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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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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 support, 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 is informed by the Employment Rights Act 1996, the Employment Relations Act 1999, the Acas Code of Practice on Disciplinary and Grievance Procedures, the UK General Data Protection Regulation and Data Protection Act 2018, and the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. In particular, this policy supports compliance with Regulation 17 (Good Governance), Regulation 18 (Staffing) and Regulation 19 (Fit and Proper Persons Employed) by ensuring that concerns about conduct, capability, behaviour, safety, safeguarding, record keeping and professional standards are identified, managed, recorded, reviewed and acted upon appropriately.

The policy also supports the provider’s Well-led responsibilities by helping to ensure there are clear lines of accountability, fair and consistent decision-making, effective oversight of staff conduct and performance, and learning from concerns raised by staff.

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 support for tenants.

This policy applies to conduct, misconduct, alleged gross misconduct, concerns about behaviour, breaches of policy, failures to follow lawful instructions, and work-related grievances raised by employees. It should be read alongside the organisation’s Safeguarding Policy, Whistleblowing Policy, Equality, Diversity and Inclusion Policy, Capability or Performance Policy, and Recruitment and Selection Policy. Where a concern involves safeguarding, potential abuse, risk to a person using the service, criminal conduct, professional misconduct, or a protected disclosure, the organisation may need to take action under those policies as well as, or instead of, this policy.

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.

Informal action is not a formal disciplinary sanction and will normally be used only for minor concerns where the issue is capable of prompt improvement and does not involve safeguarding, abuse, dishonesty, serious misconduct, regulatory breach, repeated misconduct or significant risk to people using the service.

3.2 Formal Disciplinary Process

Where informal action is not appropriate, has not led to sufficient improvement, or where the matter is potentially serious, the organisation will follow a formal disciplinary process. The purpose of the process is to establish the facts, assess risk, act fairly, protect people using the service, and determine what action, if any, is reasonable and proportionate in the circumstances.

Step 1: Initial risk review
On receipt of an allegation or concern, the manager will carry out an initial risk assessment to determine whether immediate action is required to protect people using the service, staff, records, property or the integrity of the investigation. This may include temporary changes to duties, increased supervision, restriction from certain tasks, removal from the rota, or suspension on full pay where this is necessary and proportionate.

Step 2: Investigation
A fair and reasonable investigation will be carried out without unreasonable delay. The investigation may include interviews, review of records, care notes, medication records, electronic communications, CCTV where lawfully used, rotas, training records, supervision records, witness statements and any other relevant evidence. Wherever practicable, the investigation will be carried out by a person who will not chair any subsequent disciplinary hearing. An investigatory meeting is not a disciplinary hearing and will not itself result in disciplinary action. There is no statutory right to be accompanied at an investigatory meeting, although the organisation may allow accompaniment as a reasonable adjustment or in exceptional circumstances.

Step 3: Written notification of disciplinary hearing
If the investigation indicates that there is a case to answer, the employee will be invited to a disciplinary hearing in writing. The written notification will set out the allegation or allegations, whether the matter is regarded as misconduct, poor performance or potential gross misconduct, the possible consequences, the date, time and place of the hearing, the name of the chair, the right to be accompanied, and copies of the evidence to be considered where appropriate. The employee will be given reasonable time to prepare.

Step 4: Right to be accompanied
An employee has the statutory right to be accompanied at a disciplinary hearing by a fellow worker, trade union representative, or trade union official. If the employee’s chosen companion is not available at the proposed time, the hearing will be postponed once to an alternative reasonable time proposed by the employee, provided that it is not more than five working days after the original date, unless a later date is agreed.

Step 5: Disciplinary hearing
The hearing will be conducted fairly and impartially by a manager who has authority to make the decision and who, where practicable, has not been involved in the investigation. The employee will have the opportunity to state their case, respond to the allegations, comment on the evidence, raise questions, present evidence, and identify relevant witnesses. The chair may adjourn the hearing if further enquiries are required.

Step 6: Outcome
After the hearing, the chair will decide whether disciplinary action is justified and, if so, what level of action is reasonable and proportionate. Outcomes may include:
(a) no case to answer;
(b) informal management advice, support or additional training;
(c) first written warning;
(d) final written warning;
(e) dismissal with notice; or
(f) summary dismissal without notice in cases of proven gross misconduct.
The organisation may also take other reasonable management action where appropriate, including supervision, monitoring, retraining, redeployment, restriction of duties, referral to safeguarding, referral to a professional regulator, referral to the Disclosure and Barring Service where the legal threshold is met, or notification to CQC or other relevant authorities where required.

Step 7: Written outcome letter
The employee will be informed of the decision in writing without unreasonable delay. The outcome letter will set out the allegation, the findings, the reasons for the decision, any improvement required, any timescale for improvement, the duration of any warning, the consequences of further misconduct or failure to improve, and the right of appeal.

Step 8: Duration of warnings
Unless there is a justified reason to do otherwise, a first written warning will normally remain live for 6 months and a final written warning will normally remain live for 12 months. The organisation may apply a longer period in serious cases where this is reasonable, proportionate and clearly explained in writing. Spent warnings will normally be disregarded for disciplinary purposes, although the organisation may retain records in line with data protection and retention requirements.

Step 9: Right of appeal
The employee may appeal in writing within 7 calendar days of receiving the outcome letter, stating the full grounds of appeal. Grounds may include procedural unfairness, new evidence, disproportionate sanction, or findings not supported by the evidence. The appeal will be heard without unreasonable delay, wherever possible by a manager not previously involved in the case. The employee has the right to be accompanied at the appeal hearing. The appeal outcome will be confirmed in writing and will be final.

3.3 Suspension and Alternative Measures

Suspension is not a disciplinary sanction and does not imply that any allegation has been proven. Suspension on full pay may be used only where it is considered necessary and proportionate, for example where there is a serious safeguarding concern, a risk to people using the service, a risk to staff, a risk of interference with evidence or witnesses, or where relationships have broken down to the extent that an investigation cannot proceed fairly without temporary removal from duties.

Before suspending an employee, the organisation will consider whether a less restrictive alternative is available, such as temporary redeployment, amended duties, working from another location, increased supervision, removal from specific tasks, or temporary leave from direct support duties. Any suspension will be confirmed in writing, kept under regular review, and lifted as soon as it is no longer necessary.

4. Examples of Misconduct and Gross Misconduct

The examples below are illustrative and not exhaustive. The organisation will consider the seriousness of the conduct, the circumstances, the employee’s role, any previous warnings, the actual or potential impact on people using the service, and the level of risk created.

Examples of misconduct may include:

• poor timekeeping or unauthorised absence;
• failure to follow policies, risk assessments, care plans, support protocols or lawful management instructions;
• inappropriate or disrespectful behaviour towards colleagues, people using the service, relatives, professionals or visitors;
• poor record keeping, including incomplete, late or inaccurate records where this does not amount to gross misconduct;
• failure to attend mandatory training, supervision or appraisal without good reason;
• inappropriate use of mobile phones, IT systems, social media or confidential information;
• minor breaches of medication, health and safety or infection prevention procedures where there has been no serious harm and the matter does not amount to gross misconduct.

Examples of gross misconduct may include:

• abuse, neglect, ill-treatment, unlawful discrimination, harassment or victimisation of a person using the service or colleague;
• theft, fraud, deliberate falsification of records, financial abuse, misuse of service user money or property, or dishonest mileage, expenses or timesheets;
• serious breach of safeguarding procedures or failure to report abuse or serious incidents;
• deliberate or reckless breach of medication procedures, moving and handling procedures, health and safety requirements, lone working requirements, or other safety-critical procedures;
• serious breach of confidentiality or unlawful access to, disclosure of, or tampering with records;
• serious insubordination;
• working while under the influence of alcohol or illegal drugs, or misuse of prescribed medication affecting fitness for work;
• serious conflict of interest or inappropriate boundaries with a person using the service;
• conduct likely to bring the organisation into serious disrepute;
• serious negligence or recklessness that causes, or could have caused, harm to a person using the service, colleague or member of the public;
• failure to disclose information, loss of registration, or other issue affecting the employee’s legal or professional fitness to perform their role.

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 issues. {{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:

A grievance should normally be raised in writing with the employee’s line manager. If the grievance concerns the line manager, the employee should raise it with a more senior manager, the Registered Manager, HR, or another manager nominated by the organisation. The written grievance should set out:
(a) the nature of the concern;
(b) the relevant facts, dates, names and any supporting documents;
(c) whether the employee has attempted informal resolution; and
(d) the outcome or remedy sought.

Concerns that relate to safeguarding, abuse, serious risk to a person using the service, criminal conduct, wrongdoing in the public interest, or breaches of professional standards may also need to be reported under the Safeguarding Policy, Incident Reporting Procedure, Whistleblowing Policy or other relevant policy. Raising a grievance does not prevent the organisation from taking immediate safeguarding or risk management action where required.

5.2 Grievance Investigation and Hearing

The organisation will consider the grievance promptly and without unreasonable delay. Where necessary, an impartial manager or investigator will gather relevant information before the grievance hearing. A grievance hearing will normally be arranged without unreasonable delay and the employee will be given reasonable notice of the meeting.

The employee has the statutory right to be accompanied at a grievance hearing by a fellow worker, trade union representative, or trade union official. At the hearing, the employee will have the opportunity to explain the grievance, present relevant evidence and say how they believe the matter should be resolved. The chair may adjourn the hearing if further investigation is required. Wherever possible, the grievance will be heard by a manager who has not been involved in the issues complained of.

5.3 Decision and Outcome

The grievance outcome will be communicated in writing without unreasonable delay. The outcome letter will summarise the grievance, the findings, the decision, the reasons for the decision, any action to be taken, who is responsible for that action, and any timescale for implementation. Outcomes may include mediation, changes to working arrangements, clarification of expectations, management action, policy or process changes, training, support measures, or referral of separate conduct concerns under the disciplinary procedure where appropriate.

5.4 Right to Appeal

Employees may appeal in writing within 7 calendar days of receiving the grievance outcome, stating the grounds of appeal. Grounds may include procedural unfairness, new evidence, or the belief that the outcome was unreasonable. The appeal will be heard without unreasonable delay by a manager who has not previously been involved in the matter, wherever possible. The employee has the right to be accompanied at the appeal hearing. The final appeal decision will be confirmed in writing.

5.5 Overlapping Grievance, Disciplinary, Safeguarding and Whistleblowing Issues

Where an employee raises a grievance during an ongoing disciplinary process, the organisation will consider whether the disciplinary process should be temporarily suspended to allow the grievance to be considered, or whether both matters can be managed concurrently. This will depend on whether the issues are related and whether continuing the disciplinary process would be unfair.

Where any matter raises a safeguarding concern, allegation of abuse, serious professional misconduct, criminal issue, regulatory issue, or protected disclosure, the organisation may take immediate action under its Safeguarding Policy, Incident Reporting Procedure, Whistleblowing Policy or relevant external reporting obligations. Nothing in this policy prevents the organisation from taking urgent action to protect people using the service or to comply with legal and regulatory duties.

6. Protection from Victimisation

Employees who raise a grievance, make a complaint in good faith, report a safeguarding concern, give evidence, act as a witness, accompany a colleague, or make a protected disclosure under the organisation’s Whistleblowing Policy must not suffer victimisation, detriment or retaliation for doing so. Any retaliatory behaviour will be treated seriously and may itself result in disciplinary action. Malicious or knowingly false allegations may also be dealt with under the disciplinary procedure.

7. Confidentiality, Records and Retention

Disciplinary and grievance matters will be handled as confidentially as possible, consistent with the need to investigate fairly, protect people using the service, obtain evidence, take safeguarding action, and comply with legal or regulatory duties. Information will be shared only with those who need it for legitimate management, safeguarding, legal, HR, regulatory or investigatory purposes.

The organisation will maintain accurate, complete and contemporaneous records of concerns raised, investigations undertaken, evidence considered, hearings held, decisions made, action taken, appeals, safeguarding referrals, regulatory notifications and learning identified. Records will be stored securely and retained in accordance with the organisation’s data retention arrangements and applicable data protection law. Employees may request access to their personal data in accordance with data protection legislation, subject to any lawful exemptions.

8. Compliance, Governance and Policy Review

This policy will be reviewed at least annually and earlier if there is a change in legislation, Acas guidance, CQC regulation, CQC guidance, the organisation’s operating model, or learning from incidents, grievances, disciplinary cases, safeguarding concerns, audits, inspections or complaints.

The organisation will monitor the operation of this policy to ensure fairness, consistency, learning, and compliance with employment law and the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including Regulation 17 (Good Governance), Regulation 18 (Staffing) and Regulation 19 (Fit and Proper Persons Employed). Findings and trends may be reviewed through governance, supervision, audit and quality assurance processes.

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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}}
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