head teacher or head of a centrally managed service to take a considered decision, based on medical evidence, of an employee’s medical condition in order to make efforts to reduce the effect of sickness absence on the provision of education to a minimum and to ensure that the employee receives appropriate advice and support. Reasons to Refer an employee 7.2 A referral may occur for a number of reasons including the following: A head teacher is entitled to know, subject to the Data Protection Act and matters relating to patient confidentiality, what is causing an employee’s sickness absence so that measures can be taken to reduce its effect on the work of the school (such information must be kept confidential); In order to receive advice on ‘reasonable adjustments’ (in accordance with the Disability Discrimination Act) and/or where redeployment may be an option; A medical assessment is necessary before a retirement on the grounds of permanent ill-health can be considered. In such cases previous involvement of the Occupational Health Practitioner through an earlier referral is usually of great value. The Occupational Health Practitioner may have access to specialist medical help, for example a counselling service or physiotherapy, which could assist the recovery process. When to refer an employee 7.3 It is recommended that referrals occur when one or more of the following conditions are satisfied: When an employee’s sickness absence is giving cause for concern because of the incidence, pattern and level of absence, for example, where there is a pattern of persistent but short-term illness; When a head teacher or, in respect of the head teacher, the chair of governors, is concerned about aspects of an employee’s health that may adversely affect that person’s ability to carry out 405 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) all the duties of the post, for example, where there may be signs of stress, alcohol or other substance abuse. In these cases the head teacher must have discussed these concerns with an individual before a referral occurs; In any event, in a situation where an employee has been sick continuously for a long period of time and there is a lack of clarity in the head teacher’s mind about whether the employee may be able to return to work; Where a school has doubts about the ability of the employee to perform the duties of the job following an accident or illness. Informed consent to a referral 7.4 Each employee’s conditions of service allow him/her to be referred for a medical examination at the employer’s discretion. However, in respect of medical ethics, it is necessary for the head teacher to obtain an employee’s informed consent to a referral to Occupational Health. 7.5 A discussion should occur with the employee before a referral is made. A referral is an important signal to the employee that the school is anxious to play its role in trying to arrange a return to work at the earliest opportunity and the role of teacher associations and the other Trade Unions, as partners in this exercise, is acknowledged and appreciated by all concerned. The Trade Unions accept the principle that an employer has the right to keep in contact with an employee who is sick and support the Occupational Health referrals for sick employees, recognising that there are major benefits to all parties by engaging in this process. In cases of frequent short term absences discussion with the employee would normally take place during an Absence Monitoring Interview. In cases of long term sickness it may be more difficult to discuss a referral to Occupational Health with the employee, especially when previous contact with the employee indicates that a discussion in person may be difficult to arrange. In such circumstances the head teacher should write to the employee explaining the reasons for the proposal for referral and either invite the employee to a meeting, accompanied by his or her union representative, or suggest that the employee discuss the proposal directly with that union representative. A head teacher may be concerned that the recommended level of contact with employees during this process may lead to accusations of harassment, especially in cases where difficulties have occurred between the head teacher and the employee. In such cases the head teacher may find that the best way of dealing with a proposed referral in a sensitive and sympathetic manner is to ask an appropriate colleague to make the arrangements or possibly seek the help of a trade union representative 406 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) in persuading the employee of the benefit of an occupational health assessment. In those cases where, despite these approaches, an employee seems reluctant to agree to a referral or the head teacher is unable to delegate any of these responsibilities to a senior colleague, he or she may wish to contact the Employee Relations Section. If the process of referring someone to Occupational Health as outlined in these paragraphs is followed and the person to be referred is treated with sympathy and consideration, it is far less likely that an accusation of harassment will be made or could be justified. 7.6 If an employee refuses to give informed consent to an occupational health referral then the head teacher (or designated governor in the case of a head teacher’s absence), is entitled to take action based upon the information that they do possess. This could include referring a case to a committee of the governing body for formal consideration. Nevertheless, it is still important for an employee to give informed consent to a referral and for an employer to do all in its power to obtain such consent. Preparatory information prior to referral 7.7 Before an employee is seen by Occupational Health it is essential for head teachers to provide sufficient factual information, with as much detail as possible, about the particular case so that Occupational Health can offer an assessment on the issues that have been highlighted. This factual information should exclude any opinion or judgements that cannot be substantiated by factual information. The head teacher should also specify any particular aspects of the case on which he or she would like to have medical advice. The employee is entitled to receive a copy of such information. 7.8 Amongst the information a head teacher should consider providing are - the employee’s personal details (name, date of birth, etc.) - details of the job the person does at the school - any specific requirements of the job or relevant detail from a risk assessment that may affect the health of the employee. If there are any significant events that are occurring or are known about for the future, at the school, for example an Ofsted inspection, then Occupational Health should be informed. - any reasonable adjustments that have already been made to the employee’s working environment/job 407 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) - details of the employee’s sickness absence record over the last two years, including reasons for absence where they are known - information about the health issues that are causing concern such as the impact of any symptoms on the individual’s ability to carry out his/her usual role - information on any work-related factors which might be impacting on the employee’s fitness to work including any measures the school has taken to address them - the employee’s views of his or her sickness absence and specifically whether there are any outstanding work related issues - whether there are any outstanding disciplinary, grievance or capability issues - the school’s view on any arrangements that might be suggested to facilitate a return to work - confirmation that the employee knows that the referral for a medical assessment has been made, with evidence of informed consent - where an employee is re-referred – or a further appointment has been made by Occupational Health - it is important that Occupational Health is informed of any developments affecting the person’s health that may have occurred since the person was last seen. Information from Occupational Health 7.9 Clearly when the school is able to provide Occupational Health with the maximum amount of relevant information then, equally, the school is entitled to expect the maximum amount of useful information in return. However, it is important to realise that if a particular question has not been asked by the head teacher then it may not be answered! Amongst the information that a school can reasonably expect to receive from Occupational Health would be some or all of the following, depending upon the individual circumstances of a case and the specific questions asked. - Occupational Health’s view on the cause of the condition, particularly if it is work related. In arriving at an assessment it is 408 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) important to distinguish between an employee’s view of his/her condition and that of the Occupational Health practitioner - Occupational Health’s prognosis of the condition (without disclosing information that would be regarded as confidential) and how long it is expected to last - Whether the condition, in the opinion of Occupational Health, may possibly have implications for the school in terms of its responsibilities under the Disability Discrimination Act - The likelihood of a return to work or the minimum likely period of absence - Whether any alterations to working arrangements or conditions would be of benefit and whether they are likely to be temporary or permanent - Whether redeployment should be considered and what kind of employment is likely to prove of benefit to the employee. - Whether the employee may or in the future may, in the practitioner’s view, meets the criteria of the appropriate pension scheme for early retirement on health grounds. - Whether the employee will be able to return to work within the foreseeable future - Whether the employee will be seen again and, if so, when. Making a referral 7.10 A referral is made by contacting the relevant personnel officer in Schools Personnel Services (or Learning and Culture Personnel in the case of centrally managed employees). The Officer will make all the necessary administrative arrangements for the medical examination to occur and will also ensure that the head teacher receives a copy of the Occupational Health report. There are no specific timescales for referrals to Occupational Health but some cases are more complicated than others. The providers have undertaken to arrange them as quickly as possible. Head teachers should keep in contact with their personnel officer who will be able to provide information on the progress of particular referrals. Support staff will, in most instances, be seen by an occupational health adviser. These guidelines also apply to teachers who are employed in centrally managed services. 409 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 8. SICKNESS ABSENCE, DISMISSAL AND THE LAW 8.1 8.2 Employers must have followed the correct procedures with care when dismissing an employee, particularly on the grounds of genuine proven ill-health or persistent short term absence which may or may not arise from an underlying medical condition. The key points to note are that: Providing the employer acts reasonably throughout, employees may be fairly dismissed for absence due to ill health. The LEA as employer must seek medical advice. if evidence suggests that an employee’s sickness absence may not be genuine then the case should be treated as one of misconduct, and normal disciplinary procedures followed (which include investigation of the allegation). Long term sickness absence with underlying medical conditions should be approached differently from short-term absences where no single, underlying medical condition is apparent. There must be a fair review of the sickness absence record and, in the case of persistent short term absences, the appropriate notifications of concern must be given and time for an improvement to occur, before the absence can be treated as sufficient reason for dismissal. The employer may treat the employee's level of attendance as unacceptable, and set a minimum standard which, if not attained, may lead to further action and possibly to dismissal. It is essential that full consultation takes place with the employee throughout the period of absence, through the employee’s union or professional association where appropriate and agreed. The decision to dismiss is not a medical question but a management one to be answered in the light of the available medical evidence. The employer meets the statutory test of reasonableness by taking into account the nature of the illness, the likely length of absence, and the need to have the employee's work done. The question that the Employment Tribunal asks is whether the employer could be expected to wait any longer, and if so, how much longer? Any decision to terminate the employment on grounds of medical incapability will be the responsibility of the Governing Body of a school, based upon recommendations from the medical assessment, 410 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) Learning and Culture Personnel and the employee and/or representative acting on their behalf. There should be no attempt to introduce other grounds for dismissal. In the case of an employee awarded an ill-health pension the rules of the Local Government Pension Scheme require the employer to terminate employment immediately, so the appropriate committee of the governing body should be convened as soon as possible, in accordance with the appropriate procedures, to enable the employee to receive the pension without delay. 8.3 Before recommending the appropriate committee of the governing body to determine that an employee should cease to work at the school the head teacher should consult an employee relations officer, to ensure that all statutory requirements and contractual procedures are followed. In community, community special and voluntary controlled schools, and in voluntary aided and foundation schools whose governing body has granted advisory rights to the local education authority, the authority has the right to be represented at all proceedings leading to a determination that an employee should cease to work at the school. Before seeking advice on the conduct of the proceedings and the evidence to be presented to the committee, the head teacher should check that all relevant aspects of the guidance in this document have been followed. Heads of centrally managed services should seek advice on the specific procedures applying to centrally managed teachers, as these differ from the procedures for support staff in those services. 411 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 1 PROCEDURE FOR REPORTING ABSENCE DUE TO SICKNESS All information relating to an employee's sickness must be treated as confidential. 1. The following procedure should be used for the first seven days of sickness absence: 1.1 On the first day of absence and within the timescale set out in the school’s procedure for reporting sickness absence the employee should notify the person identified in that procedure, stating the nature and probable duration of the illness. Normally the employee should make the telephone call himself or herself, but in exceptional circumstances the notification can be made by someone acting on the employee’s behalf. If the head teacher is dissatisfied with the explanation given for the employee not making direct contact, he or she should discuss the matter with the employee on the employee’s return to work. 1.2 If the employee returns to work after one, two or three days sickness absence, normally no further action is necessary, except to ensure that the date of return to work is noted. 1.3 If the employee is absent for more than three days, the person identified in the school’s sickness absence report procedure or head teacher must be notified of the reason for continued absence. Notification should be by telephone, but could be by letter. Employees absent sick for more than three working days but fewer than eight calendar days must complete a SelfCertification Form. This form may be sent to the employee by his/her line manager, or collected from the workplace by the employee or someone acting for him/her, and sent back before the return to work, but it may also be completed by the employee on his/her return to work if that return occurs within or at the end of the period of seven calendar days. 2. The following procedure should be adhered to in cases of more than seven calendar days sickness absence. 2.1 If the employee is away sick for more than seven calendar days he/she must obtain a medical certificate/statement from his/her doctor on the eighth day of absence, and send it to the person designated in the school’s procedure for reporting sickness absence. A doctor may provide a medical certificate during the first seven calendar days of the absence, in which case the certificate should be sent immediately to the school. 412 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 1 (cont.) 2.2 The employee should ensure the subsequent doctor's statements are submitted to cover his/her absence if it extends beyond the period covered by the initial statement. 2.3 In certain circumstances (see Appendix 2) the employee is also required to obtain a doctor’s statement of fitness before returning to work. 3. The school is responsible for sending all medical certificates, including selfcertification certificates, to Schools Personnel Services. They should be securely attached to the weekly absence return. 413 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 1 (cont.) CONFIDENTIAL BIRMINGHAM CITY COUNCIL LEARNING AND CULTURE DIRECTORATE ABSENCE DUE TO SICKNESS RECORD OF TELEPHONE MESSAGE The information contained on this form is confidential. (COMPLETE IN BLOCK LETTERS) NAME ………………………………………………………………………………… OCCUPATION ……………………………………………………………………….. DATE SICKNESS BEGAN ………………………………………………………….. REASON ……………………………………………………………………………… ……………………………………………………………………………… LIKELY DATE OF RETURN ………………………………………………………... DATE OF MESSAGE ………………………………………………………………… TIME OF MESSAGE ………………………………………………………………… TAKEN BY …………………………………………………………………………… 414 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 2 CERTIFICATION OF SICKNESS ABSENCE Uncertificated Sickness A sickness absence of one to three calendar days does not have to be supported by a medical certificate, nor is the employee required to complete a self-certification form. However, the employee must inform the school on their first day of sickness in accordance with the school’s procedure for reporting absence. The employee may or may not have consulted their doctor. Self-Certificated Sickness In the case of an absence which is longer than three consecutive calendar days but less than eight days the reason and duration of the illness must be written on a selfcertification form by the employee and handed to the head teacher (or other designated person). Self-certification forms should be kept by the school and may be completed by the employee on returning to work if that return occurs within or at the end of the period of seven calendar days. The employee may or may not have consulted with their doctor. Certificated Sickness, including fitness to return to work In the case of an absence of more than seven consecutive calendar days a medical certificate completed and signed by a qualified medical practitioner must be supplied. The Birmingham City Council Staff Handbook (for non-teaching employees) states that “Subsequent doctor’s statements shall be submitted to cover their absence if it extends beyond the period covered by the initial statement, at the same intervals as required for national insurance purposes and at similar intervals in respect of the period for which SSP is payable…In cases where the first doctor’s statement covers a period exceeding fourteen days or where more than one statement is necessary the officer must, before returning to work, obtain a final statement as to their fitness to resume duties.” The national conditions of service for teachers include similar provisions. The periods of absence covered by doctors’ certificates will vary. In appropriate circumstances they may cover a few months. If a single certificate is for several months the head teacher should seek advice, from the appropriate personnel officer in the first instance. 415 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 3 HOW TO CONDUCT ABSENCE MONITORING INTERVIEWS 1. It is important not to confuse these interviews with return to work/pastoral interviews (see paragraphs 3.4 to 3.8) whose purpose is quite different. Circumstances in which absence monitoring interviews are appropriate are described in paragraphs 3.19 to 3.23. 1.1 The interview should be conducted by the head teacher, deputy head teacher (or head of care in a residential special school) or head of service. A request from the employee to discuss the situation with a person of the same sex, ethnic origin or age should be accommodated wherever possible. If neither the head teacher nor the deputy matches the specified criteria then the employee should be advised that he or she may choose his or her representative accordingly. The head teacher should also make clear in advance that he or she will not be seeking to discuss confidential medical details, simply the effects of the absence on the employee’s attendance at school. 1.2 Preparation As with any interview the head teacher should have the relevant facts and figures to hand, be clear on the purpose of the interview and have a basic outline of the points to be covered when preparing for the interview; obtain the attendance record and make a note of the number of days absence and how many separate periods of absence there are; check the reasons given for the absences examine what action has already been taken; decide whether it would be advisable to consult with Schools Personnel Services in order to discuss options, proposals etc.; be clear that the ultimate purpose of the meeting is to improve attendance. This may be achieved by a number of methods, including: giving help and support, referring someone to Occupational Health, and taking measures to improve the motivation and morale of the workforce; invite the employee to have a teacher association/trade union representative present (or other person of their choice) and allow reasonable time for representation to be arranged. 416 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) 1.3 Conduct of interview The interview may prove to be difficult and it is important to follow certain principles and to conduct the exchange with courtesy and proper regard for the potential sensitivity of the subject. Accordingly the head should: explain the purpose of the interview and acknowledge the potential sensitivity of the subject matter; try to encourage discussion, by inviting the employee to explain how long the absences may last (the interview is not an interrogation but without knowing what the problem is, it will not be possible to do anything about it); explore any discrepancies with the employee; explain why attendance levels are important to the school, that there is a commitment to provide good education for pupils and that excessive levels of absence undermine this commitment; try to reach joint solutions to any problems identified; concentrate solely on sickness and attendance, ensuring that discussion of other performance issues does not occur (however tempting it may be to introduce other ‘issues’ the interview is for a specific purpose and is not a performance appraisal or disciplinary hearing). The head teacher is advised to consider the following factors and, where appropriate, explore them with the employee:- emotional or domestic problems giving rise to the possibility of underlying health problems; problems within the working environment particularly working relationships; a chronic health problem which may be receiving medical attention but which leads to regular, although not constant, incapacity for work (monitor or deal with as for a long term sickness); a chronic health problem which is receiving medical attention but which may take some time to respond to treatment and/or may have some unfortunate side-effects. In addition to showing sympathy for the condition, it is important that enquiries are made about how long care/treatment will take. 417 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 4 DISABILITY DISCRIMINATION ACT The Disability Discrimination Act 1995 was passed with the purpose of eliminating discrimination against disabled employees. The provisions of the Act do place obligations on schools to make ‘reasonable adjustments’, wherever possible, to enable disabled employees to continue in their posts. Definition of disabled employee An employee will be regarded as being disabled for the purposes of the Act if ‘he has a physical or mental impairment which has a substantial and long-term effect on his ability to carry out normal day-to-day activities.’ Any impairment must have lasted for at least 12 months, or be reasonably expected to have lasted for that period. The physical or mental impairment must be real. How an employee carries out his duties following his disability is relevant information in deciding whether his impairment is substantial. An impairment is to be taken as affecting normal day-to-day activities if it affects an employee with regard to mobility, manual dexterity, physical co-ordination, ability to lift, carry or move everyday objects, speech, hearing, eyesight, memory and ability to concentrate, learn or understand, or perception of risk or physical danger. To come within the meaning of the Act a mental impairment must arise from a clinically well-recognised illness. If an impairment ceases to have an impact on a person’s ability to carry out day-today activities then the person will still be regarded as disabled if the condition is likely to re-occur. Addictions to alcohol, nicotine or other substances do not amount to an impairment for the purposes of the DDA. Discrimination Against Disabled Persons It is unlawful for an employer to discriminate against a disabled person: (a) in the arrangements he makes for deciding whom to employ; (b) in the terms he offers that person employment; or (c) by refusing to offer, or deliberately not offering him employment. It is unlawful to discriminate against a disabled employee: (d) in the terms of employment; 418 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) (e) in the opportunities offered for promotion, transfer, training, and any other benefit; (f) by refusing to afford him or deliberately not affording him, any such opportunity; or (g) by dismissing him or subjecting him to any other detriment. It is unlawful to victimise a person (whether disabled or not) because that person has brought proceedings under the Act, given evidence or information in connection with such proceedings, or made allegations that someone has contravened the DDA. Any allegation must be made in good faith in order to be protected. Meaning of Discrimination A person discriminates against a disabled person if: (a) for a reason which relates to that disability, he treats him less favourably than he treats others to whom that reason does not apply; and (b) he cannot show that reason is justified. The comparison is to be made with others to whom the reason for the treatment does not apply, even if their circumstances are different from the disabled person. Thus to dismiss a person who is absent from work for a long time because of sickness is less favourable treatment when compared with the non-dismissal of a worker who is still performing his work. The key to a defence is therefore (b) above. In this connection treatment will only be justified if, but only if, it is both material to the circumstances of a particular case and substantial. This will include taking into account the circumstances of both the employer and employee. If an employer can demonstrate that treatment of a disabled employee is on the basis of material circumstances relevant to the case and that these material circumstances are substantial then the employer will have satisfied (b) above and a finding of disability discrimination will not be made. Duty of an employer to make adjustments An employer also commits an act of discrimination against a disabled person if he fails to make reasonable adjustments to prevent physical features or other arrangements which place the disabled person at a substantial disadvantage in comparison with persons who are not disabled and the failure to comply with this duty cannot be justified. Any physical feature of the workplace, or any arrangement made by or on behalf of the employer, that places the disabled person at a substantial disadvantage in comparison with persons who are not disabled it is the duty of the employer to take 419 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) such steps as it is reasonable in all the circumstances of the case, in order for the arrangement or physical feature not to have that effect. The Act gives a list of steps which an employer must have to take in relation to a disabled person in order to comply with this provision: - adjustment to the premises - allocating some duties to someone else - transferring to another vacancy - altering working hours - assigning to a different place of work - allowing for treatment during working hours for rehabilitation, assessment or treatment - training - acquiring or modifying equipment - modifying procedures for assessment or testing - providing a reader or interpreter - providing supervision To determine whether it would be reasonable for an employer to take a particular step, regard should be had to the extent the taking of the step would prevent the discriminatory effect, whether it would be practicable to take that step, the financial and other costs that would be incurred, and the extent it would disrupt the employer’s activities, the extent of the employer’s financial and other resources and the availability to the employer of financial and other assistance with respect to the taking of that step. Reasonable adjustments must be job related. 420 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 5 PASTORAL RETURN TO WORK INTERVIEW – MODEL AIDE-MĖMOIRE Date of Interview: ______________________________ Name of Employee: _____________________________ Present: ___________________________________________________________________ Period of absence: ______________________ Number of working days absent: ___ Reason for absence (for example, influenza, infection, migraine, post-operative recovery – to be taken from the sickness absence certificates already submitted to the school, and having regard to the list of reasons for absence accompanying the authority’s weekly absence return): Summary of discussion – see guidance in paragraphs 3.5 – 3.7 Actions agreed: Signed on (date)__________ as a correct record of the meeting by the Head Teacher ________________________ (or, in the case of an absence of a Head Teacher, by the Chair of Governors) A copy of this note is to be sent to the employee with an invitation to comment on its contents and the original is to be kept by the head teacher in the school 421 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 6 ABSENCE MONITORING INTERVIEW – MODEL AIDE-MĖMOIRE Date of Interview: ______________________________ Name of Employee: _____________________________ Present: ___________________________________________________ Number of absences: ____________________ Number of working days absent: ___ Reason for absences (for example, influenza, infection, migraine, post-operative recovery – to be taken from the sickness absence certificates already submitted to the school, and having regard to the list of reasons for absence accompanying the authority’s weekly absence return): Summary of discussion – see guidance in paragraphs 3.18 – 3.19 and Appendix 3 Actions agreed: Signed on (date)__________ as a correct record of the meeting by the Head Teacher ________________________ (or, in the case of an absence of a Head Teacher, by the Chair of Governors) A copy of this note is to be sent to the employee with an invitation to comment on its contents and the original is to be kept by the head teacher in the school 422 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 7 MODEL LETTER PROPOSING A VISIT TO AN EMPLOYEE ON LONG-TERM SICK LEAVE Dear *Select options as appropriate or amend to suit particular circumstances either I hope that you are making good progress following your recent operation/accident/illness. Your colleagues have asked me to send you their best wishes. I understand that you have kept in touch and that ________ has been to see you/would like to come and see you. [*I understand that _________has been in touch, and I myself would like to come and see you.] If you would like a visit, or if there is any other support which you feel the school could offer, please let me or the school secretary know. If it is not convenient to call on you at home and you are well enough to go out a meeting could be arranged at another, suitable venue. or I have been sorry to hear of your illness and your colleagues have asked me to send their best wishes. If you feel well enough to receive visitors we would be pleased for one of us to come and see you. If you would like a visit and if there is anyone in particular you would like to see or if there is any other support which you feel the school could offer, please let me or the school secretary know. If it is not convenient to call on you at home and you are well enough to go out a meeting could be arranged at another, suitable venue. [When the absent employee is the head teacher the letter would be signed by a designated governor or an appropriate officer of the authority] 423 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 8 MODEL LETTER RELATING TO NOTIFICATION OF CONCERN Date: ________________________________________ Name and address of employee Dear Notification of concern about absence due to sickness I am writing to confirm the outcome of our meeting on ………. at ……… in which we reviewed your sickness absence record. In the meeting I explained that, having discussed your absence record with you on previous occasions, your level of attendance is below that which is required and is causing difficulties in the workplace. Over the last __ months your absence record due to sickness has been as follows:Dates Total Days Reason for Absence In view of the level of your absence due to sickness I confirm a formal notification of concern, with immediate effect. It will last for a total of thirty-nine working weeks (working weeks being defined in accordance with your conditions of service). After thirteen working weeks there will be an interim review and after another thirteen working weeks a formal review of the level of your sickness absence in the expectation that it will have reached an acceptable level. If there is the required improvement in your attendance by that time and that improvement is maintained subsequently this notification of concern will lapse at the end of the total period of thirty-nine working weeks with no further review. If the required improvement is not achieved by the time of the formal review you may be given a final notification of concern at that point in accordance with the procedure for managing staff sickness in educational establishments. If you consider that this notification has been issued inappropriately, you have the right of appeal to the appeals committee of the governing body. If you wish to exercise that right you should notify the clerk to the governing body within ten working days of receiving this letter. I trust that you will be able to attend work on a regular basis with the aim of achieving improved attendance. If you have any problems that make it impossible for you to attend work, I would urge you to tell me immediately so that we can try to find a satisfactory solution. I have explained to you the difficulties we face when you fail to attend school and the effect that this has on the effective provision of education. I trust that this notification will lead to the improvement required and that no further action will be necessary under the procedure. I enclose an additional copy of this letter for you to pass to your representative. Yours sincerely, Head Teacher 424 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 9 MODEL LETTER RELATING TO FINAL NOTIFICATION OF CONCERN Date: ________________________________________ Name and address of employee Dear Final notification of concern about absence due to sickness I am writing to confirm the outcome of the formal review meeting on ………. at ……… in which we reviewed your sickness absence record in the light of the notification of concern issued to you on ………….. In the meeting I explained that your level of attendance is below that required in that notification of concern and continues to cause difficulties in the workplace. Over the last twenty-six working weeks your absence record due to sickness has been as follows:Dates Total Days Reason for Absence In view of the continuing unacceptable level of your absence due to sickness I confirm this final, formal notification of concern, with immediate effect. It will last for a period of thirteen working weeks at the end of which I will again review your level of absence in the hope that it will have reached an acceptable level. If there is the required improvement in your attendance by that time this notification of concern will lapse. If the required improvement is not achieved I will refer the matter to the appropriate committee of the governing body to consider whether your attendance is likely to improve and the impact your absences are having on the school. Depending on the situation and the medical advice available, the committee may consider termination of your contract of employment. If you consider that this notification has been issued inappropriately, you have the right of appeal to the appeals committee of the governing body. If you wish to exercise that right you should notify the clerk to the governing body within ten working days of receiving this letter. If there are changes to your circumstances which will affect the level of your absence due to sickness please let me know as soon as possible, so that we can discuss other appropriate solutions to the situation. I enclose an additional copy of this letter for you to pass to your representative. Yours sincerely, Head Teacher 425 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 10 MODEL TEXT FOR REQUESTING AND GIVING INFORMATION ON SICKNESS ABSENCE IN A REFERENCE Requesting information The Authority has recommended to schools a policy for managing staff sickness absence in educational establishments to provide support to the employee and improve levels of attendance. Please give brief details of any pattern of sickness absence of _______________________ which has led you formally to address the level of absence under the policy adopted by the governing body of your school for managing staff sickness absence. Responding to request for information either In relation to your request for information about absence due to sickness there has been nothing in the sickness record of ___________ which has led me formally to address the level of absence under the policy adopted by the governing body of this school for managing staff sickness absence in educational establishments. or, for example, In relation to your request for information about absence due to sickness __________ was absent for a period of ______________ last year following a road traffic accident. On his/her return to work adjustments were made to help with mobility around the school, and I am pleased to say that he/she is undertaking normal duties without any difficulty. or, for another example In relation to your request for information about absence due to sickness __________ was absent for short periods due to an underlying medical condition, which, after some time, has responded satisfactorily to treatment so that _____________ is now attending school normally. 426 Notes for Guidance – Employees in Schools Managing Staff Sickness in Educational Establishments (December 2004) APPENDIX 11 DIAGRAM ILLUSTRATING, AND TO BE USED IN CONJUNCTION WITH, THE GUIDANCE – Numbers in brackets refer to paragraphs in the text Ensure that the following are in place and all relevant people know their responsibilities (2, 3.1 – 3.8): LEA guidance adopted and published within the school training undertaken by appropriate employees reporting arrangements for all employees in case of sickness absence reporting arrangements for all accidents and injuries at work appropriate enquiries or discussion when employees return to work after sickness recording and monitoring of absences due to sickness Investigate individual cases at appropriate times (3.9) and consider special circumstances (3.11 – 3.18) Hold an absence monitoring interview where appropriate (3.19 – 3.23) Short-term absence Consider whether further action is appropriate (4.1 – 4.5) Hold formal meeting (4.6 – 4.8) Decide on an option (4.7) Notification of concern (4.8), including appeal procedure Interim review after 13 working weeks Long-term absence Review after 4 weeks When appropriate request report from Occupational Health (5.3, 7) Welfare visit(s) where appropriate (5.5) Discuss situation and options (5.6) Formal review after 13 more working weeks Final notification of concern (4.8) including appeal procedure If fully fit, discuss phased return to work (5.6, 6) If no prospect of full fitness consider options (5.6 – 5.7) Meeting at end of relevant period (4.9) If situation still unsatisfactory and no other option, refer as appropriate for procedure for termination of employment (5.8, 8), including appeal 427 Notes for Guidance – Employees in Schools Injury Allowances 3. Injury Allowances 3.1 Injury allowances are paid to support staff in certain circumstances. Information is available directly from Schools Personnel Services, which will handle claims. 428 Notes for Guidance – Employees in Schools Leave and working time LEAVE AND WORKING TIME LEAVE OF ABSENCE FOR EMPLOYEES FOR REASONS OTHER THAN SICKNESS For the special leave of absence scheme see below Leave of absence for public duties and union officers 1. Public duties 1.1 There are circumstances in which all employees have a statutory right to be granted reasonable leave of absence for public duties and can seek remedies at law if a reasonable request is refused. The authority specifies a maximum number of days per year for various types of public service, such as serving as magistrates and school governors and applies these limits to all employees. Employees seeking leave for public duties must apply for that leave and should make the application in reasonable time. The LEA has reserved funds centrally to meet the costs arising from absence of schoolbased staff on public duties; for details see the Schools Financial Procedures Manual (http://www.bgfl.org/services/sfpm/default.htm ). 1.2 The Employment Rights Act 1996 consolidated previous legislation and provides (as amended) that an employee who is (a) a Justice of the Peace; (b) a member of a Local Authority (c) a member of any statutory tribunal; (d) a member of a police authority, board of prison visitors or a prison visiting committee: (e) a member of a relevant health body; (f) a member of a relevant education body; (g) a member of the Environment Agency or the Scottish Environment Protection Agency; or (h) a member of the General Teaching Council. is entitled to take time off during working hours for the purposes of attending a meeting of the body or of any of its committees or sub-committees and any other thing approved by the body for the purpose of discharging its functions. 429 Notes for Guidance – Employees in Schools Leave and working time 1.3 The amount of time off, occasions on which any conditions subject to which time off may be taken are those that are reasonable in all the circumstances having regard, in particular, to the following: (i) how much time off is required for the performance of the duties of the office and for the particular duty; (ii) how much time off the employee has already been permitted, either under this Act or for trade union duties and activities; and (iii) the circumstances of the employer’s business and the effect of the employee’s absence on the running of the business. 1.4 The law gives a right to paid leave of absence where this is specified in the employee’s contract. Under the Education (Modification of Enactments Relating to Employment) (England) Order 2003 the Authority, as the employer in respect of employees in community, community special, voluntary controlled and maintained nursery schools, remains responsible for determining policies for the amount of time off to be allowed in particular circumstances and complaints from those employees that their rights have not been respected will continue to be against the Authority. Details of the paid and unpaid leave of absence for public duties which will be granted to the City Council’s non-teaching employees are set out below. For teachers, the Burgundy Book specifies that their entitlements shall be comparable with those of local authority officers so far as paid and unpaid leave entitlement for public service is concerned. 1.5 Leave of absence will be granted subject to an employee obtaining prior permission as follows: (i) An employee shall notify his/her Chief Officer* of the amount of leave that will be required to undertake the public duty as far in advance as possible. Details such as the dates of regular meetings and the expected period of absence should be given. (ii) Chief Officers shall have regard to the paragraphs below in giving consideration to granting leave and shall inform the employee in writing of the amount of paid and unpaid leave to be allowed. *For employees of the local education authority based in schools the notification to the Strategic Director who is the Chief Officer should be made through the head teacher and the Chief Officer will notify the head teacher as well as the employee of the decision. 430 Notes for Guidance – Employees in Schools Leave and working time 1.6 Subject to the exigencies of the service, employees who request leave of absence for public duties shall be granted up to the following number of days paid leave of absence (which may be taken as full or half days) in a twelve month period. The City Council’s Staff Handbook has not been amended to take account of the statutory additions to the list (police authority, prison visitor, General Teaching Council). It is presumed that the statutory provision relating to the Environment Agency replaces the reference to a water authority. Magistrates Members of: - up to 26 days a local authority Whitley Councils and other JNC bodies a health authority a managing or governing body of a educational establishment statutory tribunals a water authority up to 18 days up to 6 days up to 8 days up to 4 days up to 6 days up to 4 days A maximum of 26 days paid leave in a twelve month period shall be granted for a combination of public duties. The amounts for specific duties as set out above should not, however, be exceeded. 1.7 Unpaid leave in addition to leave specified above may be granted exceptionally by a Chief Officer having regard to: (i) the nature of the employee’s public duties; (ii) the effect of the employee’s further absence on the running of the service. 1.8 In the case of teachers, any allowance claimed in respect of their service whilst absent on public duties during directed time will be offset against their salary. 2. Jury Service 2.1 The Juries Act 1974 requires a juror to attend for duty. This is an absolute requirement and, although it is included with rights to time off in this guidance, it does not technically require application for leave of absence. People called for jury service are advised when summoned by the courts that in exceptional circumstances they may apply for the service to be deferred. The allowance paid by the Crown is offset by a salary deduction. 3. Cover costs for jury service 431 Notes for Guidance – Employees in Schools Leave and working time 3.1 Cover costs for jury service will be met centrally. Schools Personnel Services issues forms for schools to claim reimbursement 3.2 Employees on jury service receive an allowance from the Crown in virtue of expenses incurred. They are required to notify Schools Personnel Services of the amount, which will be deducted from their salary; arrangements will then be made to reimburse the school the agreed contribution towards the cover costs. 4. Witnesses in court 4.1 People required to attend court as witnesses will be treated in the same way as jurors, as there is a legal duty on them to attend once they have agreed or been required to do so. 5. Union officers and members 5.1 Legislation provides that an employer must grant reasonable time off work to union officers to carry out certain duties concerned with industrial relations between the employer and employees or to undergo relevant training, approved by the union or the TUC, in aspects of industrial relations. Time off work must be with pay. The amount of time off, purposes for which, occasions on which and conditions subject to which time may be taken are those that are reasonable in all the circumstances having regard to the Code of Practice issued by the Advisory, Conciliation and Arbitration Service (ACAS). The right to reasonable time off for public duties carries with it an obligation to apply for that leave, so a union officer must apply for time off work and give reasonable notice of such an application. 5.2 Under the Education (Modification of Enactments Relating to Employment) (England) Order 2003 where the local education authority is the employer it remains responsible for determining policies for the amount of time off work to be allowed in particular circumstances and for dealing with any complaints that rights to time off have not been respected. In Birmingham this time is called union facility time. 5.3 Under the national agreement (in the Burgundy Book) for time off for accredited representatives of the recognised teachers’ associations the Birmingham local education authority has provided facility time for local officers to be seconded to city-wide duties and meets the cost of cover through the local facility agreement. Arrangements for allocating funds to cover this cost are made jointly by Schools Personnel Services and the appropriate finance officers. 5.4 The national agreement on teachers’ facility time also covers school representatives. The Burgundy Book states that such representatives should be given facilities to hold meetings on school premises, and use notice boards, copying facilities etc. (with the union paying for the 432 Notes for Guidance – Employees in Schools Leave and working time costs of materials and outgoing telephone calls). In implementing the national agreement Birmingham LEA decided (in the days when teaching periods in schools were usually 35 minutes in length) that school representatives should be allowed free periods on a regular basis in accordance with union membership within the school on the following basis. For the current organisation of schools this arrangement can be interpreted as an average allowance of 35 minutes (or the appropriate multiple of 35 minutes) a week. 5-20 members 21-40 members 41+ members 1 free period per week 2 free periods per week 3 free periods per week 5.5 Accredited school teacher representatives may also be allowed up to two days paid leave of absence a year for training related to their duties as such representatives, on the understanding that cover for their absence is provided within the school. Teachers’ associations’ local representatives should be familiar with this arrangement. 5.6 Health and safety representatives of the teachers’ associations should also be allowed time off as follows:primary schools 1 day per term per representative secondary schools 25 or fewer teachers - 1 representative 2 days per term 26-75 teachers - 2 representatives 2 days per term each 76+ teachers - 3 representatives 2 days per term each As the incidence of absence for school-based union and health and safety representatives is spread evenly across all schools, the funds for covering such absences have been delegated to schools. 5.7 There is a City Council agreement on facility time for support staff unions. This is based on the constitution of those unions providing for local stewards, who usually combine this role with the function of health and safety representative. Some of these stewards are employed in schools, but their responsibilities are city-wide and their facility time will be funded centrally as for city-wide officers of the teachers’ associations. 6. Armed forces reserve 6.1 Attendance at annual training by volunteer members of the Armed Forces Reserves (including commissioned officers accredited to cadet units) should be paid. The Reserve Forces Act allows the Ministry of Defence to compensate companies for the loss of key employees and allows them to apply for an exemption or deferral. (Further 433 Notes for Guidance – Employees in Schools Leave and working time information on reservists, including call up, is given in a separate section of these notes – see Service in the armed forces: reservists.) 434 Notes for Guidance – Employees in Schools Leave and working time SPECIAL LEAVE OF ABSENCE – REVISED INTERIM GUIDANCE - 2010 Summary This guidance deals mainly with special leave for compassionate or other personal reasons, given in accordance with local conditions of service instead of a statutory entitlement. Statutory provisions for leave of absence for certain other reasons are described in other sections of ‘Notes for Guidance: Employees in Schools’, including Maternity leave Adoption leave Paternity and parental leave Flexible working Public duties Union duties Time off for study and training Special leave overlaps with the statutory right to reasonable time off for dependants. This guidance includes information on the statutory right and advice on how this should be accommodated within the authority’s leave of absence scheme. Contents Special leave of absence scheme - introduction Part 1 of the scheme – head teacher’s limited discretion Part 2 of the scheme – governing body’s decisions Managing requests for special leave Suggested notice to staff Time off for dependants – the law Reasonable time off for dependants – guidance on special leave Time off for medical appointments etc. Weddings Religious ceremonies and religious worship Secondments Employees seeking to work part-time for other organisations Employees providing services for other schools Time off for study or training Reservists – armed forces Employees dissatisfied with decisions about leave of absence Leave of absence for head teachers Other leave of absence granted by governing bodies Advice and guidance to the governing body’s committees Special leave of absence scheme for teachers - introduction 435 Notes for Guidance – Employees in Schools Leave and working time The Birmingham leave of absence scheme for teachers is in two parts: The limited discretionary powers available to head teachers, with a commentary The role of governing bodies in dealing with all other matters, including some guidance Part 1 of the scheme – head teacher’s limited discretion The limited discretions available to head teachers allow them to grant special leave of absence, subject to the needs of the school, for specified reasons and within specified limits. In most cases the scheme specifies that special leave, if granted, is paid. Attached to each reason is a commentary which is not part of the scheme but which has been prepared by the authority, in consultation with the teachers’ associations and support staff unions, to assist head teachers in the interpretation and management of the scheme. Part 2 of the scheme – governing body’s decisions Governing bodies are responsible for decisions about leave which are not within the head teacher’s discretion, including applications for special leave from the head teacher, and should delegate such decisions to the chair of governors or a suitable committee, so that any appeals can be heard by the appeals committee. There should be a policy, or at least some guidelines, to provide fair and consistent treatment to all employees. Attached to this part of the scheme is some advice to assist governors in preparing their policy on special leave of absence. Managing requests for special leave Head teachers should Remind employees that they must apply for special leave, and in reasonable time, having regard to the fact that some requests will be outside the discretion of the head teacher and there have to be referred to a committee of the governing body; draw employees’ attention to the leave of absence scheme as part of induction and also at the beginning of each school year; remind all employees at appropriate intervals that they are expected to consider their responsibilities under their contracts of employment and how to reconcile them with family needs, in particular to try to plan in advance for the possibility that normal care arrangements may be disrupted (see suggested notice); explain that if requests for special leave become frequent a head teacher may need to discuss the personal reasons with the employee because the frequency is incompatible with the needs of the school; 436 Notes for Guidance – Employees in Schools Leave and working time invite employees to apply - at the beginning of the school year where possible, otherwise as soon as possible - for leave of absence for unavoidable religious ceremonies, so that plans for cover can be made in good time, on the understanding that the leave is only for religious ceremonies which have to be observed unavoidably and cannot be observed outside working hours – see below for further guidance. Suggested notice for staff A suggested notice for head teachers to give to all staff at the beginning of the school year (or term) and as part of induction is attached. Head teachers should adapt this notice to suit the circumstances of their particular school. Time off for dependants – the law Section 57A of the Employment Rights Act 1996 (as amended) provides that “An employee is entitled to be permitted by his employer to take a reasonable amount of time off during the employee’s working hours in order to take action which is necessary(a) to provide assistance on an occasion when a dependant falls ill, gives birth or is injured or assaulted; (b) to make arrangements for the provision of care for a dependant who is ill or injured; (c) in consequence of the death of a dependant; (d) because of the unexpected disruption or termination of arrangements for the care of a dependant; or (e) to deal with an incident which involves a child of the employee and which occurs unexpectedly in a period during which an educational establishment which the child attends is responsible for him.” There is an explicit statement that illness or injury includes mental illness or injury. “Dependant” is defined as an employee’s spouse or civil partner, child, parent, a person living in the same household at the employee (other than a tenant, lodger, boarder or employee). For the purposes of (a) and (b) above, a dependant also includes any person who reasonably relies on the employee for assistance on an occasion when the person falls ill or is injured or assaulted or to make arrangements for the provision of care in the event of illness or injury. For the purposes of (d) above it also includes any person who reasonably relies on the employee to make arrangements for the provision of care. 437 Notes for Guidance – Employees in Schools Leave and working time The rights do not apply unless the employee tells the employer the reason for absence as soon as reasonably practicable and, except where that cannot be done until after the employee has returned to work, tells the employer how long he or she expects to be absent. The Act is silent on the question of pay, i.e. it does not specify that the time off must be paid or unpaid. Further information is available at http://www.direct.gov.uk/en/Employment/Employees/Timeoffandholidays/DG _10026555 Reasonable time off for dependants – guidance on special leave This is probably the most difficult part of the leave of absence scheme to manage. The legal right to reasonable time off for dependants (see above) is one of the various pieces of legislation to support parents and others with caring responsibilities in the context of a society where support from relatives is not necessarily available, where Government encourages parents to work and where people seek the advantages of paid employment. Although the Act uses the phrase “entitled to be permitted by his employer” it does not specify that the permission has to be given in advance. However, the test of reasonableness is crucial and employees are not entitled to unreasonable time off. Therefore it is in the employee’s interests to seek assurance as soon as practicable that the absence is regarded as reasonable and therefore covered by the statutory right. There is no definition in the legislation of “reasonable”. However, employees have a duty under their contracts of employment to be available for work, unless they are sick or on maternity leave (or paternity leave, parental leave etc.). As part of that duty they should make arrangements for the regular care of dependants who need such care. Problems arise when these normal care arrangements are disrupted. The question at issue is whether it is reasonable to expect an employee to have alternative arrangements. Usually this question is asked when a child of an employee is too ill to go to school or to the childcare provider, and the employee has no relative or friend able to care for the child at home. Reasonable time off is related to the time when the circumstances arise, hence the use of the terminology “when a dependant falls ill” rather than when a dependant is ill. There is specific provision for time off to make arrangements for the provision of care for a dependant who is ill or injured. By its definition of a dependant the legislation also acknowledges that an employee may only be called upon to provide care in an emergency rather than on a regular basis and in respect of these dependants (who are likely to 438 Notes for Guidance – Employees in Schools Leave and working time be adults) cannot be expected to have either normal or alternative care arrangements in place. There has not been much case law on the interpretation of ‘reasonable’ in respect of time off for dependants. One employment tribunal case heard that both the normal care arrangements and the alternative care arrangements on which the employee had relied when normal care had been disrupted previously were unavailable on a particular day and found that the employee’s request for that day off work was reasonable, even though the unavailability of both arrangements was known in advance. “Unexpected” disruption or termination of arrangements for the care of a dependant is therefore not the same as “sudden”. Even if the disruption is known some time in advance the test of reasonableness may still be met. In this case the employee had alternative arrangements, so it offers no guidance on the reasonableness of time off when no alternative arrangements have been made. However, the terminology of the legislation offers some guidance. It relates to the time when circumstances arise, by using the phrase “when a dependant falls ill” rather than when a dependant is ill. It also makes specific provision for time off to make arrangements for the provision of care for a dependant who is ill or injured, so it does not envisage that the right to reasonable time off will extend to caring for a dependant for the whole duration of the illness. Government guidance states that an employer who feels that an employee is taking more time off than the employer can sustain should warn the employee that the level of time off is unacceptable. As the leave of absence scheme allows head teachers to exercise their discretion to grant up to three days’ paid leave due to the illness of a member of the teacher’s immediate family, it implies that granting such leave would be reasonable. However, the leave of absence scheme as a whole is discretionary and subject to the needs of the school. The head teacher has to balance those needs with the circumstances of the employee, and with precedents and fairness, having regard to the maxim that good employees are a school’s most valuable asset. Time off for medical appointments etc. Employees are expected to arrange appointments with doctors and dentists outside working hours. It is acknowledged that this may not be possible when the appointment is with a hospital consultant, although where possible employees should seek an appointment during a school holiday. However, when this is not possible (because of waiting lists or the urgency of the medical condition) then the employee should be given paid time off to attend the appointment. Likewise when an employee needs to see a doctor or dentist urgently and an appointment is not available outside school hours paid time off should also be granted; it is “an urgent personal reason, which could not have been foreseen”. 439 Notes for Guidance – Employees in Schools Leave and working time Further guidance is available within ‘Managing Staff Sickness in Educational Establishments’. Weddings Although the leave of absence scheme does not refer to civil partnerships, the same rules should be followed, in order to comply with the Equality Act. Time off for weddings is not a right. Head teachers do not have discretion to grant leave of absence for employees' own weddings. Employees are expected to arrange their own weddings at weekends or during school holidays and not to seek any time off work for the wedding or the honeymoon. Head teachers are advised to ensure that this expectation is fully understood, employees’ requests for time off during term-time for their own weddings are highly likely to be denied by the governing body, even in cases when weddings are arranged not by the bride and groom but by their families. Employees should be invited, wherever practicable, to advise close relatives planning a wedding that contracts of employment in schools do not enable employees in schools to take annual leave during school terms, so that they would have to apply for special leave to attend a wedding taking place during school hours, and that the result of such an application would depend on the needs of the school. This could therefore lead to a request for leave of absence being denied. A close relative is defined by the City Council as "parent, husband, wife, brother, sister, child, grandparent, grandchild, parent-in-law, daughter or son-in-law" and also "a person standing in special relationship to the employee". An application for absence in excess of 3 days must be referred to the appropriate committee of the governing body, as the head teacher does not have discretion to grant more than the day of the wedding, and up to two days for travelling if necessary. Head teachers do not have discretion to grant special leave for rehearsals for weddings. Religious ceremonies and religious worship Religious ceremonies may, or may not, form part of a religious festival. Some important religious festivals may not include ceremonies but may nonetheless require observance; others may not require observance or will be celebrated on the nearest weekend to the due date. There may be differences in the importance attached to particular ceremonies or festivals between different branches of the same religion. 440 Notes for Guidance – Employees in Schools Leave and working time The authority’s information is that the following will require observance unavoidably: Yom Kippur (Jews) Jewish New Year (Orthodox Jews) Eid-ul-Fitr and Eid-ul-Adha (Muslims) Divali (Hindus) either the Birthday of Guru Nanak or Baisakhi/Vaisakhi (according to the particular branch of Sikhism) Birthday of Emperor Haile Selassie I (Rastafarians). Paid leave of absence should therefore be granted for the day on which these unavoidable religious observances fall if that day is during a school term and not at a weekend or school holiday. Head teachers are advised to invite employees to apply for leave of absence at the beginning of the school year if possible, otherwise as soon as possible, so that plans for cover can be made in good time. In some schools, it can be predicted that a significant number of employees, or of a particular category of employee, will request leave of absence for a religious ceremony which their faith requires them to observe. If granting leave of absence to all of those employees would lead to real problems in the running of the school, then the governing body is advised instead to consider changing the term dates as permitted by the resolution of the former Education and Lifelong Learning Advisory Team in 2001 which refers specifically and only to a “demonstrable need on the ground of religious observance”. The Advisory Team decided that this reason was sufficiently compelling to allow schools to depart from the standard term dates. Where the religious affiliations of employees reflect those of pupils, changing term dates would accommodate the needs of both. Before changing the school’s term dates, a governing body should consult both parents and staff and should consider how to achieve the least possible disruption to children’s education the need to give plenty of notice – this should be at least two terms – to all involved, parents and staff, because of the impact on childcare arrangements and holiday bookings Designating the day of a religious festival a training day is not an option, because those employees observing that festival could claim that they have been deprived of the opportunity of training on that day and have therefore suffered unlawful discrimination on the grounds of their religion. Nor is it legal to give the school an extra day’s holiday, because statutory regulations require schools to open for pupils for 380 sessions (190 days). The governing body has discretion to grant additional days either with salary or without. The governing body also has discretion to grant leave of absence, with salary or without, for festivals or ceremonies which adherents of the faith regard as important but which are not absolutely obligatory. To 441 Notes for Guidance – Employees in Schools Leave and working time enable employees with religious faith fully to practise their religion, members of the authority’s Standing Advisory Council on Religious Education recommend governing bodies to go beyond the current leave of absence scheme by granting employees leave of absence for the most important religious festivals in addition to those where observance is regarded as unavoidable. This discretion is for the governing body to exercise through the appropriate committee or to authorise the head teacher to act by formal delegation. The head teacher does not have that discretion under the leave of absence scheme and must obtain authorisation from the governing body to exceed the scheme’s provisions. The relevant committee of the governing body is advised to grant paid leave when an employee wishes to attend the ordination (or equivalent) of a member of his or her immediate family and unpaid leave for attendance as a delegate to the General Synod or parallel religious assembly. It is recommended that in exceptional circumstances, when pilgrimage is required of a believer and cannot be undertaken during school holidays, unpaid leave should be granted because of the religious duty attached to it. (Pilgrimage to Mecca is required of every Muslim at least once in his or her lifetime and pilgrimage to the Golden Temple at Amritsar of Sikhs likewise.) There is no legal requirement to provide time or facilities in the workplace for religious or belief observance. If a room is available and its use for prayer would not disrupt the work of the school, it would be good practice to permit such use. However, schools must be careful to ensure that there is no direct or indirect discrimination or perception of unfairness between different employees in giving such permission. There is some useful general guidance in a publication from ACAS (http://www.acas.org.uk/media/pdf/f/l/religion_1.pdf ), although it does not deal specifically with schools. ‘Secondments’ Prolonged leave of absence from the school at the employee’s request to allow him or her to work for another school or organisation is usually called secondment. The employee returns to his or her job at the end of the secondment. Secondments which last more than a couple of years may cause problems of reintegration into the school on the employee’s return, so the relevant committees of governing bodies are advised to consider very carefully any request to be absent for more than a year or two at a time. They are advised to review the arrangement annually and to provide for the employee to keep in touch with the school, possibly through attendance at training days. Agreed leave must be confirmed to the employee in writing. The letter to the employee should explain clearly the terms of the leave and that the employee will return to his or her substantive job at the school when the 442 Notes for Guidance – Employees in Schools Leave and working time leave or ‘secondment’ comes to an end, so that there is no room for misunderstanding on either side. Usually the leave of absence for secondment is unpaid, because the employee receives a salary from the school or organisation to which he or she is seconded, but there have been instances in which the employee is granted paid leave, with the school being reimbursed the employee’s salary costs by the other school or organisation concerned. Schools should check what is proposed when secondment is first requested and should seek advice as necessary from Schools HR Services. Employees seeking to work part-time for other organisations Some employees may request leave to undertake part-time work, such as OFSTED inspectors or School Improvement Partners, or examiners for external examining bodies. This is a matter for the appropriate committee of the governing body to determine in accordance with the governing body’s general policy on such requests for career development. If the governing body grants paid leave, the employee should pay any fees received to the school, in recognition of the fact that the employee would otherwise be paid twice for the same period of employment and in order to pay for cover in the employee’s absence. If part of a fee relates to work outside the employee’s contract with the school (for example, for preparation undertaken in the employee’s own time) the governing body may agree that an appropriate proportion of the fee may be retained by the employee. Employees providing services for other schools A governing body may ask an employee to work temporarily in another school as part of a service-level agreement whereby a providing school supports a receiving school, and the providing school charges the receiving school for those services. In such cases the employee is not on leave or secondment, but is simply working elsewhere at the governing body’s direction. Time off for study or training There is a separate procedure for the statutory right to request time off for study or training in respect of training not provided or required by the school. Employees and schools may make other arrangements about study or training outside the statutory procedure. There is advice to governors in the leave of absence scheme. Armed forces - reservists Volunteer members of the Armed Forces Reserves (including commissioned officers accredited to cadet units) should try to arrange their annual training during school holidays. However, if this is not possible, then they should be granted paid leave for the fortnight’s training. 443 Notes for Guidance – Employees in Schools Leave and working time For reservists called up for active service, the Reserve Forces Act allows the Ministry of Defence to compensate companies for the loss of key employees and allows them to apply for an exemption or deferral. Further information is available in ‘Notes for Guidance: Employees in Schools’. Employees dissatisfied with decisions about leave of absence A procedure is currently under discussion. 444 Notes for Guidance – Employees in Schools Leave and working time TEACHERS’ LEAVE OF ABSENCE SCHEME – PART ONE – LEAVE WHICH THE HEAD TEACHER HAS DISCRETION TO GRANT In the cases in the table below head teachers may grant leave of absence without prior reference to the governing body or to the local authority, having regard to the merits of the individual case and the needs of the school, provided that the period of absence ordinarily allowed in each case is not exceeded. The final column in the table is not part of the leave of absence scheme, but includes advice and guidance from the local authority to help head teachers exercise their discretion in respect of particular aspects of the scheme. Additional guidance on managing requests for special leave is available (see above). The leave of absence scheme specifies that leave granted by the head teacher shall be reported to the governing body in schedules presented at meetings, but governing bodies are advised that the schedules should be presented to its staffing or other appropriate committee. Requests outside the head teacher’s discretion If the request made to the head teacher is not within the head teacher’s discretion under the leave of absence scheme, the head teacher should refer the request to the appropriate committee of the governing body for determination in accordance with the governing body’s role in the leave of absence scheme. In urgent cases the head teacher may have to seek a decision from the chairperson of the governing body in accordance with the School Governance Regulations. 445 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION COMMENT AND ADVICE REASON FOR ABSENCE PERIOD OF ABSENCE ORDINARILY ALLOWED WHETHER TO BE APPROVED WITH SALARY OR WITHOUT 1 Up to 3 days, plus up to 2 days for travelling if necessary With salary Requests for leave outside the following items, which are specified as being at the head teacher’s discretion, are for the appropriate committee of the governing body to determine. Where the scheme states that the leave is to be approved with salary the head teacher has no discretion to stipulate that the leave should be unpaid. A close relative is defined by the City Council as “parent, husband, wife, brother, sister, child, grandparent, grandchild, parent-in-law, daughter or son-in-law” and classes with these “a person standing in special relationship to the employee”. This would include a partner. This provision overlaps with the statutory right for reasonable time off for dependants, unpaid, under the Employment Rights Act 1996 as amended. The Act provides that an employee is entitled to be permitted by his or her employer to take a reasonable amount of time off during the employee’s working hours in order to take action which is necessary in consequence of the death of a dependant. It would be appropriate for the governing body (through its staffing committee) to grant extra paid leave, over and above that open to the head teacher’s discretion, to take account of any extra time required for travel, Death and funeral of a close relative 446 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION 2 Funeral of a close friend Up to 1 day With salary 3 Illness of a member of teacher’s immediate family Up to 3 days With salary COMMENT AND ADVICE depending on the accessibility of the place of residence of the relative. Requests for leave also covered by a statutory right to reasonable time off should be considered in relation to the legal requirements – see time off for dependants It is noted that the leave of absence scheme does not give the head teacher discretion to grant extra time for travelling to the funeral of a close friend (as distinct from that of a close relative). It would be appropriate for the governing body (through its staffing committee) to grant extra paid leave to take account of any time required for travel. Requests for leave also covered by a statutory right to reasonable time off should be considered in relation to the legal requirements - see time off for dependants This provision overlaps with the statutory right for reasonable time off for dependants, unpaid, under the Employment Rights Act 1996 as amended, one of the various pieces of legislation to support parents and others with caring responsibilities in the context of a society where support from relatives is not necessarily available, where Government encourages parents to work and where people seek the advantages of paid employment. There is no definition in the legislation of “reasonable”. However, employees have a duty under their contracts 447 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION COMMENT AND ADVICE of employment to be available for work, unless they are sick or on maternity leave (or paternity leave, parental leave etc.). As part of that duty they should make arrangements for the regular care of dependants who need such care. Problems arise when these normal care arrangements are disrupted. The question at issue is whether it is reasonable to expect an employee to have alternative arrangements. Usually this question is asked when a child of an employee is too ill to go to school or to the childcare provider, and the employee has no relative or friend able to care for the child at home. There has not been much case law on the interpretation of ‘reasonable’ in this context. One employment tribunal case heard that both the normal care arrangements and the alternative care arrangements on which the employee had relied when normal care had been disrupted previously were unavailable on a particular day and found that the employee’s request for that day off work was reasonable, even though the unavailability of both arrangements was known in advance. “Unexpected” disruption or termination of arrangements for the care of a dependant is therefore not the same as “sudden”. Even if the disruption is known some time in advance the test of reasonableness may still be met. In this 448 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION COMMENT AND ADVICE case the employee had alternative arrangements, so it offers no guidance on the reasonableness of time off when no alternative arrangements have been made. However, the terminology of the legislation offers some guidance. It relates to the time when circumstances arise, by using the phrase “when a dependant falls ill” rather than when a dependant is ill. It also makes specific provision for time off to make arrangements for the provision of care for a dependant who is ill or injured, so it does not envisage that the right to reasonable time off will extend to caring for a dependant for the whole duration of the illness. By its definition of a dependant the legislation also acknowledges that an employee may only be called upon to provide care in an emergency rather than on a regular basis and in respect of these dependants (who are likely to be adults) cannot be expected to have either normal or alternative care arrangements in place. As the leave of absence scheme allows head teachers to exercise their discretion to grant up to three days’ paid leave due to the illness of a member of the teacher’s immediate family, it implies that granting such leave would be reasonable. However, the leave 449 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION COMMENT AND ADVICE of absence scheme as a whole is discretionary and subject to the needs of the school. The head teacher has to balance those needs with the circumstances of the employee, and with precedents and fairness, having regard to the maxim that good employees are a school’s most valuable asset. (Neither the statutory right to time off for dependants nor the head teacher’s discretion to grant leave of absence extends to requests for indefinite leave to nurse a relative suffering from a serious, long illness and such matters should be referred to the appropriate committee of the governing body, which is advised to consider requests to nurse a terminally sick relative or partner, close friend or companion with particular sympathy, granting paid leave of absence in the first instance and reviewing the situation monthly. Visits to (rather than nursing) a terminally ill person resident in the United Kingdom or easily accessible countries in Europe can normally be arranged at weekends or during school holidays, and, depending on the prognosis and the timing of school holidays, can also be arranged during holidays if the person lives further away, but if death is imminent it would be appropriate to grant paid leave of absence during the working week, up to a maximum of ten days. If the illness is not terminal any leave beyond that granted under the 450 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION COMMENT AND ADVICE 4 head teacher’s discretion should be unpaid.) Although the leave of absence scheme does not refer to civil partnerships, the same rules should be followed, in order to comply with the Equality Act. Wedding of close relative or close friend 1 day plus up to 2 days for travelling if necessary With salary Time off for weddings is not a right. Head teachers do not have discretion to grant leave of absence for employees' own weddings. Employees are expected to arrange their own weddings at weekends or during school holidays and not to seek any time off work for the wedding or the honeymoon. Head teachers are advised to ensure that this expectation is fully understood, employees’ requests for time off during term-time for their own weddings are highly likely to be denied by the governing body, even in cases when weddings are arranged not by the bride and groom but by their families. Employees should be invited, wherever practicable, to advise close relatives planning a wedding that contracts of employment in schools do not enable employees in schools to take annual leave during school terms, so that they would have to apply for special leave to attend a wedding of a close relative or close friend taking place during school hours, and that the result of such an application would depend on the 451 Notes for Guidance – Employees in Schools Leave and working time LEAVE OF ABSENCE SCHEME – HEAD TEACHER’S DISCRETION COMMENT AND ADVICE needs of the school. This could therefore lead to a request for leave of absence being denied. A close relative is defined by the City Council as "parent, husband, wife, brother, sister, child, grandparent, grandchild, parent-in-law, daughter or son-in-law" and also "a person standing in special relationship to the employee". An application for absence in excess of 3 days must be referred to the appropriate committee of the governing body, as the head teacher does not have discretion to grant more than the day of the wedding, and up to two days for travelling if necessary. Head teachers do not have discretion to grant special leave for rehearsals for weddings. 5 University 1 day plus up to 2 days Graduation for travelling if necessary Ceremony of teacher or of teacher’s immediate family With salary 452 Notes for Guidance – Employees in Schools Leave and working time 6 Other very urgent and special personal reasons which could not reasonably have been foreseen Up to 3 days With salary 7 Removal of house Up to 2 days in the case of a teacher moving house in consequence of taking up a post in Birmingham following employment elsewhere. Up to one day for removals in other circumstances. With salary 8 Interview for other post As may be necessary and With salary reasonable The maximum number of days applies to each occasion on which leave is granted. There is no annual or termly limit, but all requests for special leave of absence are to be considered with regard to the merits of the individual case and the needs of the school. If such requests become frequent a head teacher may need to discuss the personal reasons with the employee and explain that the frequency is incompatible with the needs of the school. Requests for leave also covered by a statutory right to reasonable time off should be considered in relation to the legal requirements relating to time off for dependants. Time off for removals is not a right, and if an employee is not constrained by completion dates and can arrange to move at a weekend or during a school holiday the employee should do so. This could include reasonable time off for a visit arranged for applicants at the invitation of the school. 453 Notes for Guidance – Employees in Schools Leave and working time 9 Attendance at a religious ceremony where the teacher’s religion requires it unavoidably Up to 2 days per year; With salary Additional days as necessary Without salary Religious ceremonies may, or may not, form part of a religious festival. Some important religious festivals may not include ceremonies but may nonetheless require observance; others may not require observance or will be celebrated on the nearest weekend to the due date. There may be differences in the importance attached to particular ceremonies or festivals between different branches of the same religion. The authority’s information is that the following will require observance unavoidably: Yom Kippur (for Jews) the Jewish New Year (for Orthodox Jews) Eid-ul-Fitr and Eid-ul-Adha (Muslims) Divali (Hindus) either the Birthday of Guru Nanak or Baisakhi/Vaisakhi (according to the particular branch of Sikhism) Birthday of Emperor Haile Selassie I (Rastafarians). Paid leave of absence should therefore be granted for the day on which these unavoidable religious observances fall if that day is during the school term and not at a weekend or half-term holiday. Head teachers are advised to invite employees to apply for leave of absence at the beginning of the school year where possible, otherwise as soon as possible, so that plans for cover can be made in good time. In some schools, it can be predicted that a significant 454 Notes for Guidance – Employees in Schools Leave and working time number of employees, or of a particular category of employee (such as lunchtime supervisors), will request leave of absence for a religious ceremony which their faith requires them to observe. If granting leave of absence to all of those employees would lead to real problems in the running of the school, then the governing body is advised instead to consider changing the term dates as permitted by the resolution of the former Education and Lifelong Learning Advisory Team in 2001 which refers specifically and only to a “demonstrable need on the ground of religious observance”. The Advisory Team decided that this reason was sufficiently compelling to allow schools to depart from the standard term dates. Where the religious affiliations of employees reflect those of pupils, changing term dates would accommodate the needs of both. Before changing the school’s term dates, a governing body should consult both parents and staff and should consider how to achieve the least possible disruption to children’s education the need to give plenty of notice – this should be at least two terms – to all involved, parents and staff, because of the impact on childcare arrangements and holiday bookings 455 Notes for Guidance – Employees in Schools Leave and working time Designating the day of a religious festival a training day is not an option, because those employees observing that festival could claim that they have been deprived of the opportunity of training on that day and have therefore suffered unlawful discrimination on the grounds of their religion. Nor is it legal to give the school an extra day’s holiday, because statutory regulations require schools to open for pupils for 380 sessions (190 days). The governing body has discretion to grant additional days either with salary or without. The governing body also has discretion to grant leave of absence, with salary or without, for festivals or ceremonies which adherents of the faith regard as important but which are not absolutely obligatory. To enable employees with religious faith fully to practise their religion, members of the authority’s Standing Advisory Council on Religious Education recommend governing bodies to go beyond the current leave of absence scheme by granting employees leave of absence for the most important religious festivals in addition to those where observance is regarded as unavoidable. This discretion is for the governing body to exercise through the appropriate committee or to authorise the head teacher to act by formal delegation. The head teacher does not have that discretion under the leave of absence scheme and must obtain authorisation from the governing body to exceed the scheme’s provisions. 456 Notes for Guidance – Employees in Schools Leave and working time The relevant committee of the governing body is advised to grant paid leave when an employee wishes to attend the ordination (or equivalent) of a member of his or her immediate family and unpaid leave for attendance as a delegate to the General Synod or parallel religious assembly. It is recommended that in exceptional circumstances, when pilgrimage is required of a believer and cannot be undertaken during school holidays, unpaid leave should be granted because of the religious duty attached to it. (Pilgrimage to Mecca is required of every Muslim at least once in his or her lifetime and pilgrimage to the Golden Temple at Amritsar of Sikhs likewise.) There is no legal requirement to provide time or facilities in the workplace for religious or belief observance. If a room is available and its use for prayer would not disrupt the work of the school, it would be good practice to permit such use. However, schools must be careful to ensure that there is no direct or indirect discrimination or perception of unfairness between different employees in giving such permission. 10 To participate as an amateur in national, regional or county Up to 3 days per term With salary 457 Notes for Guidance – Employees in Schools Leave and working time 11 matches or competitions To participate in musical performances at the highest professional levels Up to 3 days per term With salary 12 Study and examination leave: (i) For Open University Degree Up to 10 days in any 3 year period plus the days of the examination With salary (ii) For part-time degree or degree equivalent Up to 10 days over the normal period of the course, plus the days of the examinations With salary The days of the examinations With salary (iii) Other professionally relevant examinations 458 Notes for Guidance – Employees in Schools Leave and working time 13 To give lectures and talks away from school within the UK at the invitation of the educational bodies 14 Attendance at Examination Board Meetings (i) Chief and Deputy Chief Examiners/ Moderators As may be reasonable With salary As the invitation will have been extended because of expertise gained in the teaching profession and in particular in the teacher’s current role, and as the teacher will be giving the lecture in working time, the governing body should ensure that any fees in respect of the engagement are paid to the governing body (see additional guidance). If the governing body grants paid leave, the fees must be paid to the school, in recognition of the fact that the employee would otherwise be paid twice for the same period of employment and in order to pay for cover in the employee’s absence. Up to 10 days per annum (ii) Assistant Examiners/ Up to 5 days per annum Moderators 15 Attendance at annual training camp as voluntary member of the Armed Forces Reserves or as a Commissioned Officer accredited and/or posted to the Two weeks, or the duration of the period of training whichever is the less, in any one full year With salary* With salary* *with the Board reimbursing the school With salary 459 Notes for Guidance – Employees in Schools Leave and working time cadet units of one of the three services. 16 Attendance at approved in-service training and professional development activities 5 days With salary The School Teachers’ Pay and Conditions Document provides that all staff in the school should have access to advice, training and developmental opportunities appropriate to their needs, including needs identified in objectives or in planning and review statements in accordance with the policies of the governing body. Training and professional development required of employees during their employment is undertaken on the direction of the head teacher during working time and therefore this provision should not appear within the leave of absence scheme, because leave of absence is not applicable. An employee may wish to attend other training which, though not essential to the job or approved as part of professional development under the School Teachers’ Pay and Conditions Document, will be for the mutual benefit of the employee and the school. Governing bodies are also recommended to adopt the authority’s model procedure for the right to request time off for study and training, although they may also consider applications under the special leave of absence scheme. 17 To stand as a candidate at a Local 1 day (polling day) Without pay 460 Notes for Guidance – Employees in Schools Leave and working time Government Election 461 Notes for Guidance – Employees in Schools Leave and working time TEACHERS’ LEAVE OF ABSENCE SCHEME – PART 2 – DECISIONS FOR THE GOVERNING BODY’S CHAIR OR APPROPRIATE COMMITTEE The Governing Body must decide whether its chairperson or a committee is to exercise its powers under the leave of absence scheme, so that there are some governors who have not been involved in the event of an appeal. Leave of Absence for Head Teachers Head Teachers who wish to apply for leave of absence for any of the purposes listed as within the head teacher’s discretion shall apply to the chairperson of the school’s governing body as far in advance as possible. The chairperson is advised to follow the guidance given in Part 1 of this scheme, as the chairperson is exercising in respect of the head teacher the powers which a head teacher would exercise for other employees. For other matters, like all other teachers in the school, the head teacher should apply to the committee of the governing body. Where a head teacher intends to be absent on school business within the city notification to the chairperson of the school’s governing body is not necessary but the head teacher should leave information at the school as to his/her whereabouts and a telephone number for contact in case of an emergency. A head teacher who intends to be absent on school business outside the city should notify the chairperson of the school’s governing body and leave information at the school as above. Other Leave of Absence Granted by the Governing Body All requests for special leave of absence not covered by the discretionary powers of the head teacher shall be referred by the head teacher to the committee to which the governing body has delegated its power to grant special leave in cases not covered by the discretionary power of the head teacher. In urgent cases in which a meeting of the committee cannot be convened in time, the head teacher should refer the request to the chairperson of the governing body in accordance with the School Governance Regulations. It is advisable to adopt a policy or guidelines for the cases which fall outside the powers of the head teacher and to publish this policy to all employees on a regular basis. Any policy adopted should also have regard to the provisions of the School Teachers’ Pay and Conditions Document that teachers should be required to cover only rarely. 462 Notes for Guidance – Employees in Schools Leave and working time Advice and Guidance to the Governing Body’s committees when considering requests for Special Leave of Absence – general principles In considering requests for special leave of absence the relevant committees of governing bodies have been recommended for many years to use guidelines followed by the authority for centrally managed teachers in order to achieve a consistency of approach in all cases. Some of the guidelines are included in the advice on leave which head teachers have discretion to grant, because they represent extensions of that leave. Others are set out below. In preparing a policy on applications for special leave of absence the governing body is advised to consider the following questions of principle: Is the purpose of the leave a matter of life, death or health? Could the purpose be achieved in any other way? (For example, if an employee requests unpaid leave of absence to nurse a sick relative, approval would be for a limited period, and subject to review, to allow the employee time to make other arrangements.) Could the purpose be achieved at another time, i.e. outside school hours? Could refusal of a request be construed as direct or indirect unlawful discrimination? Would it be good employment practice to grant leave of absence in this case? What would be the cost of granting leave of absence in this case, both in terms of cash and the quality of education for pupils/students? Can expenditure be justified by the circumstances of the case? Would a grant of leave of absence set an undesirable precedent? Should the decision be influenced by previous cases if there has been no change in policy or practice in the meantime? Should the decision be influenced by public relations considerations? Advice and Guidance to the Governing Body’s committees when considering requests for Special Leave of Absence – specific reasons It is advised that requests to nurse a terminally sick relative or partner, close friend or companion should be treated with particular sympathy, granting paid leave of absence for a limited period in the first instance and reviewing the situation 463 Notes for Guidance – Employees in Schools Leave and working time regularly. Visits to (rather than nursing) a terminally ill person resident in the United Kingdom or easily accessible countries in Europe can normally be arranged at weekends or during school holidays, and, depending on the prognosis and the timing of school holidays, can also be arranged during holidays if the person lives further away, but if death is imminent it would be appropriate to grant paid leave of absence during the working week, up to a maximum of ten days. If the illness of the employee’s close relative or close friend is not terminal any leave beyond that granted by the head teacher should be unpaid. Leave for visits abroad should be approved only in special circumstances and normally without salary, unless the visit is to a close relative or close friend who is terminally ill and whom the employee cannot visit at weekends or during school holidays. Unpaid leave would be appropriate for visits to deal with other serious problems with family or relatives, also holidays booked in good faith before the employee started employment with the school, and notified to the school at interview with an explanation that cancellation would incur a charge. Given the increasing popularity of ‘surprise holidays’ the governing body is recommended to adopt a policy stating that leave will not be granted in such cases. It is recommended that requests to accompany a spouse or partner abroad should be agreed only where the spouse or partner has obtained a temporary job overseas and should be unpaid leave for a fixed period. An employee may wish to attend training over and above training and development which he or she has been directed to attend. Such training, whilst not essential to the job or approved as part of professional development, will often be for the mutual benefit of the employee and the school. Governing bodies may consider applications for leave of absence for such training. They are also recommended to adopt the authority’s model procedure for the right to request time off for study and training. Secondment to other, temporary employment is at the governing body’s discretion. The authority seeks the co-operation of governing bodies where the secondment is to help another school maintained by the authority. Sometimes requests for secondment help a school in financial difficulties by saving the salary of the person granted leave of absence. Sometimes the request is for a particularly good cause, such as Voluntary Service Overseas. However, if the relevant committee of the governing body is minded to agree to a secondment it should not do so without precise, written agreement over the employee’s return to the school when the secondment ends and over the financial arrangements. Advice may be obtained from Schools HR Services or Employee Relations. Guidance on leave for religious purposes over and above the discretion available to the head teacher for these purposes is given against the description of that discretionary power in the section of the scheme for leave of absence granted by the head teacher. There is also advice on what to do if large numbers of pupils and employees of the same faith seek leave at the same time. 464 Notes for Guidance – Employees in Schools Leave and working time Representing the country at an international sporting or arts event (Olympic, Commonwealth Games, etc.) is probably regarded as such an honour that a governing body is recommended to grant leave. The question of pay will depend partly on the financial support available to the employee from the appropriate sponsoring body. The authority has traditionally recommended three weeks’ unpaid leave for an employee to stand as a candidate in a Parliamentary election. 465 Notes for Guidance – Employees in Schools Leave and working time SUGGESTED NOTICE TO STAFF ABOUT SPECIAL LEAVE OF ABSENCE The attached draft notice has been prepared as part of a review of the leave of absence scheme which includes discussions about helping head teachers to manage requests for special leave of absence. It is a suggested draft and provides a framework which can be altered according to the needs of a particular school. For example, whilst some governing bodies may expect all staff to take holidays during the school holidays, others may be prepared for some support staff who are not classroom-based and who have all-year-round contracts to take leave during school terms on the understanding that they are required for duty during part of the school holidays. The attached draft reflects the former position, so any school taking a different position should amend the draft accordingly. It is recommended that a notice should be published to all staff at the beginning of each school year (or even each school term) and given to all new staff on appointment as part of their induction. Schools may wish to devise an appropriate form of acknowledgement of receipt of the notice, possibly combined with a form for applying for special leave for religious ceremonies which the employee’s religion requires him or her to observe unavoidably. 466 Notes for Guidance – Employees in Schools Leave and working time DRAFT FOR SCHOOLS TO AMEND/USE AS APPROPRIATE NOTICE TO STAFF: SPECIAL LEAVE This notice explains to all members of staff the governors' position regarding requests for special leave during term time. Employees are obliged to attend for work under their contracts of employment. In the case of teachers, there is a statutory obligation to be available for work on the 195 days specified by the employer and for support staff who are based in the classroom or employed on termtime only contracts there are parallel contractual requirements. For staff who are employed all year round and who are not based in a classroom there is nonetheless an expectation that they will take annual leave during school holidays. School term dates are published to you all in advance and are available from the school office. Under the leave of absence scheme which is part of teachers' conditions of service, head teachers have discretion to grant a limited amount of special leave in certain specific circumstances and subject to specified limits. This discretion is to be exercised subject to the needs of the school. Any requests for special leave outside head teachers' discretion are a matter for the Governing Body. Full guidance on special leave, including the leave of absence scheme, can be found in the Local Authority’s Notes for Guidance: Employees in Schools. Employees with caring responsibilities are urged to plan in advance for the possibility that normal caring arrangements may be disrupted at any time, for example, if a child’s school is closed unexpectedly. In order for the school to make arrangements for cover it would be helpful if any employees wishing to take special leave during term time for a religious ceremony which their religion requires them to observe unavoidably and which cannot be celebrated on the nearest weekend or out of school hours could apply to the head teacher for such leave at the beginning of the school year. If the exact date of the ceremony is not known at this stage, please indicate the approximate date. Staff must not book or take holidays during term time. Please share this information with friends and family members, so that there can be no misunderstanding over ‘surprise’ holidays, for which the Governors have decided that special leave will not be granted. Special leave will only be considered for the exceptional circumstances outlined in the leave of absence scheme. Employees must apply for any special leave and seek approval in reasonable time from the head teacher, who will refer any request outside the head teacher’s discretion to the appropriate committee of the governing body. This is particularly important when the request is one which the head teacher does not have discretion to grant and must refer to the committee. You should also be aware that any employee taking unauthorised leave will be in breach of contract, and that conditions of service provide for pay to be deducted in such cases. Breach of contract is also a disciplinary matter and disciplinary action may therefore be taken. 467 Notes for Guidance – Employees in Schools Leave and working time SPECIAL LEAVE FOR SUPPORT STAFF* EXTRACT FROM CITY COUNCIL’S STAFF HANDBOOK *Governing bodies are advised to apply the leave of absence scheme for teachers to classroom-based employees unable to take annual leave in term time. Additional leave may be granted in special circumstances on the following basis: Death of a near relative, i.e. parent, husband, wife, brother, sister, child, grandparent, grandchild, parent-in-law, daughter or son-in-law, death of a person standing in special relationship to the employee. Any other compassionate grounds, including illness of husband, wife, parent, child, brother or sister or person standing in special relationship to the employee; the breakdown of normal care arrangements for dependants giving rise to serious domestic difficulties. Urgent private reasons connected with the above, or other valid grounds. Chief Officer, Chair of Governors or Head Teacher, shall authorise period of leave reasonably necessary; this will normally be not more than five days with pay in each instance. Exceptionally, in cases of special hardship, up to ten days’ leave with pay may be granted in each instance. In considering applications regard shall be had to individual circumstances, e.g. responsibility for funeral arrangements, travelling to funeral. Chief Officer, Chair of Governors or Head Teacher, shall authorise period of leave reasonably necessary; this will normally be not more than five days with pay in each instance. Exceptionally in cases of special hardship, up to ten days with pay may be granted in each instance. Chief Officer, Chair of Governors or Head Teacher, may, at their discretion, grant up to ten days without pay in any year providing that they are satisfied that the employee will not be employed elsewhere during the period of leave. In any exceptional case and where the circumstances so dictate, an extension beyond the above periods shall be granted at the discretion of the Chief Officer. In any event an employee shall be allowed to bring forward part of their normal annual leave for the next following leave year to supplement any period of compassionate leave which may be granted subject to a maximum of five days’ annual leave from the next following leave year being utilised for this purpose, and any necessary adjustment being made in the employee’s salary in the event of their leaving the Council’s service. (See also paragraph 48(c)(iii)). Leave of Absence - Service in Non-Regular Forces 468 Notes for Guidance – Employees in Schools Leave and working time Volunteer members of the Non-Regular Forces who attend Summer Camp shall be granted the two weeks required for Summer Camp as leave with pay additional to their normal annual leave entitlement. 469 Notes for Guidance – Employees in Schools Maternity leave and adoption leave 2. Maternity leave and adoption leave 2.1 The contractual maternity leave provisions for City Council employees are set out in the following pages. There are two schemes, the special Birmingham Teachers’ Maternity Leave Scheme and the City Council scheme for support staff. They are for employees who, having the appropriate length of service, intend to return to work after their maternity leave and to do so for the required minimum period. They provide some better benefits than the statutory minimum and the Birmingham Teachers’ Scheme is also better than the national maternity leave scheme for teachers in the Burgundy Book. 2.2 Alternatively, employees may simply exercise their statutory rights to return. A summary of the statutory rights can be found at http://www.direct.gov.uk/en/Parents/Moneyandworkentitlements/WorkAndFa milies/Pregnancyandmaternityrights/index.htm 2.3 A woman is entitled to take advantage of whichever right, statutory or contractual, is the more favourable to her, effectively mixing the contractual and statutory schemes. In recognition of this, contractual schemes have been amended from time to time to take account of new statutory rights. 2.4 There is a compulsory period of maternity leave for two weeks following the date of the birth (article 8.2 of the Pregnant Workers’ Directive and the Maternity (Compulsory Leave) Regulations 1994, Statutory Instrument 1994/2479 reg.2). 2.5 Statutory adoption leave was introduced in April 2003. As with maternity leave the employee has the right to take whichever aspect of the statutory and contractual provisions is the more beneficial. There are occupational schemes for adoptive parents’ leave for both support staff and teachers. That for teachers is included in the maternity leave scheme. Adoption leave for support staff is a separate document – see below. An employee is entitled to ordinary adoption leave of 26 weeks (provided that the employee has been continuously employed for 26 weeks ending with the week in which he or she was notified as having been matched with a child) and, subject to the regulations, additional adoption leave of 26 weeks. There are statutory provisions for disrupted placements and keeping in touch days. Statutory adoption pay is payable at the earliest 14 days before the expected date of placement of the child and, subject to the regulations, lasts for up to 39 weeks, like statutory maternity pay. 2.6 Statutory Maternity Pay is payable to employees who satisfy Government regulations even if they do not intend to return to work. If staff are receiving contractual maternity pay Statutory Maternity Pay will be offset against it to the extent that the employee’s normal salary is not exceeded. Details of statutory maternity pay can be found at 470 Notes for Guidance – Employees in Schools Maternity leave and adoption leave http://www.direct.gov.uk/en/Parents/Moneyandworkentitlements/WorkAndFamilies/P regnancyandmaternityrights/DG_10029290. 2.7 Employees also have the option of submitting their resignation. If they are uncertain about this before the birth they may indicate an intention to resign and defer the actual resignation until after the birth. For pension purposes it is better to defer resignation until after the birth. Due regard must however be paid to requirements for normal notice periods. 2.8 An employee who is taking maternity leave under the appropriate contractual scheme and who is not able to return on the date already specified as her date of return because of sickness will be treated as on sick leave if she produces a medical certificate. The scheme for support staff specifies that if the employee wishes to postpone her date of return due to sickness she must submit a medical certificate stating that she will be incapable of work before the date of return. The situation for a teacher who is not taking the benefits of the Birmingham scheme and relying simply on her statutory rights is more complicated, and advice should be sought from Schools Personnel Services. 2.9 For a teacher who starts a second period of maternity leave before returning to work from the first period, the combined maternity leave is treated as a single period for the purpose of discharging the requirement to return to duty for the minimum period of thirteen weeks as defined in the scheme. 2.10 If a teacher resigns before completing the minimum period for which she is required to return the authority exercises its discretion regarding repayment of maternity pay to allow her to retain a proportion of her maternity pay (over and above statutory maternity pay) corresponding to the proportion of the minimum period which she has completed. In exceptional circumstances the whole of the repayment may be waived; enquiries about such circumstances should be directed to Schools Personnel Services in the first instance. 2.11 In addition a teacher who does not return to work and who has been unable to take her statutory annual leave entitlement during her period of maternity leave because that has coincided with the whole of the preceding school year is entitled to payment instead of that leave. Although teachers do not have a contractual leave entitlement, for the purposes of statutory annual leave under the Working Time Regulations, it has been agreed locally that their leave year runs from 1st September to 31st August. The Working Time (Amendment) Regulations 2007 improved the statutory annual leave entitlement for employees, increasing it to 24 days (or 4.8 weeks) paid annual leave with effect from 1st October 2007 and 28 days (or 5.6 weeks) in April 2009. Teachers are required to take their statutory annual leave during periods of school closure. If they fail to take it in one particular year due to a long period of maternity leave they can take it in the following year in addition to the statutory leave due in that year, because periods of school closure are over twice the period of statutory annual leave. 471 Notes for Guidance – Employees in Schools Maternity leave and adoption leave 2.11 A teacher who comes to Birmingham from another authority during her maternity leave will be allowed to continue her maternity leave and will receive payments according to the Birmingham scheme for such part of her maternity leave as may be outstanding. 2.12 Unpaid maternity leave does not count as reckonable service. Members of the Local Government Pension Scheme may elect to continue paying contributions during the period of unpaid leave, but since January 2007 this option has not been open to teachers, who can however buy additional pension. If a teacher does not return to work after maternity leave and submits her resignation her pensionable employment will end on the date on which she leaves or the date on which her maternity pay ends, whichever is the earlier. Teachers in these circumstances who wish to accumulate as much pensionable service as possible should therefore be advised to resign with effect from the end of their Statutory Maternity Pay period, but remember that they will have to repay occupational maternity pay in excess of the Statutory Maternity Pay. Those who do not wish to accumulate pensionable service may resign part way through their paid maternity leave and will continue to receive Statutory Maternity Pay if eligible, but without pension contributions being deducted after the date of resignation. 2.13 Maternity costs for teachers in schools will be met from the central reserve fund for this purpose. 2.14 The authority’s personnel services sections will give precise information and advice on particular circumstances to individual employees. 2.15 Women may spend up to ten ‘keeping in touch days’ at work during their maternity leave without interrupting that leave. The arrangement must be by mutual agreement; the employer is not obliged to offer the opportunity and the woman has no right to come into work without her employer’s consent. Part of a day counts as one of the ten days. Women on maternity leave in schools have to be paid in accordance with that part of their terms and conditions of employment dealing with maternity pay. At present the maternity leave schemes for teachers and support staff do not provide for extra payment for keeping in touch days. When attending work for such a day, therefore, an employee must continue to receive any statutory and occupational maternity pay to which she is entitled, but may not be paid anything over and above her maternity pay. However, if she incurs reasonable expenses, for example for childcare, the school may reimburse those expenses, subject to evidence of the expenses incurred. The same provisions apply to adoption leave. 472 Notes for Guidance – Employees in Schools Maternity Leave Scheme – Support Staff – Extract from Green Book Extract from the GREEN BOOK – SUPPORT STAFF 11. Maternity Scheme 11.1 Who This Scheme Applies to The occupational maternity scheme shall apply to all pregnant employees, regardless of the number of hours worked per week. 11.2 Initial Obligations on the employee An employee shall notify her employing authority at least 28 days before her absence begins or as soon as is reasonably practicable: (a) (b) (c) that she is pregnant; of the expected week of childbirth (EWC); of the date of the beginning of her absence. The employer can request that the notification of the beginning of the absence is given in writing and that the employee produce a certificate from a registered medical practitioner or a registered midwife stating the expected week of childbirth. 11.3. Health and Well-being (a) (b) Ante-Natal Care Any pregnant employee has the right to paid time off to attend for ante-natal care and must produce evidence of appointments if requested to do so by her employing authority. Health and Safety Consideration must be given to any health and safety implications for pregnant or breast-feeding employees identified in the Workplace Risk Assessment carried out in accordance with Part 2, Paragraph 4. 11.4. Maternity Leave Entitlement (a) All employees are entitled to 26 weeks’ ordinary maternity leave followed by 26 weeks’ additional maternity leave, giving a total of 52 weeks’ continuous leave ‘the maternity leave period’. (b) Maternity leave shall commence no earlier than 11 weeks before the EWC or from the day following childbirth if that is earlier. Within 28 days of receipt of the initial notification the employing authority will write to the employee informing them of the last day of their maternity leave and the expected date of return. 473 Notes for Guidance – Employees in Schools Maternity Leave Scheme – Support Staff – Extract from Green Book 11.4.1 Keeping in Touch (KIT) Days 11.5 (a) Keeping in touch (KIT) days are intended to facilitate a smooth return to work for women returning from maternity leave. Before going on leave, the employer and the employee should discuss and agree any voluntary arrangements, for keeping in touch during the employee’s maternity leave. An employee may work for up to 10 KIT days during OML or AML without bringing her maternity leave to an end. An employee may not work during the two weeks of compulsory maternity leave immediately after the birth of her baby. (b) The work can be consecutive or not, and can include training or other activities which enable the employee to keep in touch with the workplace. Any such work must be by agreement and neither the employer nor the employee can insist upon it. (c) Authorities are recommended to adopt policies for KIT days that have regard to DTI guidance (Maternity Entitlements and Responsibilities: A guide – babies due on or after 1 April 2007) and therefore should include arrangements for payment for working on these days. Maternity Pay (a) Payments for employees who have less than 1 year’s continuous local government service at the beginning of the eleventh week before the EWC shall be the employee’s entitlement to Statutory Maternity Pay (SMP) where eligible. (b) Payments for employees who have completed not less than 1 year’s continuous local government service at the eleventh week before the EWC shall be as follows:(i) For the first six weeks of absence an employee shall be entitled to nine-tenths of a week’s pay, offset against payments made by way of SMP or Maternity Allowance (MA) for employees not eligible for SMP. (ii) An employee who declares in writing that she intends to return to work will for the subsequent 12 weeks’ absence receive half a week’s pay plus SMP, where eligible, without deduction except by the extent to which the combined pay and SMP (or MA and any dependant’s allowances if the employee is not eligible for SMP) exceeds full pay. Alternatively the equivalent amount (i.e. 6 weeks’ pay) may be paid on any other mutually agreed distribution. 474 Notes for Guidance – Employees in Schools Maternity Leave Scheme – Support Staff – Extract from Green Book For the remainder of the maternity leave period the employee will receive their entitlement to SMP (currently 39 weeks in total), where eligible. 11.6 (iii) For employees not intending to return to work, payments during their maternity leave period following the first 6 weeks will be their entitlement to SMP (currently 39 weeks in total), where eligible. (iv) Payments made by the authority during maternity leave under (ii) above shall be made on the understanding that the employee will return to local authority employment for a period of at least three months, which may be varied by the local authority on good cause being shown and, in the event of her not doing so, she shall refund the monies paid, or such part thereof, if any, as the authority may decide. Payments made to the employee by way of SMP are not refundable. Right to Return to Work (a) Subject to (b) to return to the job in which she was employed under her original contract of employment, and on terms and conditions not less favourable than those which would have been applicable to her if she had not been absent. “Job”, for this purpose, means the nature of the work which she is employed to do, and the capacity and place in which she is so employed. (b) Where it is not practicable by reason of redundancy for the authority to permit her to return to work in her job as defined in (a) above the employee shall be entitled to be offered a suitable alternative vacancy where one exists, provided that the work to be done in that post is suitable to her and appropriate to the circumstances, and that the capacity and place in which she is to be employed and her terms and conditions of employment are not substantially less favourable to her than if she had been able to return to the job in which she was originally employed. (c) Suitable alternative employment may also be offered if exceptional circumstances other than redundancy (e.g. a general reorganisation) which would have occurred if the employee had not been absent, necessitate a change in the job in which she was employed prior to her absence. The work to be done should be suitable to her and appropriate to the circumstances and the capacity and place in which she is to be employed and her terms and conditions of employment should not be less favourable to her than if she had been able to return to the job in which she was originally employed. 475 Notes for Guidance – Employees in Schools Maternity Leave Scheme – Support Staff – Extract from Green Book 8. Exercise of the Right to Return to Work (a) (b) (c) Return before the end of the maternity leave period (i) An employee shall notify the authority in writing if requested, at least 21 days before the day on which she proposes to return if this is before the end of the maternity leave period. Where the notice given is less than 21 days the employer may postpone the return to ensure 21 days’ notice, but not beyond the end of the maternity leave period. (ii) If an employee changes her mind about the day she proposes to return, she must give her employer 21 days’ notice of the new date, if this is earlier than the original date (see 11.7 (a) (i)) she notified or if she is now proposing to return later than the original date, she must give notice of the new return date 21 days before the original return date. All employees (i) Where an employee is unable to return on the expected day due to sickness the absence will be covered by the sickness scheme in the normal way. (ii) For an employee where, because of an interruption of work (whether due to industrial action or some other reason) it is unreasonable to expect her to return on the due date, she may instead return when work resumes, or as soon as reasonably practicable thereafter. Return to work – Flexible Working arrangements Authorities should consider the full range of flexible working arrangements and support facilities for employees returning to work. The needs of breast-feeding employees should be taken into account. The Health and Safety Executive has produced guidance that employers should refer to if a facility for breastfeeding is requested. 11.8 Relationship with Sickness and Annual Leave (a) Maternity leave will not be treated as sick leave and will not therefore be taken into account for the calculation of the period of entitlement to sickness leave. (b) Ordinary maternity leave and additional maternity leave shall be regarded as continuous service for the purposes of the City Council’s 476 Notes for Guidance – Employees in Schools Maternity Leave Scheme – Support Staff – Extract from Green Book sickness and maternity schemes and annual leave. Annual leave continues to accrue during both ordinary and additional maternity leave. 11.9 Definitions (a) A Week’s Pay The term “a week’s pay” for employees whose remuneration for normal working hours does not vary with the amount of work done in the period, is the amount payable by the authority to the employee under the current contract of employment for working her normal hours in a week. Where there are no normal working hours, a week’s pay is the average remuneration in the period of 12 weeks preceding the date on which the last complete week ended, excluding any week in which no remuneration was earned. (b) Childbirth Childbirth means the birth of a living child, or a still birth after a pregnancy lasting at least 24 weeks. (c) Nothing in the above provisions shall be construed as providing rights less favourable than statutory rights. 477 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme BIRMINGHAM CITY COUNCIL BIRMINGHAM TEACHERS’ MATERNITY LEAVE SCHEME AND LEAVE FOR ADOPTION (2008) 1. Definitions 1.1 The Scheme applies to school teachers employed by Birmingham City Council (the authority) and to teachers employed by the governing bodies of voluntary aided and foundation schools maintained by the authority. 1.2 The Scheme shall apply to all pregnant school teachers in regular employment, regardless of the number of hours worked per week, but whose expected week of childbirth begins on or after 6th October 2008. Given the requirement to return to work for a minimum number of weeks the Scheme is limited to those teachers whose contracts of employment will run for long enough to allow them to fulfil that requirement. It therefore does not apply to teachers employed on a day to day or other short notice basis to whom statutory regulations on maternity leave and pay will apply. 1.3 Childbirth (or confinement) means the birth of a living child or the birth of a child, whether living or dead, after twenty-four weeks of pregnancy. 1.4 For the purpose of this Scheme a week’s pay shall be treated as the amount payable to the teacher under the current contract of employment. If there are significant variations in the teacher’s salary, the average salary over the twelve weeks preceding the date of absence shall be treated as a week’s salary. 1.5 For the purpose of this Scheme (as distinct from statutory rights) continuous service shall be defined as continuous service as a teacher employed by one or more local authorities and/or governing bodies of voluntary aided and foundation schools maintained by local authorities. 1.6 Nothing in the provisions of the Scheme shall be construed as providing rights less favourable than statutory rights. 2. Initial obligations on the teacher 2.1 To benefit from the scheme the teacher must: be employed by the employer immediately before the start of her absence; notify the employer in writing as soon as practicable but not later than the end of the fifteenth week before the expected week of childbirth (EWC) (or, if that is not reasonably practicable, as soon as is 478 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme reasonably practicable) of her pregnancy, the expected week of childbirth and the date on which she intends her maternity leave to start, which shall not be earlier than the beginning of the eleventh week before the expected week of childbirth. She must produce on request a certificate from a registered medical practitioner or a certified midwife stating the expected week of childbirth; declare in writing, at the time of notification of her intended absence, that she intends to return to work with her employer, if that is her intention and if she is able to return to work with her employer; and not remain at work if certified medically unfit to do so, taking into account the provisions of Health and Safety at Work Regulations. 3. Ante-natal care 3.1 Any pregnant teacher has the right to paid time off to attend for ante-natal care and must produce evidence of appointments if requested to do so by her employer. 4. Maternity leave 4.1 All teachers, irrespective of length of service, are entitled to remain absent for up to fifty-two weeks statutory maternity leave, subject to the statutory requirements for such leave. 4.2 Teachers who have completed not less than six months’ continuous service as defined in 1.5 above at the beginning of the eleventh week before the EWC shall have an entitlement to the amounts of pay during the first twentysix weeks’ leave of absence set out in section 6 below. 4.3 Maternity leave shall not begin before eleven weeks before the EWC and must continue for at least two weeks after the day of childbirth. Subject to this constraint and to the two exceptions set out below, teachers are required to notify their employer of the date on which they intend to start their maternity leave. The exceptions are where the teacher is absent from work “wholly or partly because of pregnancy or childbirth” after the beginning of the fourth week before the EWC, in which case maternity leave will start automatically on the day following the start of her absence, and where the baby is born before maternity leave starts, in which case the day following the date of childbirth will be regarded as the first day of maternity leave. 4.4 Within 28 days of receipt of the initial notification of the start of maternity leave the employer will write to the teacher stating the date on which her statutory maternity leave will end. 479 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme 5. Leave of absence 5.1 Under this Scheme, if a teacher has at least six months’ continuous service as defined in 1.5 above, special leave of absence immediately following the fifty-two weeks of statutory maternity leave may be granted without pay up to a maximum period of eighteen weeks (making total leave of seventy weeks). The right to return is limited to the contractual right to return at the end of the agreed, extended period of absence (unless the teacher has exercised in the meantime the statutory right to return early on a date within the statutory maternity leave period by giving 8 weeks’ notice). 6. Maternity Pay 6.1 There will be no payment for teachers who have less than twenty-six weeks’ continuous service as defined in 1.5 above at the beginning of the eleventh week before the EWC. For those who have at least twenty-six weeks’ continuous employment with Birmingham local authority at the beginning of the fifteenth week before the expected week of childbirth, but less than six months’ continuous service as defined in 1.5 above, Statutory Maternity Pay will be payable if the teacher meets all the other requirements for the payment of Statutory Maternity Pay. 6.2 Payment to a teacher who has completed at least six months’ continuous service as defined in 1.5 above at the beginning of the eleventh week before the EWC shall be as set out below and shall be made on the condition that the teacher will be available for work for the required period specified in section 7 below. 6.3 A teacher who has completed at least one year’s continuous service as defined in 1.5 above will be entitled to full pay in respect of the first eight weeks of absence, half pay for the following ten weeks. The eight weeks’ full pay will be offset against payments made by way of Statutory Maternity Pay (or Maternity Allowance for employees not eligible for Statutory Maternity Pay), provided that the total weekly payment shall not be less than nine tenths of a week’s salary reduced only by flat-rate Maternity Allowance. The ten weeks’ half pay shall be without deductions except by the extent to which a combination of half pay and Statutory Maternity Pay (or, if not entitled to Statutory Maternity Pay, Maternity Allowance) exceeds full pay. If entitled to Statutory Maternity Pay the teacher will receive that Pay in addition to the ten weeks’ half pay (provided that the total does not exceed full pay) and also for the subsequent period up to her return to work or until she has received a total of nine months’ maternity pay (whichever is the sooner). A woman in receipt of child care vouchers from the City Council may continue to receive them during her maternity leave as long as her other pay exceeds the qualifying minimum for such vouchers or may opt out of the voucher scheme during her maternity leave. 480 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme 6.4 A teacher who has completed at least six months’ but less than one year’s continuous service as defined in 1.5 above will be entitled to eighteen weeks half pay without deductions, except by the extent to which a combination of half pay and Statutory Maternity Pay (or, if not entitled to Statutory Maternity Pay, Maternity Allowance) exceeds full pay. If entitled to Statutory Maternity Pay the teacher will receive that Pay in addition to the eighteen weeks’ half pay (provided that the total does not exceed full pay) and also for the subsequent period up to her return to work or until she has received a total of thirty-nine weeks’ maternity pay (whichever is the sooner). 6.5 Any remaining period of absence up to the date of return shall be without pay. 6.6 In the event of the teacher not being available to return to her job for the required period (see section 8 below) she will be required to refund the full amount received, less Statutory Maternity Pay, which she is entitled to retain and which includes nine tenths of full pay for six weeks, and less any pay due for statutory annual leave entitlement in respect of the maternity leave period which has not been offset by school closure periods before or after her maternity leave. The requirement to refund the full amount may be reduced at the discretion of the authority. 7. Work during maternity leave 7.1 In accordance with statutory regulations an employee may carry out up to ten days’ work for her employer during her statutory maternity leave period without bringing her maternity leave to an end (work carried out for part of a day counting as a day’s work for this purpose), but she shall not be required to undertake such work, neither shall she have the right to work during her maternity leave, so any work shall be by mutual agreement. Work may include training or any activity undertaken for the purpose of keeping in touch with the workplace. None of the days worked shall take place during the two weeks following childbirth. 8. Subsequent obligations on the teacher 8.1 The teacher’s subsequent obligation, whether she is full-time or part-time or is changing her contractual hours of employment on her return to work, is to return to her job for at least thirteen weeks (including periods of school closure) as a qualifying condition for the benefits of this Scheme. This requirement may be reduced at the discretion of the employer. 8.2 The thirteen-week period (or part-time equivalent) starts from the date on which the teacher returns to work or the date during the school holiday on which the teacher’s period of absence ends. Should a teacher take parental leave immediately following maternity leave or the special leave of absence 481 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme after 52 weeks of maternity leave as provided by this scheme, that period of parental leave will not count towards the period of thirteen weeks. 8.3 Following a return to work the normal contractual provisions for termination upon notice (as set out in the conditions of service for school teachers) shall apply. 9. Return to work 9.1 Subject to paragraph 8.2 below and to the conditions set out in paragraphs 8.3 to 8.9, a teacher’s right to return to work under law is the right to return to work with the person who was her employer before the end of her statutory maternity leave period or (where appropriate) that employer’s successor. If she returns after a period of ordinary maternity leave (during or at the end of 26 weeks’ maternity leave) she is entitled to return to the job in which she was then employed before her absence with her seniority, pension rights and similar rights as they would have been if she had not been absent and on terms and conditions not less favourable than those which would have applied if she had not been absent. If she returns after a period of additional maternity leave (i.e. between 26 and 52 weeks’ maternity leave) she is entitled to return to the job in which she was employed before her absence or, if it is not reasonably practicable for the employer to permit her to return to that job, to another job which is both suitable for her and appropriate for her to do in the circumstances, and with her seniority, pension rights and similar rights as they would have been if she had not been absent and on terms and conditions not less favourable than those which would have applied if she had not been absent. 9.2 A teacher who wishes to return before the end of her maternity leave period as notified to her by her employer shall give her employer, in writing, not less than 8 weeks’ notice of the date on which she intends to return. If she wishes subsequently to vary this original return date she must also give 8 weeks’ notice of the proposed variation. If the teacher attempts to return earlier than the end of her maternity leave period without giving appropriate notice, her employer can postpone her return date to secure 8 weeks’ notice, but not beyond the end of the maternity leave period. 9.3 A teacher who qualifies for leave under paragraph 4, having notified the date of return in accordance with paragraph 8.3 or 8.4 above, may postpone it if, before the notified date of return, she gives the employer a medical statement stating that she will be incapable of work. 9.4 When, because of an interruption of work (whether due to industrial action or some other reason), it is unreasonable to expect a teacher qualifying for leave under paragraph 4 to return on the notified date, she may instead return when work resumes, or as soon as reasonably practicable thereafter. 482 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme 9.5 Subject to sub-paragraph 4.3 above, absence on account of sickness, whether attributable or not to the pregnancy, which occurs outside the period of maternity leave shall be treated as absence on sick leave, provided that it is covered by a medical certificate, and shall be subject to the provisions of the Teachers’ Sick Pay Regulations. Such absence not covered by a medical certificate shall be treated as leave without pay. 10. Pregnant teachers and rubella 10.1 If in the early months of pregnancy a teacher is advised by an approved medical practitioner to absent herself from school because of the risk of rubella she shall be granted leave with full pay, provided that she does not unreasonably refuse to serve in another school where there is no such undue risk. 11. Notice provisions: teachers not intending to return to work 11.1 A teacher who does not intend to return to work after childbirth is subject to the notice provisions set out in paragraph 5.6 of the Burgundy Book, i.e. to termination of employment before the expected date of childbirth, as the maternity leave scheme is for teachers genuinely intending to return to work. However, Birmingham City Council allows such a teacher to give informal notification of her intention to resign and to defer her resignation until after the safe delivery of her child, on the understanding that in such cases the resignation will be submitted as soon as possible after childbirth and will not be subject to the normal notice periods. Statutory Maternity Pay will be payable to the teacher if she is eligible for it. 12. Adoption 12.1 The Paternity and Adoption Leave Regulations shall apply to teachers who are adoptive parents, by varying this maternity leave scheme to comply with the Regulations. The main variations are set out below. 12.2 The teacher may choose to begin a period of statutory adoption leave on the date on which the child is placed for adoption or on a predetermined date no more than fourteen days before the date on which the child is expected to be placed. The date must be specified in the teacher’s notice of intention to take statutory adoption leave to the employer and that notice must be given no more than seven days after the date on which the teacher is notified of having been matched with a child for the purposes of adoption or, where that is not reasonably practicable, as soon as is reasonably practicable. 12.3 The teacher must provide documentary evidence from the adoption agency giving the name and address of that agency, the name and date of birth of the child, the date on which the teacher was notified of the match with the 483 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme child and the date on which the agency expects to place the child with the teacher. 12.4 Teachers are entitled to additional adoption leave provided that the ordinary adoption leave does not end prematurely. 12.5 If a disrupted placement occurs during adoption leave (through the death of the child or the return of the child to the adoption agency) the adoption leave ends eight weeks after the end of the relevant week specified in the Regulations. 484 Notes for Guidance – Employees in Schools Teachers’ Maternity Leave Scheme TEACHERS’MATERNITY LEAVE SCHEME Key date 15th week before the expected week of childbirth (EWC) 28 days later 11th week before the EWC 4th week before EWC 7 days after notification of adoption matching 14 days before adoption placement 15 days after childbirth 26 weeks after start of maternity leave 52 weeks after start of maternity leave 70 weeks after start of maternity leave 8 weeks Teacher to notify employer of Pregnancy EWC Date of starting maternity leave Intention to return Employer to reply with details of maternity leave etc. and specifically the calculated date of return (subject to the teacher meeting the criteria, this will be 52 weeks after the teacher’s notified start date) Earliest date when maternity leave can start Date by which a teacher must have qualifying continuous service for occupational maternity pay (12 months for higher rate of occupational pay, 6 months for lower rate) and for 18 weeks special leave after statutory maternity leave Date after which absence on account of pregnancy or childbirth means maternity leave must start Latest date for notice of intention to take adoption leave Earliest date for start of adoption leave Earliest date of return from maternity leave End of ordinary maternity leave, unless teacher returns early End of additional maternity leave, unless teacher returns early End of special leave if teacher takes that extra leave as permitted under the Birmingham Teachers’ Maternity Leave Scheme Notice required if teacher wishes to return early from maternity leave (as distinct from special leave, where a change in return date is by mutual agreement only) 485 Notes for Guidance – Employees in Schools Adoptive Parents’ Leave Scheme – Support Staff ADOPTIVE PARENTS’ LEAVE – CITY COUNCIL POLICY - SUPPORT STAFF The current information provided by the City Council on adoptive leave and pay is set out below. This information excludes some of the provisions of the former Adoption Leave Scheme (which was out of date, not having extended the period of leave to the statutory 52 weeks). For example, the current information does not explain that if both adoptive parents are employees of the City Council, only one of them may take this leave, with the other being eligible for support leave on the same lines as the two weeks of paternity leave/maternity support leave. The former scheme also permitted adoptive parents to start adoption leave eleven weeks before the placement; the new scheme limits this period to 14 days. For this reason, the former scheme is stored for reference purposes. The amount of Adoptive Parents’ leave an employee is entitled to depends upon the amount of continuous local government service for that employee: 1. Employees with more than 26 weeks’ continuous local government service in the week that they are notified of a match are entitled to 52 weeks, 39 weeks leave with pay and 13 weeks leave without pay. 2. Employees with less than 26 weeks’ continuous local government service in the week that they are notified of a match will be entitled to 52 weeks unpaid leave. The earliest time to start Adoptive Parents’ leave is 14 days before the expected date of placement. The latest time to start Adoptive Parents’ leave is the actual date of placement, whether this is earlier or later than expected. The latest time for return to work is after the full 52 weeks Adoptive Parents leave. Adopters can change their mind about the date on which they want their leave to start providing they tell their line manager at least 8 weeks in advance (unless this is not reasonably practicable). The City Council will respond in writing within 28 days of the employee’s notification of their leave plans, setting out the date on which the employee is expected to return to work if the full entitlement to adoption leave is taken. If the child’s placement ends during the adoption leave period, the adopter can continue adoption leave for up to 8 weeks after the end of the placement. Occupational Adoptive Parents Pay is paid to eligible employees with at least one year’s continuous local government service provided that they return to work for at least three months (excluding parental leave taken immediately after the adoption leave). It is paid at the same level as occupational maternity pay. Employees with less than one year’s continuous local government service receive statutory adoption pay only. 486 Notes for Guidance – Employees in Schools Adoptive Parents’ Leave Scheme – Support Staff Should an employee who has received occupational adoptive parents’ pay not return to work for the required period of three months that employee will be required to repay the amount by which this pay exceeds Statutory Adoption Pay, unless it is considered that there are exceptional reasons for repayment to be waived in full or in part. An employee who is unsure at the start of Adoptive Parents’ leave whether or not to return can opt for the occupational pay to be delayed and paid if the employee does return. 487 Notes for Guidance – Employees in Schools Statutory Maternity Pay STATUTORY MATERNITY PAY Statutory Maternity Pay - SMP - is separate from occupational maternity pay under the local government maternity leave scheme or the teachers’ maternity leave scheme. Women who have been granted maternity leave under one of these schemes will be informed whether they are also entitled to SMP. If they are, SMP will be offset against the maternity pay due under those schemes. If SMP happens to be more than the maternity pay (due to the rules for calculating SMP) then the full rate of SMP will be paid. SMP is payable to all qualifying employees whether or not they intend to return to work after the baby’s birth. Further details are available from the appropriate personnel services section. The following is a summary of the main aspects of SMP:1. It is paid by employers. 2. It does not depend on return to work after the birth. 3. To qualify for SMP a woman must: have been continuously employed by the same employer - Birmingham City Council (teachers in voluntary aided schools will count as employees of the City Council for this purpose) - for a continuous period of at least 26 weeks continuing into the fifteenth week (called the Qualifying Week - QW) before the expected week of confinement (EWC); and have average weekly earnings (over the eight weeks before the last pay day before QW) not less than the lower earnings limit for the payment of National Insurance Contributions; and still be pregnant at the eleventh week before the EWC or have been confined by that time (there are special arrangements for premature births); and give her employer at least 28 days’ notice, or as much notice as is reasonably practicable, of the start of her absence (Birmingham City Council will require notification in writing); and provide medical evidence of the expected week of confinement, preferably on a maternity certificate (form Mat. B1); and start approved maternity leave; and not be in legal custody during the Maternity Pay Period. 488 Notes for Guidance – Employees in Schools Statutory Maternity Pay 4 Some breaks between contracts can be part of a continuing period of employment for the purposes of SMP only, for example public or school holidays in the case of relief teachers. 5 SMP is paid for a maximum of 39 weeks. The Maternity Pay Period can commence at any time from the eleventh week before the expected week of confinement up to birth. 6 If the employee is absent with a pregnancy-related illness at any time from the fourth week before the expected week of confinement the Maternity Pay Period must start from the fourth week or, if the absence begins after the beginning of the fourth week, from the Sunday following the first day of that absence. For the first six weeks SMP will be paid at 90 per cent of average earnings or the statutory weekly rate, whichever is the higher. For the remaining weeks all SMP will be paid at the statutory weekly rate (raised annually). 7 SMP is subject to PAYE income tax and national insurance contributions. If a teacher is on maternity leave and receiving maternity pay SMP is also superannuable. 8 If an employer judges that the employee does not qualify for SMP a statement of the reason(s) why the employee is excluded must be given to her. If the employee disagrees with the exclusion she may apply to the appointed adjudication officer for an independent decision. Employees who do not qualify for SMP may apply to the appropriate government department for maternity allowance. Anyone who is pregnant is urged to consult Schools HR Services. Arrangements will proceed for maternity leave under the occupational maternity leave scheme or national legislation whilst an employee’s entitlement to SMP is assessed; do not delay in sending medical evidence of pregnancy to the appropriate staffing officer. 489 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working 3 Ante-natal care, fertility treatment, pregnant workers, new and expectant mothers Ante-natal care 3.1 Sections 55 and 56 of the Employment Rights Act 1996 provide that an employee who is pregnant and who has, on the advice of a registered medical practitioner, registered midwife or registered health visitor, made an appointment to attend at any place for the purpose of receiving ante-natal care, is entitled to be permitted by her employer to take time off during her working hours to enable her to keep the appointment. The time off is paid leave at the normal rate of pay. If a part-time employee’s ante-natal appointments happen to fall on one of her working days, she should therefore be given paid leave of absence on that day. The Government has ruled that ante-natal care may include not only medical examinations but also relaxation and parentcraft classes. It does not cover pregnancy tests. If requested to do so by the employer, the employee must produce documentary proof of the appointment (other than the first appointment during the pregnancy). Under the Education (Modification of Enactments relating to Employment) (England) Order 2003 the Authority remains responsible for implementing this statutory right. New and expectant mothers 3.2 Advice on the health and safety of new and expectant mothers is given in the authority’s guidance on health and safety. Fertility treatment 3.3 Some employees undergoing fertility treatment will have their absence covered by a medical certificate, so such absence should be treated as sick leave. Others may be required to attend for hospital appointments, the timing of which will be determined by the hospital and for which leave of absence should be given in the same way as for hospital appointments generally. Paid leave of absence should also be given for attendance at a prescribed course of medical treatment. Advice on particular cases may be obtained from the Employee Relations Team. A ruling on a case before the European Court of Justice in 2008 established that action taken against an employee absent for IVF treatment was sex discrimination. Risk assessments for pregnant women 3.4 The following guidance is taken from the authority’s advice on health and safety in schools. Further advice may be obtained from the safety team, Schools Personnel Services or the Employee Relations Team. he Health and Safety at Work Act places a general duty on employers to ensure the 490 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working health and safety of employees at work, so far as is reasonably practicable. This could be construed as meaning that there is owed an individual duty to each employee. In addition to this general duty the Management of Health and Safety at Work Regulations impose specific duties on employers in respect of new or expectant mothers. The Regulations require risk assessments where women of child bearing age and new or expectant mothers may be exposed to any process, work condition or physical, chemical, or biological agent that may adversely affect their health and safety or that of their unborn child. These requirements apply regardless of length of service or hours worked. The Pregnant Workers Directive of the European Union includes the following specific risks: Physical agents – Vibration, manual handling, noise, ionising and non-ionising radiations, temperature extremes, postures and movements that cause mental and/or physical fatigue, high pressure atmospheres. Biological agents – Bacteria and other micro-organisms known to cause adverse human health effects, especially those know to cause abortion or physical/neurological damage Chemical agents – Substances absorbed through the skin, cytotoxic drugs, lead, mercury, carbon dioxide and chemicals labelled with the following warning phrases: possible risk of irreversible effects, may cause cancer, may cause heritable genetic damage, may cause harm to unborn child, possible risk or harm to unborn child, may cause harm to breast fed babies 3.5 In some circumstances, pregnant women are more at risk than non-pregnant women in the same employment, and are therefore owed a greater duty of care. Once a woman has notified her employer of her pregnancy an assessment will need to be carried out to identify any risks specific to her condition. Appropriate action must then be taken to prevent or control these risks. The expectant/new mother and the union/safety representative should be consulted about and kept informed of the measures to be taken at all stages. If at any time the expectant/new mother believes that there is a risk to her safety or that of the unborn child then she should bring this to the attention of her employer and union/safety representative. In practice this may mean that some systems of work or control measures already in existence may not be appropriate for new or expectant mothers and will have to be replaced or adapted accordingly. The risk assessment must be kept under review so that the health of the woman and the unborn child continue to be protected. However, it must be remembered that pregnancy is not an illness or disease, and pregnant women can be as capable or work as a nonpregnant employee if full and proper consideration is given to the condition. 3.6 Some of the risk areas to be considered, in addition to physical, biological or chemical agents, are described below. If risks are identified, information about them should be made available to all employees. 491 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working Certain physiological changes occur during pregnancy which should be taken into account when deciding whether the work activity poses a particular risk to expectant mothers. Such conditions could include morning sickness which may lead to lateness, especially if there is an early start to the working day, for example with caretaking and cleaning. Also, the sense of smell can become more acute and some smells may cause nausea. Backache is another common complaint which can be associated with working posture and manual handling activities. These will become increasingly important as the pregnancy progresses. The increasing physical size of a pregnant woman may affect the amount of workspace needed for her to work comfortably and her ability to perform manual handling correctly and safely. Her degree of mobility, balance, dexterity and co-ordination may also be affected. Many pregnant women will have to visit the lavatory with increased frequency, so it is important that they can leave their work easily and that toilet facilities are readily accessible. Staff working with children are at greater risk of exposure to infections such as hepatitis B, tuberculosis and chickenpox. Rubella (German measles) can be a serious risk to the unborn child if contracted in the first few months of pregnancy. Considering the risks involved it is recommended that all staff are informed of any case of rubella in the workplace. This will also have to be extended to any visiting female staff or members of the public. Any female employee concerned over this issue should be encouraged to seek the advice of her doctor. All staff are potentially at risk from assaults, although the degree of risk can vary from school to school. The consequences of assaults are of course especially serious for pregnant workers or new and nursing mothers. Schools should be able to modify work routines or conditions so that any identified risks can be prevented or controlled. In the rare cases when schools cannot reasonably do this, or if a medical practitioner advises that an employee should not carry out a work activity, then the new or expectant mother has the right to be redeployed temporarily to other suitable alternative work during her pregnancy without detriment to her pay or conditions. If a medical practitioner advises that an employee in the early stages of pregnancy should not attend her workplace because of the risk of exposure to rubella or other infection which may be injurious to the unborn child and if alternative work cannot be provided at another location where there is no undue risk, then the employee must be granted leave of absence without detriment to her pay or conditions in accordance with the Regulations. 492 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working 4 Paternity leave, maternity support leave, parental leave, time off for dependants and flexible working Ordinary (statutory) paternity leave and occupational maternity support leave 4.1 Qualifying employees are entitled to one week’s or two consecutive weeks’ statutory paternity leave within 56 days of the birth of the child. The conditions of qualification include being the father of the child or married to, or in an “enduring family relationship” with, the child’s mother and expecting to have responsibility for the child’s upbringing. The employee must also have 26 weeks’ continuous service with the current employer by the end of the fifteenth week before the expected week of the child’s birth. There are detailed regulations governing the notice and evidence to be given. As with maternity leave, notice must be given before the end of the fifteenth week before the expected week of the child’s birth unless this is impracticable, in which case notice must be given as soon as reasonably practicable (although there are also regulations allowing this date to be altered subsequently). 4.2 With appropriate adjustments, specified in the regulations, paternity leave can also be taken by the partner (male or female) of an adoptive parent. 4.3 All employees in Birmingham are also eligible for the scheme for maternity support leave, initially introduced for non-teaching staff and in January 1999 extended to teachers as a local condition of service. Under this scheme maternity support leave of five days with pay shall be granted to the child’s father or the partner or nominated carer of an expectant mother at or around the time of birth. A nominated carer is the person nominated by the mother to assist in the care of the child and to provide support to the mother at or around the time of birth. 4.4 Statutory paternity pay was introduced with statutory paternity leave and is offset against the contractual provision for full pay for five days’ paternity or maternity support leave. 4.5 Employees may take whichever aspect of the statutory and contractual schemes is the more beneficial. Those eligible may therefore take one week’s maternity support leave with full pay and the following week as statutory paternity leave with statutory paternity pay (a flat rate prescribed nationally or 90 per cent of salary if that is less than the national rate). Additional paternity leave 4.6 Qualifying fathers of children whose expected date of birth or placement for adoption is on or after 3 April 2011 will be able to take additional paternity leave if the child’s mother does not take her full entitlement to maternity leave. The leave must be taken between 20 weeks and 52 weeks after the 493 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working birth or adoption and may be for up to 26 weeks. If some of the leave is taken during the period in which the mother would have been receiving statutory maternity pay, the father may then claim the outstanding statutory maternity pay as statutory paternity pay; otherwise the leave will be unpaid. 4.7 To qualify for additional paternity leave employees must have the same length of service as for ordinary paternity leave. The mother or principal adopter of the child must have returned to work with at least two weeks of statutory maternity or adoption pay outstanding 4.8 There are regulations for applying for the leave and providing documentation, including self-certification by the mother of her return to work. There are forms on the Government website which schools and employees may use. There is no statutory requirement to use these forms, but the employee and partner must provide all the information specified. At least eight weeks before the start of additional paternity leave the employee must provide the school with a declaration that the employee is either the biological father of the child, or the husband, civil partner or partner of the mother (or principal adoptive parent) and that the leave will be for the purpose of caring for the child, the date when the child’s birth or placement was expected and the actual date, the date when additional paternity leave would start and the date on which the employee would return to work. The mother (or principal adoptive parent) must provide a signed declaration to the school giving name, address (including postcode), national insurance number, confirmation that she or he has been entitled to statutory maternity leave, statutory maternity pay or maternity allowance, or statutory adoption leave or pay, when that leave or pay started, the intended date of return to work, statement that the information supplied is correct and may be used to authorise additional paternity leave for the employee and that the employee and no other person will be claiming additional paternity leave in respect of that child. Within 28 days of receiving notice from the employee the school may ask for a copy of the birth certificate or adoption matching certificate and details of the mother’s employment. If this information is requested the employee must give it within 28 days. The employer may use this information to check that the mother or principal adoptive parent has returned to work. If the mother is still absent from work, even if this is on annual leave, sick leave or parental leave, the employee will not be entitled to additional paternity leave. 4.9 The school must notify Schools HR that the employee intends to take additional paternity leave. Schools HR will then confirm the starting and end date for paternity leave, when any statutory paternity pay is due and for how many weeks. 494 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working 4.10 During additional paternity leave the employee may, by mutual agreement, attend work for up to ten ‘keeping in touch’ days without losing any additional paternity pay, but no other payment will be made. 4.11 On return to work the employee is entitled to return to the same job on the same terms and conditions without detriment as a consequence of absence on additional paternity leave. In the event of a redundancy situation the employee would be entitled to the same treatment as a woman on maternity leave. Parental leave 4.12 The Employment Relations Act 1999 and subsequent Maternity and Parental Leave Regulations introduced certain statutory rights to parental leave. 4.13 Parents of children under five years of age are able to take thirteen weeks parental leave for each child, provided that they have completed one year’s service with their employer. For a child with a disability a parent is entitled to take eighteen instead of thirteen weeks and may take that leave up to the child’s eighteenth birthday. Where a child is adopted, the adoptive parent can take parental leave during the five years after the child is placed for adoption, or until the child’s eighteenth birthday, whichever is the sooner. 4.14 Statutory parental leave is unpaid. 4.15 Where a local workforce, collective or individual arrangement has not been reached, the statutory fallback scheme applies automatically. This provides for employees to take parental leave In blocks or multiples of one week, up to a maximum of four weeks a year After giving twenty-one days’ notice Subject to postponement by the employer for up to six months for business reasons, except when the employee gives notice to take parental leave immediately after the child is born or placed with the family for adoption With the right to return to the same job as before if the leave was for a period of four weeks or less, otherwise to return to a job not necessarily the same, but with no detrimental terms and conditions of employment. 4.16 Employers are not required to keep statutory records of parental leave taken but may wish to do so. Employers may make enquiries of a previous employer or seek a declaration from the employee about how much parental leave has been taken. 495 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working Time off for dependants 4.17 Time off for dependants is distinct from parental leave. It is intended to cover emergencies involving a dependant. A dependant is defined as a spouse, child, parent or a person living in the same household as the employee (other than a tenant, lodger, employee etc.). For the purposes of items (a) and (b) below the definition also includes any person who reasonably relies on the employee for assistance on an occasion when the person falls ill or is injured or assaulted or to make arrangements for the provision of care in the event of illness or injury and for item (d) any person who reasonably relies on the employee to make arrangements for the provision of care. The statutory right is for reasonable time off and is unpaid. Specific circumstances mentioned in the regulations are listed below. The leave of absence schemes for employees in Birmingham should be applied in the light of the statutory regulations and will provide some paid time off for emergencies involving a dependant. For further guidance see under the leave of absence scheme - Reasonable time off for dependants – guidance on special leave (a) To provide assistance on an occasion when a dependant falls ill, gives birth or is injured or assaulted (b) To make arrangements for the provision of care for a dependant who is ill or injured (c) To deal with the death of a dependant, for example to make funeral arrangements or to attend a funeral (d) To deal with an unexpected disruption or termination of arrangements for the care of a dependant (e) To deal with an incident involving the employee’s child during school hours. 4.18 Employees are required to tell the employer the reason for the absence as soon as is reasonably practicable and how long they expect to be absent. Employees who consider that a reasonable request for time off has been refused have the right to complain to an employment tribunal within three months of the refusal. Flexible working – statutory rights 4.19 The Employment Act 2002 inserted into the Employment Rights Act 1996 a statutory right for a qualifying employee to apply for a change in the terms and conditions of the contract of employment to enable the employee to care 496 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working for a child if the change relates to the hours, times and place of work. Since 6th April 2007 a similar right applies to an employee who wishes to care for an adult who is a spouse or partner, a relative, or who is living at the same address as the employee. An application must be made before the day on which the child reaches the age of seventeen, or, if disabled, eighteen. The employee must have been continuously employed for a period of not less than 26 weeks and must be either the mother, father, adopter, guardian or foster parent or private foster carer or a person in whose favour a residence order is in force in respect of the child, or married to or the civil partner, or the partner of the child’s mother, father, adopter, guardian or foster parent and have, or expect to have, responsibility for the upbringing of the child. The form of such applications and the procedure for considering them are set out in the Flexible Working (Procedural Requirements) Regulations 2002, the Flexible Working (Eligibility, Complaints and Remedies) Regulations 2002, the Flexible Working (Eligibility, Complaints and Remedies) (Amendment) Regulations 2006, the Flexible Working (Eligibility, Complaints and Remedies) (Amendment) (No. 2) Regulations 2007, which also cover the right of an employee to complain to an employment tribunal, and the Flexible Working (Eligibility, Complaints and Remedies) (Amendment) Regulations 2009. 4.20 The application must state that it is an application made under the provisions of the Act, specify the change applied for and the date on which the applicant proposes it should take effect, explain what effect, if any, the employee thinks the change would have on the employer and how such an effect could be dealt with, and explain how the employee’s relationship with the child or adult, as the case may be, meets the conditions of the Act and Regulations. 4.21 The employer must deal with the application in accordance with the regulations and can only refuse the application for one or more of the following reasons 4.22 the burden of additional costs detrimental effect on ability to met customer demand inability to re-organise work among existing staff inability to recruit additional staff detrimental impact on quality detrimental impact on performance insufficiency of work during the periods the employee proposes to work planned structural changes The regulations set out statutory time limits for considering applications and making appeals. They permit extension of these limits by written agreement between the employer and employee. Where the school needs time to try to make arrangements for flexible working (for example, by recruiting another employee or adjusting the working hours of other employees) it is to the 497 Notes for Guidance – Employees in Schools Paternity Leave, Maternity Support Leave, Parental Leave, Time Off for Dependants and Flexible Working employee’s advantage to agree to an extension rather than invite outright refusal of the application. 4.23 Governing bodies are recommended to adopt the procedure set out in the following pages in order to meet the procedural requirements of the legislation. Flexible working - other 4.24 Schools are recommended to consider applications for flexible working from employees other than those with a statutory entitlement to make such applications. For example, people with caring responsibilities outside the current statutory provisions, or people interested in working fewer hours preparatory to retirement, can continue to make a valuable contribution to the work of the school with a more flexible working pattern. 4.25 Such applications should be made in writing at least three months before the date on which the contractual change would start, to allow time for the application to be considered and, if approved, for appropriate arrangements to be made (including recruiting an additional employee if necessary). As a variation in contract may well affect the staffing establishment of the school, the head teacher should consult the staffing/personnel committee as necessary. The staffing/personnel committee may agree to delegate decisions about flexible working beyond the statutory scheme to the head teacher in the same way as the model procedure for the statutory scheme provides for the head teacher to discuss the application with the employee. Following the meeting the employee must be advised of the decision and of his or her right to appeal against an unfavourable decision. Any appeal should be heard by the appeals committee appointed by the governing body. The clerk to the governing body should advise the employee of the date and procedure for the appeal hearing, reminding the employee of the employee’s rights at the hearing, including the right to be accompanied by a friend or representative of his or her choice, and the action which the appeal committee may take. The authority’s recommended protocol for the conduct of meetings should apply. . . 498 Notes for Guidance – Employees in Schools Applications for Flexible Working – Model Procedure for schools APPLICATIONS FOR FLEXIBLE WORKING - MODEL PROCEDURE FOR SCHOOLS 1. Introduction 1.1 This procedure has been adopted by the governing body of _______________ School for applications from employees for flexible working arrangements under the Employment Act 2002 and in accordance with the Regulations made under that Act. 1.2 This procedure will be available to all employees at the School, together with details of the relevant provisions of the Employment Act specifying eligibility for the statutory right to request a change in terms and conditions of employment and the nature of the changes which can be requested. 1.3 In accordance with the Regulations the periods specified in this procedure for dealing with applications and making or dealing with appeals may be extended by mutual, written agreement between the head teacher, and/or appeals committee as the case may be, and the employee. The governing body supports the use of extensions where these enable the school to try to make arrangements to accommodate the proposed changes rather than refuse them. 1.4 Where the head teacher is on leave or sick on the date the application is made the governing body recognises the statutory requirement to defer consideration of the application to the date the head teacher returns to work or for 28 days, whichever is the sooner. 2. Applications 2.1 An employee on the staff of the school wishing to exercise the statutory right to request a change in terms and conditions of employment must make an application in writing, dated, and stating whether he or she has made a previous application and, if so, when. The application shall be directed to the head teacher. 2.2 The application must state that it is made under the provisions of the Act, specify the change applied for and the date on which the applicant proposes it should take effect, explain what effect, if any, the employee thinks the change would have on the employer and how such an effect could be dealt with, and explain how the employee’s relationship with the child meets the conditions of the Act and Regulations. 2.3 The application shall be deemed to have been made on the day it is received as defined in the Regulations, i.e. on the day on which an electronic 499 Notes for Guidance – Employees in Schools Applications for Flexible Working – Model Procedure for schools communication is transmitted, or, if the request is sent by post, the day on which the application would be delivered in the ordinary course of post. 2.4 On receipt of the application the head teacher shall provide the employee with a copy of this procedure; and either agree to the request on behalf of the governing body and notify the employee in writing within 28 days after the date on which the application is made of the variation agreed and the effective date; or hold a meeting with the employee within 28 days after the date on which the application is made. In accordance with the Regulations the time and place of the meeting shall be convenient to the head teacher and the employee. The employee may be accompanied by a single companion of his or her choice who shall be permitted to address the meeting (but not answer questions on behalf of the employee) and confer with the employee during the meeting. If the chosen companion will not be available at the time proposed for the meeting and the employee proposes an alternative time convenient for all parties and falling within seven days of the date originally proposed by the head teacher, then the head teacher will postpone the meeting to the alternative date. 2.5 Where a meeting is held as specified under 2.4 the head teacher shall give the employee notice of the decision on the application within 14 days after the meeting. That notice shall be in writing. If the decision is to agree the application the notice shall specify the contract variation agreed and the date on which the variation is to take effect. Where the decision is to refuse the application the notice shall state which of the following grounds contain a sufficient explanation as to why those grounds apply in relation to the application and set out the appeal procedure: the burden of additional costs detrimental effect on ability to met customer demand inability to re-organise work among existing staff inability to recruit additional staff detrimental impact on quality detrimental impact on performance insufficiency of work during the periods the employee proposes to work planned structural changes 3. Appeals 3.1 An employee is entitled to appeal against a refusal of the application. Appeals will be heard by the appeals committee [or such other committee as may be specified by the governing body] of the Governing Body. 500 Notes for Guidance – Employees in Schools Applications for Flexible Working – Model Procedure for schools 3.2 The employee must give written notice of an appeal within 10 working days after the date on which notice of the decision is given, setting out the grounds of appeal. The notice must be dated and sent to the clerk to the governing body/appeals committee. 3.3 The appeals committee shall hold a meeting with the employee within 14 days after the employee’s notice of appeal is given, unless, within those 14 days, the committee decides to uphold the appeal and notifies the employee in writing of that decision, specifying the contract variation agreed and the date from which that variation is to take effect. In accordance with the Regulations the time and place of the meeting shall be convenient to the appeals committee and the employee. The employee may choose to be accompanied by a single companion of his or her choice who shall be permitted to address the meeting (but not answer questions on behalf of the employee) and confer with the employee during the meeting. If the chosen companion will not be available at the time proposed for the meeting and the employee proposes an alternative time convenient for all parties and falling within seven days of the date originally proposed by the appeals committee, then the appeals committee will postpone the meeting to the alternative date. 3.4 Where a meeting is held as specified under 3.3 the appeals committee shall give the employee notice of the decision on the appeal within 14 days after the meeting. That notice shall be in writing and dated. If the decision is to uphold the appeal the notice shall specify the contract variation agreed and the date on which the variation is to take effect. Where the decision is to dismiss the appeal the notice shall state the grounds for the decision and contain a sufficient explanation as to why those grounds apply. 501 Notes for Guidance – Employees in Schools Working time an annual leave 5. Working time and annual leave (i) Support Staff 5.1 Details of working time, including banked hours, and annual leave for support staff are in the Single Status arrangements – see http://ebriefing.bgfl.org/content/resources/resource.cfm?id=6294&key=&zz=2 0090818165350194&zs=n . 5.2 The Single Status scheme includes provisions for term-time working. Arrangements for banked hours are in Appendix E of the scheme. 5.3 Guidance on recording and monitoring the working time of support staff can be found at http://ebriefing.bgfl.org/content/resources/resource.cfm?id=8488&key=&zz=2 0110712123300794&zs=n 5.4 Following adoption by governing bodies the annual leave entitlement for support staff with effect from 1st April 2009 is Period of continuous service at 1st April Basic annual leave Up to 5 years 5 years 10 years plus 25 days 28 days 30 days Total leave entitlement (including bank holidays etc.) 37 days 40 days 42 days (ii) Teachers, including head teachers 5.4 Detailed guidance on the following aspects of managing teachers’ working time was issued to schools in June 2005. More detailed guidance on dedicated headship time was issued in February 2006. Managing teachers’ working time, including time for headship, leadership and management, planning, preparation and assessment (PPA), continuous professional development and special leave 5.5 Teachers’ working time must be arranged in accordance with the provisions of the School Teachers’ Pay and Conditions Document. The advice originally issued to schools in 1987-88 has been revised in consultation with the teachers’ associations following changes to the School Teachers’ Pay and Conditions Documents in 2003, 2004 and 2005 to implement ‘Raising standards and tackling workload: a national agreement’ signed in January 2003. It also takes account of developments in general employment law. 502 Notes for Guidance – Employees in Schools Working time an annual leave 5.6 Previous guidance concentrated on the working time of teachers other than members of the leadership group, advanced skills teachers and fast track teachers. However, many of the changes to the School Teachers’ Pay and Conditions Document affect all teachers regardless of their status. In addition to amending the advice on directed time for teachers, this guidance has therefore been expanded to include time for headship, leadership and management, and planning, preparation and assessment (PPA), as well as reference to issues around the balance between work and other parts of life. 5.7 The intention of the national agreement of 2003 is to reduce teachers’ workload and enable them to concentrate more on the teaching and learning of pupils. Implementing the agreement involves some re-organisation of teachers’ workloads, working time and school timetables, with possible consequences for the numbers and deployment of various categories of support staff. ‘Directed time’ 5.8 The phrase ‘directed time’ is commonly used in Birmingham to describe the time for which the School Teachers’ Pay and Conditions Document provides that a teacher (other than a member of the leadership group, an advanced skills teacher) shall be available for work in any school year at such times and such places as may be specified by the head teacher. The Document provides that a full-time teacher shall be available for work for 1265 hours over 195 days, of which 190 days shall be days on which the teacher may be required to teach pupils in addition to carrying out other duties. The other five days are to be used for preparatory meetings and work by staff, including professional and curriculum development. A full-time teacher shall be available at such times and at such places as may be specified by the head teacher (or the LEA in the case of centrally managed teachers) for a maximum of 1265 hours in any year, those hours to be allocated reasonably throughout the 195 days. 5.9 Part-time teachers (other than a member of the leadership group or an advanced skills teacher) are required to be on duty for the same fraction of 1265 hours as the proportion of full-time calculated for their salary under the School Teachers’ Pay and Conditions Document. The number of working days will depend on the working pattern agreed with the teacher on appointment and forming part of the contract of employment. (Fuller advice on part-time teachers is available in a separate section.) 5.10 The 195 days shall be specified by the employer, or if the employer so directs, the head teacher. Birmingham LEA has decided that head teachers in community, community special and voluntary controlled schools shall specify which five of the 195 days shall be teacher days and expects them to consult their staff on the content and timing of those days, having regard to professional development needs identified in the school improvement plan. 503 Notes for Guidance – Employees in Schools Working time an annual leave Where the organisation of a school is such that teachers need a day to prepare for the new school year (or term) before pupils attend, the LEA recommends head teachers to specify that day as a teacher day. This recommendation supports the balance between work and other aspects of teachers’ lives and is of particular help to teachers newly appointed to the school. Designated teacher days should be notified to all employees (and parents) at the end of the preceding school year. 5.11 The Document provides that, in addition, a teacher shall work such reasonable additional hours as may be needed to enable him to discharge effectively his professional duties, including, in particular, planning and preparing courses and lessons and assessing, recording and reporting on the development, progress and attainment of pupils. Despite the introduction of guaranteed time for planning, preparation and assessment (see below) the planned changes to the Document in September 2005 do not alter the section on reasonable additional hours, but the effect of guaranteed time for planning, preparation and assessment should be to reduce the reasonable additional hours. This additional work is outside the definition of directed time, as the employer shall not specify either the amount of time or the times for this additional work. The duties of head teachers to have regard to teachers’ balance between work and other parts of life (see below) apply to this additional work as well as to directed time. 5.12 Lunch breaks are excluded from directed time. A teacher cannot be required to undertake midday supervision and shall be allowed a break of reasonable length either between school sessions or between the hours of 12 noon and 2.00 p.m. There is no statutory guidance on the definition of “reasonable” in this context, but schools should have regard to the health and safety benefits of an adequate period for rest and refreshment for all employees in the school. (A teacher may be employed under a separate contract as a midday supervisor, but the LEA does not recommend this practice.) Time spent travelling to or from the place of work does not count against the 1265 hours. 5.13 In allocating the 1265 hours the starting point is the length of the pupil day. It is recognised that schools in the city start and finish the pupil day at different times and that each will therefore need to undertake its own calculations. Schools will also use periods of working time immediately before and after the pupil day for general pupil supervision. This is called ‘buffer time’ in Birmingham. To these daily working hours should be added the hours for the five days on which pupils are not present. Schools have been recommended to allocate six hours of working time for each of these five days, but if the day is not spent at the normal place of work then time should also be allocated to cover travel in excess of the teacher’s normal journey to work. 5.14 If a teacher is directed to attend a course on one of the 195 days, the period of actual course work set out in the course programme should be counted as directed time, together with any time spent in travelling in excess of the 504 Notes for Guidance – Employees in Schools Working time an annual leave teacher’s normal journey to and from work. The teacher will not normally be expected to be on duty for less than the length of the school day. 5.15 Having added together all the foregoing hours a number of hours will then remain out of the maximum of 1265. Head teachers are not obliged to direct teachers for all of these hours but may allocate hours for other duties, such as meetings with parents and staff meetings, and are advised to hold a few hours in reserve for unforeseen needs. The dates and times of such meetings, other than in emergencies, should be determined in relation to the requirement to allocate the 1265 hours reasonably over the year and should be notified to staff at the end of the preceding academic year. There may be occasions when the head teacher proposes, due to unforeseen circumstances, to alter a date for a meeting after school, but this should be subject to consultation with staff and should have regard to the possibility that employees may have regular domestic arrangements planned in advance for the year which cannot be altered at short notice or for odd days. 5.16 Full-time teachers in residential special schools are subject to directed time in the same way as teachers in other schools. Extraneous duties, which attract the extraneous duties allowance, are separate from directed time and will by definition be undertaken outside the pupil day. Normally, teachers should not be required to commence extraneous duties immediately after the end of timetabled teaching. 5.17 Although the provisions for 195 days and 1265 hours do not apply to head teachers, other teachers in the leadership group or advanced skills teachers, a head teacher is also responsible for directing the working time of these other teachers. The advice given above on lunch breaks, meetings after school, work/life balance and reasonable hours is equally applicable to their working time. The Document provides that these other teachers shall, in addition to the hours during which they are required to perform their duties as specified by the head teacher, work such reasonable hours as may be needed to enable them effectively to discharge their professional duties. 5.18 In directing working time head teachers must also have regard to other relevant provisions of the School Teachers’ Pay and Conditions Document described below. ‘Work/life balance’ 5.19 The School Teachers’ Pay and Conditions Document requires a head teacher, in carrying out his or her professional duties, to have regard to the desirability of teachers at the school being able to achieve a satisfactory balance between the time required to discharge their professional duties (including additional work outside directed time) and “the time required to pursue their personal interests outside work”. The head teacher must pay particular attention to this requirement when deploying and managing staff in 505 Notes for Guidance – Employees in Schools Working time an annual leave the school, and the direction of teachers and the assignment of particular duties shall be reasonable. 5.20 The statutory guidance accompanying the School Teachers’ Pay and Conditions Document describes characteristics of a school committed to work/life balance and also reminds employers of their duty to employees at common law and their legal duties under health and safety legislation. The authority encourages schools to review their working practices with these requirements in mind and to promote employees’ well-being as an essential part of their plans for healthy schools. The authority has an essentially preventive scheme, details of which are available from www.work-well.com. Other organisations offer support to employees who are experiencing difficulties affecting their work, including Teacherline (08000 562 561) and, available on subscription, the City Council’s Staffcare service (0121 464 0999). Dedicated Headship Time 5.21 From September 2005 the School Teachers’ Pay and Conditions Document (paragraph 15 of Annex 6 to the 2004 Document) provides that “A head teacher shall be entitled to a reasonable amount of time during school sessions, having regard to his teaching responsibilities, for the purpose of discharging his leadership and management responsibilities.” The Education (Review of Staffing Structure) (England) Regulations 2005 provide that the governing body “must have regard to the desirability of the head teacher being able to achieve a satisfactory balance between the time required to discharge his professional duties and the time required to pursue his personal interests outside work.” 5.22 The School Teachers’ Pay and Conditions Document makes a head teacher responsible for the leadership, internal organisation, management, and control of the school and for formulating the overall aims and objectives of the school and policies for their implementation. Dedicated headship time provides some of the time needed for head teachers to discharge these responsibilities 5.23 Any resource implication should be considered by the Finance Committee of the Governing Body when it sets the budget each year. The Committee should identify the resources necessary to enable the head teacher to take up the entitlement to dedicated headship time. 5.24 Dedicated headship time should be identified on the school timetable. 5.25 It is recommended that each year the Clerk to the Governing Body ensures that the Chair places on the agenda an item under which the head teacher will confirm to the Governing Body that he or she has taken dedicated headship time in accordance with the school timetable, or otherwise advise 506 Notes for Guidance – Employees in Schools Working time an annual leave the Governing Body of any difficulties which may have arisen. It is not for the governing body to specify what the head teacher does during dedicated headship time, but the head teacher may usefully share with governors some information on the activities undertaken over the past year. A fuller report may also form part of the annual review of the head teacher’s performance by the appropriate committee of the Governing Body. 5.26 There is no national, statutory guidance on an appropriate amount of dedicated headship time. The Birmingham local authority recommends governors to ensure that a minimum of ten per cent of the hours during which the school is in session (the pupil day) is taken by the head teacher as dedicated headship time. This time must be taken during the school sessions and should be identified on the school timetable. It is also recommended that the head teacher take this time as a single block, so as to have a reasonable length of uninterrupted time in which to concentrate on leadership and management responsibilities without being distracted by routine operational matters. 5.27 For example, if the pupil day is six hours, i.e. thirty hours a week, the head teacher’s dedicated headship time would be ten per cent of thirty, i.e. three hours a week. It is recommended that a single block of time should be identified, preferably on the same morning or afternoon each week. 5.28 Head teachers are to manage their own dedicated headship time and decide for themselves how best to spend it. Governing bodies can expect dedicated headship time to be used for a broad range of activities, which may include developing strategic leadership and management issues reviewing school improvement, the quality of teaching and learning, and the progress of pupils reading and research professional reflection and dialogue 5.29 During dedicated headship time the head teacher will not be 5.30 required to deal with routine matters asked to take telephone calls, or deal with enquiries in person expected to cover for absent colleagues required to meet parents, governors or other visitors to the school During dedicated headship time it is recommended that the head teacher is interrupted only in an emergency or when, exceptionally, he or she has given a prior indication that he or she would wish to be disturbed for specified reasons. The head teacher will make appropriate arrangements for dealing with enquiries, visitors, etc. similar to those applying when the head teacher is off the premises attending meetings or visiting schools. 507 Notes for Guidance – Employees in Schools Working time an annual leave 5.31 Dedicated headship time is separate from, and additional to, any guaranteed time for planning, preparation and assessment to which the head teacher is entitled commensurate with his or her teaching timetable. Leadership and management time 5.32 A teacher with leadership or management responsibilities, whether on the leadership spine or otherwise, shall be entitled, so far as is reasonably practicable, to a reasonable amount of time during school sessions for the purpose of discharging those responsibilities. This applies regardless of salary or contractual status; a teacher may have some limited management responsibilities without receiving a management allowance or a teaching and learning responsibility payment. A teacher with such responsibilities is entitled to leadership and management time for them even if he or she receives no additional remuneration. The entitlement is additional to the contractual provisions on work/life balance and guaranteed time for planning, preparation and assessment. Because of the varying nature and extent of responsibilities held by teachers the statutory guidance does not offer a formula for appropriate amounts of time, but does state that in order for the time to be meaningful it should not be allocated in short blocks of ten or twenty minutes here and there. 5.33 In most secondary schools it should be possible to identify existing amounts of leadership and management time within ‘non-contact’ time. It may also be appropriate to re-designate some or all of the non-contact time previously allocated to tasks not requiring the professional expertise of a teacher and which have been or should have been transferred to appropriate support staff from September 2003. Some primary schools have introduced management time, but others will need to identify time, and at least some of it during the school day, for this purpose. The commitment of the national agreement and the statutory guidance (paragraph 41) to ensure no detriment to existing conditions means that where teachers already have timetabled time for leadership and management (as distinct from any administrative and clerical tasks which should have been removed from their duties in September 2003) that amount of time should not be reduced in implementing the new requirements. Guaranteed time for planning, preparation and assessment 5.34 From September 2005 all teachers, including all those on the leadership spine, became entitled to guaranteed time for planning, preparation and assessment. They are entitled to “reasonable periods of time” (within the 1265 hours for those teachers subject to 1265 hours or, for part-time teachers, within the proportion of 1265 hours equating to the proportion of the school week in the contract of employment) amounting to “not less than 10%” of the teacher’s “timetabled teaching time”, defined as “the aggregate period 508 Notes for Guidance – Employees in Schools Working time an annual leave of time in the school time-table during which the teacher has been assigned by the head teacher in the school timetable to teach pupils”. The guaranteed time “shall be provided in periods of not less than half an hour during those parts of the school time-table in which pupils are taught the core and other foundation subjects or religious education”. Teachers shall not be required to carry out any other duties, including the provision of cover, during their guaranteed time for planning, preparation and assessment. 5.35 Where a teacher’s existing planning, preparation and assessment time exceeds ten per cent it should not be reduced to ten per cent, as this would contravene the no-detriment provisions of the national agreement and the statutory guidance accompanying the School Teachers’ Pay and Conditions Document. 5.36 For teachers in secondary schools (and possibly some in primary schools where funding has been available to release teachers) it will be necessary to determine how much of traditional ‘non-contact’ time has been used for planning, preparation and assessment and how much for leadership and management or other purposes, in order to ensure that the new statutory requirement is met and that the principle of no detriment is maintained. Schools must then ensure that the time used for planning, preparation and assessment, which is subject to the ‘no detriment’ provisions in the statutory guidance, amounts to at least ten per cent of timetabled teaching time. Schools may make special arrangements for teachers whose designated planning, preparation and assessment time falls on a day when the school is closed or when they are absent, but head teachers may take the view that the loss of planning, preparation and assessment time on such days is offset by other occasions on which the teacher benefits because the school is closed or the teacher is absent on other days of the week. 5.37 In schools where releasing teachers for planning, preparation and assessment is introduced for the first time consideration must be given to the way in which teaching and learning is organised to ensure that teachers receive their statutory entitlement. Although these arrangements are not defined as cover there are similarities with cover for planned absences and some guidance is therefore given in the section on cover for teachers and repeated below. 5.38 Teachers may be employed specifically to take classes when other teachers are timetabled for planning, preparation and assessment. They are not cover teachers, because they are timetabled from the beginning of the year to teach the pupils during the times specified and will be responsible for those lessons, albeit often working with other teachers in planning them. Some primary schools use subject specialists to teach a subject across the school during the planning, preparation and assessment time of other teachers. Teachers employed to release other teachers for planning, preparation and assessment are themselves entitled to time for planning, preparation and 509 Notes for Guidance – Employees in Schools Working time an annual leave assessment, as well as to all the other provisions of the School Teachers’ Pay and Conditions Document. Their working time should be managed in the same way as for other teachers in the school. 5.39 The agreement reached between the Birmingham education authority and relevant unions on the career structure for classroom based support staff provides for the limited use of higher level teaching assistants (level 4) for specified work with whole classes. This job for employees meeting specified national standards in accordance with the local agreement is principally to support classroom teachers but also permits them “during short, planned absences of the classroom teacher, [to] give lessons planned by a teacher or supervise work set by a teacher, with support from another suitable adult where the lessons or activities have been planned on the assumption that more than one adult will be present”. As higher level teaching assistants are qualified to undertake specified work the statutory guidance accompanying the School Teachers’ Pay and Conditions Document (paragraph 76) states that “They may be deployed as one of the strategies schools choose to release teachers for guaranteed PPA time, provided that they carry out work specified in the regulations made under Section 133 of the 2002 Act under the direction and supervision of a qualified teacher.” Their primary function remains to support and assist qualified teachers, so the Birmingham local agreement limits the amount of specified work with whole classes to no more than three sessions a week (a session being a morning or an afternoon). 5.40 Level 3 teaching assistants can undertake specified work with small groups of pupils and may supervise, as distinct from teach, a class of pupils in an emergency, and normally for a period of less than one lesson, until the teacher returns to the class or alternative arrangements can be made. (This emergency supervision should be for no more than two hours a week and should be undertaken in the class in which the teaching assistant normally works. The agreement also provides for the payment of a responsibility allowance to a level 3 teaching assistant in return for supervising any class of pupils for no more than two sessions a week in total.) Neither the statutory guidance nor the Birmingham local agreement provides for the use of level 3 teaching assistants for specified work with whole classes, so they are not be substituted for teachers during guaranteed time for planning, preparation and assessment. 5.41 Cover supervision “occurs when there is no active teaching” and pupils “continue their learning by carrying out a pre-prepared exercise under supervision”. Regular use of cover supervision during teachers’ guaranteed time for planning, preparation and assessment is not appropriate and is not one of the strategies recommended in the statutory guidance. Continuous professional development (including appraisal) 510 Notes for Guidance – Employees in Schools Working time an annual leave 5.42 The statutory duties of a head teacher include “ensuring that all staff in the school have access to advice, training and developmental opportunities appropriate to their needs, including needs identified in appraisal objectives or in appraisal statements in accordance with the policies of the maintaining authority and governing body” (School Teachers’ Pay and Conditions Document, paragraph 57.8.2). The direction of teachers’ working time should therefore include the allocation of some time for continuous professional development in accordance with the school’s development plan. Having regard to the workload of teachers and equal opportunities the authority has recommended governing bodies not to encourage attendance at in-service training in evenings, at weekends or in holidays. Some professional development will take place on the five teacher days, but where a need has been identified head teachers should also allocate time for teachers to attend appropriate professional development activities during school sessions. Where possible head teachers should allocate this time at the beginning of the school year, so that arrangements can be made for cover. 5.43 Head teachers should also allocate time as necessary for the appraisal of all teachers in accordance with the performance management policy adopted by the governing body. Newly qualified teachers – statutory induction 5.44 The statutory duties of a head teacher include “ensuring that newly qualified teachers and those returning to teaching after a break in service have access to adequate support in their first year of service or resumed service” and that “teachers serving induction periods under the Induction Regulations do not teach for more than 90% of the time a teacher at that school who does not receive a management allowance… would be expected to teach”. The working time of newly qualified teachers should therefore take account of this reduction and time should be allocated for other teachers to supervise, train and support a newly qualified teacher during induction. Managing working time 5.45 All the regulations and requirements affecting working time should be taken into account in drawing up teachers’ timetables at the beginning of the school year. In preparing timetables, therefore, head teachers should: ensure that they allocate the directed working time of each teacher in the school (including cover teachers on the staff of the school) alongside the school timetable and having regard to the desirability of teachers at the school being able to achieve a satisfactory balance between the time required to discharge their professional duties (including additional work outside directed time) and “the time required to pursue their personal interests outside work”; 511 Notes for Guidance – Employees in Schools Working time an annual leave 5.46 distinguish between guaranteed time for planning, preparation and assessment, time for leadership and management, headship time, time for professional development, including appraisal and statutory induction, and ‘gained time’ (as defined in the statutory guidance accompanying the School Teachers’ Pay and Conditions Document); implement the requirements to allocate leadership, management and headship time where appropriate, subject to the no detriment provisions of the statutory guidance; implement the requirement to allocate guaranteed time for planning, preparation and assessment, equivalent to at least ten per cent of the time for which the teacher is timetabled to teach pupils, in reasonable blocks of at least half an hour during the school timetable to every teacher in the school, including all those on the leadership spine and those employed wholly or mainly for cover; maintain the principle of no detriment by allocating extra time where necessary to ensure that, combined with the statutory guaranteed time for planning, preparation and assessment, each teacher has at least as much time for these purposes as has been available in the past; allocate working time as appropriate for all other duties, including professional development; plan ahead to cover special duties, such as professional development, affecting regular time-tabled duties; Model forms for allocating and recording working time are given in the following pages. These have been changed from the forms recommended in 1988 to take account of the new requirements affecting the working time of all teachers, not just those subject to 1265 hours. The forms are intended to help schools manage working time to the mutual benefit of all concerned. In large schools the allocation of working time may follow exactly the same pattern for particular groups of teachers, so schools choosing to use these forms can minimise the paperwork involved. Leave of absence 5.47 The allocation of working time will result in a timetable which assumes that the teacher will be present for all of his or her working time as directed by the head teacher. Where a teacher is absent from his or her time-tabled duties the head teacher will have to arrange cover for that absence (see separate guidance on Cover). Whilst many absences will be unplanned, there will be some occasions on absence is known in advance. For example, a teacher may be given a date for medical treatment weeks or even months in advance, or may ask for special leave of absence to observe a religious 512 Notes for Guidance – Employees in Schools Working time an annual leave festival in accordance with the requirements of his or her religion. The dates of such festivals are known (with more or less precision) well in advance. Head teachers are advised to invite teachers and other employees to apply at the beginning of the school year for leave of absence for unavoidable religious observances, so that plans for cover can be made in good time. Working time of cover/supply teachers employed on the staff of the school 5.48 Head teachers should direct the working time of cover teachers on the staff of the school in the same way as they direct the working time of other teachers. Teachers’ annual leave 5.49 Teachers do not have a contractual leave entitlement. For the purposes of statutory annual leave under the Working Time Regulations, it has been agreed locally that their leave year runs from 1st September to 31st August. The Working Time (Amendment) Regulations 2007 improved the statutory annual leave entitlement for employees, increasing it to 24 days (or 4.8 weeks) paid annual leave with effect from 1st October 2007; a further increase is due in April 2009. This entitlement is not additional to the current school closure periods but is offset against them; teachers are required to take their statutory annual leave during periods of school closure. 5.50 A teacher on maternity leave is entitled to take the statutory days (or appropriate proportion of them) outside her maternity leave. An employer may not treat any part of the maternity leave period as annual leave. Annual leave entitlement can be offset against any period of school closure that has take place or will take place in the leave year in question, either before or after the maternity leave period. If there is not enough time in the leave year for a teacher to take all her statutory annual leave entitlement when she returns from maternity leave she must be allowed to carry the balance over into the next leave year, when it will be offset against school closures in that year in addition to the statutory annual leave for that year. If a teacher does not return from maternity leave and has annual leave outstanding she is entitled to payment for that annual leave (which will be deducted from contractual maternity pay due for repayment as she has not returned for the required period). 513 Notes for Guidance – Employees in Schools Working time an annual leave SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT PLANNED ANNUAL ALLOCATION OF WORKING TIME Model form recommended for completion at the beginning of each school year in accordance with the authority’s guidance on working time Introductory notes on the form This form is not obligatory but is designed to help schools plan working time to the mutual benefit of all concerned. Although it provides for signature by the head teacher, who is responsible for directing the time of all teachers on the staff of the school, other members of the leadership team may help in preparing the form. Time can be saved by recognising that groups of teachers may have the same allocations of working time, across some or all of the headings. The form deals with plans for working time, rather than being a weekly record of hours worked. It is acknowledged that changed circumstances may alter these plans, for example, if arrangements are made during the year for a teacher to attend additional professional development activities during school sessions, or on the relatively few occasions when a teacher is asked to cover for another colleague. Where a teacher’s job changes during the year, for example, on promotion or if a teacher reduces to part-time, a new form should be completed for the remainder of the year. The reference to dates for staff meetings and meetings with parents being published in the school calendar reflects the importance of a reasonable balance between time spent in work and time spent on other aspects of life, included in the national agreement on workload and given statutory recognition in the School Teachers’ Pay and Conditions Document. Employees with childcare or other domestic requirements are expected to make appropriate arrangements in advance to ensure that these responsibilities are covered whilst they are at work. Altering such arrangements at short notice may be difficult if not impossible. The School Teachers’ Pay and Conditions Document requires working hours to be allocated reasonably throughout the 195 days and, whilst this may be interpreted as referring principally to the distribution of working hours, the concept of reasonableness also applies to the amount of notice given in planning that distribution. Head teachers should therefore consult all staff if, in response to unforeseen events, they propose to alter the date of any meeting. 514 Notes for Guidance – Employees in Schools Working time an annual leave SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT PLANNED ANNUAL ALLOCATION OF WORKING TIME Model form recommended for completion at the beginning of each school year in accordance with the authority’s guidance on working time Name of Teacher _______________________________________________ Job title and salary status (i.e. classroom teacher, advanced skills teacher or leadership spine) _______________________________________________________ Name of School _______________________________________________________ 1. Duties and responsibilities during the pupil day Hours in a year Classroom teaching Leadership/management (where applicable) Planning, preparation and assessment Statutory induction for newly qualified teachers (equivalent to 10 per cent of teaching time for classroom teachers in the school) Registration, assemblies, mid-morning and mid-afternoon breaks Other duties (where applicable - specify) Total hours during school day during the year (not to exceed the length of the school day multiplied by 190 days) 2. Buffer time 3. Other duties outside the school day*, including Extra time for any training courses extending outside the school day (specify dates etc.) Staff meetings (as specified in the school calendar) Extra leadership/management/headship time Meetings with parents (as specified in the school calendar) Extra time for educational visits extending outside the school day (specify dates etc.) Evening events such as performances by pupils (specify dates etc.) Other (specify) 4. Teacher days, used for preparatory meetings and work by staff, including professional and curriculum development (usually 6 hours multiplied by 5 days, but may be more if any training courses and travelling to them take up more than 6 hours) 515 Notes for Guidance – Employees in Schools Working time an annual leave 5. Contingency* for unforeseen events outside the school day (e.g. taking an injured child to hospital in the absence of parents) Total (not to exceed 1265 hours for teachers other than those on the leadership spine and advanced skills teachers) *A separate form for teachers to record the hours actually used under 3 and 5, which normally vary from week to week, is provided. Head Teacher’s Initials_________________ Date______________ 516 Notes for Guidance – Employees in Schools Working time an annual leave SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT RECORDING OF TIME WORKED AGAINST ITEM 3 (OTHER DUTIES OUTSIDE THE SCHOOL DAY) AND THE ALLOCATED CONTINGENCY Note: The length of the school day and the amount of buffer time will be the same for each teacher in the school and in each week of the year, so it can be assumed that the number of hours worked by a teacher during the school week will be a standard figure. However, there will be weekly variations in directed time outside the school day and for this reason weekly records should be kept. These model record sheets are for each teacher to complete and keep. Only duties and hours specified by Head Teachers may be recorded. Teachers will keep them available for Head Teachers to scrutinise and to countersign as necessary. School Week Beginning Other specified duties outside the school day (see list in model form for the annual allocation) including the contingency for unforeseen events Hours Used Hours Remaining Head’s Initials 517 Notes for Guidance – Employees in Schools Cover for Teachers 6.1 Cover for teachers Introduction 6.1.1 Since 2004 cover for teachers has referred not only to arrangements for a teacher to take a class or group of pupils when the teacher who has been timetabled to teach that class or group at that time is not available (for whatever reason) but also to the supervision of such pupils by an employee who is not a teacher. The following guidance distinguishes between these two types of cover and also describes how they can overlap. In line with statutory guidance it also draws a clear distinction between cover as defined in this paragraph and the organisation of teaching and learning during periods when the teacher’s pre-arranged timetable provides for some activity other than teaching pupils, such as guaranteed time for planning, preparation and assessment. The distinction between cover and the organisation of teaching and learning during the release of teachers is an important distinction to grasp. The school timetable is planned in advance to ensure that teachers are not timetabled to teach during planning, preparation and assessment time or when they are required to undertake other duties, such as leadership and management time. The arrangements for teaching pupils during these periods are not defined as cover. 6.1.2 Cover should be part of the overall arrangements for the curricular and pastoral needs of pupils, an integral part of the School Development Plan and the professional development of teachers. A cover policy should enable pupils to continue to learn in accordance with the planned school curriculum despite the absence of the teacher who has been timetabled to teach them, and simultaneously remove the past burden on teachers of providing cover in addition to their normal workload. 6.1.3 In 2004, as a result of the National Agreement on workload, the School Teachers’ Pay and Conditions Document was amended to limit the amount of cover which could be required of teachers and the statutory guidance accompanying this new duty stated that “Schools should be providing downward pressure on cover, before and after the introduction of the contractual change, to achieve the objective in the National Agreement that teachers at a school should only rarely cover for absent colleagues”. The Document is to be amended again to ensure that this objective is achieved from September 2009, when teachers should be required to cover only rarely, and only in circumstances that are not foreseeable. 6.1.4 From September 2009 head teachers will be required to ensure that “there is in place a clear policy and robust system that does not require teachers or the head teacher to provide cover other than rarely. A robust system would 518 Notes for Guidance – Employees in Schools Cover for Teachers be expected to deal with all foreseeable events and should take into account the school’s historic patterns of absence.” ‘Rarely cover’ 6.1.5 From September 2009 the statutory maximum number of hours for which teachers (other than those employed wholly or mainly for the purpose of providing cover) is removed and replaced by a condition of employment that “Teachers should be required to cover only rarely, and only in circumstances that are not foreseeable.” 6.1.6 The new statutory guidance for 2009 states that foreseeable circumstances will include “Events that are foreseeable on the basis of historic experience” “Events that are foreseeable in the normal local experience” “Events that may be expected as part of the evolving pattern of provision” The signatories to the National Agreement/members of the Workforce Agreement Monitoring Group (WAMG) have not defined ‘foreseeable’ any further, but have issued some guidance on implementation (see http://www.socialpartnership.org/upload/resources/pdf/w/rarely_cover_proces snote.pdf) 6.1.7 The statutory duty remains on head teachers to ensure an equitable distribution of cover on the rare occasions that teachers, including head teachers, can be required to cover. 6.1.8 Even on the rare occasions on which teachers may be asked to cover, they must not be required to do so during guaranteed time for planning, preparation and assessment. Implementation of ‘rarely cover’ 6.1.9 Statutory guidance states that, to ensure that the system of managing cover is robust, the relevant body should consult with all staff and their union representatives on an annual calendar which includes the teaching timetable, staff meetings, parental consultations and other activities. Guidance on the allocation of teachers’ working time (1265 hours etc.), including a form to help schools, is available in the section on working time. Guidance on unavoidable observance of certain religious festivals may be useful in preparing the school calendar (see guidance in Special leave of absence including time off for public duties and union activities). 519 Notes for Guidance – Employees in Schools Cover for Teachers 6.1.10 The school should also monitor and analyse patterns of absence (planned and unplanned) and levels of cover and manage these appropriately. 6.1.11 Guidance from the Workforce Agreement Monitoring Group advises that, in the light of this analysis, schools should review their existing leave of absence “policy” for reasons other than sickness, but that any such review should comply with Local authority agreements or provisions of the Burgundy Book All national statutory leave entitlements Any local variations which may have improved on these 6.1.12 Part of the Birmingham leave of absence scheme – the circumstances in which head teachers may grant special leave of absence without reference to the governing body and for what periods - is a condition of service, not a policy. For full details of the leave of absence scheme see the section on leave of absence. Commentary on the leave of absence scheme includes information on statutory entitlements to reasonable time off. 6.1.13 For matters on which head teachers do not have power to grant special leave of absence the governing body should have a policy, taking into account any local agreements and the Burgundy Book provisions. Advice on formulating such a policy is given in the section on leave of absence. Methods of covering for teachers 6.1.14 The statutory guidance accompanying the School Teachers’ Pay and Conditions Document states that “Medium and long-term absences should be covered by a teacher”. Teachers may be employed “wholly or mainly for the purpose of providing” cover; they may be called cover teachers or supply teachers (and in Birmingham casual supply teachers were often called relief teachers). The recruitment, induction and support of cover teachers should enable them effectively to teach classes of pupils whose normal teacher is absent. Whether schools engage cover teachers on a permanent or casual basis they should aim to use teachers who know the pupils and the relevant curriculum. Spending time on developing a dedicated team of cover teachers will benefit the behaviour and learning of pupils, the workload and well-being of employees in the school, and the school’s budget. 6.1.15 All other teachers, including head teachers, should be required to cover only rarely, and only in circumstances that are not foreseeable. 6.1.16 The national agreement of 2003 introduced the possibility that, in the shortterm absence of a teacher, pupils in class could either simply be supervised by an appropriate member of the school’s support staff, or that, in circumstances defined in statutory Regulations, a suitable person, other than a teacher, could undertake some teaching duties. The statutory definition of 520 Notes for Guidance – Employees in Schools Cover for Teachers these limited teaching duties, called “specified work” is set out in the Education (Specified Work and Registration) (England) Regulations 2003, together with the regulation requiring supervision of any school support staff used for specified work. Birmingham distinguishes between teaching assistants (level 3), who may undertake limited supervision of a whole class when a teacher who has been timetabled to teach the pupils is absent, and higher level teaching assistants (level 4) who may undertake a limited amount of “specified work” with a whole class. The guidance accompanying the Regulations repeats the statement in the national agreement that teachers and support staff are not interchangeable. The ‘Specified Work’ regulations 6.1.17 The Education (Specified Work and Registration) (England) Regulations 2003 (amended by the Education (Specified Work and Registration (England) (Amendment) Regulations 2007) define specified work as “(a) planning and preparing lessons and courses for pupils; (b) delivering lessons to pupils; (c) assessing the development, progress and attainment of pupils; and (d) reporting on the development, progress and attainment of pupils.” A person may only carry out this specified work in a school if he or she is a qualified teacher, is one of the types of unqualified teacher specified in the Regulations, or is a person satisfying the other requirements specified in the Regulations. These other requirements are that a person may carry out specified work only “in order to assist or support the work of a qualified teacher or a nominated teacher in the school”, must be “subject to the direction and supervision of such a qualified teacher or nominated teacher in accordance with arrangements made by the head teacher of the school” and that the head teacher must also be satisfied that the person “has the skills, expertise and experience required to carry out” the specified work. The guidance accompanying the Regulations includes some advice on the arrangements to be made by the head teacher for the required direction and supervision of a person undertaking specified work. 6.1.18 The Government guidance explains that in addition to suitably qualified, trained and supported teaching assistants, people like business persons or members of the emergency services may from time to time undertake specified work with pupils when visiting the school. Any person working with children must of course be subject to all the necessary checks and approvals and if not an employee should have the appropriate insurance (see below under private staff agencies). 6.1.19 The Regulations permit unqualified teachers – whether those on the employment based teacher training scheme, instructors, overseas trained teachers, or student teachers – to undertake specified work. There are special conditions governing the employment of these unqualified teachers, including limits on the time for which they can be employed. In particular, instructors can be employed only if the governing body, acting with the 521 Notes for Guidance – Employees in Schools Cover for Teachers consent of the local authority in the case of a school with a delegated budget, is satisfied with the special qualifications or experience required to carry out the instruction, and only when, and for such period of time as, no suitable qualified teacher, or teacher on the employment-based teacher training scheme is available for appointment or to give the instruction. For detailed information on other categories of unqualified teacher see the sections on instructors, employment based teacher training scheme, overseas teachers, also the Regulations and supporting guidance. Classroom based support staff 6.1.20 Higher Level Teaching Assistants are qualified to undertake specified work (see above). The revised statutory guidance on cover to accompany the School Teachers’ Pay and Conditions Document 2009 states that they “are for short-term absences only and should not be used as the remedy for the medium or long-term absence of a teacher.” (The revised statutory guidance also states that some schools may choose to use higher level teaching assistants as one of the strategies for releasing teachers for guaranteed time for planning, preparation and assessment, but this is distinct from cover.) The primary function of higher level teaching assistants remains to support and assist qualified teachers. Until 2009 the amount of specified work by higher level teaching assistants with whole classes was limited to no more than three sessions a week (a session being a morning or an afternoon), but once a governing body has adopted the Single Status scheme they may be used for specified work for up to six sessions or 60 per cent of a week. 6.1.21 The Single Status scheme also provides for qualified teaching assistants at level 3 to supervise, as distinct from teach, a class of pupils in an emergency, and normally for a period of less than one lesson, until the teacher returns to the class or alternative arrangements can be made. This emergency supervision should be for no more than two hours a week and should be undertaken in the class in which the teaching assistant normally works. There is also provision for the payment of a responsibility allowance to a level 3 teaching assistant in return for supervising any class of pupils for no more than two sessions a week in total. (A session is defined as a morning or an afternoon.) Level 3 teaching assistants undertake specified work with small groups of pupils, but, unless acting as cover supervisors (when specified work is not involved – see below) are not included in the range of options for providing cover for whole classes. (The statutory guidance with the School Teachers’ Pay and Conditions Document does not include them in the strategies for releasing teachers during guaranteed time for planning, preparation and assessment, so they should not be used for that purpose.) 6.1.22 Where appropriate a school may also use people employed specifically as cover supervisors. Cover supervision occurs when there is no active teaching and pupils continue their learning by carrying out a pre-prepared 522 Notes for Guidance – Employees in Schools Cover for Teachers exercise under supervision. Level 3 teaching assistants may also undertake cover supervision. As with higher level teaching assistants, the statutory guidance on cover states that cover supervisors are “for short-term absences only and should not be used as the remedy for the medium or long-term absence of a teacher.” Guidance on cover supervision is appended. School policy on cover 6.1.23 The School Teachers’ Pay and Conditions Document 2009 will give head teachers the duty of “ensuring that there is in place a clear policy and robust system that does not require teachers or the head teacher to provide cover other than rarely.
