{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Disciplinary Policy

1. Purpose

{{org_field_name}} is committed to a safe, respectful, and professional workplace and the delivery of safe, effective, compassionate homecare. This policy sets out a fair, transparent procedure for addressing conduct matters only. It supports good governance, learning, and improvement and ensures people who use our services, colleagues, and the public are protected.

Note: Concerns that are primarily about capability/performance (can’t do) should be managed under the Capability policy. Concerns that are about conduct/behaviour (won’t do) are managed here. Where issues overlap, the Registered Manager will decide the most appropriate route.

2. Scope

This policy applies to all individuals who work for or on behalf of {{org_field_name}}. Some procedural elements (e.g., length of warnings, pay during suspension) apply only to employees; however, bank/agency workers and volunteers must follow our standards and may be removed from assignments or have engagements terminated if standards are breached.

3. Principles

• Fairness and natural justice: No decision without a fair process; employees know the case against them and can respond.
• Timeliness: Matters handled without unreasonable delay.
• Proportionality: Informal resolution where appropriate; formal action only where necessary.
• Consistency with flexibility: Like cases treated alike while considering individual context.
• Accessibility & adjustments: Reasonable adjustments for disability or health needs; language or communication support where required.
• Confidentiality: Shared strictly on a need-to-know basis.
• Safeguarding first: Immediate action where people are (or may be) at risk; referrals made as required.
• Learning culture: Outcomes feed into quality improvement, training, and supervision.
• Separation from grievance: Grievances are addressed under the separate Grievance Policy. Where a grievance relates to disciplinary action, the disciplinary process may be paused to ensure fairness.

4. Roles and responsibilities

• Board/Directors / {{org_field_company_director_first_name}} {{org_field_company_director_last_name}}: Ensure effective governance and resources; hear appeals for senior postholders.
• Nominated Individual: Oversight of regulatory compliance and culture of safety.
• Registered Manager (RM) — {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}: Day-to-day implementation; decides on suspension, appoints investigators/chairs, ensures safeguarding actions.
• Investigating Officer (IO): Impartial fact-finding.
• Disciplinary Chair: Hears the case and decides outcome.
• All staff: Follow policies, raise concerns, cooperate with investigations, maintain confidentiality.
• Safeguarding Lead — {{org_field_safeguarding_lead_name}}: Ensure referrals to Local Authority, DBS, Police as appropriate.
• HR/Administration: Letters, records, timeframes, confidentiality, and data retention.

5. Standards of conduct

All workers must:

• Deliver safe, person-centred care aligned to care plans and professional boundaries.
• Follow policies (medicines, infection prevention and control, moving & handling, data protection, lone working, driving/vehicle use, digital systems, social media).
• Treat people with dignity and respect; no harassment, bullying, discrimination, victimisation, or abuse.
• Be honest and act with integrity (records, mileage/time reporting, claims, expenses).
• Maintain confidentiality and information security.
• Report incidents, near misses, safeguarding concerns, and notifiable safety incidents promptly.
• Be fit for work (including being free from the influence of alcohol/drugs while on duty).
• Use PPE and equipment safely; follow health and safety instructions.

5.1 Examples of misconduct

• Unauthorised absence or persistent lateness; failure to follow rotas or lone-working safety checks.
• Inappropriate behaviour; disrespectful language; minor breaches of confidentiality or dress code.
• Failure to follow a reasonable management instruction; minor health & safety or IPC lapses without harm.
• Misuse of employer property, vehicles, fuel cards, mobile devices, or systems.
• Inaccurate or incomplete records where no intent to deceive is found.

5.2 Examples of gross misconduct (may justify summary dismissal)

• Abuse, assault, harassment, discrimination, or bullying of people who use services, colleagues, or others.
• Serious safeguarding breaches including failure to report; any act or omission causing or risking significant harm.
• Falsification of care, recruitment, training, timesheets, or mileage records.
• Theft, fraud, or dishonesty; bribery or corruption.
• Serious breach of confidentiality or information security (e.g., deliberate disclosure of personal data).
• Serious negligence or reckless practice causing or risking harm; deliberate breach of clinical safety.
• Being under the influence of alcohol or illegal drugs while on duty; refusal to take an agreed for-cause test.
• Dangerous driving or serious road traffic offences while on duty.
• Wilful/dangerous breach of health & safety or fire safety; violence or threats.
• Deliberate breach of safeguarding arrangements, Duty of Candour expectations, or regulatory requirements.
• Any conduct bringing {{org_field_name}} into serious disrepute.

(Lists are illustrative, not exhaustive.)

6. Informal resolution (manager advice/warning)

Where appropriate, concerns may be addressed informally via coaching, reflective practice, extra supervision, or an informal management note. Managers will confirm expectations and timescales for improvement in writing (e.g., email or supervision note). Failure to improve or repeated issues may move to the formal process.

7. Formal disciplinary procedure — overview

1. Fact-finding / Investigation
2. Decision to proceed (no case to answer; informal action; formal hearing)
3. Formal disciplinary hearing
4. Outcome & sanction (if proven)
5. Right of appeal

Timeframes below are indicative; complexity or safeguarding processes may affect timing. We will act without unreasonable delay and keep the employee updated.

8. Investigation

• An Investigating Officer (not previously involved) gathers facts impartially: interviews, statements, documents, records, rota/telephony/mileage data, CCTV/telematics (where lawfully available), and witness accounts.
• The employee will be told what is being investigated and may be invited to an investigatory meeting to give their account.
• The employee is not entitled to be accompanied at routine investigatory meetings; however, we may allow a companion as a reasonable adjustment or where fairness requires.
• On completion, the IO submits an investigation report and recommendation to the decision maker (usually the RM).

9. Precautionary suspension (neutral act)

• Considered only where necessary and proportionate, e.g., alleged gross misconduct; risk to people who use services; risk to evidence/witnesses; serious conflicts of interest; or where continued working is impracticable.
• Full pay for employees (contractual terms apply); kept as brief as possible and reviewed regularly.
• Confirmed in writing, setting out terms (e.g., availability, contact point, restrictions on contacting witnesses/clients).
• Alternatives (restricted duties, additional supervision, redeployment, removal from specific visits) will be considered first.
• Suspension is not a disciplinary sanction.

10. Decision to proceed to hearing

The RM (or delegate) reviews the evidence to decide whether there is a case to answer at a formal hearing. If not, we will confirm no case, or that the matter will be addressed informally.

11. Invitation to a disciplinary hearing

We will write to the employee with:

• The allegations and the possible outcomes (e.g., up to final written warning/dismissal).
• Date, time, and venue; who will chair; who will attend.
• The right to be accompanied by a trade union representative or a work colleague.
• The evidence bundle (investigation report and documents relied upon).
• How to submit evidence/witnesses, and by when.
• Information on reasonable adjustments (e.g., accessible formats, interpreters, extra breaks).
• The right to request a reasonable postponement if the companion is unavailable.

We will give reasonable time to prepare (normally at least 5 working days).

12. The disciplinary hearing

• Chaired by a manager not previously involved (and, where possible, more senior than the IO).
• The Chair explains the process; the IO presents the case; the employee (and companion) responds and may ask questions, present evidence, and call reasonable witnesses.
• The companion may address the hearing and confer with the employee but may not answer questions on their behalf.
• Adjournments will be offered for breaks, to consider late evidence, or to explore adjustments/mediation options.
• After hearing all parties, the Chair adjourns to consider the decision.

13. Decision-making and standard of proof

Decisions are made impartially on the balance of probabilities considering all relevant evidence, credibility, consistency, mitigating/aggravating factors, length of service, previous live warnings, intent, insight, and risk to people who use our services and the organisation.

14. Outcomes and sanctions

Where allegations are not upheld: no action (and removal of any suspension).
Where allegations are upheld in whole or part, outcomes may include:

1. First Written Warning — normally 6–12 months live.
2. Final Written Warning — normally 12–18 months live.
3. Dismissal with notice — where misconduct is serious and previous warnings are live; notice per contract/statute.
4. Summary Dismissal (without notice) — where gross misconduct is proven.
5. Alternative sanctions (exceptional): demotion, loss of seniority, transfer, mandatory training with review period — only with contractual/legal basis and the employee’s agreement where required.

All outcomes will be confirmed in writing, explaining:

• Allegations considered, findings, reasons, sanction and duration;
• Expectations for conduct/improvement, support to be provided, and review points;
• Consequences of further misconduct;
• Right of appeal and how to exercise it.

Spent warnings: When the live period ends, warnings will be disregarded for disciplinary purposes, but records may be retained for safeguarding/governance as permitted by law (see Section 20).

15. Right of appeal

Employees may appeal in writing within 7 calendar days of the outcome letter, stating the grounds (e.g., procedural flaw, new evidence, disproportionate outcome). Appeals will be heard by someone not previously involved and, where possible, more senior. The appeal may uphold, substitute, or overturn the decision. The final decision will be confirmed in writing.

16. Safeguarding, external referrals, and parallel processes

• Concerns indicating harm or risk of harm to adults or children will be referred immediately to the appropriate authority:
  • Local Authority: {{org_field_local_authority_authority_name}} — Contact: {{org_field_local_authority_information_link}}
  • Children (where applicable): {{org_field_children_safeguarding_local_authority_authority_name}} — {{org_field_children_safeguarding_local_authority_phone_number}} / {{org_field_children_safeguarding_local_authority_authority_email}}
  • MASH (where ablicable): {{org_field_children_multi_agency_safeguarding_hub_authority_name}} — {{org_field_children_multi_agency_safeguarding_hub_authority_phone_number}} / {{org_field_children_multi_agency_safeguarding_hub_authority_email}}
• Where criminality is suspected, we may notify the Police; internal investigations may proceed in parallel or be paused to avoid prejudice to criminal inquiries.
• If a person is dismissed or removed from regulated activity (or would have been had they not resigned) because they harmed or posed a risk of harm, {{org_field_name}} will make a DBS referral.
• Where an incident meets Duty of Candour requirements for people using our services, we will act openly and document candour conversations (this runs alongside the disciplinary process).
• Outcomes/learning are shared into supervision, training, and quality improvement.

17. Representation and support

• Right to be accompanied: Trade union representative or a work colleague at any disciplinary hearing or appeal.
• Postponement: If the companion cannot attend on the proposed date, the employee may request a reasonable postponement and propose an alternative time within a short, reasonable period.
• Support: Access to wellbeing resources and (if contracted) Employee Assistance Programme.
• Adjustments: We will make reasonable adjustments (e.g., accessible venues/formats, interpreters, additional breaks, remote attendance).

18. Witnesses

• Witnesses should provide signed statements. We may invite witnesses to the hearing where necessary and proportionate.
• We will consider anonymity only where risk of harm or serious detriment is evidenced and fairness can still be preserved.

19. Failure to attend / non-cooperation

• Where an employee fails to attend without good reason, we may rearrange once; if they fail again, we may proceed in their absence based on available evidence.
• Suspension of pay does not occur for non-attendance at hearings; however, persistent non-cooperation may itself be misconduct.

20. Confidentiality, records, and data protection

• All records will be accurate, kept secure, and retained no longer than necessary in line with UK GDPR, our retention schedule, and good governance.
• Indicative retention: Investigation and outcome records typically retained for at least the life of any live warning plus 12 months; where safeguarding is involved, records may be retained longer to meet legal/regulatory duties.
• Access requests will be handled under data protection law. Redactions may apply to protect third-party data and legal privilege.

21. Special cases

• Probationary employees: The same standards apply; outcomes may include termination during probation where appropriate, following a fair (but typically shorter) process.
• Agency/bank workers: We may cease assignments immediately for safeguarding or serious conduct concerns; the agency will be informed and safeguarding/DBS referrals made where required.
• Registered Manager / senior leaders: Investigations and hearings will be overseen by the Nominated Individual/Directors or an external HR clinician/consultant to ensure independence.
• Trade union officials: With consent, we will discuss matters with the relevant union official/regional officer.
• Criminal charges/convictions: Consider relevance to role, risk to people who use services, and reputational risk; internal process may proceed irrespective of criminal process.

22. Overlapping concerns and whistleblowing

Where an employee raises a grievance during disciplinary proceedings, {{org_field_name}} will consider whether the grievance is sufficiently connected to the disciplinary matter to affect the fairness of the process.

Where appropriate:

• The disciplinary process may be paused while relevant grievance issues are considered.
• The grievance and disciplinary processes may proceed concurrently where this can be done fairly.
• Different managers or investigators may be appointed where necessary to maintain independence and impartiality.
• The employee will be informed of how the overlapping matters will be managed.

Protected Disclosures

Nothing in this disciplinary procedure prevents or discourages an employee or worker from making a protected disclosure under the Employment Rights Act 1996.

A person must not be subjected to disciplinary action, dismissal, disadvantage or other detriment because they have made a protected disclosure.

Protected disclosures may concern matters including:

• Criminal offences.
• Failure to comply with a legal obligation.
• Miscarriages of justice.
• Danger to the health or safety of any individual.
• Damage to the environment.
• Deliberate concealment of relevant wrongdoing.
• Sexual harassment that has occurred, is occurring or is likely to occur, where the statutory requirements for a protected disclosure are met.

For whistleblowing purposes, sexual harassment means unwanted conduct of a sexual nature within the meaning of Section 26(2) of the Equality Act 2010.

Where an allegation of sexual harassment is raised during, or in connection with, disciplinary proceedings, {{org_field_name}} will consider whether the information raised may also constitute a protected disclosure.

A concern will not be treated merely as misconduct, insubordination or a personal grievance simply because it criticises the organisation, a manager or another employee.

Protection from Retaliation

Retaliation, victimisation or subjecting a person to detriment because they have made, or are believed to have made, a protected disclosure is prohibited.

Examples may include:

• Disciplinary action taken because a person spoke up.
• Threats or intimidation.
• Bullying or harassment.
• Unjustified changes to duties, hours or working arrangements.
• Withholding training or development opportunities.
• Unjustified negative treatment during supervision or appraisal.
• Dismissal or removal from work because of the disclosure.

Any allegation of retaliation or victimisation will be investigated and may itself constitute misconduct or gross misconduct depending on the circumstances.

Where a disciplinary allegation and a protected disclosure concern the same facts, {{org_field_name}} will take particular care to ensure that:

• The protected disclosure is properly identified.
• The employee is not disciplined for making the disclosure.
• Any genuine and separate conduct concerns are considered objectively.
• Decision-makers are appropriately independent where necessary.
• The reasons for any disciplinary action are clearly recorded.
• The employee’s whistleblowing rights are respected throughout the process.

23. Training, communication, and monitoring

• Managers involved in investigations and hearings will receive training in fair process, note-taking, bias awareness, and safeguarding interfaces.
• Lessons learned from cases feed into team meetings, supervision, and annual training plans.
• Governance reports summarise trends (de-identified) to the RM, Nominated Individual, and Directors to support continuous improvement.

24. Timeframes (guidance)

• Investigation start: normally within 5 working days of concern being raised.
• Investigation target completion: normally within 20 working days (complex cases may take longer with updates provided).
• Notice of hearing: normally ≥5 working days.
• Appeal submission window: 7 calendar days from outcome.
• Appeal hearing: normally within 14–21 days of receipt.

25. Contact details

• Registered Manager: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}} {{org_field_registered_manager_email}}

{{org_field_registered_manager_phone}}

• Safeguarding Lead: {{org_field_safeguarding_lead_name}} ({{org_field_safeguarding_lead_role}}) 

{{org_field_phone_no}}

• Local Authority (Adults): {{org_field_local_authority_authority_name}} {{org_field_local_authority_information_link}}
• Children’s Safeguarding: {{org_field_children_safeguarding_local_authority_authority_name}} {{org_field_children_safeguarding_local_authority_information_link}}
• Out of hours: {{org_field_out_of_hours}}

26. Policy Review and Updates

This policy will be reviewed at least annually, or sooner where necessary, to ensure that it remains accurate, fair, effective and consistent with current employment legislation, CQC requirements, the applicable Acas Code of Practice and the operational needs of {{org_field_name}}.

An earlier review will be undertaken where:

• Employment legislation affecting disciplinary procedures, dismissal or worker protections changes.
• The statutory Acas Code of Practice on disciplinary and grievance procedures is amended or replaced.
• Whistleblowing legislation or protected disclosure requirements change.
• Equality, harassment, discrimination or victimisation legislation changes.
• CQC requirements relating to staff fitness, safeguarding, governance or workforce management change.
• DBS referral requirements or safeguarding legislation materially change.
• A tribunal judgment, regulatory finding or significant disciplinary case identifies a material weakness in the existing procedure.
• Audits or governance reviews identify inconsistency or unfairness in disciplinary decision-making.
• The organisation introduces significant changes to employment arrangements, roles or workforce structures.
• The policy is found to be unclear, ineffective or no longer reflective of current legal requirements.

The Registered Manager, Nominated Individual and Directors, as appropriate, are responsible for ensuring that this policy is reviewed and that required amendments are implemented.

As part of the review process, {{org_field_name}} will consider:

• Disciplinary cases and outcomes.
• Appeals and overturned decisions.
• Suspension arrangements and their duration.
• Grievances arising during disciplinary processes.
• Whistleblowing and protected disclosure cases.
• Harassment, sexual harassment, discrimination and victimisation concerns.
• Safeguarding referrals.
• DBS referrals.
• Professional regulator referrals where applicable.
• Employment tribunal claims or legal advice relevant to disciplinary practice.
• CQC inspection or assessment findings.
• Staff feedback and governance audits.
• Changes in legislation, regulatory requirements and the Acas Code.

Any amendments made to this policy will be:

• Recorded with the date of review and, where appropriate, a summary of the changes made.
• Approved by the appropriate responsible person within {{org_field_name}}.
• Communicated to managers and relevant staff.
• Reflected in disciplinary templates, investigation procedures and associated HR documentation where necessary.
• Incorporated into management training where required.

Managers undertaking investigations, disciplinary hearings or appeals must use the current version of this policy.

{{org_field_name}} will use findings from disciplinary cases, appeals, safeguarding matters, whistleblowing concerns, staff feedback and regulatory findings to continuously improve fairness, consistency and workforce governance.

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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.