CHW31-Disciplinary and Grievance Policy

Registration Number: {{org_field_registration_no}}

Disciplinary and Grievance Policy

1. Purpose

The purpose of this policy is to ensure that all disciplinary and grievance matter within {{org_field_name}} are handled fairly, consistently, and in compliance with the Regulation and Inspection of Social Care (Wales) Act 2016 and The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017. This policy provides a structured approach to managing employee misconduct, performance issues, and grievances in a way that upholds the rights and dignity of all employees while ensuring the highest standards of care for residents.

This policy also supports the service’s responsibilities to uphold the standards set out in the Social Care Wales Code of Professional Practice for Social Care Employers and to support workers to meet the Code of Professional Practice for Social Care Workers, where applicable.

2. Scope

This policy applies to all employees within {{org_field_name}}, including care staff, management, administrative personnel, domestic and maintenance workers, and external contractors engaged in regulated activity. It ensures that disciplinary action and grievance procedures are undertaken in line with legal obligations, employment law, and best practice guidelines set by Care Inspectorate Wales (CIW).

3. Disciplinary Procedure

3.1 Principles

The disciplinary process is designed to:

Ensure fair treatment of all employees.
Maintain a high standard of conduct within the care home.
Address issues of misconduct and poor performance promptly and effectively.
Encourage improvement and compliance with professional and ethical standards.

3.2 Informal Resolution

Where possible, minor misconduct or performance issues will be resolved informally through discussions, additional training, and supervision. The aim is to provide employees with the opportunity to improve without formal proceedings.

3.3 Formal Disciplinary Process

When informal interventions are insufficient or in cases of serious misconduct, the following formal procedure will be followed:

Step 1: Investigation

An impartial investigation will be conducted to establish the facts of the case. This may involve interviewing witnesses, reviewing documentation, and gathering relevant evidence. The employee will be informed of the allegations and given an opportunity to respond.

Step 2: Disciplinary Hearing

If there is a case to answer, the employee will be invited in writing to a disciplinary hearing. The invitation will include:

the specific allegations (and whether they may be treated as misconduct / gross misconduct);
the possible outcomes, including that dismissal may be considered where appropriate;
the date, time and location of the hearing (or remote arrangements where agreed);
copies of the evidence to be relied upon (including investigation notes, statements and relevant records) provided in advance wherever practicable;
confirmation of the employee’s right to be accompanied by a work colleague or trade union representative;
the name/role of the person chairing the hearing and who will attend on behalf of the service.

The hearing will be chaired by a manager who has not been materially involved in the investigation where possible. A note-taker may be present. The employee will have the opportunity to respond to the allegations, ask questions, and present evidence and witnesses where reasonable. The chair may adjourn the hearing to obtain further information.

Step 3: Disciplinary Action

Following the hearing, a decision will be made, and appropriate disciplinary action will be taken. This may include:

Verbal Warning: For minor infractions, documented on the employee’s file.
Written Warning: If the issue persists or is of moderate severity.
Final Written Warning: For serious or repeated misconduct.
Dismissal: In cases of gross misconduct where continued employment is untenable.

Employees have the right to appeal any disciplinary decision within 5 working days of the outcome being communicated.

3.4 Interim measures: suspension and alternatives (action short of suspension)

Where concerns indicate a potential risk to the safety, welfare or well-being of individuals using the service, the Registered Manager (or nominated deputy) may implement interim protective measures while an investigation is undertaken. These measures are not disciplinary sanctions and will be kept under regular review.

Interim measures may include (as appropriate):

Temporary redeployment to alternative duties or a non-contact role;
Increased supervision, restriction of certain tasks (e.g., medication administration), or amendment of shift pattern;
Temporary removal from lone-working duties;
Suspension on full pay, where necessary to safeguard individuals, protect evidence, or where the allegation is sufficiently serious that the employee remaining at work could present a risk or hinder the investigation.

Any decision to suspend will be confirmed in writing, setting out the reason for suspension, the expected timescales, the employee’s obligations (including confidentiality), and the arrangements for contact and review. Suspension will be reviewed at least weekly (or sooner if required) and lifted as soon as it is safe and appropriate to do so.

3.5 Safeguarding and duty to report concerns (including abuse, neglect or improper treatment)

All staff and volunteers must immediately report any concern, allegation or suspicion of abuse, neglect or improper treatment in line with the service’s safeguarding procedures.

A failure to report an incident of abuse or suspected abuse to an appropriate person will be treated as a serious disciplinary matter and may result in formal disciplinary action up to and including dismissal.

For the purposes of this policy, an “appropriate person” includes: the service provider; the Responsible Individual; an officer of the service regulator (CIW); an officer of the local authority; and where relevant the police (and for children, the NSPCC).

Where safeguarding concerns are raised, the disciplinary process will be coordinated with safeguarding enquiries and external investigations. The service will take immediate action to ensure the safety of individuals and make referrals to relevant agencies in line with safeguarding requirements.

3.6 Volunteers, agency staff and contractors

This policy applies to volunteers, agency staff and contractors working at the service. Where concerns relate to a volunteer, the service will take proportionate action including increased supervision, restriction of duties, or removal from duties at the service, and will consider referrals to relevant bodies where appropriate.

Where concerns relate to agency staff, the service will liaise with the agency, ensure immediate protective measures are in place, and require confirmation that appropriate employment and safeguarding actions are taken.

3.7 Referrals, notifications and professional regulation considerations

Where concerns relate to safeguarding, abuse, neglect, improper treatment, serious misconduct, or conduct that may call into question a person’s suitability to work with adults at risk/children, the service will consider and take (where appropriate) timely action including:

referral to the local authority safeguarding team and/or the police;
referral to the Disclosure and Barring Service (DBS) where the legal criteria are met;
referral/notification to Social Care Wales where the matter may impact a registered worker’s fitness to practise;
notification to Care Inspectorate Wales (CIW) where required under the service’s regulatory duties (e.g., allegations of abuse involving staff/volunteers, and other notifiable events as applicable).

Where an employee resigns or leaves before a disciplinary process is concluded, the service will complete as much fact-finding as is reasonably possible and will consider whether referrals to the police, DBS, Social Care Wales or other relevant bodies are required.

4. Grievance Procedure

4.1 Principles

Employees have the right to raise concerns regarding their work environment, treatment, or any perceived unfairness. The grievance process aims to resolve issues fairly and swiftly while ensuring a respectful and professional workplace.

4.2 Informal Resolution

Employees are encouraged to raise concerns informally with their line manager or HR representative before resorting to a formal grievance. Early intervention often leads to faster and more amicable resolutions.

4.3 Formal Grievance Process

If the concern cannot be resolved informally, the employee should submit a formal grievance in writing. The following steps will be followed:

Step 1: Acknowledgement

The grievance will be acknowledged in writing within 5 working days, and a meeting will be scheduled.

Step 2: Grievance Meeting

A meeting will be held with the employee to fully understand their concerns. The employee has the right to be accompanied by a colleague or union representative.

Step 3: Investigation

A thorough investigation will be conducted to assess the grievance. Evidence will be reviewed, and relevant parties may be interviewed.

Step 4: Outcome and Resolution

A formal response will be provided within 10 working days of the grievance meeting, outlining any action to be taken. If the employee is dissatisfied with the outcome, they have the right to appeal within 5 working days.

4.4 Grievance outcome, appeal and impartiality

The grievance outcome will be confirmed in writing, summarising the concerns raised, the investigation undertaken, the findings, and any actions to be taken (or reasons no action is proposed).

Any appeal will be heard by a manager not previously involved in the case wherever reasonably practicable. The appeal may be a review of the original decision or a re-hearing depending on the circumstances, and the outcome will be confirmed in writing.

Where appropriate, the service may offer mediation at any stage as a voluntary option to help resolve workplace issues.

5. Managing and Monitoring Compliance

The Registered Manager is responsible for ensuring adherence to this policy. Regular audits and staff feedback will be used to evaluate the effectiveness of disciplinary and grievance processes. Records of all disciplinary and grievance proceedings will be maintained securely in line with GDPR and data protection policies.

Disciplinary and grievance records will be factual, accurate and stored securely with access limited to authorised personnel only. Records will include the allegation/concern, investigation notes, evidence considered, hearing notes, outcome letters and appeal documentation. Records will be retained in line with the organisation’s retention schedule and regulatory requirements, and disposed of securely when no longer required.

The Registered Manager and Responsible Individual will ensure staff are made aware of relevant professional codes and conduct expectations, and that disciplinary/grievance themes are monitored through supervision, appraisal, and governance processes to support continuous improvement.

6. Related Policies

This policy should be read alongside the following:

CHW28 – Staff Conduct and Code of Ethics Policy
CHW29 – Whistleblowing (Speaking Up) Policy
CHW30 – Equality, Diversity, and Inclusion Policy
CHW31 – Disciplinary and Grievance Policy
CHW33 – Staff Leave and Absence Policy
CHW34 – Confidentiality and Data Protection Policy

7. Policy Review

This policy will be reviewed annually or sooner if changes in CIW regulations, employment law, or business needs occur.

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}}
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