DC31-Disciplinary and Grievance Policy

Registration Number: {{org_field_registration_no}}

Disciplinary and Grievance Policy

1. Introduction

At {{org_field_name}}, we are committed to fostering a professional and respectful workplace where all employees are treated fairly and equitably. We recognise that clear policies on conduct, discipline, and grievance procedures are essential in maintaining high standards of care, protecting employees, and ensuring a positive working environment.

This policy outlines the procedures for handling disciplinary matters and employee grievances in a fair, transparent, and lawful manner. It aligns with the Employment Rights Act 1996, the ACAS Code of Practice on Disciplinary and Grievance Procedures, and the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, particularly Regulation 17 – Good Governance, which requires providers to have robust systems in place to address concerns and manage performance issues effectively.

2. Purpose and Scope

The purpose of this policy is to provide a structured process for managing instances of misconduct or poor performance and to ensure that employees have a clear and fair avenue to raise concerns or grievances. It applies to all employees of {{org_field_name}}, including full-time, part-time, temporary, and agency workers.

This policy ensures that:

Disciplinary matters are handled consistently, fairly, and in line with employment law.
Employees understand their rights and responsibilities in relation to conduct and performance.
Grievances are addressed promptly and in a supportive manner, allowing employees to voice their concerns without fear of retaliation.

By implementing this policy, we aim to maintain professionalism, safeguard the well-being of staff, and uphold the highest standards of care for service users.

3. Disciplinary Procedure

The disciplinary procedure is designed to address and resolve instances of misconduct or performance issues in a structured and fair manner. Our approach emphasises early intervention, support, and fairness, ensuring that employees are given the opportunity to improve while maintaining the integrity of the workplace.

3.1. Informal Resolution

Where possible, minor misconduct or performance concerns are addressed through informal discussions. Managers or supervisors will provide constructive feedback and set expectations for improvement. Employees may be offered additional training, mentorship, or support to help them meet the required standards.

3.2. Formal Disciplinary Process

If informal measures do not lead to improvement or if the issue is of a serious nature, a formal disciplinary process is initiated. The process follows a structured approach to ensure fairness and compliance with employment law.

Step 1: Investigation

A fact-finding investigation is conducted to gather evidence regarding the alleged misconduct or performance issue. The employee is informed of the investigation and may be asked to provide a statement or attend an investigatory meeting. The purpose of the investigation is to determine whether there is sufficient evidence to proceed with a disciplinary hearing.

Step 2: Notification of Disciplinary Hearing

If the investigation concludes that disciplinary action may be necessary, the employee will be invited to a formal hearing. The employee will receive a written notification outlining:

The nature of the allegation(s).
The evidence gathered.
Their right to be accompanied by a colleague or trade union representative.
The possible outcomes of the hearing.

The hearing is scheduled within a reasonable timeframe to allow the employee to prepare their response.

Step 3: Disciplinary Hearing

During the hearing, the evidence is presented, and the employee is given the opportunity to respond. The hearing is conducted by a senior manager or director who has not been involved in the investigation to ensure impartiality.

Step 4: Decision and Outcome

Following the hearing, a decision is made based on the evidence presented. Possible outcomes include:

No further action if the concerns are unsubstantiated.
A verbal or written warning for minor misconduct or first-time offences.
A final written warning for repeated or more serious misconduct.
Dismissal for gross misconduct or repeated failure to improve.

The employee is informed of the outcome in writing and has the right to appeal if they disagree with the decision.

Step 5: Right to Appeal

Employees who wish to challenge a disciplinary decision must submit an appeal in writing within seven days of receiving the outcome. The appeal is reviewed by a senior leader who was not involved in the original process. An appeal hearing may be held, after which a final decision is communicated.

4. Examples of Misconduct and Gross Misconduct

Misconduct refers to behaviour that breaches workplace policies but does not necessarily warrant immediate dismissal. Examples include:

Poor timekeeping or unauthorised absence.
Failure to follow company policies or procedures.
Inappropriate behaviour towards colleagues or service users.

Gross misconduct refers to severe violations that may justify immediate dismissal without notice. Examples include:

Theft, fraud, or dishonesty.
Physical violence, harassment, or abuse.
Negligence that results in harm to a service user.
Serious breaches of CQC Regulations, such as falsifying care records.

5. Grievance Procedure

The grievance procedure allows employees to raise concerns about their working conditions, treatment by colleagues or management, or any other work-related issue. {{org_field_name}} ensures that grievances are handled fairly, promptly, and without prejudice.

5.1. Raising a Grievance

Employees should first attempt to resolve grievances informally by speaking to their manager. If the issue cannot be resolved informally, a formal grievance should be submitted in writing, outlining:

The nature of the grievance.
Relevant dates, times, and any supporting evidence.
The outcome the employee seeks.

How to raise a grievance:

1) Verbally to the Registered Manager or Safeguarding Lead

2) Inform the Registered Manager by email: {{org_field_registered_manager_email}}

3) Call the office and inform the Registered Manager or Safeguarding Lead: {{org_field_phone_no}}

4) Out of hours phone number: {{out_of_hours}}

5) Online via our website: {{org_field_website}}

6) In writing, by requesting a grievance form from the office

5.2. Grievance Investigation and Hearing

Upon receiving a formal grievance, an impartial investigator is appointed to examine the issue. A grievance hearing is scheduled within ten working days, during which the employee presents their case. The employee has the right to be accompanied by a colleague or trade union representative.

5.3. Decision and Outcome

Following the hearing, a decision is made based on the evidence provided. The outcome is communicated in writing and may include mediation, policy changes, or disciplinary action against another party if necessary.

5.4. Right to Appeal

If the employee is dissatisfied with the outcome, they may appeal in writing within seven days. An appeal hearing is arranged, and a final decision is provided in writing.

6. Protection from Victimisation

Employees who raise grievances or participate in disciplinary procedures are protected from victimisation or unfair treatment. Retaliation against employees for raising concerns will not be tolerated and may result in disciplinary action.

7. Confidentiality and Record Keeping

All disciplinary and grievance matters are handled confidentially. Records are maintained securely and only shared on a need-to-know basis. Employees have the right to access records related to their case under data protection laws.

8. Compliance and Policy Review

This policy is reviewed annually to ensure compliance with employment law and CQC standards. Employees are encouraged to provide feedback to improve the policy further.

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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