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Disciplinary and Grievance Policy

1. Introduction

Our Home Care business is committed to maintaining a fair, transparent, and legally compliant approach to handling disciplinary matters and grievances in line with 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.

This policy applies to all employees, including Care Assistants, Senior Carers, Coordinators, Managers, and Directors. It ensures that all disciplinary actions and grievances are managed fairly, promptly, and confidentially, while protecting the rights of both employees and service users. This document also provides guidance for CIW inspectors on how we ensure compliance with regulatory and employment law requirements.

2. Key Principles of the Disciplinary and Grievance Process

• Fairness and Transparency: All processes are conducted impartially, allowing employees the opportunity to present their case.
• Confidentiality: All matters are handled discreetly, ensuring privacy and compliance with data protection laws.
• Compliance with Employment Law: All procedures comply with the ACAS Code of Practice and statutory requirements.
• Right to Appeal: Employees have the right to appeal decisions and request independent reviews.
• Support and Representation: Employees may bring a colleague or trade union representative to meetings.
• Safeguarding and CIW Compliance: Any disciplinary action related to safeguarding concerns or misconduct is reported to CIW if required.

3. How We Manage Disciplinary and Grievance Procedures Efficiently

A. Disciplinary Procedure

The disciplinary procedure is designed to address employee misconduct or poor performance in a structured and fair manner.

A.1 Types of Misconduct

Misconduct is categorised as either minor, serious, or gross misconduct:

• Minor Misconduct (e.g., persistent lateness, minor breaches of policies)
• Serious Misconduct (e.g., repeated failure to follow procedures, inappropriate behaviour)
• Gross Misconduct (e.g., theft, abuse, serious safeguarding breaches, fraud, intoxication at work)

For Staff:

• Employees are expected to adhere to company policies and standards.
• If an issue arises, they will be informed and given an opportunity to respond before any action is taken.
• In cases of gross misconduct, employees may be suspended on full pay pending an investigation.

For CIW Inspectors:

• Disciplinary records demonstrate fair handling of cases and compliance with ACAS and CIW regulations.
• Documentation confirms that any safeguarding-related misconduct has been reported.

A.2 Disciplinary Process Stages

1. Informal Resolution: Minor issues are addressed through informal discussions to correct behaviour.
2. Formal Investigation: If the issue persists, a formal investigation is conducted. The employee is notified in writing of the allegations.
3. Disciplinary Hearing: If evidence suggests misconduct, a disciplinary hearing is arranged with an impartial manager.
4. Decision and Outcome: Possible outcomes include no action, a verbal or written warning, suspension, demotion, or dismissal.
5. Right to Appeal: Employees have 5 working days to appeal against the outcome.

For Staff:

• Always seek clarification of allegations before responding.
• Employees can bring a colleague or union representative to hearings.

For CIW Inspectors:

• Records confirm that due process was followed and no unfair dismissals occurred.
• Where required, serious breaches were reported to the Disclosure and Barring Service (DBS).

B. Grievance Procedure

The grievance procedure allows employees to raise concerns or complaints about their work, conditions, or treatment in a fair and structured manner.

B.1 Types of Grievances

Employees may raise grievances about:

• Workplace conditions (e.g., workload, safety concerns)
• Bullying, harassment, or discrimination
• Unfair treatment or contract disputes
• Concerns about management or policies

For Staff:

• Employees should attempt to resolve issues informally with their line manager first.
• If unresolved, a formal grievance can be submitted in writing.
• Employees should provide clear details and evidence of their concerns.

For CIW Inspectors:

• Grievance logs demonstrate that complaints are addressed and resolved promptly.
• There is evidence that staff concerns are taken seriously and acted upon.

B.2 Grievance Resolution Process

1. Informal Discussion: Employees are encouraged to resolve issues with their manager.
2. Formal Grievance Submission: If unresolved, a formal grievance is submitted in writing.
3. Grievance Hearing: A meeting is arranged with an independent manager to review the complaint.
4. Investigation and Decision: Evidence is gathered, and a decision is made within 10 working days.
5. Right to Appeal: If dissatisfied, employees can appeal within 5 working days.

For Staff:

• Employees should expect a fair and thorough investigation of their concerns.
• Grievances must be raised within 3 months of the issue occurring.

For CIW Inspectors:

• Grievance records confirm compliance with ACAS guidelines.
• Employee feedback indicates that the grievance process is accessible and fair.

C. Safeguarding and Whistleblowing Considerations

We have additional safeguards for handling complaints related to abuse, neglect, or criminal behaviour.

For Staff:

• Staff should report safeguarding concerns via the Safeguarding Referral Process (SRP).
• Employees can raise anonymous concerns through the Whistleblowing Policy (WP) without fear of retaliation.

For CIW Inspectors:

• Reports confirm that all safeguarding concerns are escalated appropriately.
• Whistleblowing logs ensure employees can report issues without repercussions.

4. Governance and Continuous Monitoring

We ensure that all disciplinary and grievance matters are monitored, reviewed, and used for continuous improvement.

What We Do:

• Conduct Quarterly Compliance Audits (QCA) to assess grievance handling efficiency.
• Hold Annual Staff Feedback Sessions (ASFS) to improve policies.
• Use employee satisfaction surveys to assess the effectiveness of the process.

For CIW Inspectors:

• Audit reports confirm that grievance and disciplinary records are well-maintained.
• Corrective actions demonstrate a commitment to fairness and accountability.

5. Compliance Monitoring and Audit Procedures

• Internal Audits: Conducted quarterly to review disciplinary and grievance handling.
• Annual Reviews: Full compliance check against CIW, ACAS, and employment law.
• Staff Supervisions & Appraisals: Used to assess employee understanding of their rights and responsibilities.

6. Conclusion

We are committed to fair, transparent, and legally compliant disciplinary and grievance procedures in full alignment with CIW regulations, employment law, and ACAS standards. This policy ensures that staff are treated fairly and with respect, with clear procedures for raising concerns and addressing misconduct appropriately.

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