What is a disciplinary procedure?
A disciplinary procedure is a formal, structured framework implemented by schools and academies to address and investigate alleged breaches of conduct by staff members. A framework designed to keep processes fair and consistent and promote a safe and productive working environment, it provides a clear pathway for managing behaviours that fall short of expected professional and institutional standards.
Understanding grievances and disciplinary procedures
It is important for school leaders to understand the legal differences between a disciplinary and grievance procedure. While disciplinary frameworks deal with employee conduct and alleged breaches of workplace rules, grievance procedures handle formal complaints raised by staff regarding their treatment, working conditions, or interpersonal conflicts.
Furthermore, a disciplinary procedure must never be confused with capability or ill-health procedures. National Education Union (NEU) guidelines explicitly state that a disciplinary policy does not apply to cases of professional incompetence or ill health, which must be managed through separate capability frameworks. Blurring these operational lines can result in flawed investigations and potential Employment Tribunals.
Where disciplinary action is being considered against an employee who is a recognised trade union representative, best practice and union agreements dictate that the case must be discussed with a trade union official of the relevant union before any formal action is initiated.
Why schools need a clear disciplinary procedure
Education is a sector where staff conduct directly impacts child welfare, student safeguarding, public trust, and a school’s reputation. Schools operate under strict statutory guidance, and a well-maintained disciplinary procedure maintains:
- Compliance with employment legislation and the ACAS Code of Practice
- A standardised policy that guarantees that all staff members are treated fairly and equitably, preventing accusations of bias
- Swift, structured responses that protect pupils and uphold ethical standards
- An alignment with recognised teaching unions, minimising industrial friction
What are the stages of the disciplinary procedure?
A watertight disciplinary procedure follows a step-by-step process that aims to effectively fact-find while remaining fair and transparent. Below we have outlined the key stages.
1. Informal action
Not every minor behavioural lapse warrants a formal disciplinary process. The policy should mandate that less serious breaches of conduct are always addressed initially through informal advice and supportive discussions. The primary objective of informal action is to correct behaviour early and prevent recurrence.
As part of this informal approach, headteachers may issue a Professional Note of Guidance (PNOG). Retained on file for 12 months, this management note serves as a supportive record; should similar concerns arise within that window, the PNOG can be referenced to inform any subsequent formal investigation.
2. Investigation
If informal action fails, or if the initial allegation is too severe, a formal investigation must be initiated.
The investigation must ensure that all parties have a fair opportunity to present their version of events. The report and accompanying evidence should be completed as efficiently as possible.
3. Suspension (where appropriate)
Suspension is frequently misunderstood in school settings. Suspension is not a disciplinary sanction, but a neutral administrative act which is carried out on full pay. It should only be considered in specific, high-risk circumstances, for example, if there is a risk to child safeguarding, evidence tampering, or if the employee’s presence would severely impact the investigation. Suspension should always be a last resort.
4. Invitation to disciplinary hearing
If the investigation report establishes a clear case to answer, the employee must be formally invited to a disciplinary hearing. The employee and their representative must receive the investigating officer’s report, witness names, allegations, and all supporting documentation.
Letters must contain explicit, detailed information about the alleged misconduct and the potential consequences (up to and including dismissal) if the allegations are proven.
There must be provision for postponing the proposed hearing date if the employee’s trade union representative is genuinely unavailable on that specific day.
5. Disciplinary hearing
During the hearing, all parties must be given a fair opportunity to address the panel, present their case, call witnesses, and challenge the reports or evidence submitted by witnesses. Following the hearing, the decision-making panel must inform the employee and their representative of the outcome in writing.
6. Possible outcomes
If allegations are substantiated, appropriate sanctions may be applied, from no further formal action to first and final written warnings, and dismissal. Dismissal is applied in cases of gross misconduct or a number of unheeded warnings.
7. Right to appeal
Staff members maintain a right to challenge any formal disciplinary penalty given to them. A policy-dependent window of time is provided for workers to submit their appeal application to the head of the governing body. Individuals appealing a decision must receive an advance notice regarding the scheduling and location of the review meeting.
Review panels hold no authority to escalate or worsen the original penalty as they are considering the appeal points themselves. The hearing is not a rehearing, although the panel may issue an outcome of a rehearing. If a challenge against termination succeeds, the worker’s position must be restored retroactively to the initial termination date, resulting in continuous service without interruption.
What counts as gross misconduct?
Gross misconduct refers to acts of behaviour so severe, intentional, or destructive that they fundamentally rupture the employment contract between the school and the employee, rendering mutual trust, confidence, and further working relationships entirely impossible. In an educational context, examples typically include:
- Physical violence, assault, or fighting on school premises.
- Theft, fraud, or deliberate falsification of school records (including exam or financial data).
- Severe safeguarding breaches, such as inappropriate physical contact with pupils or grooming behaviours.
- Serious malicious damage to school property or ICT systems.
- Being under the influence of alcohol or illegal drugs while responsible for the care of students.
- Serious breaches of confidentiality involving sensitive pupil or staff data under UK GDPR.
For further examples of gross misconduct please refer to your disciplinary procedure.
How do disciplinary procedures in schools differ from other sectors?
While a disciplinary procedure shares foundational principles across all employment sectors, disciplinary procedures in schools and academies operate under a distinct regulatory landscape that sets them apart from the corporate or retail sectors:
In schools, staff conduct is inextricably linked to statutory safeguarding duties governed by Department for Education guidance like Keeping Children Safe in Education (KCSIE). Behaviour that might be treated as a minor internal matter in a corporate office can constitute a severe safeguarding violation in a school.
Furthermore, unlike many sectors where employment disputes remain internal, serious teacher misconduct in England falls under the TRA. Under the Teachers’ Disciplinary (England) Regulations 2012, the TRA can issue prohibition orders that bar an individual from teaching indefinitely. Schools also have strict legal duties to refer staff who have been dismissed for serious safeguarding misconduct or suitability to teach (or those who resigned prior to dismissal for serious misconduct) to the Disclosure and Barring Service (DBS) and the TRA.
Unlike general commercial sectors, disciplinary hearings are typically overseen by panels of governors or trustees rather than HR managers alone. This volunteer governance requires strict adherence to statutory delegation rules and impartiality guidelines.
Maintained schools and academies operate using public funds under stringent Academy Trust Handbooks or local authority financial regulations, meaning that disciplinary resolutions and associated settlement agreements face intense public accountability.
How does ACAS guidance apply?
All school disciplinary policies must strictly align with the ACAS Code of Practice on Disciplinary and Grievance Procedures. Failure to follow the key guidelines of the ACAS Code can result in a tribunal increasing compensation awards by up to 25% for unreasonable non-compliance.
Beyond ACAS, educational settings must bridge internal policies with specialised public sector frameworks. To ensure equity and eliminate systemic bias, schools should undertake equality monitoring of their disciplinary policy annually or at the very least biennially, sharing the findings transparently with recognised trade unions.
Common disciplinary mistakes schools should avoid
Even well-intentioned school leaders can trip over procedural technicalities. Avoiding these common pitfalls will safeguard your institution against legal challenges:
- Failing to appoint an independent investigator and using a senior leader who has prior operational involvement in the incident, compromising impartiality.
- Automatically suspending the staff member rather than carrying out a suspension risk assessment and using suspension as a last resort.
- Attempting to force underperformance or health-related capability issues through a disciplinary procedure instead of a supportive capability framework.
- Failing to provide the notice periods for hearings as outlined in the policy, or denying staff their right to be accompanied by a trade union representative.
- Not taking thorough notes during investigative interviews and formal hearings, leaving the school defenceless if challenged at a tribunal.
How Heads HR can help
At Heads HR, our specialist HR consultancy works exclusively with UK schools and multi-academy trusts to provide expert, sector-specific guidance.
As our HR Operations Director, Sarah Whiting, explains:
“Managing staff conduct in an educational setting requires absolute precision, where a single procedural misstep can result in a serious tribunal risk. At Heads HR, we understand the unique pressures school leaders face. That is why we offer flexible, dedicated packages tailored to every institutional scale, from our core HR Advisory package to our comprehensive HR Partner package, where we can provide on-site support through complex HR issues. Whether you are reviewing your policies or managing a disciplinary procedure, we can help your school remain compliant and protected.”
Contact us today to discover how our specialist education packages can strengthen your people operations and protect your school community.
