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DCW31-Disciplinary and Grievance Policy

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Disciplinary and Grievance Policy (Wales Domiciliary Care)

1. Introduction

Our {{org_field_name}} is committed to maintaining a fair, transparent, and legally compliant approach to handling disciplinary matters and employee grievances. This policy is written in alignment with the Care Inspectorate Wales (CIW) regulations, the Employment Rights Act 1996, the ACAS Code of Practice on Disciplinary and Grievance Procedures, and the Social Care Wales (SCW) Code of Professional Practice. It applies to all employees – including Care Assistants, Coordinators, Managers, and other staff – in our domiciliary care service in Wales. We aim to manage all disciplinary actions and grievances promptly and confidentially, protecting the rights of employees while safeguarding the well-being of service users. We emphasize a supportive and constructive approach: wherever possible, issues are resolved through guidance, training, or mediation before formal steps are needed. By following this policy, we ensure staff are treated with fairness and respect, and we demonstrate to regulators (such as CIW) that our procedures comply with all regulatory and employment law requirements.

This policy operationalises the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, including Regulation 39 (disciplinary procedures), Regulation 64 (concerns/complaints) and Regulation 65 (whistleblowing). It integrates the ACAS Code of Practice on Disciplinary and Grievance Procedures and the Social Care Wales Codes so processes are fair, accessible and auditable for CIW. Where safeguarding or fitness-to-practise issues arise, external reporting and protection of people using the service take precedence.

2. Key Principles

Welsh language & accessibility. We offer all letters, meetings and forms in the employee’s preferred language and format (Active Offer of Welsh; large print; interpreter on request). Reasonable adjustments are agreed case-by-case (e.g., neurodivergent-friendly agendas sent in advance, extra processing time, a quiet room). We record adjustments in the case file and review them at each stage.

Our disciplinary and grievance processes are guided by key principles that ensure fairness and accessibility for all staff. We explain each principle below in clear language for everyone’s understanding:

Fairness and Transparency: All cases are handled impartially and consistently. We make sure employees understand the process and have every opportunity to present their side of events. Decisions are based on facts gathered through investigation, and we communicate outcomes clearly. There are no hidden agendas – the rules and steps in the process are explained to staff in advance so everyone knows what to expect.

Confidentiality: We handle disciplinary and grievance matters with the utmost discretion. Information is shared only with those who need to know. This protects employees’ privacy and complies with data protection laws (e.g. UK GDPR). Records of cases are kept confidential and only retained for as long as necessary in line with data protection guidelines. All meetings and documentation are conducted in private, and we remind everyone involved of their duty to keep the matter confidential.

Compliance with Law and Codes of Practice: Our procedures follow the ACAS Code of Practice as a minimum standard, as well as all relevant employment laws and care sector regulations. For example, {{org_field_name}} ensures that steps like investigations, hearings, and appeals are done according to the ACAS guidance on fairness. This written policy is easily accessible to all staff (for instance, provided in staff handbooks or on our intranet) in line with the expectation that such procedures be in writing and easy to find. We also uphold the Social Care Wales Code of Professional Practice, meaning that professional standards and safeguarding responsibilities are built into how we handle issues.

Right to Appeal: After any formal disciplinary or grievance decision is made, the employee has the right to challenge it. We inform employees of their right to appeal and the process to do so, ensuring an impartial manager (not previously involved in the case) will review the appeal. Employees generally have 5 working days to lodge an appeal against an outcome if they believe it was unfair or new evidence has come to light. The appeal will be heard promptly, and we will provide a written outcome of the appeal. This principle guarantees that no final decision is made without an opportunity for further review, underscoring fairness.

Support and Representation: Employees are encouraged to seek support throughout these processes. In any formal meeting (whether a disciplinary hearing or a grievance meeting), the employee has the right to be accompanied by a colleague or a trade union representative. We remind staff of this right to representation in advance of meetings. The role of the companion is to support the employee – they may take notes and quietly advise or confer with the employee during the meeting. We also aim to conduct proceedings in an approachable manner, so employees feel comfortable asking questions or requesting breaks if needed. Our goal is not to intimidate, but to ensure everyone involved can participate fully and clearly understand the discussion.

Constructive and Supportive Approach: We believe in managing performance and conduct issues in a way that helps employees improve whenever possible. Minor issues or first-time mistakes are usually addressed through informal counseling, additional training, mentoring, or setting a Performance Improvement Plan rather than immediate punishment. We focus on constructive feedback – supervisors will explain what improvement is needed, agree on a plan, and monitor progress over a reasonable period. The emphasis is on helping the employee succeed and sustain improvement, in line with ACAS guidance that disciplinary action should be more about correcting issues than blaming. Even during formal steps, managers will maintain a respectful tone and offer support (for example, by discussing any underlying issues that might be affecting the employee’s performance or behavior, such as personal difficulties or training needs). Our aim is to correct problems and restore effective working relationships whenever possible, rather than to punish unless absolutely necessary.

Safeguarding and Regulatory Compliance: We have zero tolerance for abuse, neglect, or any actions that put our service users at risk. Any disciplinary issues involving potential abuse or serious misconduct toward a client will immediately invoke our Safeguarding procedures. This means we will ensure the concern is reported through the proper Safeguarding Referral Process (SRP) and to external authorities as required – for example, notifying the local authority safeguarding team, CIW, and possibly the police if a crime may have occurred. Likewise, if an employee raises a concern about wrongdoing that affects others (whistleblowing), we will activate our Whistleblowing Policy. Staff can report issues confidentially or even anonymously through the whistleblowing channels without fear of retaliation. In line with the Social Care Wales Code of Practice for Employers, we have clear procedures for workers to report dangerous, discriminatory, or abusive behaviour and we deal with such reports promptly and openly. Whistleblowers are protected by law – anyone who “blows the whistle” on serious wrongdoing is legally shielded from unfair treatment or job loss as a result. We reinforce that retaliation of any kind against someone who raises a genuine concern will not be tolerated. Additionally, if a staff member is suspended or disciplined due to a safeguarding concern, we ensure service users are protected during the process (for example, reassigning duties or suspension on full pay while investigating) and we fulfil any reporting obligations (such as informing the Disclosure and Barring Service (DBS) and Social Care Wales, where applicable). Our policy thereby aligns with safeguarding laws and ensures regulatory bodies are kept informed as required.

By adhering to these principles, {{org_field_name}} fosters an environment where staff feel safe to speak up about concerns, understand their rights if they are subject to discipline, and know that processes will be fair, supportive, and in line with best practice.

3. Disciplinary Procedure

The disciplinary procedure is a formal process we use to address employee misconduct or poor performance in a fair, structured, and constructive manner. It is designed to ensure that before any disciplinary action is taken, we have looked into the matter thoroughly and given the employee a chance to respond. Throughout this process, our focus remains on resolving issues and encouraging improvement wherever possible, rather than simply imposing sanctions. We follow the stages of the disciplinary process as outlined by the ACAS Code of Practice, which are detailed below. (In cases of capability or performance issues, we will always consider whether additional training or support can help the employee improve, as an alternative to formal discipline.)

3.1 Types of Misconduct: Not all misconduct is the same, so our response will depend on the severity of the issue. We categorize misconduct into three levels – minor, serious, and gross misconduct – to ensure the outcome is proportionate:

3.2 Investigation and Disciplinary Hearing: For any alleged misconduct that may require formal action (beyond an informal chat), we follow a clear procedure:

Mediation and Alternative Resolution: At any stage of a disciplinary matter – especially if the issue involves interpersonal conflict or a communication problem – we may consider mediation as a tool to resolve the issue constructively. Mediation is a voluntary process where an independent, neutral person (a trained mediator) helps the employee and the other party (which could be another employee or a manager) to discuss the problem and reach a mutually acceptable resolution. Both sides have to agree to try mediation, and it can be arranged by bringing in an external mediator or using someone in the organisation not connected to the case. Mediation will typically be offered for conflicts or misunderstandings (for example, if a personality clash or miscommunication underlies the misconduct or complaint), rather than clear cases of deliberate misconduct. It is not a disciplinary hearing and does not produce a decision on right or wrong; instead, it’s focused on repairing working relationships. If mediation is successful, it might resolve the issue without need for further formal action, or it might lead to an agreed way of working that prevents future problems. Using mediation does not replace the formal disciplinary process, but it can be used alongside or before it to try and find a collaborative solution. Employees will not be pressured to accept mediation – it is just an option available to them and can be particularly useful for grievances (as discussed below) or where both sides of a dispute need to work together going forward. Our emphasis on mediation is part of our supportive approach to conflict resolution, aiming for outcomes that everyone can accept and learn from.

Throughout the disciplinary procedure, we maintain detailed records of each step – including investigation notes, meeting invites, evidence gathered, outcome letters, and any correspondence. These records are kept confidentially and stored securely. They serve both as a reference for any future similar cases and as evidence that we followed a fair process, should any decision be questioned. According to ACAS guidance, employers should keep such records to help answer questions or handle similar cases in the future. We also ensure that records of disciplinary actions are only kept as long as necessary and then disposed of in line with our data protection policy. Typically, a warning will be disregarded for disciplinary purposes after its active period expires, although a note of the basic fact it occurred may remain on file. All personal data in these records is handled in compliance with the Data Protection Act 2018.

Finally, our disciplinary process is designed to be as accessible and understandable to staff as possible. Managers will explain each step to the employee and provide copies of this policy. If at any point an employee is unsure about what is happening or what they should do, they are encouraged to ask questions – either to their line manager, the HR representative, or the person chairing the meeting. We want staff to feel informed and supported, not overwhelmed, by the process.

If the allegation concerns the line manager, Registered Manager or Responsible Individual, an alternative, independent manager (or external HR/partner provider by agreement) will investigate and chair hearings/appeals to preserve impartiality. We will confirm the new decision-maker in writing.

Records & retention. We keep an auditable file for each case (investigation notes, evidence, letters, minutes, adjustments, decisions, appeal) with restricted access under DCW34. Disciplinary records are retained for the active period of any warning plus a proportionate period, and in any event for up to 6 years where needed to evidence regulatory compliance or defend claims, then securely destroyed. Staff can request copies of their own records; third-party data is redacted.

4. Grievance Procedure

Grievance or whistleblowing? Concerns in the public interest about wrongdoing (e.g., abuse, serious health & safety risks, fraud) should be raised under our Whistleblowing Policy (Reg 65); personal employment concerns use this Grievance route. Where a grievance discloses safeguarding or public-interest matters, we will switch to the correct procedure and make external referrals without delay while still addressing any employment issues fairly.

The grievance procedure provides a clear and fair way for employees to raise concerns, problems, or complaints about their work, conditions, or how they have been treated. We encourage an open culture where employees can voice issues without fear, and we take all concerns seriously. Examples of matters that might be raised as a grievance include (but are not limited to) situations like workload or staffing problems, health and safety concerns in the field, bullying or harassment by a colleague or manager, discrimination of any kind, unfair application of our policies or terms and conditions, or any other issue affecting an employee’s ability to do their job or their well-being at work. This procedure is intended to resolve such issues promptly and consistently, in line with the ACAS Code and our regulatory obligations.

How to raise your concerns:

Send an email detailing the concern to the Registered Manager at: {{org_field_registered_manager_email}}.

Call the office to inform the Registered Manager at {{org_field_phone_no}}.

If the concern arises out of office hours, call the out-of-hours phone number: {{out_of_hours}}.

We outline below the typical stages of the grievance process. Importantly, employees should raise issues in a timely manner – ideally as soon as a problem becomes apparent, so that it can be addressed before it escalates. (While we do not impose an arbitrary cut-off, grievances about incidents that happened many months or years ago can be harder to investigate effectively. As a guideline, raising a grievance within 3 months of an issue is advisable, as this aligns with general timelines for addressing workplace disputes.)

4.1 Informal Resolution of Grievances: Many concerns can be resolved quickly by talking informally with the people involved. We ask that, whenever feasible, an employee first attempt to resolve their complaint by discussing it with their immediate line manager or the person concerned. For example, if you feel your workload is unmanageable, you might speak with your supervisor to adjust tasks; if you feel a colleague’s behavior is upsetting you, you might (with support) let them know how it affects you. Often, a direct and respectful conversation can clear up misunderstandings or lead to an immediate solution. Managers at {{org_field_name}} are expected to be approachable and to listen to staff concerns. When a concern is raised informally, the manager should respond even at this informal stage – meaning they will treat the matter earnestly, attempt to understand the issue, and seek a resolution. They might arrange a private meeting with the employee to talk through the problem, take notes, and then follow up with any actions (for instance, adjusting schedules, mediating a discussion between colleagues, or clarifying a policy). We document the fact that an informal grievance was raised and resolved, just briefly, so we have a record in case the issue reoccurs. If the problem is resolved informally, no further action under this policy is needed. We will not treat an employee negatively for raising an issue informally – it is always the right thing to speak up about problems rather than let them fester.

However, if an employee feels that an informal approach is not appropriate (for example, the issue is very serious such as harassment or a matter of legality, or it involves their direct manager in a way that makes informal discussion difficult), they can proceed straight to a formal grievance. Additionally, if an attempt at informal resolution does not actually solve the problem or the employee is not satisfied with the outcome, then the formal grievance process should be initiated.

4.2 Formal Grievance Submission: If a concern is not resolved informally, or if it is of a nature that the employee prefers a formal approach, the employee should raise a formal grievance in writing. This can be done by writing a letter or email to a manager (if possible, a line manager or, if the complaint is about that manager, then another senior manager) or to Human Resources. The written grievance should set out clearly the nature of the complaint, including relevant details such as dates, times, locations, the people involved, and any evidence of the issue (for example, copies of emails or incident reports, if applicable). The employee should also mention if they have attempted an informal resolution already and what the result was, or if not, the reasons for immediately formalizing the grievance (such as the seriousness of the issue). We understand it may be difficult to put things in writing, and managers can assist an employee in outlining their grievance if needed. Once we receive a formal grievance, we will log it in our Grievance Register (this is an internal record to track complaints and ensure none are overlooked). We will acknowledge the grievance in writing, usually within 5 working days, and outline the next steps.

We acknowledge formal grievances within 5 working days and offer meetings in the employee’s preferred language with reasonable adjustments recorded. An impartial manager investigates, meets the employee (with a companion if they wish), and provides a written outcome with reasons and a right of appeal. Appeals are heard by a manager not previously involved.

4.3 Grievance Investigation and Meeting: Upon receiving a grievance, we will appoint an appropriate manager to handle it – someone who is not directly involved in the issue and who can be impartial. This manager (the grievance investigator or chair) will first review the written complaint. They will likely invite the employee who raised the grievance to a grievance meeting (sometimes called a grievance hearing, though it is typically less formal than a disciplinary hearing). The purpose of this meeting is for the employee to further explain their concerns and for the manager to ask questions to fully understand the issue. We schedule this meeting as soon as reasonably possible, while giving the employee enough notice to prepare. By law and according to ACAS best practice, the employee has the right to be accompanied at a grievance meeting by a colleague or union representative, just as in a disciplinary hearing. We will remind the employee of this right in the meeting invitation. During the grievance meeting, the employee will be able to speak freely about what has happened and how they feel, and they should also state what outcome or resolution they are seeking (for instance, an apology from someone, a change in working conditions, etc., if known). The manager will listen and may ask clarifying questions. They will also consider any evidence or witness information. In some cases, the manager might decide that further investigation is needed after the initial meeting – for example, interviewing other employees who were involved or have knowledge of the situation, or checking rotas, emails, or CCTV if relevant. If the grievance involves another person (for example, accusing someone of bullying), that person will be interviewed separately and given a chance to share their perspective as part of a fair investigation. We strive to handle all grievances sensitively and discretely – only people who need to know about the matter will be involved. Multiple related grievances: If more than one employee raises similar concerns (e.g., several staff complain about a specific policy or a manager’s behavior), we may handle them through a coordinated investigation to be efficient, but each individual will have the right to their own meeting and response. We will keep everyone informed about how we choose to handle such situations.

After gathering all necessary information, the manager will consider the facts and decide on a fair response to the grievance. We aim to conclude the investigation and provide an outcome without undue delay. In straightforward cases, we may be able to give a decision within 10 working days of the grievance meeting. If more time is needed (for instance, waiting for statements from witnesses who are on leave), we will update the employee on the progress and give an estimated timeframe.

4.4 Outcome of Grievance: The outcome will be communicated to the employee in writing (and, if the employee prefers or if it helps, in a face-to-face meeting as well to discuss). The outcome letter will explain our findings – essentially, whether we uphold the grievance (fully or partially) or do not uphold it – and the reasons why. If the grievance is upheld (meaning we agree the complaint was valid), we will also state what actions we will take to resolve the issue or prevent it from recurring. Possible resolutions could include: an apology or acknowledgement of the problem, management action toward another employee who was at fault (which might be confidential, but we could indicate that appropriate action will be taken), changes to workplace practices or policies, additional training or guidance for staff, mediation between the parties, or other appropriate remedies. If the grievance is not upheld (meaning we did not find sufficient evidence that there was wrongdoing or we determined the situation was handled appropriately), we will explain how we reached that conclusion. We will also inform the employee of their right to appeal the decision if they are not satisfied (explained below). Our goal is that, whether or not the employee gets the exact outcome they wanted, they feel their concerns were heard fully and addressed seriously. Throughout the process, we stress that the employee will not be penalized in any way for raising a grievance in good faith. It is important to us that staff feel comfortable using this procedure; it’s a key part of maintaining a healthy workplace.

4.5 Right to Appeal a Grievance Outcome: If the employee who raised the grievance is unhappy with the outcome, they have the right to appeal. To do so, they should write to a higher level of management (or to HR) within 5 working days of receiving the grievance outcome, stating that they wish to appeal and on what grounds. Grounds for appeal might include: they believe the investigation missed important evidence, new information has since come to light, or they feel the decision was unfair or the solution inadequate. An appeal meeting will be scheduled, chaired by a manager not previously involved in the case (and if possible more senior than the original decision-maker). During the appeal, the employee (with their companion, if desired) can explain their reasons for disagreeing with the outcome. The appeal chair will review the original investigation findings, any new evidence, and the employee’s arguments. They may decide to either uphold the original decision, modify it, or overturn it. For example, if new evidence is compelling, the appeal officer might decide to uphold the grievance after all and implement a remedy. The appeal outcome, with reasons, will be given in writing. This decision is final within {{org_field_name}}’s processes. We try to handle appeals promptly, with the aim of final resolution.

4.6 Mediation in Grievances: As with disciplinary issues, at any stage in a grievance (before resorting to a formal written grievance, or even during or after the formal process), we may offer mediation as a way to resolve the matter. Mediation involves bringing in an independent facilitator to help the parties discuss the issues and hopefully agree on a way forward. It can be especially useful in interpersonal disputes or misunderstandings – for example, if an employee feels bullied by a colleague, mediation might allow both to hear each other’s perspective in a safe setting and agree on how to work together civilly. Mediation is voluntary – it will only take place if both the employee who raised the grievance and the other party (or parties) agree to participate. The discussions in mediation are confidential and separate from the formal process; what is said in mediation will not be used in a later disciplinary or grievance hearing if mediation fails. If mediation succeeds, the agreement reached can often resolve the grievance without needing a managerial decision. We have access to trained mediators (either within our organisation or via external services) and can arrange this fairly quickly, as long as everyone is willing. ACAS encourages the use of mediation at any stage of a dispute as a constructive tool. We view mediation as part of our commitment to a supportive workplace – it’s about solving problems collaboratively rather than adversarially. We will advise employees when we think mediation might be helpful, but the choice to use it is always up to the individuals involved.

4.7 Special Cases – Overlapping Disciplinary and Grievance Issues: Sometimes an employee might raise a grievance while a disciplinary process is happening (for example, they feel the disciplinary action itself is unfair or they have a related complaint against someone involved in the process). If this occurs, we will consider how best to proceed. In some cases, we might temporarily pause the disciplinary process to deal with the grievance first (especially if the grievance could affect the disciplinary outcome). In other cases, we might handle both matters concurrently but with different managers, or decide to incorporate the grievance response into the disciplinary hearing (if the issues are very closely linked). We will make sure the employee is not disadvantaged by raising the grievance – it will be handled impartially. CIW expects providers to address staff concerns promptly and show that staff are listened to, so we take this obligation seriously even if processes become complex.

Throughout the grievance procedure, as with discipline, we keep records of the complaint, investigation steps, meeting notes, and outcomes. Grievance logs demonstrate that we address and resolve complaints in a timely fashion. These records remain confidential and are kept in a secure file. We use these records for monitoring patterns (for example, if multiple grievances point to the same issue, we know we must take broader action) and to provide evidence of compliance with employment laws and ACAS guidelines if ever required. All personal data in grievance records is managed according to data protection requirements, and records are not kept longer than necessary. Typically, if an employee leaves the company, their grievance record will be kept only as long as needed to ensure any follow-up actions are completed or to defend any legal claims, and then it will be securely disposed of.

Finally, we reassure all staff: you will not be treated unfairly for raising a grievance. We welcome the chance to correct problems and improve our workplace. Victimisation (punishing or picking on someone for using this procedure or for supporting someone else’s grievance) is strictly prohibited and would in itself be treated as a disciplinary matter. Managers receive training on handling grievances empathetically and fairly. Our goal is that even if the outcome is not what the employee hoped for, they feel the process was fair and respectful. And whenever a grievance reveals a valid issue, we use that feedback to make positive changes – benefiting not just the individual, but potentially all staff and the quality of our service.

No victimisation. Retaliation for raising a grievance or whistleblowing in good faith is a disciplinary matter. Where needed, we agree interim measures (e.g., temporary separation of staff, rota change) while a grievance is investigated to protect wellbeing and fairness.

5. Safeguarding and Whistleblowing

Because we work with vulnerable individuals in a domiciliary care setting, safeguarding is at the heart of all our operations. This section explains how safeguarding concerns or whistleblowing reports intersect with the disciplinary and grievance process. {{org_field_name}} has separate, detailed policies for Safeguarding and for Whistleblowing, which staff should refer to for full guidance, but we summarize key points here to show alignment.

Safeguarding Concerns: Where allegations indicate abuse, neglect or serious risk, we immediately activate safeguarding procedures and make required external notifications, adjusting any internal investigation to avoid prejudice to criminal/safeguarding inquiries. We prioritise service-user safety (temporary redeployment or precautionary suspension as needed) and document all steps, advice received and outcomes. Safeguarding matters are not handled in isolation as mere internal disciplinary issues; they trigger external reporting duties and urgent protective measures. For example, if a care worker is accused of harming a client, we will immediately ensure the client’s safety (this could involve removing the worker from duties pending investigation) and report the matter to the local authority’s safeguarding team and to CIW as a regulatory notification. These steps are mandated by law and CIW regulations – certain incidents must be reported within a tight timeframe. Our Safeguarding Referral Process (often referred to as SRP) provides the exact procedure for reporting and handling such incidents, and all staff are trained in it. While the safeguarding authorities investigate, we will usually conduct our own internal investigation in parallel or after external advice, to determine if the staff member breached any duties and whether disciplinary action is warranted. We cooperate fully with external investigations by police or safeguarding agencies. Disciplinary action in safeguarding cases will follow the principles in Section 3, but with adjustments to ensure we don’t interfere with a criminal investigation. For instance, we may wait for police guidance before interviewing certain witnesses. If a staff member is found to have committed abuse or serious neglect, this typically constitutes gross misconduct and will lead to dismissal and referral to the Disclosure and Barring Service (to consider barring the person from working with vulnerable adults) as well as to Social Care Wales if they are a registered care worker. Even if an allegation is not substantiated, we review what happened to see if any additional training or safeguards are needed.

From the perspective of external regulators, we must be able to show that all safeguarding-related incidents are escalated appropriately and without delay. CIW inspectors will look for evidence that we acted on safeguarding concerns and notified relevant bodies. Therefore, our internal processes are designed to immediately flag such issues to senior management. Any disciplinary records involving abuse will note that CIW and other authorities were informed, as required. The well-being of service users is paramount, and that principle overrides normal timelines – for example, if a safeguarding issue arises, we would suspend usual processes if needed to focus on protecting the individual at risk.

Whistleblowing: Whistleblowing is when a worker reports certain types of wrongdoing that are in the public interest – typically something that affects others (e.g., abuse of a client, health and safety dangers, financial malpractice, or any criminal offences). Our Whistleblowing Policy (document code WP) provides a mechanism for staff to raise such concerns outside of the normal line management structure, especially if they fear reprisal or believe the issue might be ignored. Employees can make a whistleblowing report confidentially to a designated senior person or anonymously via a hotline/email if we have one in place. We encourage staff to use whistleblowing channels for serious concerns, and we pledge that no employee will suffer any detriment for whistleblowing in good faith. Retaliation against a whistleblower is illegal and against our policy.

When a whistleblowing report is received, the response might involve an investigation similar to a grievance or disciplinary investigation, depending on the nature of the concern. Often, whistleblowing reports are about issues that would ultimately result in a disciplinary action if verified (for example, reporting that a staff member was seen mistreating a client or falsifying records). In such cases, we will investigate swiftly and, if the concern is substantiated, invoke the disciplinary procedure against the wrongdoer. However, we handle the whistleblowing informant’s identity with care – if they requested confidentiality, we will protect it as far as possible (though in some cases their testimony might be needed as evidence; we would discuss with them). We keep a Whistleblowing Log of all concerns raised and how we addressed them. This helps demonstrate to inspectors that employees can raise issues freely and that we act on those issues. For example, CIW will expect to see that whistleblowing reports about poor care are recorded and investigated, and that staff are indeed able to report issues without repercussions.

In summary, safeguarding and whistleblowing issues are handled with a higher level of alertness and urgency. Staff are explicitly encouraged: if you see something that endangers a service user or is seriously wrong, speak up immediately – whether through the normal chain, or via whistleblowing if needed. Your report will be taken seriously and you will be protected. On the management side, we integrate these reports with our disciplinary system: a whistleblowing report may initiate a disciplinary investigation on the subject of the complaint, and a safeguarding allegation will likely trigger disciplinary action against the alleged perpetrator if evidence supports it. But at all times, these processes will prioritize safety and legal compliance over internal procedural timelines. We also train our staff and management about these policies regularly, so everyone knows how to spot and report safeguarding concerns or public-interest concerns.

Finally, our governance structure includes oversight of how safeguarding and whistleblowing are managed. The Registered Manager ({{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}) for {{org_field_name}} reviews all such cases. Lessons learned from any incident (for instance, if a whistleblowing case revealed a gap in training or supervision) are used to improve our service and prevent future issues. In doing so, we create a culture of openness and safety where concerns are addressed before they harm clients or staff, and where employees trust that speaking up is the right thing to do.

If misconduct raises fitness-to-practise concerns for a registered worker, we refer to Social Care Wales. If an individual is dismissed or removed from regulated activity for harm/risk of harm, or would have been but resigned, we make a DBS barring referral in line with statutory duty.

6. Governance and Monitoring

To ensure that our disciplinary and grievance processes remain fair, effective, and in compliance with all requirements, {{org_field_name}} has put in place robust governance and continuous monitoring mechanisms. We don’t just react to issues – we actively review how issues are handled and seek to learn and improve. Below are the ways we govern these processes:

Policy Governance and Updates: This policy is approved by senior management and reviewed on a regular basis (at least annually, or sooner if laws or guidance change) to ensure it stays up-to-date with the latest ACAS guidelines, employment law developments, and care sector regulations. For instance, if the ACAS Code of Practice is updated or CIW issues new guidance on managing staff, we will update our policy accordingly. Any changes in the policy are communicated to all staff (e.g., via team meetings or written notices) to maintain transparency. The Responsible Individual or a designated senior manager oversees this review process. We also value employee feedback on the policy – if staff suggest improvements or report confusion about any part of it, we will consider those in the next update. This way, our policy remains a living document that truly serves its purpose.

Training and Awareness: All managers who may be involved in disciplinary or grievance matters receive training in how to implement this policy fairly and consistently. This includes understanding how to conduct investigations, hold hearings or meetings, and apply the principles of natural justice (impartiality, allowing both sides to be heard, etc.). New managers undergo this training during induction, and refresher training is provided periodically (for example, if we notice any procedural slip-ups or just as a routine refresher each year). We also brief all employees on their rights and responsibilities under this policy. During each staff member’s induction, they are given an overview of the disciplinary and grievance procedures, emphasizing that these processes exist to protect everyone’s rights and maintain a positive workplace. We want staff to know early on that if they have concerns or face allegations, there is a structured, fair way it will be handled. Additionally, we use regular supervisions and appraisals as opportunities to check in with staff about any concerns and to ensure they remember how to raise issues. In supervisions (one-to-one meetings with their line manager), employees are encouraged to speak about anything bothering them – potentially catching grievances early. Appraisals can include a discussion of the employee’s understanding of company policies, including this one, which helps reinforce knowledge. By embedding discussion of these processes into routine management practices, we keep awareness high.

Record-Keeping and Data Monitoring: Every disciplinary case and formal grievance is documented and logged. We maintain a secure central register (database or file) of all disciplinary actions and grievances. For each case, we record key information: the date, the issue, the stage reached (e.g., informal coaching, written warning, etc.), the outcome, and demographic or role information about the employee (to help spot any patterns, such as if a particular team has more issues, or to ensure no group is being treated unfairly). Importantly, we review these records to ensure consistency – for example, checking that similar offenses have resulted in similar disciplinary outcomes, unless there was a justified reason for difference. This helps us apply rules evenly, avoiding bias. It also aids in answering any queries from CIW or employment tribunals by showing evidence of our decision-making rationale. Our shift towards digital record-keeping means these records are easier to analyze and are kept securely. Using a digital platform for documentation can improve transparency and consistency, providing a clear trail of all actions and decisions. We leverage this to build trust with our staff and demonstrate accountability.

Regular Audits: We conduct Quarterly Compliance Audits (QCA) where a senior manager or the HR lead reviews all disciplinary and grievance cases from the past quarter. The audit checks that timelines were met (e.g., investigations not unreasonably delayed, meetings held promptly), that proper procedure was followed (e.g., letters sent, right to representation offered, etc.), and that outcomes were appropriate to the findings. If any discrepancies or concerns are found, we address them – this could involve additional manager training or even revisiting a case if it appears something was mishandled. We document the findings of these audits and any corrective actions taken. This internal audit process ensures we don’t become complacent and that we catch any procedural issues early. CIW inspectors, upon review, will be able to see evidence of these audits which demonstrates our commitment to continuous improvement and accountability.

Staff Feedback and Engagement: We believe that those who experience the process – whether as managers implementing it or employees going through it – are best placed to tell us how it’s working. Therefore, we hold Annual Staff Feedback Sessions (ASFS) specifically on our policies and procedures, including disciplinary and grievance. In these sessions (which might be part of a larger staff forum or done via surveys), we invite staff to share their thoughts: Do they understand how to raise a grievance? Do they feel the company supports them if they have an issue? Have they observed any unfairness in how discipline is handled? This feedback is considered by management and used to adjust our approach. Additionally, after a grievance or disciplinary case is concluded, we may discreetly follow up with the involved employee (where appropriate) to ask about their experience of the process – whether they felt listened to and respected, and if they have suggestions. All feedback is used for learning. By engaging staff in this way, we promote trust and demonstrate that the process is not “us vs. them” but rather a mutual mechanism for fairness. As part of our quality assurance, we also conduct employee satisfaction surveys which include questions about whether employees feel safe to voice concerns and whether they trust management to handle issues fairly. A positive trend in these survey results is one indicator that our disciplinary and grievance systems are working effectively. If surveys indicated problems (for example, many staff saying they fear retaliation), that would be a serious red flag for us to address immediately.

Management Review and Continuous Improvement: Our management team (including the Responsible Individual and Registered Manager) review overall trends from disciplinary and grievance matters at least annually. This review may cover: the number of cases, types of issues arising, outcomes, any appeals and their results, and whether issues were resolved or are recurring. We analyze if certain policies are frequently violated – maybe indicating a need for better communication or training on those policies. We also check if grievances are revealing any systemic issues (like workload problems or management style issues in a particular branch) so we can proactively fix those underlying causes. The management review is documented in a report, and any recommendations (such as “provide conflict resolution training to all senior carers” or “revise the absence policy to clarify expectations”) are assigned for action. The outcome of implementing these improvements is then monitored in the next cycle.

In sum, governance and monitoring of our disciplinary and grievance procedures ensure that they are not static or reactive. Instead, we constantly watch how well they function. Our records and audits confirm to both ourselves and external bodies (like CIW) that cases are handled properly and fairly. And by closing the loop – auditing, getting feedback, making improvements – we maintain a culture of fairness and accountability. This proactive oversight ultimately benefits staff (who get a better process) and the organisation (which avoids escalating issues or legal non-compliance through early correction).

7. Compliance and Quality Assurance

{{org_field_name}} is fully committed to complying with all legal and regulatory standards in our disciplinary and grievance handling. This section outlines how we ensure compliance and use our processes for quality assurance:

Legal Compliance: We adhere to the ACAS Code of Practice on Disciplinary and Grievance Procedures in all cases, which is reflected throughout this policy. Following the ACAS Code is not only best practice but also taken into account by Employment Tribunals, so we make every effort to meet or exceed those standards. This includes using a full and fair procedure regardless of our size, allowing representation, conducting thorough investigations, and allowing appeals. We also comply with the Employment Rights Act 1996 and other relevant employment legislation (for example, laws on unfair dismissal, anti-discrimination laws under the Equality Act 2010, and the Employment Relations Act 1999 which enshrines the right to be accompanied). Our policy has been crafted to ensure none of its provisions conflict with statutory rights. If there is any change in the law (e.g., new regulations or amendments to existing acts), we will update our procedures accordingly. Compliance is not a one-time thing – it’s continuously monitored.

Regulatory Compliance (CIW and Social Care Wales): As a regulated care provider in Wales, we ensure our practices meet the expectations of Care Inspectorate Wales (CIW). CIW inspectors may review our staff management records during inspections. They will expect to see, for instance, that we have addressed staff misconduct appropriately and in a timely manner, and that any staff grievances were listened to and resolved where possible. By keeping comprehensive records and following this policy, we can demonstrate compliance to CIW. Additionally, we follow the Social Care Wales Code of Professional Practice for both social care workers and employers. For example, the Employers’ Code requires having procedures to deal with misconduct and to report certain issues to relevant authorities, which we have integrated into our disciplinary steps. If an incident raises questions about a registered care worker’s fitness to practice, we will refer the matter to Social Care Wales in line with their guidance. We also cooperate with any Social Care Wales investigations into our staff. By aligning with these professional standards, we not only stay compliant but also uphold the integrity and reputation of our service.

Internal Compliance Audits: As mentioned in Governance, we perform internal audits of cases to ensure procedures were followed. These audits themselves are a compliance measure – they help us catch any deviations. For instance, our HR department might use a checklist based on ACAS and CIW criteria to review a sample of cases and confirm that letters, evidence, meeting minutes, etc., are all in order. If any shortcomings are found, we take corrective action immediately (which could mean re-training a manager on how to conduct a hearing, or if it were a serious oversight, potentially re-opening a matter to remedy it). We document these audits and any action plans resulting from them.

Data Protection and Confidentiality Compliance: We treat all records from disciplinary and grievance processes as confidential personal data. This means we handle them according to the Data Protection Act 2018 (UK GDPR). They are stored securely (in locked files or protected electronic systems) with restricted access. We do not disclose information from these cases to anyone who doesn’t have a legitimate need to know. When we do share information (for example, with CIW or police for safeguarding reasons), we do so in line with data protection allowances for legal or regulatory purposes. We also comply with data retention principles – not keeping records longer than necessary. Typically, we retain disciplinary records for a certain period (e.g., duration of warning active plus some time after for reference), and grievance records for a set period (maybe 6 months to a year after resolution, unless there’s an ongoing issue). After that, records are securely disposed of (shredding physical files, permanently deleting electronic files) so that we minimize holding sensitive data. Employees have the right to access information about themselves, so if they submit a Subject Access Request, we may disclose records of their disciplinary or grievance cases to them (with redactions for others’ privacy as required by law). Our HR and data protection officer ensure we meet all such obligations. Maintaining confidentiality isn’t just about legal compliance; it’s crucial for employees’ trust in the process. Knowing that their personal matters won’t become office gossip encourages staff to use the grievance process and to cooperate in disciplinary investigations.

Quality Assurance and Service Improvement: We use the outcomes and analysis of disciplinary and grievance cases as a form of quality assurance for our service. For example, if we notice through grievances that several staff have complained about a particular scheduling issue or workload, that indicates a quality problem in our operations that we need to fix for better service delivery. Similarly, if disciplinary cases show a pattern (e.g., multiple staff not following a care protocol correctly), that flags a need for improved training or supervision, which in turn improves the care provided to clients. We feed these insights into our service improvement plans. In this way, the disciplinary and grievance processes do not exist in isolation – they actively contribute to raising standards. CIW and commissioners like to see that providers learn from issues and make changes (“learning culture”), and our approach to quality assurance achieves that. We treat every substantiated complaint or misconduct incident as an opportunity to ask, “What went wrong systemically, and how can we prevent this in future?” Then we implement those preventive measures (such as updating procedures, adding a check in our system, etc.). We keep a log of improvements made as a result of complaints or incidents, which shows a clear thread from the issue to the solution – demonstrating our commitment to continuous improvement.

External Reporting and Consultation: To stay compliant, we also fulfill any external reporting duties. For instance, certain disciplinary outcomes (like the dismissal of a staff member for gross misconduct related to harm or dishonesty) will be reported to the Disclosure and Barring Service (DBS) as required by law, and to Social Care Wales if the person is on their register or should be considered for fitness to practice review. We maintain good communication with these bodies, as well as with ACAS helplines when we need advice on tricky cases. If there’s ever uncertainty about how to handle a situation fairly, we won’t hesitate to seek external expert advice (from ACAS, legal advisors, or HR consultants) to ensure we get it right. Compliance means not assuming we know everything but verifying against authoritative guidance.

In conclusion, our compliance efforts ensure that the disciplinary and grievance procedures not only exist on paper but are executed in line with all requirements and ethical standards. Through audits, training, data protection, and proactive improvement, {{org_field_name}} provides a disciplinary and grievance system that is both legally sound and genuinely effective in promoting a fair workplace.

Related policies:

DCW13 Safeguarding Adults from Abuse and Improper Treatment;

DCW64 Concerns and Complaints;

DCW65 Whistleblowing;

DCW36 Staff Support & Supervision;

DCW34 Confidentiality & Data Protection.

Cross-references ensure consistent handling, reporting and learning.

8. Conclusion

{{org_field_name}} is committed to maintaining a workplace where fairness, respect, and transparency are the norms. This Disciplinary and Grievance Policy underscores our dedication to handling any issues that arise in a manner that is consistent, lawful, and considerate of the people involved. By following the procedures detailed above, we ensure that employees understand their rights and obligations, feel confident that they can raise concerns without fear, and trust that any shortcomings in conduct or performance will be addressed justly and supportively. We also reinforce our accountability to external bodies like CIW and Social Care Wales by aligning with their standards and demonstrating through records and reviews that we meet those standards.

Ultimately, the goal of this policy is not to be punitive, but to foster open communication and continuous improvement. By addressing problems – whether it’s an employee’s mistake or an employee’s complaint – in a constructive way, we create a positive work environment which in turn leads to better quality care for our service users. Every member of staff, from a care assistant in the field to senior management, has a role in upholding these values. We expect everyone to be familiar with this policy and to engage with these processes in good faith when required.

This policy will be accessible to all staff at all times (e.g., via our policy manual or online portal) and is regularly reviewed to ensure it remains current and effective. Thank you for reading and understanding our Disciplinary and Grievance Policy. Together, we will continue to maintain the high standards of practice and a supportive culture at {{org_field_name}}, making it not only a safe place for those we care for, but also a fair and great place to work.

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.

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