Code of Conduct
Policy
Part 1: Conduct
Code of Conduct and Whistleblowing Policy
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AET HR 02 Review June 2014
Adopted and ratified by the Academies
Enterprise Trust Board on:
June 2012
Review Date:
June 2014
As defined by the AET Governance and Accountability
Framework (ARCI)
Accountability:
LAET Board
Responsibility:
LAET Board
Local Board of Governors
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Code of Conduct Policy
Policy content
Part 1 – Conduct
1.
Introduction ..................................................................................................................................... 5
1.1.
Scope ..................................................................................................................................... 5
2.
Roles and Responsibilities ................................................................................................................ 5
3.
Standards ......................................................................................................................................... 5
4.
Confidentiality.................................................................................................................................. 6
5.
Use of E-mail, Mobile Phones and the Internet ............................................................................... 6
6.
5.1.
5.2.
Social networking .................................................................................................................. 7
Mobile Phones and driving……………………………………………………………………………………………….7
5.3.
Mobile Phone Security……………………………………………………………………………………………………7
Relationships.................................................................................................................................... 9
6.1.
Governing Body Proceedings ................................................................................................ 9
6.2.
The Community and Service Users...................................................................................... 10
6.3.
Contractors .......................................................................................................................... 10
6.4.
Close personal relationships at work .................................................................................. 10
7.
Political Neutrality ......................................................................................................................... 10
8.
Financial Resources........................................................................................................................ 10
9.
Sponsorship.................................................................................................................................... 11
Part 2 - Whistleblowing Policy
1.
Introduction ................................................................................................................................... 14
1.1.
Scope ................................................................................................................................... 14
2.
Definition ....................................................................................................................................... 14
3.
Raising a Concern .......................................................................................................................... 15
4.
Confidentiality................................................................................................................................ 16
5.
External disclosures ....................................................................................................................... 16
6.
Investigation and outcome ............................................................................................................ 17
7.
If a member of staff is not satisfied ............................................................................................. 177
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8.
Protection and support for whistleblowers ................................................................................... 17
9.
Responsibilities .............................................................................................................................. 18
10.
Contacts ......................................................................................................................................... 18
Part 3 - Confidentiality
1.
Types of Confidential Information ................................................................................................. 21
2.
Transfer of Information ................................................................................................................. 21
3.
Different Forms ............................................................................................................................ 222
4.
Responsibilities .............................................................................................................................. 22
Part 4 - E-mail and Internet Usage
1.
Introduction ................................................................................................................................. 266
2.
Usage at Work ............................................................................................................................... 26
3.
Usage at Home .............................................................................................................................. 27
4.
E-Mail Protocols ........................................................................................................................... 277
5.
The Law ........................................................................................................................................ 288
5.1.
6.
Specific Legislation ............................................................................................................ 299
E-Mail Good Practice Guide ........................................................................................................... 30
Part 5 - Close Personal Relationships
1.
Introduction ................................................................................................................................. 333
2.
Management ............................................................................................................................... 333
3.
References ................................................................................................................................... 333
4.
Impact .......................................................................................................................................... 344
Appendix A …………………………………………………………………………………………………………………………………………35
Examples of Gross Misconduct……………………………………………………………………………………………………… 35
Appendix B………………………………………………………………………………………………………………………………………..37
Glossary and Status of the Policy and Guidance……………………………………………………………………………..37
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1. Introduction

The Company is committed to providing a professional and ethical environment, which
serves and protects the whole Academy community. Certain expectations for good conduct
are described in specific policies and procedures e.g. discipline and equal opportunities and
professional expectations are set out in national and local conditions of service and by
professional bodies e.g. the Teaching Agency. This Code supplements these and provides
additional guidance for adults working in the Academy.

The overriding expectation is that adults will adopt high standards of personal conduct in
order to maintain the confidence and respect of their colleagues, pupils or students’ public
in general and all those with whom they work. This means that adults should not behave
through words, actions or inaction in a manner which would lead any reasonable person to
question their suitability to work with children or act as a role model
1.1.
Scope
o
This Code applies to all adults working at the Academy and voluntary workers.
Reference to employees in the policy includes all of these workers.
o
In this document “The Company” will refer to the Academies Enterprise Trust or the
London Academies Enterprise Trust as appropriate.
o
Any breaches of the Code of Conduct Policy will be regarded as a serious matter
which could result in disciplinary action, and possible dismissal.
2. Roles and Responsibilities

It is the responsibility of the Company to establish and monitor standards of conduct and
behaviour, including the establishment of relevant policies and procedures.

It is the responsibility of the Principal and other managers to address promptly any breaches
of good conduct and behaviour, using informal procedures where possible, but
implementing formal procedures where necessary.

It is the responsibility of all staff to familiarise themselves, and comply, with this Code,
policies, procedures, conditions of service and relevant professional standards.
3. Standards

There is an expectation that Academy employees will provide the highest possible standard
of service to the public through the performance of their duties. Employees will be expected
through agreed procedures and without fear of recrimination, to bring to the attention of
their line manager any deficiency in the provision of service. Employees must report to the
appropriate manager/the Governing Body any impropriety or breach of procedure.
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
The company has a Whistleblowing policy in Part 2 of this document.
4. Confidentiality

Working in the Academy environment necessarily means having access, in a variety of ways,
to information that must be regarded as confidential.

As a general rule, all information received in the course of employment, no matter how it is
received, should be regarded as sensitive and confidential. Employees should use their
discretion regarding these matters, should refer to the Data Protection Policy and the
requirements of the Freedom of Information Act and, if in doubt, should seek advice from
the Principal or their line manager.

Further details on confidentiality can be found in Part 3 of this document.
5. Use of E-mail, Mobile Phones and the Internet

Those that use the Academy’s electronic mail services and/or the internet are expected to
do so responsibly and to comply with all applicable laws, policies and procedures of the
Academy, and with normal standards of professional and personal courtesy and conduct.

Computers and laptops loaned to employees by the Academy are provided solely to support
their professional responsibilities and employees must notify their employer of any
proposed significant personal use.

Electronic media must not be used for knowingly viewing, transmitting, retrieving, or storing
any communication that is:

Discriminatory or harassing

Derogatory to any individual or group

Obscene or pornographic

Defamatory or threatening

Illegal or contrary to the Academy’s policies or business interests.

All forms of chain mail are unacceptable and the transmission of user names, passwords or
other information related to the security of the Academy's computers is not permitted.

The email system and the internet/intranet are business tools provided to staff and other
users at significant cost. Hence, it is expected that this resource will be used primarily for
business-related purposes. Reasonable access and use of the internet/intranet and email
facilities is also available to recognised representatives of professional associations i.e. Union
Officers.
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


The Academy’s e-mail and internet service may be used for occasional and incidental
personal purposes, with the approval of the Principal, provided that it does not:

Interfere with the Academy’s operation of computing facilities or e-mail services.

Interfere with the user’s employment or other obligations to the Academy.

Interfere with the performance of professional duties.

Is of a reasonable duration and frequency.

Is performed in non-work time.

Does not overburden the system or create any additional expense to the Academy.
Such use must not be for:

Unlawful activities.

Commercial purposes not under the auspices of the Academy.

Personal financial gain.

Personal use inconsistent with other Academy policies or guidelines.
Further details on the use of e-mail and the Internet can be found in part 4 of this document.
5.1.
Social networking
o
o
o
The purpose of including this in this policy is to ensure:
o
that the Academy is not exposed to legal and governance risks;
o
that the reputation of the Academy is not adversely affected;
o
that our users are able to clearly distinguish where information has been
provided via social networking applications, it is legitimately representative
of the Academy;
o
protocols are applied where employees are contributing in an official
capacity to social networking applications provided by external
organisations.
Social networking applications include but are not limited to:
o
Blogs, Online discussion forums, for example Facebook, Bebo, Myspace,
o
Media sharing services for example YouTube; ‘Micro-blogging’ application
for example Twitter.
The Board of Governors can determine level of access at the Academy. The
Academy may make the decision to put a complete block on social networking sites
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at work, but it cannot stop individuals using social networking sites at home in their
own personal time, therefore all employees need to understand the implications of
inappropriate and improper use of social networking sites at home in their own
personal time that may result in detriment to the Academy and therefore to
disciplinary action being taken.
o
All employees of the Academy should bear in mind that information they share
through social networking applications, even if they are on private spaces, are still
subject to copyright, Data Protection and Freedom of Information legislation and the
Safeguarding Vulnerable Groups Act 2006. Employees must also operate in line with
the Academy’s Equal Opportunity (Respecting Diversity) Policy.
o
Any communications or content published on a social networking site which is open
to public view, may be seen by members of the Academy community. Employees
hold positions of responsibility and are viewed as such in the public domain.
Inappropriate usage of social networking sites by employees can have a major
impact on the employment relationship. Any posting that causes damage to the
Academy, any of its employees or any third party’s reputation may amount to
misconduct or gross misconduct which could result in dismissal.
o
Employees should not use personal sites for any professional activity. The Academy
reserves the right to require the closure of any applications or removal of content
published by employees which may adversely affect the reputation of the Academy
or put it at risk of legal action.
o
Anyone who becomes aware of inappropriate postings on social networking sites,
must report it to their line manager as soon as possible. The line manager will then
follow the disciplinary procedure. If an employee fails to disclose an incident or type
of conduct relating to social networking sites, knowing that it is inappropriate and
falls within the remit of this policy, then that employee may be subject to the
disciplinary procedure.
o
Indecent images of any employee that can be accessed by students, parents or
members of the public are totally unacceptable and can lead to child protection
issues as well as bringing the Academy into disrepute.
o
It is totally unacceptable for any employee to discuss pupils, parents, work
colleagues or any other member of the Academy community on any type of social
networking site. Reports about oneself may also impact on the employment
relationship - for example if an employee is off sick, but makes comments on a site
suggesting the contrary.
o
Employees should not engage in conversation with pupils, past or present,
irrespective of their age, on any social networking site. Offers of assistance to a
pupil with their studies via any social networking site are inappropriate and also
leaves the employee vulnerable to allegations being made. It would be very rare for
employees to need to interact with pupils outside of Academy in a social setting and
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by communicating with them on social networking sites, is tantamount to the same.
Adults should ensure that personal social networking sites are set as private and that
pupils are never listed as approved contacts.
o
5.2.
Adults should not use or access social networking sites of pupils save in exceptional
circumstances and with the prior express permission of the Principal. Should an
employee become aware of an underage person using social networking sites,
(Facebook and Bebo have set it at 13 years and MySpace have set it at 14 years),
then they should report this to the site operator and if that child is at their particular
Academy, then this should be reported to their line manager.
Mobile Phones and driving
Since 1 December 2003 the use by drivers of hand-held mobiles has been illegal.
Anyone found to be using such devices whilst driving will face a fine and, from 27
February 2007, three penalty points on their licence. The use of a properly installed
hands-free kit is allowed but drivers will continue to risk prosecution if when using a
mobile phone in this way they are found not to have proper control of their vehicle.
The company expects any employee driving for business reasons, for which they are
claiming a mileage allowance, to act within the law. The company therefore expects
all employees not to receive or to make calls on a mobile phone whilst driving (this
includes whilst stationary in traffic jams). To make and receive calls safely the vehicle
must be properly parked and the engine switched off.
5.3.
Mobile Phone Security
Staff Mobile phones (including personal mobile phones) could contain confidential
information regarding other members of staff such as personal phone numbers, e-mail
addresses or pictures.
All mobile phones brought onto the premises (including personal mobile phones)
should have a password locking system enabled to ensure that their contents remain
secure in the case of loss.
6. Relationships
6.1.
Governing Body Proceedings
o
There are restrictions on Governors or persons taking part in proceedings of the
Governing Body or their committees under the Education (School Government)
(England) Regulations 1999 which require that they shall withdraw:
o
if there is a conflict of interest or where there is reasonable doubt about
their ability to act impartially;
o
where they have pecuniary interest, e.g. Contracts;
o
if a relative (including spouse) living with them has pecuniary interest.
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6.2.
The Community and Service Users
o
6.3.
Employees must always remember their responsibilities in the community they serve
and ensure courteous, efficient and impartial service delivery to all groups and
individuals within the community as defined by the policies of the Governing Body.
Contractors
o
All relationships of a business or private nature with external contractors, or
potential contractors, must be made known to the Academy’s Governing Body.
Orders and contracts must be in accordance with Standing Orders and Financial
Regulations of the Academy. No special favour should be shown to businesses run
by, for example, friends, partners or relatives in the tendering process. No part of
the local community should be discriminated against.
o
Employees who engage or supervise contractors or have any other official
relationship with contractors and have previously had or currently have a
relationship in a private or domestic capacity with contractors, must declare that
relationship to the Academy Governing Body.
6.4.
Close personal relationships at work
o
Situations arise where relations, or those in other close relationships, may be
employed at the Academy and it is recognised that a significant proportion of close
relationships are formed at work.
o
Applicants are required to disclose personal relationships and may not seek their
support for an appointment. Employees should discuss, confidentially with their line
manager, any relationships with an applicant or formed with another employee
which may impact on the conduct of the Academy.
o
Further details on close personal relationships, including a definition of the term, can
be found in part 5 of this document.
7. Political Neutrality

Employees serve the community as a whole. It follows they must serve all members of the
public and ensure that the individual rights of members of the public are respected and must
not allow their own personal or political opinions to interfere with their work.
8. Financial Resources

Employees must ensure that they use public and any other funds entrusted to them in a
responsible and lawful manner. They must strive to ensure value for money to the local
community and to avoid legal challenge to the Governing Body or the Company. They must
also observe the Academy’s financial regulations.
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9. Sponsorship

Where an outside organisation wishes to sponsor or is seeking to sponsor an Academy
activity, whether by invitation, tender, negotiation or voluntarily, the basic conventions
concerning acceptance of gifts or hospitality apply. The sponsorship should always be
related to the Academy’s interests and never for personal benefit only or in part. Particular
care must be taken when dealing with contractors or potential contractors.
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Dates
Employees were consulted on this document during
It was ratified by the London Academies Enterprise Trust Board
Oct – Nov 2010
19/06/2012
David Triggs, LAET Chief Executive Officer
Signature:
………………………………………………………….
Print Name:
D. A. Triggs
Date:
19/06/2012
Leigh Shelley, LAET HR Director
Signature:
………………………………………………………….
Print Name:
L.H. Shelley
Date:
19/06/2012
Chair of Board of Governors
Signature:
………………………………………………………….
Print Name:
………………………………………………………….
Date:
………………………………………………………….
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Code of Conduct
Policy
Part 2: Whistleblowing Policy
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1. Introduction

The Company is committed to conducting its business with honesty and integrity, and there
is an expectation that all staff will maintain high standards in accordance with the Code of
Conduct. However, all organisations face the risk of things going wrong from time to time, or
of unknowingly harbouring illegal or unethical conduct. A culture of openness and
accountability is essential in order to prevent such situations occurring or to address them
when they do occur.

The aims of this policy are:

To encourage staff to report suspected wrongdoing as soon as possible, in the
knowledge that their concerns will be taken seriously and investigated as
appropriate, and that their confidentiality will be respected.

To provide staff with guidance on how to raise those concerns.

To reassure staff that they should be able to raise genuine concerns in good faith
without fear of reprisals, even if they turn out to be mistaken.

This policy takes account of the Whistleblowing Arrangements Code of Practice issued by the
British Standards Institute and Public Concern at Work. It has been implemented following
consultation with the Trade Unions.

This policy does not form part of any employee's contract of employment, unless otherwise
stated, and it may be amended at any time.
1.1.
Scope
o
This policy covers all individuals working at all levels and grades, including senior
managers, Academy leaders, teachers and education support staff, directors,
employees, consultants, contractors, trainees, part-time and fixed-term employees,
casual and agency staff and volunteers (collectively referred to as “staff” in this
policy).
o
In this document “The Company” will refer to the Academies Enterprise Trust or the
London Academies Enterprise Trust as appropriate.
2. Definition

Whistleblowing is the disclosure of information which relates to suspected wrongdoing or
dangers at work. This may include:
 criminal activity;
 miscarriages of justice;
 danger to health and safety;
 damage to the environment;
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 failure to comply with any legal or professional obligation or regulatory
requirements;
 financial fraud or mismanagement;
 negligence;
 breach of the Company’s internal policies and procedures including the Code of
Conduct;
 conduct likely to damage the Company’s reputation;
 unauthorised disclosure of confidential information;
 the deliberate concealment of any of the above matters.

A whistleblower is a person who raises a genuine concern in good faith relating to any of the
above. If an employee has any genuine concerns related to suspected wrongdoing or danger
affecting any of the Company’s activities (a whistleblowing concern) he/she should report it
under this policy.

This policy should not be used for complaints relating to an employee’s own personal
circumstances, such as the way he/she has been treated at work. In those cases the
employee should use the Grievance Procedure or Equal Opportunities Policy as appropriate.

If an employee is uncertain whether something is within the scope of this policy he/she
should seek advice from the Whistleblowing Officer, whose contact details are at the end of
this policy.
3. Raising a Concern

The Company hopes that in many cases employees will be able to raise any concerns with
their line manager or the Director of HR. The employee may tell the line manager or the HR
Director in person or put the matter in writing, if this is preferred, who may be able to agree
a way of resolving the concern quickly and effectively. In some cases the line manager/HR
Director may refer the matter to the Whistleblowing Officer.

However, where the matter is more serious, or the employee feels that the line manager or
the HR representative has not addressed the concern, or the employee prefers not to raise it
with them for any reason, he/she should contact one of the following:
 The Whistleblowing Officer
 The Academies Enterprise Trust CEO David Triggs
 Public Concern at Work
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
Contact details are set out at the end of this policy.

The Company will arrange a meeting with the employee as soon as possible to discuss the
concern. The employee may bring a work colleague or union representative to any meetings
under this policy. The companion must respect the confidentiality of the employee’s
disclosure and any subsequent investigation.

The Company will take down a written summary of the employee’s concern and provide
him/her with a copy after the meeting. The Company will also aim to give the employee an
indication of how it is proposed to deal with the matter.
4. Confidentiality

The Company hopes that staff will feel able to voice whistleblowing concerns openly under
this policy. However, if the member of staff wants to raise his/her concern confidentially, the
Company will make every effort to keep the employee’s identity secret. If it is necessary for
anyone investigating the concern to know the member of staff’s identity, the Company will
discuss this with the employee.

The Company does not encourage staff to make disclosures anonymously. Proper
investigation may be more difficult or impossible if further information cannot be obtained
in such circumstances. It is also more difficult to establish whether any allegations are
credible and have been made in good faith. Whistleblowers who are concerned about
possible reprisals if their identity is revealed should come forward to the Whistleblowing
Officer or one of the other contact points listed in paragraph 3 and appropriate measures
can then be taken to preserve confidentiality. If a member of staff is in any doubt he/she
can seek advice from Public Concern at Work, the independent whistleblowing charity, who
offer a confidential helpline. Their contact details are at the end of this policy.
5. External disclosures

The aim of this policy is to provide an internal mechanism for reporting, investigating and
remedying any wrongdoing in the workplace. In most cases employees should not find it
necessary to alert anyone externally.

The law recognises that in some circumstances it may be appropriate for an employee to
report their concerns to an external body such as a regulator. It will very rarely if ever be
appropriate to alert the media. The Company strongly encourage members of staff to seek
advice before reporting a concern to anyone external. The independent whistleblowing
charity, Public Concern at Work, operates a confidential helpline. They also have a list of
prescribed regulators for reporting certain types of concern. Their contact details are at the
end of this policy.

Whistleblowing concerns usually relate to the conduct of the Company’s staff, but they may
sometimes relate to the actions of a third party, such as a customer, supplier or service
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provider. The law allows employees to raise a concern in good faith with a third party, where
he/she reasonably believe it relates mainly to their actions or something that is legally their
responsibility. However, the Company encourages members of staff to report such concerns
internally first. Employees should contact their line manager, HR representative or one of
the other individuals set out in paragraph 3 for guidance.
6. Investigation and outcome

Once an employee has raised a concern, the Company will carry out an initial assessment to
determine the scope of any investigation. The Company will inform the employee of the
outcome of the assessment. An employee may be required to attend additional meetings in
order to provide further information.

In some cases the Company may appoint an investigator or team of investigators including
staff with relevant experience of investigations or specialist knowledge of the subject
matter. The investigator(s) may make recommendations for change to enable the Company
to minimise the risk of future wrongdoing.

The Company will aim to keep the member of staff who raised the concern informed of the
progress of the investigation and its likely timescale. However, sometimes the need for
confidentiality may prevent the Company giving the employee specific details of the
investigation or any disciplinary action taken as a result. The employee should treat any
information about the investigation as confidential.

If the Company concludes that a whistleblower has made false allegations maliciously, in bad
faith or with a view to personal gain, the whistleblower will be subject to disciplinary action,
including the possibility of dismissal.
7. If a member of staff is not satisfied

While the Company cannot always guarantee the outcome an employee may be seeking, it
will try to deal with the individual’s concern fairly and in an appropriate way. By using this
policy members of staff can help us to achieve this.

If the employee is not happy with the way in which his/her concern has been handled,
he/she can raise it with one of the other key contacts in paragraph 3. Alternatively the
employee may contact the Chairman of the Board of Directors or the Company’s external
auditors. Contact details are set out at the end of this policy.
8. Protection and support for whistleblowers

It is understandable that whistleblowers are sometimes worried about possible
repercussions. The Company aims to encourage openness and will support staff who raise
genuine concerns in good faith under this policy, even if they turn out to be mistaken.
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
Staff must not suffer any detrimental treatment as a result of raising a concern in good faith.
Detrimental treatment includes dismissal, disciplinary action, threats or other unfavourable
treatment connected with raising a concern. If a member of staff believes that he/she has
suffered any such treatment, he/she should inform the Whistleblowing Officer immediately.
If the matter is not remedied the employee should raise it formally using the Grievance
Procedure.

Staff must not threaten or retaliate against whistleblowers in any way. Anyone involved in
such conduct will be subject to disciplinary action, including the possibility of dismissal.
9. Responsibilities

The Board has overall responsibility for this policy, and for reviewing the effectiveness of
actions taken in response to concerns raised under this policy.

The Whistleblowing Officer has day-to-day operational responsibility for this policy, and
must ensure that all managers and other staff who may deal with concerns or investigations
under this policy receive regular and appropriate training.

The Whistleblowing Officer, in conjunction with the Board and the Trade Unions should
review this policy from a legal and operational perspective once every two years.

All staff are responsible for the success of this policy and should ensure that they use it to
disclose any suspected danger or wrongdoing. Staff are invited to comment on this policy
and suggest ways in which it might be improved. Comments, suggestions and queries should
be addressed to the Whistleblowing Officer.
10.Contacts
Whistleblowing Officer
AET HR Department
0845 4530071 or 0845 4530088
lshelley@academiesenterprisetrust.org
gcannon@academiesenterprisetrust.org
CEO
David Triggs
0845 4530064
dtriggs@academiesenterprisetrust.org
Chairman of the Board of Directors
Ian Foster
0845 4530067
ifoster@academiesenterprisetrust.org
LAET external auditors
Ofsted
0300 1233155
whistleblowing@ofsted.gov.uk
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Public Concern at Work
(Independent whistleblowing charity)
[Confidential counselling hotline]
Code of Conduct and Whistleblowing Policy
Helpline: 020 7404 6609
E-mail: whistle@pcaw.co.uk
Website: www.pcaw.co.uk
19 | P a g e 3 7
Code of Conduct
Policy
Part 3: Confidentiality
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1. Types of Confidential Information

Information that is regarded as confidential can relate to:
 a variety of people e.g. students, parents, staff, Governors or job applicants;
 a variety of matters e.g. personal information, conduct and performance, health,
pay, internal minutes, examination coursework etc.
2. Transfer of Information

Within the course of daily operation information related to the business or those connected
with it may be requested by, supplied by, or passed to a range of people. This might include
internal colleagues, pupils, governors, trade unions, parents, the local authority,
Department, contractors.

Clearly, the sensitivity of the information will be partly dependent upon the
recipient/supplier and the manner in which it is transferred.

Personal information, e.g. home addresses and telephone numbers, and work-related
information, such as salary details, medical details, relating to individuals, should not be
disclosed to third parties except where the individual has given her/his express permission.
This could be where s/he is a key holder, or where this is necessary to the particular work
being undertaken, e.g. when it is necessary to write to an individual.

If someone requesting information is not known to staff, particularly in the case of
telephone calls, his/her identity and the legitimacy of his/her request should be verified by
calling them back. A person with genuine reasons for seeking information will never mind
this safety measure.

It is a requirement under the Data Protection Act that action is taken to ensure the identity
of any caller even if s/he states s/he has a statutory right to the information requested.

Wherever possible requests for information should be made in writing e.g. employee
references.

The same principle applies when sending e-mails and faxes. Staff should always check that
the information is going to the correct person and is marked ‘confidential’ where
appropriate.

Being known as an employee of the Academy may mean being asked for information, for
instance, by parents about a member of staff who is off sick. Although this can be awkward,
parents must be informed that employees are unable to discuss confidential Academy
matters. Persistent enquiries can be referred to the Principal.

The Data Protection Act refers to the principle of third party confidentiality. Information
relating to, or provided by, a third party should not be released without the written consent
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of the third party or unless an ‘order for disclosure’ is made by a court of competent
jurisdiction.
3. Different Forms

Confidential information can take various forms and be held and transmitted in a variety of
ways e.g. manual records (files, reports, notes), computerised records and disks, telephone
calls, face-to-face, fax, E-mail, intranet/internet.

The methods of acquiring information can also vary. Individuals and groups may become
aware of confidential information in the following ways:
 access is gained as part of the employee’s day to day work;
 information is supplied openly by an external third party;
 employees may inadvertently become aware of information;
 information may be disclosed.
4. Responsibilities

Employees should be aware that they may have disclosed to them sensitive information in
the course of their work or outside. In some circumstances the individual may request that
the information remains confidential.

Staff will also need to be aware that they may be obliged to disclose certain information e.g.
relating to child protection issues and should make it clear to the individual providing the
information either that confidentiality cannot be guaranteed and/or direct them to a more
appropriate colleague.

As a general rule, all information received in the course of employment, no matter how it is
received, should be regarded as sensitive and confidential. While it is often necessary to
share such information, in doing so, employees should consider the following key points.

nature of the information:
 how sensitive is the information?
 how did it come to your attention?

The appropriate audience:

with whom does the information need to be shared?

for what purpose?

to whom is the information being copied? Why?
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
does your audience need to be informed that access to the information is, or maybe,
restricted?

The most appropriate method of communication e.g. verbal, written, e-mail, in person.

The potential consequences of inappropriate communication.

It is also an individual employee’s responsibility to safeguard sensitive information in their
possession.

Sensitive information should be kept secure:


Filing cabinets should be kept locked when unattended.

Sensitive information should not be left on desks or the photocopier/fax/printer.

Papers should not be left lying around at home or in the car. If confidential materials
or paperwork are taken out of the Academy, precautions must be taken to ensure
they are not accessible to third parties.

Appropriate steps should be taken to keep track of files which are on loan or being
worked on i.e. a record of the date sent and the recipient’s name and position.

If it is necessary to supply personal files through the external mail, this must be
effected by recorded delivery.

Copies of faxes and e-mails should be stored securely.

Steps should be taken to ensure
calls/conversations are not overheard.

Meetings where sensitive or confidential information is being discussed should be
held in a secure environment.

Confidential paperwork should be disposed of correctly either by shredding it or
using the confidential waste facility.

Personal data should not be used for training or demonstration purposes where
fictional data can be used.

Line Managers should comply with the procedures for the storage and sharing of
information relating to individuals’ Performance Management Appraisal Reviews.
that
private/confidential
telephone
A variety of phrases may be used on correspondence to denote confidentiality. As a general
rule:

post marked ‘personal’, ‘private’ and/or ‘confidential’ or ‘for the attention of the
addressee only’ should only be opened by the addressee personally;
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
Employees should have regard to potential difficulties which may arise as a result of
discussions outside work. While it is natural (and indeed can be therapeutic) to talk about
work at home or socially, staff should be cautious about discussing specific and sensitive
matters and should take steps to ensure that information is not passed on. Staff should be
particularly aware that many people will have a direct interest in education and Academies
and even the closest of friends may inadvertently use information gleaned through casual
discussion

Employees should use their discretion regarding confidentiality, should refer to appropriate
procedures and, if in doubt, should seek advice from the Principal or line manager.
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Code of Conduct
Policy
Part 4: E-mail and Internet Usage
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1. Introduction

E-mail and the internet can be extremely valuable tools in an educational context,
encouraging the development of communication skills, and transforming the learning
process by opening up possibilities that, conventionally, would be impossible to achieve.
The Academy encourages the use of electronic mail as a medium for paper mail replacement
and as a means of enhancing communications.

The Academy follows sound professional practices to secure e-mail records, data and system
programmes under its control. As with standard paper-based mail systems, confidentiality
of e-mail cannot be 100% assured. Consequently users should consider the risks when
transmitting highly confidential or sensitive information and use the appropriate level of
security measure.

Enhancement of the base level security to a higher or intermediate level can be achieved by
the use of passwords for confidential files. It should be remembered e-mails forwarded
from another individual can be amended by the forwarder. This possibility should be
considered before acting on any such mail.
2. Usage at Work

In order to effectively manage the e-mail system the following should be adhered to:
 Open mailboxes must not be left unattended.
 Care should be taken about the content of an e-mail as it has the same standing as a
memo or letter. Both the individual who sent the message and/or the Academy can
be sued for libel.
 Reporting immediately to IT Units when a virus is suspected in an e-mail.
 The Academy respects users’ privacy. E-mail content will not be routinely inspected or
monitored, nor content disclosed without the originator’s consent. However, under the
following circumstances such action may be required:
 When required by law.
 If there is a substantiated reason to believe that a breach of the law or Academy
policy has taken place.
 When there are emergency or compelling circumstances.
 The Academy reserves the right, at its discretion, to review any employee's electronic files
and messages to the extent necessary to ensure electronic media and services are being
used in compliance with the law, this policy and other Academy policies.
 An employee should not have any expectation of privacy to his or her internet usage. The
Academy reserves the right to inspect freely any and all files stored in computers or on the
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network in order to assure compliance with this policy. Auditors must be given the right of
access to any document, information or explanation that they require.
 Use of the employee’s designated personal file area on the network server provides some
level of privacy in that it is not readily accessible by other members of staff. These file areas
will however be monitored to ensure adherence to the Academy’s policies and to the law.
The employee’s personal file area is disk space on the central computer allocated to that
particular employee. Because it is not readily accessible to colleagues it should not be used
for the storage of documents or other data that should be open and available in the
Academy.
 Managers will not routinely have access to an employee’s personal file area. However,
usage statistics/management information on usage size of drives or a report outlining the
amount of information held on an individual’s personal file area will be made available from
time to time.
3. Usage at Home

Access to the internet from an employee’s home using an Academy-owned computer or
through Academy-owned connections must adhere to all the policies that apply to use
within the Academy. Family members or other non-employees must not be allowed to
access the Academy’s computer system or use the Academy’s computer facilities, without
the formal agreement of the Principal.
4. E-Mail Protocols

Users must:
 Not ignore e-mails. The system is designed for speedy communication. If the
message requires a reply, a response should be sent promptly.
 Not use anonymous mailing services to conceal identity when mailing through the
internet, falsify e-mails to make them appear to originate from someone else, or
provide false information to any internet service which requests name, e-mail
address or other details.
 Not abuse others (known as ‘flaming’), even in response to abuse directed at
themselves.

Not use electronic media and services in a manner that is likely to cause network
congestion or significantly hamper the ability of other people to access and use the
system.
 Not use e-mail, either internally or on the internet, to sexually harass fellow
employees, or harass or threaten anyone in any manner.
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 Not use, transfer or tamper with other people’s accounts and files.
 Respect all copyrights and not copy, retrieve, modify or forward copyrighted
materials except as permitted by the copyright owner.
 Not use the internet/intranet facilities or equipment to deliberately propagate any
virus, worm, Trojan horse or any such other programme that is harmful to normal
computer operations.
 Not access any obscene or pornographic sites. Sexually explicit or other offensive
material may not be viewed, archived, stored, distributed, edited or recorded using
the Academy’s networks or computing resources. If a user finds himself/herself
connected accidentally to a site that contains sexually explicit or offensive material,
s/he must disconnect from that site immediately. Such unintentional access to
inappropriate internet sites must be reported immediately to the respective line
manager or Principal. Any failure to report such access may result in disciplinary
action.

Except in cases in which explicit authorisation has been granted at an appropriate level of
Academy management, employees are prohibited from engaging in or attempting to engage
in:
 Monitoring or intercepting the files or electronic communications of other
employees or third parties.
 Hacking or obtaining access to systems or accounts they are not authorised to use.
 Using other people's log-ins or passwords.
 Breaching, testing, or monitoring computer or network security measures.
 E-mail or other electronic communication that attempts to hide the identity of the
sender or represent the sender as someone else.
 Interfering with other people’s work or computing facilities.
 Sending mass e-mails without consultation with the Principal. Global Sends (send to
everybody in the Global address book) are prohibited.
 Using the internet for personal commercial purposes.
5. The Law

The Data Protection Act 1998 prohibits the disclosure of personal data except in accordance
with the principles of the Act. This prohibition applies to e-mail in the same way as to other
media. Information gathered on the basis that it would be seen by specified employees
must not be given to a wider audience. In accordance with the provisions of Article 8 of the
European Convention on Human Rights, the Academy respects the right to privacy for
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employees who use IT equipment but does not offer any guarantee of privacy to employees
using IT equipment for private purposes.

As data controller, the Academy has responsibility for any data processed or stored on any of
its equipment. Any employee monitoring will be carried out in accordance with the
principles contained in the Code of Practice issued by the Information Commissioner under
the provisions of the Data Protection Act 1998.

In order to comply with its duties under the Human Rights Act 1998, the Academy is required
to show that it has acted proportionately, i.e. it is not going beyond what is necessary to deal
with the abuse and that the need to investigate outweighs the individual’s rights to privacy,
taking into account the Academy’s wider business interests. In drawing up and operating
this policy the Academy recognises that the need for any monitoring must be reasonable and
proportionate.

Auditors (internal or external) are able to monitor the use of the Academy’s IT equipment
and the storage of data. They are nevertheless bound by the provisions of the Human Rights
Act 1998, the Data Protection Act 1998, associated codes of practice and other statutory
provisions and guidance, including the Regulation of Investigatory Powers Act 2000 in
respect of any activity that could be classed as directed surveillance.
5.1.
Specific Legislation
o
The Human Rights Act 1998 provides for the concept of privacy, giving a ‘right to
respect for private and family life, home and correspondence’.
o
The Regulation of Investigatory Powers Act 2000 covers the extent to which
organisations can monitor or record communications at the point at which they
enter or are being sent within the employer’s telecommunications system.
o
The Data Protection Act 1998. Codes of Practice clarify the Act in relation to
processing of individual data, and the basis for monitoring and retention of e-mail
communications.
o
Telecommunications (Lawful Business Practice) (Interception of Communications)
Regulations 2000 empowers the Secretary of State to make regulations, which allow
businesses to intercept communications.
o
Contract law. It is possible to make a legally binding contract via e-mail.
o
Copyright law. The Copyright, Designs and Patents Act 1988 gives the same
protection to digital and electronic publications as it does to other forms of
publication.
o
Obscene Publications Act 1959, Protection of Children Act 1988, Criminal Justice Act
1988. These Acts are concerned with material that might be criminal, cause harm to
young persons or be otherwise unlawful.
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o
Computer Misuse Act 1990. This Act is mainly concerned with the problems of
‘hacking’ into computer systems.
o
Lawful Business Practice Regulations (LBP) authorise employers to monitor or
record communications without consent for a number of purposes.
6. E-Mail Good Practice Guide

Read Receipt - When it is important to know that a recipient has opened a message, it is
recommended that the sender invoke the ‘read receipt’ option.

Attachment Formats - When attaching a file it will have a specific format. The sender should
be aware of the possibility that a recipient may not have the software necessary to read the
attachment. Format incompatibility can occur even between successive versions of the
same software, e.g. different version of Microsoft Word.

E-mail Address Groups - If messages are regularly sent to the same group of people, the
addressing process can be speeded up by the creation of a personal group in the personal
address book.

Message header, or subject - Convey as much information as possible within the size
limitation. This will help those who get many e-mails to decide which are most important, or
identify those which are a priority.

Subject - Avoid sending messages dealing with more than one subject. These are difficult to
give a meaningful subject heading to, difficult for the recipient to forward on to others for
action, and difficult to archive.

Recipients - Beware of sending messages to too many recipients at once. When sending
messages for more than one person’s use be sure to indicate people for whom there is some
expectation of action or who have central interest; “cc” to indicate those who have
peripheral interest and who are not expected to take action or respond unless they wish to
do so.

Replying - When replying to a message sent to more than one person, do not routinely reply
to all recipients of the original message. Consider who needs to read the reply, e.g. if the
sender is organising a meeting and asking the recipient for availability dates, the recipient
need only reply to the sender.

Absent - If a member of staff has her/his own e-mail address it is possible for users of MS
Exchange or who have local enhancements to MS-mail, to set the ‘out of office’ message
when s/he is going to be away for some time, e.g. on annual leave. Messages will not be
lost, they will await the recipient’s return, but the sender will know that the recipient is not
there and can take alternative action if necessary.

Evidential Record - Electronic conversations can produce an evidential record which is
absent in a telephone conversation. Comments made by an employee during the course of
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an exchange of e-mails could be used in support, or in defence, of the Academy’s legal
position in the event of a dispute.

Legal records - Computer-generated information can now be used in evidence in the courts.
Conversations conducted over the e-mail can result in legally binding contracts being put
into place.

Distribution Lists - Personal distribution lists should be kept up-to-date; individuals should
be removed from lists that no longer apply to them.

E-Mail threads - Include the previous message when making a reply. This is called a thread.
Threads are a series of responses to an original message. It is best that a response to a
message is continued by using “reply” accessed on the quick menu bar, rather than start an
entirely new message for a response. Keep the thread information together. It is easier for
the participants to follow the chain of information already exchanged. If the message gets
too long the previous parts can be edited while still leaving the essence of the message.

Context - E-mail in the right context; care should be taken to use e-mail where appropriate.
There may be occasions when a telephone call would be more appropriate especially on
delicate matters. Beware of the use of excessive use of capitals. It can be interpreted as
SHOUTING so consider how the style of the e-mail may be interpreted by its recipient.
Consider the use of italics for emphasis, if required.

Forwarding e-mails - Consideration should be given when forwarding e-mails that it may
contain information that the recipient should consult with the originator before passing to
someone else.

Large E-mails - For larger e-mails, particularly Internet e-mails, where possible send at the
end of the day as they may cause queues to form and slow other people’s e-mail.
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Code of Conduct
Policy
Part 5: Close Personal
Relationships
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1. Introduction

Close personal relationships are defined as:
 employees who are married, dating or in a partnership or co-habiting arrangement
 immediate family members e.g. parent, child, sibling, grandparent/child
 other relationships e.g. extended family (cousins, uncles, in-laws), close friendships,
business associates (outside the academy)
 Whilst not all such situations where those in close personal relationships working together
give rise to issues of conflict of interest, implications can include:
 effect on trust and confidence
 perception of service users, the public and other employees on professionalism and
fairness
 operational issues e.g. working patterns, financial and procurement separation
requirements
 conflicting loyalties and breaches of confidentiality

Open, constructive and confidential discussion between employees and managers is
essential to ensure these implications do not occur.
2. Management

It is inappropriate for an employee to line manage, or sit on an appointment panel for, those
with whom s/he has a close personal relationship. Employees must not be involved in any
decisions relating to discipline, promotion or pay adjustment for anyone where there is a
close personal relationship. Nor should they seek in any way to influence such decisions.
3. References

When providing a reference, the individual providing the reference must make it clear if it is
provided as a personal or colleague reference or provided formally as a reference on behalf
of the employer.

Personal or colleague references should not be provided on headed paper. References on
behalf of the employer should be cleared and signed by another manager.
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4. Impact

It may be inappropriate to employ someone to work in a team with someone with whom
s/he has a close personal relationship. It may also be necessary in certain circumstances to
consider transferring staff who form close personal relationships at work. Any such action
will be taken in full consultation with both parties and without unlawful discrimination.

Staff who feel they are affected by a close personal relationship at work involving other
colleagues should at all times feel that they can discuss this, without prejudice, with their
line manager, other manager or Governing Body.
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APPENDIX A
Examples of Gross Misconduct
Gross misconduct is a serious breach of contract and includes misconduct which, in the Company’s
opinion, is likely to prejudice the Company’s business or reputation or irreparably damage the
working relationship and trust between the employer and employee. Gross misconduct will be dealt
with under the Company’s Disciplinary Procedure and will normally lead to dismissal without notice
or pay in lieu of notice (summary dismissal).
The following are examples of matters that are normally regarded as gross misconduct:

Theft or fraud, forgery or other dishonesty, including fabrication of expense claims and
time sheets, falsely claiming absences as being on grounds of sickness;

Physical violence or bullying, including actual or threatened violence, or behaviour
which provokes violence;

Deliberate damage to the Company’s buildings, fittings, property or equipment, or the
property of a colleague, contractor, customer or member of the public;

Serious misuse of the Company’s property or name;

Inappropriate behaviour on social networking sites that cause damage to the academy,
any of its employees or any third party’s reputation.

Deliberately accessing internet sites containing pornographic, offensive or obscene
material; sending any such material to other members of staff, students or anyone else.

Repeated or serious failure to obey instructions, or any other serious act of
insubordination;

Unlawful discrimination or harassment;

Bringing the organisation into serious disrepute;

Being under the influence of alcohol, illegal drugs or other substances during working
hours;

Causing loss, damage or injury through serious negligence;

Serious or repeated breach of health and safety rules or serious misuse of safety
equipment;

Unauthorised use or disclosure of confidential information or failure to ensure that
confidential information in employees possession is kept secure;

Acceptance of bribes or other secret payments and/or acts contrary to the Bribery Act
2010;

Accepting a gift from a customer, supplier, contractor or other third party in connection
with a member of staff’s employment without prior consent from the employee’s line
manager;
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
Conviction for a criminal offence that in the Company’s opinion may affect the
Company’s reputation or its relationships with staff, customers or the public, or
otherwise affects the individual’s suitability to continue to work for the Company;

Possession, use, supply or attempted supply of illegal drugs;

Serious neglect of duties, or a serious or deliberate breach of an employee’s contract or
operating procedures;

Concious breach of statutory rules affecting your work;

Unauthorised use, processing or disclosure of personal data contrary to our Data
Protection Policy;

Harassment or unlawful or unfair discrimination against employees, contractors, clients
or members of the public on the grounds of gender, sexual orientation, marital or civil
partner status, gender reassignment, race, colour, nationality, ethnic or national origin,
disability, religion or belief, or age contrary to the Company’s Equal Opportunities Policy
or the Company’s Anti-harassment and Bullying Policy;

Refusal to disclose any of the information reasonably required by the employer or any
other information that may have a bearing on the performance of an individual’s duties;

Giving false information as to qualifications or entitlement to work (including
immigration status);

Knowingly taking parental, paternity or adoption leave when not eligible to do so or for
a purpose other than supporting a child;

Making a disclosure of false or misleading information under our Whistleblowing Policy
maliciously, for personal gain, or otherwise in bad faith;

Making untrue allegations in bad faith against a colleague;

Victimising a colleague who has raised concerns, made a complaint or given evidence or
information under the Whistleblowing Policy, Anti-harassment and Bullying Policy,
Grievance Procedure, Disciplinary Procedure or otherwise;

Serious misuse of the Company’s information technology systems (including misuse of
developed or licensed software, use of unauthorised software and misuse of e-mail and
the internet) contrary to the Company’s Electronic Information and Communications
Systems Policy;

Undertaking unauthorised paid or unpaid employment during an employee’s working
hours;

Unauthorised entry into an area of the premises to which access is prohibited.
This list is intended as a guide and is not exhaustive.
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APPENDIX B
Glossary and Status of the Policy and Guidance
Glossary
Throughout this policy and guidance (where applicable), the terms shown below will have, or
include, the following meanings:

Principal includes Headteachers where these are in post;

Vice-Principal includes Deputy Headteachers where these are in post;

Company refers to the Academies Enterprise Trust and London Academies Enterprise Trust;

Department refers to the Department for Education and/or its predecessors and successors;

Line Manager includes any members of teaching and support staff with management
responsibility for other staff.
Status
This policy and/or guidance does not form part of any employee's contract of employment, unless
otherwise stated, and it may be amended at any time.
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