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HCS39-Disciplinary and Grievance Procedures Policy

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Registration Number: {{org_field_registration_no}}

Disciplinary and Grievance Procedures Policy

1. Purpose

The purpose of this policy is to ensure that disciplinary and grievance matters at {{org_field_name}} are managed fairly, consistently, promptly and lawfully, while protecting the health, safety, wellbeing and rights of employees and the people who use our service. As a registered Care at Home service in Scotland, {{org_field_name}} will apply this policy in line with employment law, the Acas Code of Practice on Disciplinary and Grievance Procedures, the Health and Social Care Standards, the Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011, and the Scottish Social Services Council (SSSC) Codes of Practice for Social Service Workers and Employers (effective from 1 May 2024).

{{org_field_name}} is committed to:

{{org_field_name}} recognises that some disciplinary concerns may also require immediate safeguarding action, referral to the SSSC, notification to the Care Inspectorate, referral to Disclosure Scotland and/or reporting to Police Scotland or the local authority, depending on the facts of the case.

2. Scope

This policy applies to all:

This policy covers two key areas:

  1. Disciplinary Procedures – addressing misconduct, poor performance, and breaches of company policies.
  2. Grievance Procedures – providing employees with a formal mechanism to raise concerns relating to working conditions, treatment at work, or breaches of company policies.

This policy applies to employees. Where appropriate, {{org_field_name}} may apply similar principles to workers, bank staff, relief staff and agency workers, taking account of their legal status and contractual arrangements. This policy does not replace the organisation’s Whistleblowing Policy, Complaints Policy, Adult Support and Protection procedures, or any statutory reporting duty. Concerns that amount to a protected disclosure, a safeguarding concern, a protection concern about a person using the service, or a service-user complaint will be managed under the relevant procedure as well as, where appropriate, under this policy.

3. Legal and Regulatory Framework

This policy is implemented with reference to the following legislation, standards and guidance, as amended from time to time:

In applying this policy, {{org_field_name}} will also take account of its duties as a registered care service provider, including duties relating to safe care, record keeping, protection, notifications, cooperation with regulators and action to protect people who use services.

4. Disciplinary Procedure

The disciplinary procedure ensures that any misconduct, poor performance, or breaches of policy are addressed in a fair and transparent manner. Disciplinary action may be taken where an employee’s behaviour or performance falls below the expected standards.

Disciplinary action will normally be used for issues of conduct. Concerns about capability, competence, health, training needs or performance should be considered carefully to decide whether they should be managed under a capability, supervision, attendance or support process instead, unless there is evidence of misconduct. Where concerns relate to professional practice, safeguarding or fitness to practise, {{org_field_name}} will take immediate action to protect people using the service while ensuring a fair process for the employee.

Types of Disciplinary Issues

Disciplinary action may be required for:

Stages of the Disciplinary Process

  1. Informal Resolution
    • Minor issues are addressed through informal discussions and additional support.
    • Employees receive constructive feedback and guidance for improvement.
    • A record of the conversation may be kept for future reference.
  2. Formal Investigation
    • If an issue is serious, a formal investigation is conducted.
    • The employee is informed in writing of the investigation and its purpose.
    • An impartial investigator gathers evidence, interviews relevant parties, and assesses the facts.

The investigation will be carried out by a person who has not been directly involved in the matter wherever possible. The purpose of the investigation is to establish the facts fairly and objectively, not to prove guilt. The employee will be informed of the allegations in sufficient detail, provided with relevant evidence in advance of any hearing, and given a reasonable opportunity to respond. Reasonable adjustments will be made where required, including under the Equality Act 2010.

  1. Precautionary Suspension or Alternative Duties

In serious cases, {{org_field_name}} may consider precautionary suspension, temporary redeployment, restricted duties, additional supervision or removal from specific tasks while an investigation is carried out. Suspension is not a disciplinary sanction, does not imply guilt, and will only be used where reasonable and necessary, for example to protect people using the service, protect the investigation, or where there is a serious risk to staff, the public or the organisation. Any suspension will normally be on full pay and reviewed regularly. If the organisation is considering a departure from paid suspension, legal advice must be obtained in advance and the employee’s contract must expressly allow it.

  1. Disciplinary Hearing
    • If there is sufficient evidence, the employee is invited to a formal disciplinary hearing.
    • They are given written notice of the hearing, including details of the allegations and supporting evidence.
    • The employee has the statutory right to be accompanied by a fellow worker, a certified trade union representative or an official employed by a trade union. Requests for additional support, including as a reasonable adjustment, will be considered on a case-by-case basis.
    • The hearing panel reviews evidence and allows the employee to present their case.
  2. Disciplinary Outcomes

Depending on the seriousness of the matter, the outcome may be:

The sanction chosen will take account of the seriousness of the matter, the evidence, any mitigating factors, previous live warnings, any safeguarding or professional practice implications, and the need to protect people using the service and maintain public confidence in the service. Warning periods will normally be stated in the outcome letter, together with the required improvement, support to be provided, timescale for review, and the consequences of further misconduct.

  1. Safeguarding, Notifications and Referrals

Where a disciplinary matter involves alleged abuse, neglect, exploitation, harm, serious misconduct, a protection concern about a person using the service, or concerns that a worker’s fitness to practise may be impaired, {{org_field_name}} will consider without delay whether it must:

Internal disciplinary action does not replace any external reporting duty.

  1. Appeal Process

Employees have the right to appeal any formal disciplinary decision. Appeals must be submitted in writing within 5 working days of receipt of the decision letter, stating the full grounds of appeal. Grounds may include procedural unfairness, new evidence, disproportionality of sanction, or inconsistency of outcome. Wherever possible, the appeal will be heard by a manager not previously involved and senior to the original decision-maker. The appeal may uphold, revoke or substitute the original decision, or require further investigation or a rehearing. The final outcome will be confirmed in writing.

5. Grievance Procedure

A grievance procedure allows employees to formally raise concerns, complaints, or disputes regarding their work, colleagues, or organisational decisions.

A grievance may relate to treatment at work, management action, bullying, harassment, discrimination, health and safety, workload, professional concerns, or the application of policies and procedures. Where the matter raised is more appropriately dealt with under the Whistleblowing Policy, safeguarding procedures, complaints procedures or another formal process, {{org_field_name}} will explain this to the employee and may manage the matter under more than one procedure at the same time where necessary.

Examples of Grievances

Employees may raise grievances about:

Stages of the Grievance Process

  1. Informal Resolution

Employees are encouraged, where appropriate and safe to do so, to raise concerns informally with their line manager at the earliest opportunity. Where the grievance concerns the line manager, or where informal resolution is not appropriate, the employee may raise the matter directly with a more senior manager, the Registered Manager or another nominated manager. Mediation may be considered where appropriate and only where all parties agree.

  1. Formal Grievance Submission
    • If the issue is not resolved informally, the employee submits a written grievance.
    • The grievance should detail the nature of the complaint and any supporting evidence.

The written grievance should state the nature of the complaint, the facts relied upon, any steps already taken to resolve it, the outcome sought, and whether the employee requires any reasonable adjustment to participate in the process.

  1. Grievance Investigation
    • An impartial manager conducts an investigation into the complaint.
    • Witness statements and documentary evidence may be reviewed.
  2. Grievance Hearing
    • The employee is invited to a formal grievance hearing to present their case.
    • The employee has the statutory right to be accompanied by a fellow worker, a certified trade union representative or an official employed by a trade union. Requests for additional support or reasonable adjustments will be considered.
    • The panel assesses the case and determines a resolution.

Where a grievance raises allegations of misconduct, abuse, discrimination, harassment, unsafe practice or a protection concern, {{org_field_name}} may separate the grievance process from any disciplinary, safeguarding or external investigation in order to ensure a fair and safe process.

  1. Grievance Outcome and Resolution
    • The outcome is communicated in writing within 5 working days.
    • Possible outcomes include:
      • Mediation or resolution between parties.
      • Changes to workplace policies or practices.
      • Disciplinary action against a responsible party (if applicable).
  2. Appeal Process
    • Employees can appeal a grievance outcome if they believe the resolution is unfair.
    • Appeals must be submitted in writing within 5 working days.
    • The appeal is reviewed by a senior manager not involved in the original decision.

6. Immediate Protective Action and External Reporting

Where an allegation or concern indicates that a person using the service, a colleague or another person may be at risk of harm, {{org_field_name}} will prioritise immediate safety. This may include changing rotas, removing an employee from direct care duties, redeployment, precautionary suspension, seeking emergency medical support, contacting emergency services, or taking any other proportionate protective step.

The Registered Manager or delegated senior manager will consider, without delay, whether the matter must be reported or referred externally, including to the Care Inspectorate, the SSSC, Disclosure Scotland, Police Scotland, the local authority adult protection team, a commissioning authority, or any other relevant regulator or authority.

Where an incident has resulted in unintended or unexpected harm, or could trigger the organisation’s duty of candour obligations, the matter will also be considered under the Duty of Candour Policy.

The fact that a matter is being dealt with through this policy does not prevent or delay any necessary safeguarding action, statutory notification, referral to a professional regulator, or criminal investigation.

7. Confidentiality, Record Keeping and Fair Treatment

All disciplinary and grievance matters will be handled as confidentially as possible. Information will be shared only with those who need it for a legitimate management, safeguarding, regulatory or legal purpose. Confidentiality cannot be guaranteed where {{org_field_name}} is required to disclose information to protect a person, comply with the law, make a referral or notification, or cooperate with a regulator, local authority or the police.

Accurate records of investigations, meetings, evidence, decisions, actions and appeals will be kept in accordance with UK GDPR, the Data Protection Act 2018, employment law requirements and care service record-keeping obligations.

No employee will be subjected to victimisation for raising a grievance, cooperating with an investigation, speaking up in good faith, making a protected disclosure, or raising a safeguarding or professional concern. Any retaliation will itself be treated as a disciplinary matter.

8. Monitoring and Continuous Improvement

{{org_field_name}} is committed to continuously improving disciplinary and grievance procedures. To ensure fairness and compliance:

In a regulated care service, learning from disciplinary cases, grievances, whistleblowing concerns, complaints, protection concerns, duty of candour incidents, audits, supervision and regulatory feedback will be used to improve recruitment, induction, supervision, training, staffing, record keeping and safeguarding arrangements. Managers will also monitor themes relating to equality, human rights, staff wellbeing, professional conduct and fitness to practise.

9. Related Policies

This policy should be read alongside:

10. Policy Review

This policy will be reviewed annually or sooner if changes in legislation or best practice require amendments.

Responsible Person: {{org_field_registered_manager_first_name}}{{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

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