CH31-Disciplinary and Grievance Policy

Registration Number: {{org_field_registration_no}}

Disciplinary and Grievance Policy

1. Purpose

The purpose of this policy is to establish a fair, transparent, and legally compliant framework for managing disciplinary and grievance matters at {{org_field_name}}. This policy ensures that all employees are treated fairly, consistently, and with respect, in line with the latest CQC regulations and employment laws.

The policy aims to:

Provide a structured process for addressing misconduct, performance issues, and breaches of organisational policies.
Offer clear guidance on how employees can raise concerns or grievances in a fair and confidential manner.
Ensure legal compliance with CQC Fundamental Standards, Employment Rights Act 1996, and ACAS Code of Practice on Disciplinary and Grievance Procedures.
Promote a positive working environment where staff feel supported, valued, and able to resolve disputes professionally.

By implementing this policy, {{org_field_name}} ensures a high standard of professional conduct and workforce accountability, contributing to a safe and well-managed care home environment.

2. Scope

This policy applies to:

All employees, including full-time, part-time, agency, and temporary staff.
Volunteers and contractors, where applicable.
Line managers, team leaders, and senior management, responsible for ensuring compliance.

It covers all disciplinary actions related to misconduct or poor performance and grievance procedures for employee concerns, complaints, or disputes.

3. Legal and Regulatory Framework

This policy complies with:

Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 18 (Staffing), which requires care providers to have competent, well-managed, and accountable staff.
CQC Regulation 17 (Good Governance), which requires providers to have effective systems for managing concerns, staff performance, and workplace disputes.
Employment Rights Act 1996, which sets out employees’ legal rights and protections regarding disciplinary and grievance matters.
ACAS Code of Practice on Disciplinary and Grievance Procedures, which provides best practices for handling disputes fairly.
Equality Act 2010, ensuring that disciplinary and grievance matters are free from discrimination, harassment, or victimisation.
Whistleblowing Protection (Public Interest Disclosure Act 1998), ensuring that no employee faces retaliation for raising legitimate concerns.

By adhering to these legal requirements, {{org_field_name}} ensures that all disciplinary and grievance procedures are fair, transparent, and legally defensible.

4. Disciplinary Procedure

4.1 Purpose of the Disciplinary Process

The disciplinary procedure is designed to:

Address misconduct, poor performance, or breaches of company policies.
Ensure that disciplinary action is fair, proportionate, and legally compliant.
Provide staff with the opportunity to improve performance or behaviour before formal action is taken.

Disciplinary matters may relate to:

Gross misconduct, such as abuse, fraud, theft, or serious breaches of health and safety.
Repeated misconduct, including failure to follow policies or inappropriate behaviour.
Performance issues, where an employee is not meeting required standards.
Policy violations, such as breaches of confidentiality, GDPR, or professional boundaries.

4.2 Informal Resolution (First Step Before Formal Action)

Where possible, minor misconduct or performance issues will be handled through informal discussions. Managers will:

Discuss concerns with the employee in a constructive and supportive manner.
Offer guidance, training, or mentorship to improve performance.
Document the conversation and set clear expectations and review timelines.

If the issue is not resolved informally, a formal disciplinary process may be initiated.

4.3 Formal Disciplinary Process

Step 1: Investigation

An impartial investigator (usually a manager or HR representative) will gather facts.
Employees may be asked to provide statements or evidence.
If the concern is serious (e.g., safeguarding issues), the employee may be suspended on full pay while the investigation is ongoing.

Step 2: Disciplinary Hearing

If the investigation finds sufficient evidence, the employee will be invited to a disciplinary hearing.
The employee will receive written notice, detailing the allegations and any evidence.
The employee has the right to be accompanied by a colleague or trade union representative.
The hearing panel (manager/HR) will review evidence, allow the employee to respond, and make a fair decision.

Step 3: Disciplinary Outcomes

Following the hearing, possible outcomes include:

No action, if the concern is unfounded.
Verbal or written warning, for minor misconduct.
Final written warning, if previous warnings have been ignored or if the issue is serious.
Dismissal, in cases of gross misconduct or repeated policy breaches.

Employees have the right to appeal any disciplinary decision.

5. Grievance Procedure

5.1 Purpose of the Grievance Process

The grievance procedure provides a clear process for employees to raise concerns, complaints, or disputes about:

Workplace conditions, pay, or employment terms.
Bullying, discrimination, or harassment.
Concerns about management decisions or treatment by colleagues.

All grievances are handled confidentially, fairly, and without bias.

5.2 Informal Resolution (First Step Before a Formal Grievance)

Where possible, employees are encouraged to raise concerns informally with their manager. Many grievances can be resolved through open discussion and mediation.

If the issue is not resolved informally, employees can submit a formal grievance.

5.3 Formal Grievance Process

Step 1: Submitting a Grievance

Employees should submit their grievance in writing, explaining their concerns and the resolution they seek.
The grievance will be acknowledged within 5 working days.

Step 2: Investigation

A neutral manager or HR representative will review the grievance and gather evidence.
Witnesses may be interviewed, and relevant documents may be examined.

Step 3: Grievance Hearing

A formal meeting will be held, where the employee can present their case.
Employees may be accompanied by a trade union representative or colleague.
The panel will consider all evidence before making a fair and reasoned decision.

Step 4: Resolution and Outcome

The possible outcomes include:

Issue resolution, with changes to policies, training, or work arrangements.
Disciplinary action, if the grievance highlights misconduct.
Rejection of the grievance, with a written explanation if the complaint is not upheld.

Employees have the right to appeal grievance decisions.

6. Monitoring and Compliance

To ensure fair and effective disciplinary and grievance procedures, {{org_field_name}}:

Conducts regular training for managers on handling grievances and disciplinary matters.
Monitors trends in complaints and disputes to improve workplace culture.
Reviews CQC inspections and feedback to ensure policies remain compliant with best practices.

All records of disciplinary and grievance matters are kept confidential and compliant with GDPR.

7. Policy Review

This policy is reviewed annually or earlier if CQC regulations, employment law, or best practices change.

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.