Policies and Procedures

Complaints: Policy and Procedure.

Policy Rationale and Context.

The Modern Teacher: Education as Art (MTEA) wants to create an environment and culture that is open to criticism and committed to improvement, one in which concerns and complaints*, correctly handled, can make a valuable contribution.

We want to enable students, staff, clients and other stakeholders to raise concerns and make complaints, confident that they will be listened to carefully and responded to promptly, clearly and proportionately.

We want our complaints procedure to be simple, transparent and accountable. Above all, we want people raising concerns or complaints to feel that they have been listened to and that MTEA is always willing to learn.

*A concern is defined as ‘an expression of worry or doubt over an issue considered to be important for which reassurances are sought’.

A complaint is defined as ‘an expression of dissatisfaction however made, about actions taken or a lack of action’

To this end we will ensure that:

1. all complainants are treated impartially, and without unlawful discrimination or prejudice.
2. all complaints are investigated thoroughly and fairly to establish the facts of the case, ensuring that decisions are proportionate, appropriate and fair.
3. all complaints are confidential and dealt with on a need-to-know basis.
4. complaints are reviewed by someone not involved in the events leading to the complaint.
5. those complained against are treated fairly.
6. those who are tasked with handling complaints are clear about their role, the procedures they must follow and the responsibility placed upon them.
7. mistakes are acknowledged and apologies made where appropriate.
8. prompt, appropriate and proportionate remedies are provided..
9. all the relevant factors of the case are considered when offering remedies.
10. any injustice or hardship that results from our failings are taken into account. .
11. lessons to be learnt from complaints will be regularly reviewed.
12. where appropriate, the complainant will be told about the lessons learnt and changes made.
13. our web site will include a summary of the formal complaints received in any calendar year and the lessons we have learned.

Procedures:

Level One: Informal concerns and complaints.

Many concerns and issues are best addressed informally, ideally face-to-face, but even informal solutions can benefit from a brief, written summary. A concluding exchange of emails agreeing on a shared outcome is considered best practice and can be referred to if the concern or issue re-emerge at  some future date. Students, staff and other stakeholders should always feel free to raise concerns with an appropriate member of staff. All students have an appointed tutor, who is their usual first port-of-call for most issues, but students should always feel free to approach one of the other course tutors.

Level Two: Formal complaints

If a resolution has not been found via the informal route, you should talk to someone within MTEA with whom you feel comfortable who will manage the complaint. This could be a Core tutor or a member of the Community Interest Company or CIC, the body to which MTEA tutors and directors are accountable. An Investigating Officer will then be appointed to investigate the complaint. A Formal Complaint will be investigated by a CIC member who does not have any direct involvement in the matter.

In case of a complaint against a Course Director the entire process will be managed and the complaint investigated by non-executive members of the CIC. Executive directors will then have no role in determining the process or its outcome.  Roles, responsibilities and contact details can be found in Appendix One.

You should outline the complaint you wish to make using the attached form (Appendix Two).

The investigator is expected to:

• Consider your complaint thoroughly and fairly, basing any decisions and recommendations on all the available facts and evidence.
• complete their investigation within twenty working days of receiving the complaint.
• ensure the response is proportionate to the circumstances.
• act fairly towards the subject of any complaint, ensuring they know they have been complained about and, where appropriate, have an opportunity to respond.
• write to you at the end of the investigation outlining their findings and proposals.
• keep accurate records of their investigation and report findings and proposals to the next Members` meeting.

Level Three: Complaints Panel

If you are dissatisfied with the outcome at Stage 2 and wish to take the matter further, you can escalate the complaint to Stage 3 by requesting that the complaint be looked at again by a Complaints Panel.

The Panel will comprise a minimum of three people who were not directly involved at stages 1 and 2, and have no prior knowledge of the complaint. They will be independent of the management and running of MTEA. Depending on the context, the Panel may include any combination of: a MTEA core or guest tutor, an advocate or speaking partner for the complainant who has been approved by all parties and who may be internal or external to the course, an advocate for any tutor, student or director against whom a complaint has been made, a non-executive Member of the CIC, a  secretary to take minutes. This panel will be convened and chaired by an independent adjudicator, who is identified in Appendix 1 below.

The Panel will aim to convene a meeting within 15 working days of receipt of a Stage 2 request being referred to them for review. If this is not possible, the Panel will provide an anticipated date and keep you informed. If you reject the offer of three proposed dates, without good reason, the Panel will decide when to hold the meeting and may proceed in your absence and on the basis of any written submissions. 

You may bring someone along to the panel meeting to provide support. This can be a relative or friend. Generally, we do not encourage either party to bring legal representatives to the committee meeting. However, there may be occasions when legal representation is appropriate. Representatives from the media are not permitted to attend.

Please be aware that most of our tutors are self-employed, i.e. not employed directly by MTEA. Whilst we remain responsible for their actions when carrying out paid work on behalf of MTEA, we have no wider legal jurisdiction. We do have a duty of care, however, and matters that raise Safeguarding Concerns will be addressed according to MTEA`s Safeguarding Policy.

At least 10 working days before the meeting, the Panel will:

• confirm and notify you of the date, time and venue of the meeting, ensuring that, if you are invited, the dates are convenient to all parties and that the venue and proceedings are accessible.
• request copies of any further written material to be considered and circulate these to all parties at least 5 working days before the date of the meeting.

The Panel will not normally accept, as evidence, recordings of conversations that were obtained covertly and without the informed consent of all parties being recorded.

The Panel will also not review any new complaints at this stage or consider evidence unrelated to the initial complaint.

Panel meeting will be held in private. Electronic recordings of meetings or conversations

are not normally permitted unless a complainant’s own disability or special needs

require it. Prior knowledge and consent of all parties attending must be sought before

meetings or conversations take place. Consent will be recorded in any minutes taken.

The Panel will consider the complaint and all the evidence presented.

The Panel can either uphold or dismiss the complaint in whole or in part.

The Panel will provide the complainant with a full explanation of their decision and the reason(s) for it, in writing, within 15 working days.

The response will detail any actions taken to investigate the complaint and provide a

full explanation of the decision made and the reason(s) for it. Where appropriate, it will

include details of actions MTEA will take to resolve the complaint.

The Panel will ensure that those findings and recommendations are sent by electronic

mail or otherwise given to you and, where relevant, the person complained about.

The response will also advise you of next steps.

A written record will be kept of all complaints, and of whether they are resolved at the

preliminary stage or proceed to a panel hearing, along with what actions have been

taken, regardless of the decision.

All correspondence, statements and records relating to individual complaints will be remain confidential.

If the complaint is upheld in whole or in part, the Panel`s recommendations can include any of the following:

• an apology, explanation and acknowledgement of responsibility
• remedial action, which may include reviewing or changing a decision on the service given to an individual complainant; revising published material; revising procedures, policies or guidance to prevent the same thing happening again; training or supervising staff; or any combination of these
• financial compensation for direct or indirect financial loss, loss of opportunity, inconvenience, distress, or any combination of these.

Mediation

If your concern is complex, or cannot be resolved in the ways described above, we can offer the services of independent mediators. Working in consultation with MTEA, the mediators aim to provide a secure, confidential process intended to assist good communication and to

help find appropriate resolution.

Mediation can take place when all those involved agree to it.

Mediators will not retain notes of matters discussed during the process of mediation,

except in the form of any agreed outcomes, which we do in order to ensure that these

can be followed up.

While we would not wish to put a fixed timescale to matters of concern, we would

normally expect any informal concerns to be resolved speedily. If mediation is used,

the entire process would normally be completed within 20 working days. You will be

consulted and your agreement sought for any extension.

Appendix 1

Contact details for CIC members, Core Tutors and Executive Directors:

CIC:

Paul White: whitsunpaul@gmail.com

Jenny Bolsius: jennybolsius@btinternet.com

Kate Attfield: kattfield@cardiffmet.ac.uk

Stephen Holland: holland.stephen@ntlworld.com

Shabda Pryia: shabda.priya@yahoo.com

Core Tutor:

Jenny Wragg: jenny_wragg@yahoo.com

Course Directors: 

Sven Saar: sven@waldorfmodern.uk

Alan Swindell: alan@waldorfmodern.uk

External / Independent:

Jill Tina Taplin, an independent outside adjudicator who is an experienced Teacher Education professional and a member of ASWTE:  jill@neswec.org.uk  

Appendix 2

Appendix 3

Managing serial and unreasonable complaints

There will be occasions when despite all stages of the procedure having been followed,
the complainant remains dissatisfied. In such situations, the MTEA may inform the
complainant in writing that the procedure has been exhausted and that the matter is
now closed.
MTEA is committed to dealing with all complaints fairly and impartially, and to providing a high-quality service to those who complain. We will not normally limit the contact complainants have with our MTEA. However, we do not expect our students or staff  to tolerate unacceptable behaviour and will take action to protect students and staff from that behaviour, including that which is abusive, offensive or threatening.
MTEA defines unreasonable behaviour as that which hinders our consideration of complaints because of the frequency or nature of the complainant’s contact with the MTEA, such as, if the complainant:
• refuses to articulate their complaint or specify the grounds of a complaint or the
outcomes sought by raising the complaint, despite offers of assistance
• refuses to co-operate with the complaints investigation process
• refuses to accept that certain issues are not within the scope of the complaints
procedure
• insists on the complaint being dealt with in ways which are incompatible with the
complaints procedure or with good practice
• introduces trivial or irrelevant information which they expect to be taken into
account and commented on
• raises large numbers of detailed but unimportant questions, and insists they are
fully answered, often immediately and to their own timescales
• makes unjustified complaints about students or staff who are trying to deal with the issues,
and seeks to have them replaced
• changes the basis of the complaint as the investigation proceeds
• repeatedly makes the same complaint (despite previous investigations or
responses concluding that the complaint is groundless or has been addressed)
• refuses to accept the findings of the investigation into that complaint where the
MTEA’s complaint procedure has been fully and properly implemented and
completed

• seeks an unrealistic outcome
  • makes excessive demands on MTEA`s time by frequent, lengthy and complicated
  contact with staff regarding the complaint in person, in writing, by email and by
  telephone while the complaint is being dealt with
  • uses threats to intimidate
  • uses abusive, offensive or discriminatory language or violence
  • knowingly provides falsified information
  • publishes unacceptable information on social media or other public forums.

Complainants should try to limit their communication with MTEA that relates to
their complaint, while the complaint is being progressed. It is not helpful if repeated
correspondence is sent (either by letter, phone, email or text), as it could delay the
outcome being reached.

When to stop responding

The decision to stop responding should never be taken lightly, but it may be necessary
in the following circumstances:
• MTEA has taken every reasonable step to address the complainant’s concerns
• the complainant has been given a clear statement of MTEA`s position and their options
• the complainant contacts MTEA repeatedly, making substantially the same points
each time

The decision will be made in writing to the complainant.

In response to any serious incident of aggression or violence, we will immediately inform
the police and communicate our actions in writing.

Policy approved March 2023

To be reviewed March 2026

Health & Safety Policy

General Information

All MTEA tutors and staff have some responsibility for their own health and safety as well as that of students and guests and have been requested to read this document in full and inform the Health and Safety Officers of any activities, events, circumstances or particular hazards of which they should be aware under the Health and Safety Acts and Regulations.

• Staff should keep themselves and children safe and manage risks effectively.
• MTEA (Ringwood) is sharing the grounds and buildings of Ringwood Waldorf School. Much of the sire-specific H&S provision such as First Aid stations and potential hazards is covered in the school’s H&S policy which is available here:

https://ringwoodwaldorfschool.org.uk/about-ringwood-waldorf-school/school-policies/

The Health and Safety at Work Act 1974 and the Workplace (Health, Safety and Welfare) Regulations 1999 and their associated Approved Code of Practice (ACoP) and guidance, including hygiene requirements, will be complied with at all times.

• This policy will be reviewed annually, or whenever significant changes within school grounds occur.

Statement of General Policy

MTEA students should be able to experience a wide range of activities. Health and safety measures should help them to do this safely, not stop them. We aim to provide a safe learning and working environment for them by ensuring as far as is reasonably practicable that premises and grounds are maintained in a safe condition and provided with safe means of access and egress.

Common sense is used in assessing and managing the risks of any activity. Our health and safety procedures aim to be proportionate to the risks of an activity.

We will endeavour to:

• engage and consult with staff and tutors on day-to-day health and safety conditions and provide advice on occupational health.
• provide materials and equipment which are safe to use when correctly operated or handled.
• provide any training, supervision, instruction or information to enable tasks and assignments to be carried out safely.
• establish safe systems of work and keep records as appropriate.
• organise and control the handling, use, and storage of articles, substances or materials to ensure, as far as possible, the absence of any risks to health and safety.
• provide only equipment which meets statutory standards, good practice or codes of practice for standards of design and performance.
• provide and maintain all necessary welfare facilities (e.g. drinking water, warm, dry conditions, toilets) for students, staff and visitors.
• ensure that all teachers, helpers or other staff are aware of MTEA Health and Safety policies and procedures.

Responsibilities of the Health & Safety Officers

• To ensure that every member of staff reads this document and make sure they understand it.
• To ensure that this policy and procedures are reviewed annually or whenever a significant change occurs.
• To be able to answer questions about Health and Safety matters.
• To bring to Ringwood Waldorf School’s attention any breaches to the Health and Safety policy or procedures, or potential hazards.
• To keep abreast of relevant Health and Safety regulations and approved codes of practice.

Risk Assessment and Action – General

• Tutors are responsible for carrying out a risk assessment for their seminars, activities and potential outings. The requisite form can be accessed here:
• https://docs.google.com/document/d/1xjgUFanOFFRQShBWZwx8YWqYM6M5j6AO/edit?usp=sharing&ouid=111617299079756092942&rtpof=true&sd=true
• The Health and Safety officers are responsible for looking into all risk assessments written by tutors and staff members to ensure that all possible risks have been considered and that the measures taken are appropriate.
• In compliance with section 2, action will be taken to eliminate risk where possible or to reduce it as far as reasonably practicable. A serious hazard or risk will be brought immediately to the Course Directors’ and the school’s attention and will not be tolerated in any circumstances.

Injuries, Accidents, Illness and First Aid

At any time at least one member of staff or a designated student on the premises must have up to date first aid training. Training is provided regularly to ensure enough staff remain qualified at all times.

A student or tutor who is obviously unwell on arrival or who presents symptoms of a contagious disease should not be admitted to the school.

In the event of an accident or sudden illness, the responsible person will:

• Assess and give first aid as appropriate
• Follow first aid procedure
• Wear disposable gloves when handling bodily fluids
• Call emergency services if required
• Notify a next of kin or significant person in the event of a serious accident, sickness or removal to hospital
• Monitor the affected person’s condition.
•  

HSE Publications

HSE Publications that the school keeps on the premises and reviews regularly:

• A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013.
• The management of asbestos in non-domestic premises – Regulation 4 of the Control of Asbestos Regulations 2006. Approved Code of Practice and guidance
• Workplace (Health Safety and Welfare) Regulations 1992

Safeguarding Policy

Date: March 2023

Responsible: Alan Swindell, Sven Saar (hereafter referred to as course directors)

Date for review: March 2025    

1. Introduction

• It is the aim of Waldorf Modern Teacher Education (MTEA) to provide a caring and compassionate environment, conducive to work, learning and research for all members of our community.

• We take the approach that “safeguarding is everybody’s business” and empower tutors and students to promote the welfare and wellbeing of all members of the learning community, treating others with respect, compassion and care.

• MTEA recognises that within its diverse student and staff community there may be members who become vulnerable at any given time. Our response to concerns will be supportive and will take account of the wellbeing of all those involved.

2. Purpose

• This policy sets out MTEA’s approach to safeguarding Adults at Risk where there are concerns they are experiencing, or at risk of experiencing abuse or neglect and the type of action we may take to assess risk and provide support.

• MTEA will remain mindful of its duty of care and other legal obligations, including the Health and Safety at Work Act 1974, the Data Protection Act 2018, the Safeguarding Vulnerable Groups Act 2006, the Equality Act 2010, the Protection of Freedoms Act 2012 and the Counter Terrorism and Security Act 2015.

3. Scope

• This policy applies to:

• All MTEA tutors and students, applicants and members of the CIC;
• All MTEA activities, including core teaching and research, outreach and widening participation
  • While this is extremely unlikely in an organization of MTEA’s scope and size, we recognise that radicalisation and violent extremism can put individuals at risk of being drawn into violence and criminal activity and has the potential to cause significant harm to them. In the context of this Safeguarding Policy, the risk of being drawn into extremist ideologies and radicalisation is considered to be a significant safeguarding concern, which is of equal weight alongside other forms of abuse and mistreatment of children and Adults at Risk.

• MTEA reserves the right to request appropriate safeguarding policies and assurances from guest tutors and student placement providers. MTEA core and guest tutors are expected to regularly update their own safeguarding training and be in possession of a portable enhanced DBS Certificate.

4. Definitions, including Prevent¹

• Safeguarding: relates to actions taken to promote the wellbeing of children and Adults at Risk and protect them from harm. Safeguarding is everybody’s responsibility. Safeguarding applies if a child or Adult at Risk is experiencing, or at risk of abuse or neglect. A safeguarding concern may include if a staff member, student or MTEA process presents a risk to children or adults.
• Child: someone under 18.
• Adult at Risk: someone who needs care and support, whether or not they currently receive it. This may be someone who is experiencing, or at risk of, abuse or neglect, and cannot protect themselves from abuse or neglect, because of their care and support needs.
• Prevent: safeguarding individuals from being drawn into terrorism and ensuring those vulnerable to extremist and terrorist narratives are given appropriate advice and support at an early stage. Prevent is no different from any other form of safeguarding from harm.
• Abuse: a violation of an individual’s human and civil rights by any other person or persons.
• MTEA also recognises a range of different factors that may result in an adult being vulnerable to exploitation, radicalisation or abuse, without them coming within the legal definition of an Adult at Risk. For example: relationship breakdown, financial problems, physical or mental ill-health and social isolation.

5. Roles and Responsibilities

• The Course Directors are individually and jointly responsible for:

• Monitoring and review of MTEA’s safeguarding policy;
• Ensuring that the operation of MTEA’s approach to safeguarding is sufficiently resourced in order that MTEA may fulfil its statutory obligations and requirements of this policy.

• The directors’ responsibilities include:

• Implementation of the safeguarding policy;
• Undertaking relevant training in safeguarding procedures and ensuring their knowledge is kept up to date;
• Acting as a source of support, advice and expertise to staff;
• Acting as a point of contact for those who have safeguarding concerns, receiving information and recording those concerns;
• Acting upon concerns as appropriate, for example, by making external referrals to local authorities or the police;
• Ensure that incidents/allegations/disclosures are recorded and archived accordingly;
• Collate all safeguarding incidents and report annually in an anonymised form to the CIC members.

¹  MTEA recognises the definitions set out by Working Together to Safeguard Children 2015 and the Care Act 2014

• MTEA course leaders will:

• ensure all staff and students are aware of the MTEA Safeguarding Policy and are able to refer concerns appropriately;
• build approaches within their teams and areas that promote safeguarding and wellbeing, reducing the potential for harm or abuse.
• participate in training deemed necessary for their role in relation to safeguarding;
• always refer to the relevant PSO in the event they are concerned that someone is at risk of harm or abuse, including students, colleagues, visitors, third parties, such as the child of a colleague. The principal aim of this policy is to prevent harm or abuse from occurring or reoccurring, no matter the relationship between the person at risk and MTEA.

6. Reporting Safeguarding Concerns

• If a student or tutor believes that someone is at immediate risk of significant harm they should call the police on 999. They should also inform the course directors or core tutors at the earliest opportunity:

• Email: info@waldorfmodern.uk
• Phone: 07727117199 (Sven Saar) or 07870966064 (Alan Swindell)

• Non-urgent safeguarding concerns involving tutors or students should be reported by emailing the course directors on info@waldorfmodern.uk, to request a time to discuss the concerns in more detail, without inclusion of identifying information. Concerns will be assessed in order to form a view on whether there is sufficient information to suggest an incident has occurred or is at risk of occurring.
• Responding to concerns:

• All concerns raised will be reviewed and screened to mitigate against inappropriate onward referral;
• The indicators of abuse, harm or radicalisation are sometimes very difficult to recognise and it is not the responsibility of MTEA to determine whether a person has been abused, harmed or radicalised, but to raise concerns with appropriate services who can help;
• Safeguarding issues are highly sensitive and there is potential for further harm to be done if the situation is not responded to by appropriately skilled staff;
• Where possible any external referrals will be made with the consent and knowledge of those involved;
• MTEA reserves the right to refer without consent where there is serious risk, evidence, or suspicion of serious risk of harm, or disclosure is in the public interest.

7. Associated processes

• Where a concern is that a MTEA tutor or student poses a safeguarding risk, following a third party’s investigation where the concerns are substantiated, it should provide information to the course directors to enable appropriate disciplinary action to be taken.
• The MTEA course leaders ensure that reporting protocols are in place to enable the handling of safeguarding concerns where tutors or students are involved.
• For students on placement, course leaders will communicate with the Safeguarding Officer of the provider or employer.
• MTEA reserves the right to take action should it receive information that suggests a tutor’s or student’s behaviour presents a safeguarding risk.

8. Retention of information

• Written records of any safeguarding concerns will be retained for as long as is necessary, for the purpose for which it was obtained, or as legally required, or lawfully permitted.

• Such written records will be held centrally and separately from a student’s academic record.

Appendix 1

Guidance for MTEA tutors and students

If someone discloses that they are experiencing harm, abuse or are feeling vulnerable to radicalisation, or if there are suspicions that someone is at risk of harm, abuse or radicalisation, consider the following guidance.

Whistleblowing Policy

Updated: March 2023

Responsible: Course Directors

Review Date: September 2025

1          Introduction

This policy applies to all MTEA employees, guest tutors and CIC members.

It is important that any fraud, misconduct or wrongdoing by employees or CIC members is reported and properly dealt with. The members will, therefore, respond to all individuals who raise any genuine concerns that they may have about the conduct of others in the school, which are in the public interest. This policy sets out the way in which individuals may raise any concerns that they have and how those concerns will be dealt with. 

MTEA expects the highest standards of conduct from all employees and trustees and will treat seriously any concern raised about illegal or improper conduct.

2          Principles

 Any matter raised under this procedure will be investigated thoroughly, promptly and confidentially, and the outcome of the investigation reported back to the employee who raised the issue.

   No employee will be victimised for raising a matter under this procedure. This means that the continued employment and opportunities for future promotion or training of the employee will not be prejudiced because he/she has raised a legitimate concern.

 Victimisation of a worker for raising a qualified disclosure will be a disciplinary offence.

If misconduct is discovered as a result of any investigation under this procedure the matter will be considered under the disciplinary procedure, in addition to any appropriate external measures.

Maliciously making a false allegation is a disciplinary offence.

An instruction to cover up wrongdoing is in itself a disciplinary offence. If told not to raise or pursue any concern, even by a person in authority, employees should not agree to remain silent.

3          Background

The law provides protection for employees who raise legitimate concerns about specified matters. These are called ‘qualifying disclosures’.  A qualifying disclosure is one made in the public interest by the employee who has a reasonable belief that any of the following:

• A criminal offence
• A miscarriage of justice
• An act creating risk to health and safety
• An act causing damage to the environment
• Corruptly receiving any gift or advantage, thus failing to comply with the Bribery Act 2010
• Allowing private interests to override the interests of the school
• A breach of any legal obligation; or
• Concealment of any of the above

are being, have been, or are likely to be, committed. It is not necessary for the employee to have proof that such an act is being, has been, or is likely to be committed, a reasonable belief is sufficient. The employee has no responsibility for investigating the matter; it is MTEA’s responsibility to ensure that an investigation takes place

            Where the concerns are about safeguarding children or young people, the Course Directors or CIC members should be notified. Having been notified, they will be expected to act swiftly and constructively in the investigation of any concerns.

4          When should it be used?

This procedure is for disclosures about matters other than a breach of a contract of tuition or employment.

Where a disclosure is merely an expression of opinion that fails to show that a legal obligation has been or is likely to be breached, it cannot amount to a protected or qualifying disclosure for the purposes of the whistle blowing legislation.

This procedure is not designed to replace or be used as an alternative to the complaints  procedure, which should be used where a student or  employee is aggrieved about their own situation. Nor should this policy apply where the employee, tutor or student simply disagrees with the way MTEA is run.

People choosing to take action under this procedure  must have reasonable grounds for believing the information they have is accurate and not just gossip or rumour.

Any employee employee who makes a protected disclosure has the right not to be dismissed, subject to any other detriment, or victimised, because they have made a disclosure, provided it has not been made maliciously. Any employee who uses this procedure will not be penalised for doing so. MTEA will not tolerate harassment and/or victimisation of any employee raising concerns.

An employee who is not sure whether the conduct they are concerned about does constitute illegal or improper conduct or is unsure about how to proceed may contact the Course Directors or CIC members.

Any suspicion of fraud, corruption or other financial irregularity should be reported to the non-executice CIC members for possible investigation. They are:

Paul White: whitsunpaul@gmail.com

Jenny Bolsius: jennybolsius@btinternet.com

Kate Attfield: kattfield@cardiffmet.ac.uk

Stephen Holland: holland.stephen@ntlworld.com

Shabda Pryia: shabda.priya@yahoo.com

5          Procedure

In the first instance, unless the employee reasonably believes a course director to be involved in the wrongdoing, any concerns should be raised with the course directors. If they believe the course director to be involved, then the employee should report straight to a non-executive CIC member (see above).

The investigation may involve the employee and others involved giving written statements. Any investigation will be carried out in accordance with the principles set out above. The employee’s statement will be taken into account and they will be asked to comment on any additional evidence obtained.

Employees who want to use the procedure but feel uneasy about it may wish to consult their Professional Association/Trade Union initially and bring a colleague or Professional Association/Trade Union Representative along to any discussions, so long as the third party is not involved in the issue.

Where anonymity is requested efforts will be made to meet the request where appropriate but that might not always be possible. The earlier and more open the expression of concern the easier it will be to take appropriate action.

The course directors (or the person who carried out the investigation) will then report to the CIC members who will take the necessary action, including reporting the matter to any appropriate department or regulatory agency. If disciplinary action is required this will be taken forward by the CIC members. On conclusion of any investigation the employee will be told the outcome of the investigation and what the next steps will be. If no action is to be taken the reason for this will be explained.

If the employee is concerned that the CIC members are involved in the wrongdoing, have failed to make a proper investigation or have failed to report the outcome of the investigation, they have the option of contacting one of the following:

• HM Revenue and Customs
• The Financial Services Authority
• The Office of Fair Trading
• The Health and Safety Executive
• The Environment Agency
• The Director of Public Prosecutions
• The Serious Fraud Office
• The Education Funding Agency
• The Department for Education
• The National College for Teaching and Leadership

6          Safeguarding students and vulnerable adults

All employees have a duty to report concerns about the safety and welfare of students. They may be the first to recognise that something is wrong but may not feel able to express their concerns out of fear that this would be disloyal to colleagues,  or fear harassment or victimisation. These feelings, however, must never result in a student continuing to be at risk. The safety of students should always be a primary concern for MTEA staff and guest tutors.

Concerns about any of the following should be reported to the course directors:

• physical abuse of a student
• sexual abuse of a student
• emotional abuse of a student
• neglect of a student
• an undisclosed, intimate or improper relationship between a tutor and a student where the power imbalance is a source of concern.

7          The Law Relating To This Document

Employment Rights Act 1996

Public Interest Disclosures Act 1998

The legislation protecting individuals who makes a protected disclosure applies not only to employees, but also to any person who undertakes to do or perform personally (or otherwise) any work or service for the employer, regardless of the nature of the contractual relationship between them.

A Whistleblowing Policy should establish the procedure for an employee to follow if they have a genuine concern about a colleague’s conduct or the organisation’s practices. The Whistleblowing Policy should make clear what sort of allegations will count as a protected disclosure and should allow for the employee to raise these concerns with a nominated person and set out the steps that the employer will take in response.

A qualifying disclosure means any disclosure of information that in the reasonable belief of the worker is made in the public interest. The requirement that a whistleblower make a qualifying disclosure ‘in good faith’ has been removed. Therefore, while the employer can seek a declaration from the whistleblower that he or she is not knowingly making a false allegations, disciplinary action is likely to be appropriate only where there is clear evidence that the employee has misused the whistle blowing procedure. A consequence of the requirement that a disclosure be made in the public interest is that an employee will generally be precluded from being able to ‘blow the whistle’ about breaches of his or her employment contract.

Section 43J of the Employment Rights Act 1996 provides that a Settlement Agreement made between an employee and employer cannot prevent future protected disclosures.

Any confidentiality obligations in contracts of employment that would prevent an employee making a protected disclosure will be void.

Where a staff member feels unable to raise an issue with their employer or feels that their genuine concerns are not being addressed, other whistleblowing channels may be open to them:

• General guidance can be found at: https://www.gov.uk/whistleblowing

Equality and diversity policy and procedure

Date: September 2021

Responsible: Course Leaders

Review Date: September 2024

THE MODERN TEACHER (MTEA) intends to be a truly open, accessible and diverse organisation and is committed to the principle of equal opportunities in employment and education regardless of a person’s gender, race, sexual orientation, age, disability or religious belief or other specific factors which result in discrimination.

To achieve this we need to ensure that none of our policies and procedures places any unnecessary barriers for students or staff.

• All  leaders and tutors have  personal responsibility for the implementation of this policy.
• MTEA will endeavour to ensure that the following good practice informs the actions of tutors and students.
• MTEA seeks to ensure equality of opportunity and treatment for everyone in relation to all of its activities.
• MTEA recognises the existence of discrimination, and is committed to making changes in any area of its practice where there is evidence of failure to provide an appropriate and professional service.
• MTEA will work actively towards eliminating discrimination, harassment and bullying because of race, colour, ethnic origin, gender, religion, marital status, disability, sexual orientation, age, or any other grounds.

In the event that staff or students are alleged to be in breach of MTEA Equality and Diversity policy, an investigation will be carried out in accordance with agreed procedures. Depending on the outcome, guidance, advice, counselling and training may be offered to ensure compliance. A serious breach of the Equality and Diversity Policy and Procedure may constitute gross misconduct.

MTEA operates within a set of agreed equal opportunities definitions, which can be found as an Appendix to this Policy

Procedural Objectives

MTEA will work actively to make progress in five key areas:

Discrimination

Eliminating any discrimination in relation to tutor or student recruitment and promotion, the purchase of goods and services, and in the content, delivery and management of the curriculum

MTEA will ensure that its equality and diversity policy is publicised as widely as possible to its community, including students, volunteers and staff.

Harassment

Ensuring that all students, staff and visitors can go about their business in an atmosphere free of intimidation or abuse.
MTEA will review the effectiveness of procedures, so that staff and students feel confident to raise issues of concern about equal opportunities, and to make complaints about discrimination, harrassment or bullying.

Widening Participation

Encouraging maximum access to the full range of educational provision of all social backgrounds and cultures.
This includes monitoring patterns of admissions and working to ensure that the admissions process is based only on student needs and aptitudes.

Inclusive Learning

Providing support, wherever possible, to enable individual students of different abilities and needs to progress through the curriculum towards successful achievement.

MTEA will monitor and review the curriculum, and the learning resources used to deliver the curriculum, to ensure that they reflect and promote equal opportunities.

Celebrating Diversity

Recognising and reflecting the positive contributions of men and women of different social backgrounds, cultures, religions, abilities, ages and sexual orientation.

Responsibilities

The Core Tutors are responsible for ensuring that a policy of equal opportunities is continuously promoted and comprehensively implemented in all aspects of MTEA practice.

Legislation

The Policy reflects national legislation and guidelines as provided by The Equality Act 2010.

Procedural Monitoring and Evaluation

The Course Leaders will monitor and evaluate the success of this policy, ensuring that it is made available to all staff and students and that it is reviewed at the set review date.

Key performance indicators will include:

• Age, ethnicity, gender and disability profile of WI tutors
• Age, ethnicity, gender, disability and profile of MTEA students
• Numbers of complaints or grievances of harassment and discrimination
• Attendance at equal opportunities training events

Data Protection Policy

1. Aims

MTEA aims to ensure that all personal data collected about staff, students, guest tutors and other individuals is collected, stored and processed in accordance with the Data Protection Legislation which means the Data Protection Act 2018 (DPA2018), the United Kingdom General Data Protection Regulation (UK GDPR), the Privacy and Electronic Communications (EC Directive) Regulations 2003 and any legislation implemented in connection with the aforementioned legislation. Where data is processed by a controller or processor established in the European Union or comprises the data of people in the European Union, it also includes the EU General Data Protection Regulation (EU GDPR). This includes any replacement legislation coming into effect from time to time.

This policy applies to all personal data, regardless of whether it is in paper or electronic format.

2. Legislation and guidance

This policy meets the requirements of the UK GDPR and the expected provisions of the DPA 2018. It is based on guidance published by the Information Commissioner’s Office (ICO) on the GDPR and the ICO’s code of practice for subject access requests.

It also reflects the ICO’s code of practice for the use of surveillance cameras and personal information.

In addition, this policy complies with regulation 5 of the Education (Pupil Information) (England) Regulations 2005, which gives parents the right of access to their child’s educational record.

3. Definitions

4. The data controller

MTEA processes personal data relating to students, staff, guest tutors and others, and therefore is a data controller.

5. Roles and responsibilities

This policy applies to all staff employed by MTEA, and to external organisations or individuals working on our behalf. Staff who do not comply with this policy may face disciplinary action.

• Governing body

The CIC members have overall responsibility for ensuring that MTEA complies with all relevant data protection obligations.

• Data protection officer

The course directors (CD) are individually and jointly responsible for overseeing the implementation of this policy, monitoring our compliance with data protection law, and developing related policies and guidelines where applicable. They may delegate the management of specific processes to administration staff.

They are contactable via email: info@waldorfmodern.uk

• All staff, core and guest tutors

are responsible for:

• Collecting, storing and processing any personal data in accordance with this policy
• Informing MTEA of any changes to their personal data, such as a change of address
• Contacting the CD in the following circumstances:
  • With any questions about the operation of this policy, data protection law, retaining personal data or keeping personal data secure
  • If they have any concerns that this policy is not being followed
  • If they are unsure whether or not they have a lawful basis to use personal data in a particular way
  • If they need to rely on or capture consent, draft a privacy notice, deal with data protection rights invoked by an individual, or transfer personal data outside the UK
  • If there has been a data breach
  • Whenever they are engaging in a new activity that may affect the privacy rights of individuals
  • If they need help with any contracts or sharing personal data with third parties

6. Data protection principles

The GDPR is based on data protection principles that MTEA must comply with. The principles say that personal data must be:

• Processed lawfully, fairly and in a transparent manner
• Collected for specified, explicit and legitimate purposes
• Adequate, relevant and limited to what is necessary to fulfil the purposes for which it is processed
• Accurate and, where necessary, kept up to date
• Kept for no longer than is necessary for the purposes for which it is processed
• Processed in a way that ensures it is appropriately secure

This policy sets out how MTEA aims to comply with these principles.

7. Collecting personal data
   • Lawfulness, fairness and transparency

We will only process personal data where we have one of 6 ‘lawful bases’ (legal reasons) to do so under data protection law:

• The data needs to be processed so that MTEA can fulfil a contract with the individual, or the individual has asked MTEA to take specific steps before entering into a contract
• The data needs to be processed so that MTEA can comply with a legal obligation
• The data needs to be processed to ensure the vital interests of the individual e.g. to

protect someone’s life

• The data needs to be processed so that MTEA, as a public authority, can perform a task in the public interest, and carry out its official functions
• The data needs to be processed for the legitimate interests of MTEA or a third party (provided the individual’s rights and freedoms are not overridden)
• The individual has freely given clear consent

For special categories of personal data, we will also meet one of the special category conditions for processing which are set out in the UK GDPR and Data Protection Act 2018.

• Limitation, minimisation and accuracy

We will only collect personal data for specified, explicit and legitimate reasons. We will explain these reasons to the individuals when we first collect their data.

If we want to use personal data for reasons other than those given when we first obtained it, we will inform the individuals concerned before we do so, and seek consent where necessary.

Staff and guest tutors must only process personal data where it is necessary in order to do their jobs.

When staff no longer need the personal data they hold, they must ensure it is deleted or anonymised.

8. Sharing personal data

We will not normally share personal data with anyone else, but may do so where:

• There is an issue with a student or tutor that puts the safety of our staff at risk
• We need to liaise with other agencies – we will seek consent as necessary before doing this
• Our suppliers or contractors need data to enable us to provide services to our staff and students – for example, IT companies. When doing this, we will:
  • Only appoint suppliers or contractors which can provide sufficient guarantees that they comply with data protection law
  • Establish a data sharing agreement with the supplier or contractor, either in the contract or as a standalone agreement, to ensure the fair and lawful processing of any personal data we share
  • Only share data that the supplier or contractor needs to carry out their service, and information necessary to keep them safe while working with us

We will also share personal data with law enforcement and government bodies where we are legally required to do so, including for:

• The prevention or detection of crime and/or fraud
• The apprehension or prosecution of offenders
• The assessment or collection of tax owed to HMRC
• In connection with legal proceedings
• Where the disclosure is required to satisfy our safeguarding obligations
• Research and statistical purposes, as long as personal data is sufficiently anonymised or consent has been provided.

We may also share personal data with emergency services and local authorities to help them to respond to an emergency situation that affects any of our students or staff.

Where we transfer personal data to a country or territory outside the European Economic Area, we will do so in accordance with data protection law.

9. Subject access requests and other rights of individuals
   • Subject access requests

Individuals have a right to make a ‘subject access request’ to gain access to personal information that MTEA holds about them. This includes:

• Confirmation that their personal data is being processed
• Access to a copy of the data
• The purposes of the data processing
• The categories of personal data concerned
• Who the data has been, or will be, shared with
• How long the data will be stored for, or if this isn’t possible, the criteria used to determine this period
• The source of the data, if not the individual
• Whether any automated decision-making is being applied to their data, and what the significance and consequences of this might be for the individual.

Subject access requests can be submitted verbally, in writing, either by letter, email to info@waldorfmodern.uk

They should include:

• Name of individual
• Correspondence address
• Contact number and email address
• Details of the information requested

• Responding to subject access requests

When responding to requests, we:

• May ask the individual to provide 2 forms of identification
• May contact the individual via phone to confirm the request was made
• Will respond without delay and within 1 month of receipt of the request
• Will provide the information free of charge
• May tell the individual we will comply within 3 months of receipt of the request, where a request is complex or numerous. We will inform the individual of this within 1 month, and explain why the extension is necessary.

We will not disclose information if it:

• Might cause serious harm to the physical or mental health of the student or another individual
• Would reveal that the student is at risk of abuse, where the disclosure of that information

would not be in the student’s best interests

• Is given to a court in proceedings concerning the student.

If the request is unfounded or excessive, we may refuse to act on it, or charge a reasonable fee which takes into account administrative costs.

A request will be deemed to be unfounded or excessive if it is repetitive, or asks for further copies of the same information.

When we refuse a request, we will tell the individual why, and tell them they have the right to complain to CIC, using the terms set out in our complaints procedure.

• Other data protection rights of the individual

In addition to the right to make a subject access request (see above), and to receive information when we are collecting their data about how we use and process it (see section 7), individuals also have the right to:

• Withdraw their consent to processing at any time
• Ask us to rectify, erase or restrict processing of their personal data, or object to the processing of it (in certain circumstances)
• Prevent use of their personal data for direct marketing
• Challenge processing which has been justified on the basis of public interest
• Request a copy of agreements under which their personal data is transferred outside of the European Economic Area
• Object to decisions based solely on automated decision making or profiling (decisions taken with no human involvement, that might negatively affect them)
• Prevent processing that is likely to cause damage or distress
• Be notified of a data breach in certain circumstances
• Make a complaint to the ICO
• Ask for their personal data to be transferred to a third party in a structured, commonly used and machine-readable format (in certain circumstances)

Individuals should submit any request to exercise these rights to the CD.

10. Photographs and videos

As part of MTEA activities, and for the purpose of publicity and assessment, we may take photographs and record images of individuals.

The consent to the use of these images for publicity purposes is assumed upon entry to the course but can be withdrawn at any time, without stating reasons.

When using photographs and videos in this way we will not accompany them with any other personal information about the student.

11. Data security and storage of records

We will protect personal data and keep it safe from unauthorised or unlawful access, alteration, processing or disclosure, and against accidental or unlawful loss, destruction or damage.

In particular:

• Portable electronic devices, such as laptops and hard drives that contain personal data are kept under lock and key when not in use
• Papers containing confidential personal data must not be left on office and classroom desks, on staffroom tables, pinned to notice/display boards, or left anywhere else where there is general access
• Passwords that are at least 8 characters long containing letters and numbers are used to access MTEA computers, laptops and other electronic devices.
• Staff, students or CIC members who store personal information on their personal devices are expected to follow the same security procedures as for MTEA-owned equipment
• Where we need to share personal data with a third party, we carry out due diligence and take reasonable steps to ensure it is stored securely and adequately protected (see section 8)

12. Disposal of records

Personal data that is no longer needed will be disposed of securely. Personal data that has become inaccurate or out of date will also be disposed of securely, where we cannot or do not need to rectify or update it.

For example, we will shred or incinerate paper-based records, and overwrite or delete electronic files. We may also use a third party to safely dispose of records on MTEA’s behalf. If we do so,

we will require the third party to provide sufficient guarantees that it complies with data protection law.

13. Personal data breaches

MTEA will make all reasonable endeavours to ensure that there are no personal data breaches. Such breaches in a HE context may include, but are not limited to:

• A non-anonymised dataset being published on the MTEA website which shows the results or grades of students without their prior consent
• Safeguarding information being made available to an unauthorised person
• The theft of a MTEA laptop containing non-encrypted personal data about students

14. Training

Data protection will form part of continuing professional development, where changes to legislation, guidance or MTEA’s processes make it necessary.

15. Monitoring arrangements

CD are responsible for monitoring and reviewing this policy.