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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Disciplinary and Grievance Policy

1. Purpose

This policy outlines the procedures and expectations for managing disciplinary issues and grievances within {{org_field_name}}. It aims to ensure that:

• Employees and workers understand acceptable conduct standards.
• Issues of misconduct are dealt with fairly, consistently, and promptly.
• Grievances are addressed efficiently and effectively to maintain a positive work environment.
• Legal and regulatory requirements are adhered to, including the Employment Rights Act 1996, the Acas Code of Practice on disciplinary and grievance procedures, the Employment Relations Act 1999 (right to be accompanied), the Equality Act 2010, the Working Time Regulations 1998, the National Minimum Wage Act 1998 and National Minimum Wage Regulations 2015, and UK GDPR / the Data Protection Act 2018 (as applicable).

Where we supply workers into regulated environments (for example health and social care settings), we also follow client site rules and role-specific regulatory requirements that apply to the individual worker (for example professional standards), without this implying that {{org_field_name}} is itself a regulated care provider.

2. Scope

This policy applies to all employees and workers engaged by {{org_field_name}}, including registered nurses, healthcare assistants, and other temporary staff, whether they are working on an assignment with a client or working internally. It also applies during recruitment/onboarding where appropriate (for example where conduct concerns arise before an assignment starts). It covers disciplinary actions related to conduct, capability, and performance, as well as grievance procedures for workplace concerns.

3. Related Policies

• Code of Conduct Policy
• Equal Opportunities Policy
• Health and Safety Policy
• Whistleblowing Policy

4. Principles

The disciplinary procedure follows these principles:

• Fair and transparent processes.
• Investigation before any formal action.
• Right to be accompanied at hearings.
• Proportionality in decision-making.

5. Assignments with Clients

Where an individual is working on an assignment with a client, the client may end the assignment or request that the individual is removed from site. This may occur for operational reasons, suitability concerns, or client-side policy requirements and does not automatically mean that {{org_field_name}} has taken disciplinary action.

If the reason for removal suggests potential misconduct, capability, or another concern that may affect future assignments or continued engagement, {{org_field_name}} may review the matter under this policy. Any formal disciplinary action will be taken only after appropriate investigation and a fair process in line with this policy and the Acas Code of Practice.

Where the client’s decision means an assignment ends immediately, we will, where reasonably possible, explain the position to the individual and confirm whether any internal process will follow (for example investigation, suitability review, retraining, redeployment search, or formal disciplinary steps).

6. Informal Resolution

For minor misconduct or performance issues, line managers should attempt to resolve matters informally through discussions, coaching, and guidance. If issues persist, formal procedures may be initiated.

7. Formal Disciplinary Process

7.1 Investigation

1. Allegation raised: A complaint or concern is reported to the relevant manager or HR.
2. Initial assessment: The manager determines if a formal investigation is necessary.
3. Suspension (if required): Suspension may be used where it is necessary (for example to protect service users, colleagues, clients, evidence, or the investigation). Any suspension will be on full pay. Suspension is not a disciplinary penalty. It will be kept under review and will be for as short a period as reasonably possible.
4. Gathering evidence: Interviews are conducted, witness statements are collected, and relevant documentation is reviewed.
5. Investigation report: A report summarising findings is prepared for review.

7.2 Disciplinary Hearing

1. Notification: If the investigation finds sufficient evidence, the employee receives a written notice detailing:
   • Allegations against them.
   • Date, time, and location of the hearing.
   • Their right to be accompanied by a work colleague, a trade union representative, or an official employed by a trade union, in line with the Employment Relations Act 1999.

The companion may address the hearing, put the individual’s case, sum up, and confer with the individual during the hearing.

1. Possible disciplinary actions.
2. Hearing process:
   • The hearing panel (usually the manager and HR representative) presents the case.
   • The employee responds to allegations and presents their defence.
   • Witnesses may be called.
3. Decision-making: The panel considers all evidence before making a decision.

7.3 Possible Outcomes

• No action: If the case is unsubstantiated.
• First stage warning (normally confirmed in writing): For minor breaches where informal steps have not resolved the issue.
• Written warning: For repeated or more serious misconduct.
• Final written warning: If prior warnings are ignored or for serious misconduct.
• Dismissal: For gross misconduct, e.g., abuse, theft, or breaches of safeguarding policies.
• Other sanctions: Demotion, training, or mediation may be considered.

7.4 Appeal

1. Submission: Employees and workers must appeal in writing within 5 working days of receiving the disciplinary decision.
2. Review panel: A senior manager not previously involved reviews the case.
3. Appeal hearing: The employee can present their appeal and any new evidence.
4. Final decision: A written outcome is provided within 10 working days.

Time limits may be extended where there is a good reason for delay (for example sickness, annual leave, or lack of access to documents), and any extension will be confirmed in writing.

8. Principles

The grievance procedure allows employees to raise concerns about workplace conditions, treatment, or conduct. This ensures a safe and supportive environment.

9. Informal Grievance Resolution

1. Direct discussion: Employees should first try to resolve grievances informally by speaking with their manager.
2. Manager mediation: The manager may hold an informal meeting to mediate and find a resolution.
3. Escalation: If unresolved, the employee can proceed with a formal grievance.

10. Formal Grievance Process

10.1 Submitting a Grievance

1. Written complaint: Employees must submit their grievance in writing to HR or the Registered Manager, detailing:
   • The issue.
   • Any supporting evidence.
   • Desired resolution.
2. Acknowledgment: HR acknowledges receipt within 3 working days.

10.2 Grievance Meeting

1. Scheduling: A meeting is arranged within 10 working days.
2. Attendance: The employee/worker has the right to be accompanied by a work colleague, a trade union representative, or an official employed by a trade union, in line with the Employment Relations Act 1999.
3. Discussion: The grievance is reviewed, and both parties present their views.

10.3 Investigation

1. Fact-finding: HR investigates the grievance, collecting statements and documents.
2. Follow-up meeting: If necessary, a follow-up meeting is arranged.

10.4 Decision

1. Outcome letter: A decision is communicated in writing within 5 working days.
2. Resolution implementation: If applicable, corrective actions are taken.

10.5 Appeal

1. Appeal submission: Employees must appeal in writing within 5 working days.
2. Independent review: A senior manager not involved in the initial decision reviews the case.
3. Appeal meeting: The employee presents their appeal.
4. Final decision: A written response is given within 10 working days.

11. Confidentiality and Data Protection

All disciplinary and grievance matters will be handled as confidentially as reasonably possible. Information will be shared only with those who need it to investigate, manage, and decide the matter, or where required by law.

Personal data will be processed in accordance with UK GDPR and the Data Protection Act 2018. Records of investigations, meetings, outcomes, and appeals will be kept securely and retained only for as long as necessary and proportionate for legitimate business and legal purposes.

12. Policy Review

This policy will be reviewed annually or sooner if required due to legislative changes or organisational needs.

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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.