Disciplinary, Capability and Grievance

1. Purpose

We expect high standards from everyone who works with our learners, and we want staff to feel able to raise problems about their own work. This policy explains how we deal fairly with misconduct (disciplinary), poor performance or ill health (capability) and staff concerns (grievance). Learners' safety comes first, so anything involving harm or risk to a child goes through the Managing Allegations Against Staff and Low-Level Concerns policy first.

2. Scope

This policy applies to every Care Cove employee from their first day, whatever their length of service. Section 12 covers agency staff, partner staff and volunteers. Concerns about the Director go to the Chair of the Social Work Management Committee (SWMC) under the Managing Allegations Against Staff and Low-Level Concerns and Whistleblowing policies. Harassment complaints are raised under the Dignity at Work and Preventing Sexual Harassment policy and investigated using the steps here.

3. Law and guidance

• Acas Code of Practice on disciplinary and grievance procedures; Employment Rights Act 1996; Employment Relations Act 1999, section 10 (the right to be accompanied).

• Employment Rights Act 2025: statutory sick pay from the first day of sickness (from 6 April 2026); a 6-month time limit for most tribunal claims (from 1 October 2026); a 6-month unfair dismissal qualifying period (from 1 January 2027).

• Equality Act 2010, including reasonable adjustments (section 20).

• Keeping Children Safe in Education 2026 (KCSIE), Part Four; Safeguarding Vulnerable Groups Act 2006 (duty to refer to the Disclosure and Barring Service).

• Our contracts with commissioning local authorities.

4. Roles and responsibilities

Nobody acts in a case if they are involved, a witness or close to the employee, including a relative (where the relative is the Director, the SWMC Chair decides who acts). We may use an independent HR adviser so that investigation, hearing and appeal are handled by different people.

5. Principles

• We act promptly and establish the facts before formal action. The employee sees the evidence before any hearing, may be accompanied and may appeal.

• Nobody is dismissed for a first offence unless it is gross misconduct.

• We make reasonable adjustments, such as extra breaks or an interpreter.

• Timescales are in working days, extended by agreement in school holidays unless urgent. If we miss one, we explain why and set a new date.

6. When a concern involves a child

This section comes first. If an employee may have harmed a child, committed an offence against or related to a child, posed a risk of harm to children, or may be unsuitable to work with children, the Managing Allegations Against Staff and Low-Level Concerns policy applies:

1. The concern goes to the Director the same day (the SWMC Chair if it is about the Director). Nobody tells the employee or investigates.

2. The Director contacts the LADO within 1 working day. Nobody is interviewed until the LADO has advised.

3. Where the police are involved, our process waits until they agree it can proceed. Otherwise it waits, or runs alongside, as the LADO advises.

4. Suspension, or an alternative, is decided under that policy with the LADO.

5. The Director tells the commissioning local authority's contract manager.

6. A substantiated allegation goes to a disciplinary hearing. A decision not to prosecute does not by itself end our process; we decide on the balance of probabilities.

If the employee resigns, the process continues, and a settlement agreement is never used to avoid action or a referral.

7. Informal resolution

Most concerns are dealt with early, in supervision. The manager explains the concern, listens, agrees what must change and what support will help, and notes a review date on the employee's supervision record on Care Cove Connect. Informal action is not a warning, and is not used for serious misconduct or where a learner may be at risk. A pattern of low-level concerns, or a serious breach of the Staff Code of Conduct, may lead to the formal procedure.

8. Disciplinary procedure

8.1 Investigation

The Director appoints an investigator who is not involved. The employee is told the allegation in writing and invited to an investigation meeting with at least 2 working days' notice, and may bring a companion. The investigator takes signed statements and checks evidence such as Connect records, registers and CCTV. Learners are asked about an incident only where the DSL agrees it is in their interests, with a trusted adult present. The investigation normally takes no more than 15 working days and its report says whether there is a case to answer.

8.2 Suspension

Suspension is a neutral act, not a sanction. The Director considers it only where there is a risk to learners, staff or the investigation, or gross misconduct is alleged, and considers alternatives first: no learner contact on the Connect rota, non-contact duties, another adult always present, or a change of group. Suspension is confirmed in writing within 1 working day with the reasons and a named support contact. It is on full pay, as short as possible and reviewed at least every 10 working days.

8.3 The hearing

A hearing manager who did not investigate writes to the employee at least 5 working days ahead with the allegations, the possible outcomes (including whether dismissal is possible), the evidence and the right to be accompanied. The employee may send evidence and name witnesses at least 2 working days before. At the hearing the investigator presents the findings, the employee puts their case and the manager adjourns to decide. If the employee does not attend without good reason, we rearrange once, then may decide on the evidence. The outcome and right of appeal are confirmed in writing within 5 working days.

8.4 The right to be accompanied

At any formal hearing or appeal, the employee may bring a colleague or trade union representative, and may propose another time within 5 working days if the companion cannot attend. The companion may put and sum up the case and confer with the employee, but not answer questions for them. We consider other companions, such as a support worker, as a reasonable adjustment.

8.5 Outcomes

A final written warning may be combined with redeployment or demotion where the contract allows. Expired warnings stay on file but are disregarded.

8.6 Gross misconduct

Examples of gross misconduct include:

• harming a learner, exposing a learner to serious risk, or using unreasonable force;

• any sexual comment, sexual activity or romantic relationship with a learner;

• deliberately working unobserved with a learner, or contacting learners through personal phones or social media;

• failing to report a safeguarding concern, or covering one up;

• not telling the Director about an arrest, caution, conviction or barring;

• falsifying registers, safeguarding records, KPI data or invoices; theft, fraud or bribery;

• supplying alcohol, drugs, tobacco or vapes to a learner, or working under the influence;

• violence, bullying, discrimination, harassment or sexual harassment;

• accessing pornographic or extremist material at work, or victimising anyone who raised a concern.

Many of these also meet the harm threshold, so section 6 applies first.

9. Capability

9.1 Performance

We require capable, trained staff. Expectations come from the job description, the Staff Code of Conduct and, for teachers, the Teachers' Standards.

1. Informal support. In supervision the manager discusses the shortfall and its causes, agrees targets and support, and sets a review period of normally 4 to 6 weeks (a half term for teachers).

2. Stage 1. If not enough improvement: a formal meeting, first written warning, written improvement plan and review period of 4 to 8 weeks.

3. Stage 2. If still not enough: a final written warning and a further 4 to 8 weeks.

4. Stage 3. If the standard is still not met: a hearing, which may lead to redeployment or dismissal with notice.

Where a shortfall puts learners at risk, such as not recording safeguarding concerns, the manager makes learners safe at once, may start at a formal stage and asks the DSL whether a safeguarding concern arises.

9.2 Ill health

Ill health is never treated as misconduct. Statutory sick pay is payable from the first day of sickness; any company sick pay is in the contract of employment. A return-to-work conversation follows every absence. Where absence lasts 4 weeks or more, or frequent absences cause concern, the manager holds a supportive welfare meeting and, with consent, seeks occupational health advice. We consider a phased return, changed hours or duties, equipment or another role. Dismissal on grounds of ill health, with notice, is considered at a hearing only after support, medical advice and adjustments have not enabled a return or sustained attendance.

10. Appeals

Appeal in writing within 5 working days of the outcome letter, giving the grounds, such as unfair process, new evidence or too severe a sanction. Someone not involved before hears it: the Director for the Head of AP's decisions, or the SWMC Chair (or an independent HR adviser the Chair appoints) for the Director's. The meeting takes place within 10 working days where possible, and the outcome is confirmed in writing within 5 working days. An appeal may confirm, reduce or overturn a sanction, never increase it, and is final.

11. Grievance

11.1 Stages

Raise a concern about your work, conditions or working relationships with your line manager or the Head of AP first. Most issues are settled within 5 working days; mediation is available where both people agree. If not:

1. Write to the Head of AP, or the Director if it concerns the Head of AP, or the SWMC Chair if it concerns the Director.

2. You receive an acknowledgement within 3 working days, a meeting within 10 working days (with the right to be accompanied), and the outcome in writing within 5 working days of the meeting or any further investigation.

3. You may appeal in writing within 5 working days. Someone not involved before meets you within 10 working days and confirms the final outcome in writing within 5 working days.

Concerns about any adult's behaviour towards learners are never a grievance: tell the Director the same day. A grievance raised during a disciplinary case may pause it briefly.

11.2 Collective grievances

Where two or more employees raise the same concern, the Director may deal with it collectively, with one representative of their choice, who may be a trade union representative. Each employee keeps the right to an individual grievance and receives the outcome in writing.

12. Agency staff, partner staff and volunteers

Concerns about agency or partner staff go to their employer (First Class Teachers, My Solution Wellbeing or Dreams Are Real CIC), which deals with them under its own procedures. Care Cove can end an assignment at any time and records why. Where harm or risk to a child is involved, section 6 applies and Care Cove leads; ending an assignment never replaces that process or any referral. Concerns about volunteers and students follow the Volunteers and Student Placements policy.

13. Referrals and reporting

• Disclosure and Barring Service. The Director must refer anyone we remove from regulated activity, or would have removed had they not left, because they harmed or posed a risk of harm to a child.

• Teaching Regulation Agency (TRA). The Director refers a teacher where serious misconduct could lead to prohibition.

• Other regulators. The Director considers referral to the Nursing and Midwifery Council, Social Work England, or BACP or UKCP.

• The contract manager. The Director reports any allegation of misconduct affecting a learner to the commissioning local authority's contract manager. It is investigated, as is any breach of our standards of conduct such as swearing at learners, and the contract manager receives a report including the actions taken, whoever employs the person.

14. Records and confidentiality

Notes are taken at every formal meeting and the employee gets a copy. Records go on the confidential staff file, seen only by the Director and those handling the case, and are kept for 6 years after employment ends; allegation records follow the Managing Allegations Against Staff and Low-Level Concerns policy. Everyone involved keeps the matter confidential. The Director keeps a confidential case log of each case's type, timescales, outcome and any referral.

15. Monitoring and review

The Director owns this policy and the Social Work Management Committee ratifies it. Every term the SWMC reviews the anonymised case log, including timescales, outcomes, referrals and equality monitoring to check decisions are fair. The policy is reviewed every year, or sooner after a case, a change in law (including later stages of the Employment Rights Act 2025) or a contract change.

16. Related policies

• 02 Safer Recruitment
• 03 Managing Allegations Against Staff and Low-Level Concerns
• 04 Whistleblowing
• 17 Data Protection, Retention and Information Sharing
• 18 Equality, Diversity and Inclusion
• 21 Staff Code of Conduct
• 31 Conflicts of Interest
• 33 Staff Supervision, Appraisal and Training
• 41 Volunteers and Student Placements
• 43 Dignity at Work and Preventing Sexual Harassment

Appendix A: Hearing checklist

1. If a child may have been harmed or put at risk, the LADO has agreed the hearing can go ahead.

2. The hearing manager is not involved, a witness or conflicted.

3. Invitation sent 5 working days ahead with allegations, possible outcomes, evidence and the right to be accompanied.

4. Adjustments, note-taker and a private room away from learners arranged.

5. The employee confirms they have all the evidence, then responds and asks questions.

6. Mitigation and live warnings considered; the manager adjourns to decide.

7. Outcome, reasons, sanction and appeal right sent in writing within 5 working days.

8. Referrals considered; contract manager told where our contracts require it.

9. Staff file and case log updated; support planned.

Document control and ratification

This policy is signed off by the Designated Safeguarding Lead and the Head of Alternative Provision, and ratified by the Social Work Management Committee. It is reviewed every year, or sooner after an incident or a change in law, statutory guidance or contract requirements, and it is available to any commissioning local authority on request.