Disciplinary, Dismissal & Grievance Policy

Policy Statement

AESN Care expects employees to maintain high standards of conduct, competence, reliability, dignity and professionalism. Concerns about conduct or performance will be addressed fairly and consistently, while employees will have an appropriate opportunity to respond to concerns and raise grievances.

1. Introduction

Care work carries particular responsibilities because conduct can directly affect people's safety, dignity and wellbeing. AESN Care will respond promptly to serious concerns while seeking fair, proportionate and consistent employment processes.

2. Purpose

This policy sets out a framework for managing conduct, capability and workplace grievances. It is intended to support fair decision-making and should be applied alongside employees' contractual arrangements and applicable employment law.

3. Scope

The policy applies to AESN Care employees. Contractors and other workers may be subject to relevant contractual or organisational processes.

4. Policy Objectives

• Promote clear standards of conduct.
• Address concerns promptly and fairly.
• Protect people we support where allegations raise safeguarding risks.
• Give employees an opportunity to respond.
• Provide appropriate appeal arrangements.
• Protect employees from victimisation for raising legitimate concerns.

5. Definitions

Disciplinary action addresses alleged misconduct or other employment concerns. Capability concerns may relate to performance, competence or ability. A grievance is a concern raised by an employee about a workplace matter.

6. Legal and Regulatory Framework

Processes will be applied consistently with applicable UK employment law, contractual terms, equality requirements and relevant ACAS guidance where appropriate. The organisation will not describe any step as legally mandatory unless the law requires it.

7. Roles and Responsibilities

• Managers should raise concerns promptly and maintain appropriate records.
• AESN Care Management should ensure investigations and decisions are fair and proportionate.
• Employees should cooperate with reasonable investigations and maintain confidentiality.
• Employees may raise grievances without fear of retaliation.

8. Policy Requirements / Principles

• Allegations should be considered objectively.
• Investigations should be proportionate and sufficiently thorough.
• Employees should normally receive clear information about allegations before a disciplinary decision is made.
• Suspension may be considered where appropriate and should not be treated as a finding of guilt.
• Safeguarding allegations require immediate risk assessment and safeguarding action alongside employment processes.
• Reasonable adjustments should be considered where required.

9. Procedures

Informal action

Where appropriate, minor concerns may be addressed through informal discussion, guidance, supervision or improvement planning.

Investigation

More serious concerns should be investigated before a disciplinary decision. Relevant evidence may include records, witness accounts, policies, care documentation and other appropriate information.

Disciplinary meeting

Where formal action is proposed, the employee should receive reasonable information about the concerns and an opportunity to respond. A right to be accompanied will be provided where applicable.

Outcomes and appeal

Possible outcomes may include no action, improvement measures, warnings or dismissal where justified. Employees should have an appropriate opportunity to appeal formal decisions.

Grievances

Employees should raise workplace concerns promptly. Grievances should be acknowledged, investigated and responded to fairly, with an appeal route where appropriate.

10. Reporting and Escalation

Allegations involving abuse, neglect, exploitation, unsafe care, fraud or serious professional misconduct must be escalated under relevant safeguarding, whistleblowing or governance procedures as well as any employment process.

11. Records and Documentation

Records of allegations, investigations, meetings, outcomes and appeals will be kept securely and accessed only for legitimate purposes.

12. Training and Competence

Managers responsible for disciplinary or grievance processes should have appropriate guidance and support. Staff will be informed of relevant conduct and professional expectations.

13. Monitoring and Compliance

Management may review themes, outcomes and process consistency to identify training, supervision or organisational improvements.

14. Breaches / Non-Compliance

Failure to comply with professional standards may result in action proportionate to the circumstances. Serious misconduct may require immediate escalation.

15. Equality, Diversity and Human Rights

Employment processes must be fair and free from discrimination, harassment and victimisation. Reasonable adjustments will be considered where appropriate.

16. Confidentiality and Data Protection

Employment and investigation information is confidential and will be handled in accordance with applicable data protection requirements.

17. Related Policies and Procedures

• Safeguarding Policy
• Whistleblowing Policy
• Equal Opportunities & Diversity Policy
• Data Protection Policy
• Health & Safety Policy

18. Review and Continuous Improvement

Learning from employment cases, complaints, incidents and safeguarding concerns may be used to improve supervision, training, management practice and policies.

19. Policy Review

This policy will be reviewed periodically and when employment law, regulatory expectations or organisational arrangements change.

Related Policies

• Safeguarding Policy
• Whistleblowing Policy
• Equal Opportunities & Diversity Policy
• Data Protection Policy

Review Arrangements

This policy will be reviewed by AESN Care Management at appropriate intervals and sooner where there is a significant change in legislation, regulation, service delivery, risk, guidance, learning from incidents or complaints, or organisational arrangements. Review findings and resulting actions will be documented.

Approval

Approved by: AESN Care Management