Disciplinary and Grievance Policy

Policy Owner: HR Manager | Last Reviewed: March 2026 | Next Review: March 2027

1. Purpose and Scope

This policy sets out NSEMM’s procedures for addressing disciplinary matters and resolving grievances in a fair, consistent, and legally compliant manner. It is established under the authority of Clause 26 of NSEMM’s constitution, which empowers the Board of Trustees to make rules and byelaws governing the conduct and management of the CIO and its workforce.

This policy applies to all individuals engaged by NSEMM, including:

• Employed staff (full-time, part-time, and fixed-term)
• Sessional tutors and casual workers
• Volunteers in substantive roles
• Those on secondment to NSEMM

The policy does not apply to self-employed contractors, though NSEMM reserves the right to terminate contractor agreements in accordance with the relevant contract terms where conduct concerns arise.

NSEMM is committed to ensuring that all disciplinary and grievance matters are handled with fairness, dignity, and respect. As a charity working with children and young people, and holding contracts with schools and local councils, the conduct of every individual connected with NSEMM directly reflects on its reputation and on its ability to continue delivering vital services. This policy therefore serves both an employment law function and a safeguarding and reputational protection function.

2. Legal Framework

This policy has been written to comply with the following legislation and guidance:

• Employment Rights Act 1996 — statutory rights on dismissal, notice, and unfair dismissal
• ACAS Code of Practice on Disciplinary and Grievance Procedures (2015) — the statutory minimum procedural standards; failure to follow the Code may result in employment tribunal awards being adjusted by up to 25%
• Equality Act 2010 — ensuring disciplinary action is not taken or threatened on discriminatory grounds
• Data Protection Act 2018 / UK GDPR — governing how personal data gathered during proceedings is held and processed
• Safeguarding Vulnerable Groups Act 2006 — including the duty to refer to the DBS where an individual has caused harm or poses a risk of harm to vulnerable groups
• Protection from Harassment Act 1997 — relevant to harassment-related misconduct
• Public Interest Disclosure Act 1998 — protecting whistleblowers; disciplinary action must never be used to punish protected disclosures
• Health and Safety at Work Act 1974 — relevant to misconduct that creates physical risk
• Charities Act 2011 — trustees’ duties and the serious incident reporting framework
• Children Act 2004, s.11 — the duty on agencies working with children to make arrangements to safeguard and promote their welfare

All proceedings under this policy must be consistent with these statutory requirements. Where any doubt exists, the HR Manager or an appropriate legal adviser should be consulted.

3. Principles

All disciplinary and grievance procedures at NSEMM are conducted in accordance with the following principles:

• Fairness: Every individual is entitled to know what allegation or concern is raised against them and to have a genuine opportunity to respond before any decision is made.
• Consistency: Similar matters are treated similarly. Outcomes must be proportionate and consistent with previous decisions, taking into account any relevant aggravating or mitigating circumstances.
• Natural justice: No one should sit in judgement over a matter in which they have a personal interest. Decision-makers must be, and must be seen to be, impartial.
• Right to representation: At every formal stage, the individual has the right to be accompanied by a colleague or a trade union representative.
• No prejudgement: An investigation is not a conclusion. No assumption of guilt should be made, and no outcome should be decided before the process is complete.
• Proportionality: The sanction applied must be proportionate to the seriousness of the matter. Minor issues should be resolved informally wherever possible.
• Timeliness: Proceedings should be conducted without unnecessary delay, both to protect the interests of all parties and to minimise disruption to NSEMM’s work.
• Confidentiality: All proceedings must be treated as strictly confidential. Breaches of confidentiality during proceedings may themselves constitute misconduct.

4. Informal Resolution

Many conduct concerns can and should be resolved without resort to formal procedures. Where a concern is minor, isolated, and unrelated to safeguarding or serious reputational risk, informal resolution is the appropriate first step.

The line manager will arrange a private meeting with the individual to discuss the concern. The purpose of this meeting is to make clear what behaviour or standard is expected, to understand any factors contributing to the issue, and to agree on a way forward. This meeting is supportive in nature and is not a disciplinary hearing.

Following the discussion, the line manager will send a brief email to the individual summarising what was discussed and any agreed actions or commitments. This email is not a formal warning and will not be placed on the individual’s HR record as a disciplinary matter, but it creates a clear record of the conversation having taken place.

A review period of two to four weeks will be agreed, after which the line manager will assess whether the matter has been resolved. If the concern has been addressed, no further action is taken. If the concern persists or worsens, or if new concerns arise, the matter may be escalated to the formal procedure.

Informal resolution is not appropriate where the concern involves: a safeguarding allegation; potential gross misconduct; a criminal matter; harassment or discrimination; or an external complaint from a partner organisation, school, parent, or statutory body. In those cases, the formal process (or the externally-reported investigation route at Section 10) applies immediately.

5. Formal Investigation

5.1 Appointment of Investigating Officer

Where formal investigation is required, the CEO or COO will appoint an investigating officer. The investigating officer must not be the individual’s direct line manager and must not be from the same team as the individual under investigation. This separation is essential to ensure objectivity. In appropriate cases, an external investigator may be appointed.

5.2 Evidence Gathering

The investigating officer will gather all relevant evidence. This may include:

• Written statements from witnesses
• Records held in the HR App or NSEMM Protect
• Correspondence and communications (email, messaging platforms, case notes)
• Attendance or access logs
• Any other documentary evidence relevant to the matter

Witnesses will be interviewed separately and their accounts recorded accurately. All parties are expected to cooperate fully with the investigation. Obstruction of an investigation, or attempting to influence the accounts of witnesses, may itself constitute misconduct.

5.3 Timeline

The investigation should be completed within 10 working days where possible. Where the matter is complex, or where external proceedings are in progress, this timeline may be extended. The individual under investigation will be notified of any extension and given an estimated revised timeline.

5.4 Investigation Report

On completion, the investigating officer will produce a written investigation report. The report will set out: the allegation(s) investigated; the evidence gathered; a summary of the findings; and a recommendation as to whether there is a case to answer. The report will be provided to the hearing manager (see Section 7) prior to any disciplinary hearing. The individual under investigation will be provided with a copy of the report (or a redacted version where necessary to protect third parties) in advance of the hearing.

6. Suspension and Temporary Removal from Duty

6.1 Neutral Act

Suspension is a neutral management act. It is not a disciplinary sanction and must not be characterised as such. A suspended individual retains all their employment rights during suspension. Suspension simply removes the individual from the workplace pending the outcome of an investigation.

6.2 Criteria for Suspension

Suspension may be appropriate where one or more of the following circumstances apply:

• There is a risk to the safety or welfare of students, service users, or other staff
• The individual’s continued presence could compromise the integrity of evidence or the independence of witnesses
• There is a need to protect witnesses from potential intimidation
• A police investigation is underway or anticipated
• The individual’s DBS status has changed or is under review
• The individual has been charged with a criminal offence relevant to their role
• There is a serious and credible risk to NSEMM’s reputation
• A safeguarding allegation has been made involving the individual

6.3 Pay During Suspension

Suspension will be on full pay in all circumstances, unless the individual’s contract expressly provides otherwise.

6.4 Written Confirmation

The individual will receive written confirmation of their suspension, including the reason for suspension and the expected duration, within 24 hours of the decision being made.

6.5 Welfare Contact

During suspension, a named contact person will be assigned to the individual. That person will make contact at least once per week to provide welfare support and to update the individual on the progress of proceedings.

6.6 Periodic Review

The decision to suspend must be reviewed at least every two weeks to confirm it remains necessary and proportionate. Suspension should not be allowed to drift indefinitely. Where the investigation is prolonged, the justification for continued suspension must be actively reassessed at each review.

6.7 Immediate Temporary Removal

In an emergency — for example where an immediate safeguarding risk is identified or where the individual’s continued presence poses an urgent threat — the CEO or COO, acting alone, may immediately remove the individual from all duties pending a formal suspension decision. This power is exercised as an emergency management act. A formal suspension decision will follow as quickly as possible and in any event within 24 hours.

6.8 Restricted Duties

In less serious cases, or where full suspension is not proportionate, the CEO or COO may instead place the individual on restricted duties. This may involve removing the individual from direct contact with children or young people, removing access to certain systems, or temporarily reassigning the individual to a different role or location.

6.9 System Access

Within two hours of a suspension decision being made, the individual’s access to all NSEMM digital systems will be revoked or restricted. This includes the HR App, NSEMM Protect, email accounts, shared drives, and any other platforms. This measure is taken to protect the integrity of evidence and is not punitive.

6.10 Garden Leave

Where the individual is working out a notice period and their continued attendance at work poses a risk to NSEMM’s interests, the individual may be placed on garden leave for all or part of that notice period. During garden leave, the individual remains employed and is paid normally but is required to remain away from the workplace and to cease carrying out duties. System access is revoked at the point garden leave begins, following the same procedure as suspension (Section 6.9). This applies whether garden leave follows a disciplinary process or is a management decision during the notice period.

7. Disciplinary Hearing

7.1 Notice

The individual will receive written notice of the disciplinary hearing no fewer than 5 working days in advance. The notice will include: the date, time, and location of the hearing; the allegation(s) to be considered; copies of any documents to be referred to; the name of the manager who will conduct the hearing; and a reminder of the right to be accompanied.

7.2 Right to Be Accompanied

At any formal disciplinary hearing, the individual has the statutory right to be accompanied by a fellow worker or a trade union representative. The companion may address the hearing and confer with the individual but may not answer questions on their behalf. Where the chosen companion is unavailable on the proposed date, the individual may request a postponement of up to 5 working days.

7.3 Hearing Manager

Disciplinary hearings are conducted by the CEO or COO. The hearing manager must not be the same person who conducted or managed the investigation, in order to preserve independence.

7.4 Hearing Procedure

The hearing will follow the following procedure:

1. The hearing manager introduces all parties and explains the purpose of the hearing.
2. The allegations are formally presented, with reference to the investigation report and supporting evidence.
3. The individual (and their companion, where present) has the opportunity to respond fully to each allegation.
4. Questions may be asked by all parties.
5. The hearing manager adjourns to consider the evidence. This adjournment may be brief or may extend to a subsequent date where the matter is complex.
6. The individual is recalled and the decision is communicated, or the individual is informed that a written decision will follow within a specified period (normally within 2 working days).

A written record of the hearing will be made. The individual will be offered the opportunity to review and comment on the record.

8. Disciplinary Outcomes

8.1 No Action

Where the evidence does not support the allegation or where the matter is found to be unsubstantiated, no disciplinary action will be taken. The individual will be informed in writing, and the matter will be treated as closed. Where appropriate, support will be offered to the individual in recognition of the difficulty of having been subject to proceedings.

8.2 First Written Warning

A first written warning may be issued where misconduct is confirmed but is not sufficiently serious to warrant a final warning. The warning will: state the nature of the misconduct; set out the improvement required; specify the review period (normally 12 months); warn that failure to improve may lead to further disciplinary action including dismissal; and be accompanied by an improvement plan where appropriate. After 12 months, if conduct has been satisfactory, the warning will be disregarded for disciplinary purposes, though it will remain on file.

8.3 Final Written Warning

A final written warning may be issued where: there has been a previous written warning for similar conduct; the misconduct is serious, though not gross; or this is a first instance but the circumstances are aggravated. The warning will: state clearly that any further misconduct may result in dismissal; specify the review period (normally 12 months); and set out any conditions attached. After 12 months, if conduct has been satisfactory, the warning will be disregarded for disciplinary purposes.

8.4 Dismissal

Where misconduct is confirmed and is sufficiently serious, or where there has been a pattern of misconduct despite previous warnings, dismissal may be the appropriate outcome. Dismissal with notice is appropriate for serious misconduct falling short of gross misconduct. Summary dismissal (without notice) is reserved for gross misconduct (see Section 9).

Any decision to dismiss requires the joint and unanimous agreement of both the CEO and the COO. This dual-authority requirement reflects the gravity of dismissal and NSEMM’s obligations as a responsible employer. Where the CEO and COO are unable to reach agreement, the matter is referred to the Board of Trustees for a decision under Clause 12(1) of the constitution. If either the CEO or the COO is the subject of the proceedings, or has a conflict of interest, the Board will make the decision directly.

8.5 Entry at Any Stage

NSEMM reserves the right to enter the disciplinary process at any stage, including issuing a final written warning or proceeding directly to a dismissal hearing, where the seriousness of the matter warrants it. The principle of proportionality applies, and the decision to escalate will be documented and reasoned.

9. Gross Misconduct and Summary Dismissal

9.1 Definition

Gross misconduct is conduct so serious that it fundamentally and irreparably destroys the trust and confidence between employer and employee. Where gross misconduct is confirmed following a fair procedure, summary dismissal (dismissal without notice or pay in lieu of notice) is the appropriate outcome.

9.2 Examples of Gross Misconduct

The Staff Code of Conduct sets out detailed examples of conduct that NSEMM considers to be gross misconduct. These include, but are not limited to: physical violence or threats; sexual harassment or abuse; deliberate falsification of records; fraud or theft; serious or wilful breach of safeguarding procedures; disclosure of confidential information; and conduct bringing NSEMM into serious disrepute.

9.3 Investigation Required

Even where the alleged conduct is so serious that summary dismissal appears to be the likely outcome, a proper investigation and hearing must be conducted before any dismissal decision is made. The requirement to follow a fair procedure is non-negotiable and applies regardless of how clear the evidence appears to be.

9.4 Right to Appeal

The right of appeal (see Section 12) is preserved in all cases of summary dismissal.

9.5 Intent as Aggravating Factor

Where misconduct is deliberate or premeditated, this will be treated as an aggravating factor in determining the appropriate sanction. Equally, a genuine lack of intent may be considered a mitigating factor in borderline cases.

9.6 Reputational Risk

Conduct that causes or risks causing serious damage to NSEMM’s reputation — including its reputation with schools, local councils, partner organisations, funders, and the Charity Commission — may be treated as gross misconduct. NSEMM’s ability to deliver its charitable objects depends entirely on the trust placed in it by statutory and community partners. A credible risk of reputational damage is sufficient; it is not necessary to wait for actual damage to occur before treating the conduct as serious misconduct.

9.7 Criminal Charges and Convictions

Being charged with or convicted of a criminal offence does not automatically result in dismissal. However, where an offence is relevant to the individual’s role — particularly any offence involving violence, dishonesty, or inappropriate conduct towards children or young people — it may constitute grounds for suspension and/or dismissal. The individual must disclose any charge, caution, or conviction to NSEMM within 24 hours (see 9.9 below).

9.8 DBS Status Changes

Any change to an individual’s DBS status that is relevant to their fitness to work with children and young people will trigger automatic suspension pending investigation. This applies whether the change is to an enhanced certificate, a barring list entry, or any other element of the DBS record. The safety of the children and young people NSEMM works with is paramount, and no individual may continue in a regulated activity role while a relevant DBS concern is being assessed. Failure to disclose a DBS status change is itself gross misconduct.

9.9 Duty to Disclose

Every individual engaged by NSEMM must notify the HR Manager and their line manager within 24 hours of: any arrest; any charge; any caution; any conviction (including spent convictions where the role involves regulated activity); or any change to their DBS certificate. This duty exists throughout the period of engagement and applies to matters arising both inside and outside of work. Failure to comply with this duty will be treated as gross misconduct.

10. Serious and Externally-Reported Investigations

10.1 Trigger

This section applies where a concern has been raised by an external party, including (but not limited to): a school or academy trust; a parent or carer; a local authority or council; Ofsted or another inspectorate; the police or Crown Prosecution Service; the Local Authority Designated Officer (LADO); the Charity Commission; the Disclosure and Barring Service; or a partner organisation.

10.2 Automatic Escalation

Where a concern is raised by an external party, the informal resolution stage (Section 4) does not apply. The matter is automatically escalated to the CEO and COO. If the concern involves either the CEO or the COO, it is escalated to the Board Chair.

10.3 Multi-Agency Cooperation

NSEMM will cooperate fully with any external investigation or statutory process. Internal proceedings must be managed carefully so as not to prejudice any external proceedings. Legal advice should be sought before interviewing individuals or gathering evidence in ways that might interfere with a police or LADO-led process.

10.4 Safeguarding Priority

Where a child or young person may be at risk, the Safeguarding Policy takes precedence over all other considerations. Suspension of the individual concerned is the default position in any case involving a safeguarding allegation. The Designated Safeguarding Lead (DSL) must be notified immediately.

10.5 Charity Commission Serious Incident Reporting

Where an externally-reported investigation involves a serious incident as defined by the Charity Commission — including any allegation of abuse, financial impropriety, or significant reputational risk — the CEO is responsible for submitting a serious incident report to the Charity Commission in accordance with the Serious Incident Reporting Policy. Where the CEO is the subject of the matter, the COO or Board Chair takes over this responsibility.

10.6 Communications Plan

A communications plan must be agreed by the CEO or COO within 24 hours of an externally-reported investigation being opened. The plan will include: a holding statement for use with external parties; the designation of a single authorised spokesperson; and an instruction to all staff that they must not comment on the matter to any person outside NSEMM. No member of staff may issue any statement, speak to the media, or communicate with any external party about the matter without written authority from the CEO or COO.

10.7 Logging in NSEMM Protect

All externally-reported investigations must be logged as cases in NSEMM Protect. This ensures a complete and auditable record is maintained, and that safeguarding implications can be tracked alongside operational and HR developments.

10.8 Outcome Notification

Where appropriate and within data protection limits, NSEMM will notify the reporting party of the outcome of any investigation they initiated. The scope and content of this notification will be agreed with legal advice where necessary.

11. Charity Reputation Protection

11.1 Confidentiality Obligation

All individuals engaged by NSEMM have a duty of confidentiality that applies both during and after their engagement. This duty covers information about service users, families, staff, partners, funders, internal proceedings, and any matter that is not in the public domain.

11.2 Social Media and Public Statements

NSEMM expects all staff and volunteers to exercise judgement on social media and in any public forum. Posts, shares, or comments that could be taken as disparaging NSEMM, its staff, its service users, its partners, or its funders may constitute misconduct. Where such conduct is serious or deliberate, it may constitute gross misconduct. The Staff Code of Conduct provides further guidance on social media expectations.

11.3 Non-Disparagement

Every individual is expected to refrain from making derogatory, false, or misleading statements about NSEMM, its leadership, its staff, or its activities. Deliberate breach of this obligation — whether in person, in writing, or online — constitutes gross misconduct.

11.4 Media and Press Enquiries

All media or press enquiries, including requests for comment on social media, must be referred immediately to the CEO or COO. No staff member may speak to any journalist or media outlet about NSEMM, its work, or any individual connected with NSEMM without explicit written authority from the CEO or COO. Breach of this requirement is a disciplinary matter.

11.5 Post-Employment Confidentiality

The duty of confidentiality survives the termination of employment or engagement and continues indefinitely. Former staff remain bound by their confidentiality obligations in relation to information they obtained during their engagement with NSEMM.

11.6 Damage Control

Where a reputational incident arises, NSEMM will take immediate steps to limit harm. These steps may include immediate suspension of the individual concerned, immediate revocation of system access, and activation of a coordinated communications plan. These actions may be taken by the CEO or COO and do not require a completed investigation.

11.7 Proactive Reputational Management

NSEMM holds contracts with local councils and school partnerships that depend on NSEMM maintaining an unblemished reputation as a trusted provider of services to children and young people. Conduct that brings NSEMM into disrepute, or that credibly risks doing so, is grounds for disciplinary action. It is not necessary for actual reputational damage to have occurred; a credible and foreseeable risk is sufficient.

11.8 DBS Referral Duty

Under the Safeguarding Vulnerable Groups Act 2006, NSEMM has a legal duty to refer to the DBS any individual who has harmed or poses a risk of harm to vulnerable groups, where NSEMM has removed them from regulated activity (or would have done so had they not left). This duty is mandatory and cannot be waived. The CEO or HR Manager is responsible for making any required referral.

12. Appeals

12.1 Right of Appeal

Every individual has the right to appeal against any formal disciplinary outcome, including a written warning or a dismissal. A written notice of appeal must be submitted to the HR Manager within 5 working days of receiving the written outcome. The notice of appeal must state the grounds of appeal clearly.

12.2 Dismissal Appeals: Trustee Panel

Appeals against dismissal are heard by a panel of at least two non-executive charity trustees who were not previously involved in the matter. The panel is constituted under the delegation authority of Clause 18 of NSEMM’s constitution, with at least one trustee required per Clause 18’s requirements.

12.3 CEO and COO Excluded from Appeal Panels

The CEO and COO are excluded from sitting on any appeal panel. Their involvement in the original decision means that their participation in the appeal would compromise its independence.

12.4 Small Board Fallback

NSEMM operates with a small trustee board. Where it is not possible to constitute a full panel of two uninvolved trustees — for example, where the board is small or where multiple trustees have a conflict of interest — NSEMM may co-opt an independent panel member. The panel must retain at least one charity trustee in accordance with Clause 18.

12.5 Standing Independent Panel Arrangement

NSEMM maintains a standing arrangement with one or more independent governance professionals or third-sector support bodies — such as NCVO, Nottingham CVS, the Cranfield Trust, or a governance professional from a partner organisation — who can be called upon to sit on appeal panels as independent co-opted members. This arrangement is reviewed annually to ensure it remains fit for purpose.

12.6 Appeal Hearing Timescale

The appeal hearing will be held within 10 working days of receipt of the written appeal, wherever possible. The individual will receive at least 5 working days’ written notice of the hearing date, together with confirmation of the panel membership.

12.7 Appeal Outcomes

The appeal panel may: uphold the original decision; overturn the original decision (in whole or in part); substitute a lesser sanction; or, where the appeal has been brought on grounds of inadequate sanction (where relevant), substitute a greater sanction. All appeal outcomes will be confirmed in writing within 5 working days of the hearing.

12.8 Warning Appeals

Appeals against written warnings (other than dismissal) are heard by the CEO or COO — whichever did not chair the original disciplinary hearing. The appeal will be conducted under the same procedural standards as set out above, with appropriate adaptations for a single-person appeal.

12.9 Finality

The decision of the trustee appeal panel (in dismissal cases) or the senior manager (in warning cases) is final. There is no further internal right of appeal. This does not affect the individual’s statutory right to bring a claim before an employment tribunal.

13. Probationary Periods

13.1 Standard Probation

All new employees serve a standard probationary period of six months. Sessional tutors and volunteers may be subject to a shorter or adapted review period as set out in their engagement letter.

13.2 Review Points

Formal probationary review meetings take place at one month, three months, and six months. At each review, the line manager will assess performance, conduct, and cultural fit against agreed objectives and expectations.

13.3 Outcomes

At the conclusion of the probationary period, the outcome will be one of the following: the probation is passed and the individual is confirmed in post; the probation is extended for a specified period with clearly defined objectives and a further review; or the probation is not passed and the employment is ended.

13.4 Shortened Disciplinary Process During Probation

During the probationary period, a shortened disciplinary process applies. A single hearing (rather than the full informal/formal sequence) may be sufficient to address conduct concerns. The right to be accompanied and the right to appeal are preserved.

13.5 Dismissal During Probation

Where employment is ended during or at the conclusion of the probationary period, one week’s notice will be given (or pay in lieu). The threshold for dismissal during probation is lower than for confirmed employees — NSEMM may end employment during probation where the individual does not meet the required standard, without this constituting unfair dismissal under the Employment Rights Act 1996 (subject to statutory qualifying period rules and the application of the Equality Act 2010).

13.6 Decision Authority

The final decision on probation outcomes — including dismissal during probation — rests with the CEO or COO.

13.7 Related Policies

See also the Performance Management Policy and the Safer Recruitment SOP for further guidance on pre-employment checks and onboarding expectations.

14. Grievance Procedure

14.1 Informal Resolution

Where you have a concern, complaint, or grievance relating to your work, a colleague, or a management decision, you are encouraged to raise the matter informally with your line manager in the first instance. Many concerns can be resolved quickly and effectively through an open and constructive conversation, without the need for formal proceedings.

14.2 Formal Grievance

Where informal resolution is not possible, has not worked, or where the nature of the grievance makes informal resolution inappropriate (for example, where the grievance is against your own line manager), you may raise a formal written grievance. Your written grievance should set out: a clear statement of your concern; the relevant facts; any actions you have already taken to resolve the matter; and the outcome you are seeking.

14.3 Grievance Meeting

A grievance meeting will be held within 5 working days of receiving your written grievance. You have the right to be accompanied by a colleague or trade union representative at this meeting. The purpose of the meeting is to understand your concern fully, to gather any further information needed, and to explore possible ways of resolving the matter.

14.4 Investigation

Where the grievance involves allegations against another individual or requires factual enquiry, an investigation will be conducted in accordance with the principles at Section 5, adapted as appropriate. The investigator will be someone not directly involved in the grievance.

14.5 Written Outcome

A written outcome will be provided to you within 5 working days of the completion of the investigation, or within 5 working days of the grievance meeting where no investigation is required. The outcome will set out: the findings; the decision; any action to be taken; and your right of appeal.

14.6 Right to Appeal

You may appeal against the outcome of a formal grievance by submitting a written notice of appeal within 5 working days of receiving the outcome. The appeal will be heard by a more senior manager who was not involved in the original decision.

14.7 Overlapping Disciplinary and Grievance Proceedings

Where a grievance is raised during ongoing disciplinary proceedings, NSEMM will consider whether the matters are sufficiently related to be dealt with together or whether the disciplinary proceedings should be paused while the grievance is addressed. The approach adopted will be documented and communicated to all parties. NSEMM is guided by ACAS guidance on concurrent proceedings in making this judgement.

15. Learning from Incidents

15.1 Structured Learning Review

After every formal disciplinary case and after every externally-reported investigation, NSEMM will conduct a structured learning review. This review is not a continuation of the disciplinary process and is not about apportioning individual blame. It is a forward-looking process aimed at understanding what happened and preventing recurrence.

15.2 Independence of the Review

The learning review will be conducted by someone who was not directly involved in investigating or deciding the original case. This person may be the HR Manager, a senior manager, a trustee, or an external adviser, depending on the circumstances.

15.3 Focus of the Review

The learning review will address: what happened and in what context; why it happened — including any organisational, cultural, or procedural factors that contributed; whether existing policies, training, supervision, or management practices need to be strengthened; and what specific changes can be made to reduce the likelihood of similar incidents.

15.4 Sharing of Findings

The findings of the learning review will be shared, in anonymised form, with relevant teams and with the trustees. Anonymisation must be sufficient to prevent identification of the individuals involved. The purpose of sharing is to promote organisational learning, not to expose individuals.

15.5 Serious Cases: Board Reporting

In serious cases — defined as cases resulting in dismissal, a safeguarding referral to the LADO, a DBS referral, or a Charity Commission serious incident report — a full written learning review will be documented and formally presented to the Board of Trustees. Trustees have ultimate responsibility for the governance of NSEMM and must be informed of serious incidents and the organisational response to them.

15.6 Actions, Owners, and Deadlines

Every learning review will produce a written action plan. Each action will have a named owner and a clear deadline. Progress against the action plan will be tracked and reported to the CEO or COO. Outstanding actions will be escalated to the Board where they have not been completed within a reasonable time.

15.7 Annual Pattern Analysis

The HR Manager, in conjunction with the CEO and COO, will conduct an annual analysis of all disciplinary and grievance cases. This analysis will look for patterns — for example, whether concerns cluster in a particular team, role type, or period — and will identify systemic issues requiring policy, structural, or cultural responses. The analysis will be reported to the Board as part of the annual governance review.

15.8 Commitment to Continuous Improvement

This section reflects NSEMM’s commitment to being a learning organisation. It mirrors the principles of practice review that apply in safeguarding — most formally in Child Safeguarding Practice Reviews — and applies them to the full range of conduct and disciplinary matters. Every case that requires formal action is, in part, an opportunity to strengthen the organisation.

16. Record Keeping and Confidentiality

All records relating to disciplinary and grievance proceedings — including investigation notes, hearing records, outcome letters, and appeal decisions — will be held securely in the HR App and in NSEMM Protect as appropriate. Access to these records is restricted on a strict need-to-know basis.

Disciplinary warnings will be retained on the individual’s HR record for the duration of the stated review period. Once that period has expired without further concerns, the warning will be disregarded for disciplinary purposes but will be retained on file in accordance with NSEMM’s data retention schedule under the Data Protection and GDPR Policy. Records relating to gross misconduct findings, DBS referrals, and safeguarding matters may be retained for longer periods in accordance with legal requirements and safeguarding best practice.

All personal data gathered during disciplinary or grievance proceedings is processed in accordance with the Data Protection Act 2018 and UK GDPR. Individuals have the right to access personal data held about them, subject to any lawful exemptions that apply.

17. Support Available

NSEMM recognises that involvement in disciplinary or grievance proceedings can be stressful for all parties — including those raising grievances, those under investigation, those giving evidence, and those making decisions.

For the individual under investigation or subject to a grievance:

• The right to be accompanied at all formal hearings
• Access to trade union advice and support
• Signposting to counselling or Employee Assistance Programme (EAP) resources where available
• A named welfare contact during any period of suspension

For managers conducting proceedings:

• HR guidance and templates
• Legal advice where the matter warrants it
• Briefing and support from the CEO or COO

NSEMM encourages openness about the pressures of these processes and will take reasonable steps to support all involved.

18. Monitoring and Review

This policy will be reviewed annually by the HR Manager in consultation with the CEO and COO, and any material changes will be presented to the Board of Trustees for approval.

The review will take into account: any changes in legislation or ACAS guidance; case outcomes and learning from the annual pattern analysis (Section 15.7); feedback from staff; and any recommendations from external advisers or auditors.

The most recent review date is shown at the top of this document. Any significant update to the policy will be communicated to all staff.

19. Related Policies

• Staff Code of Conduct
• Performance Management Policy
• Whistleblowing Policy
• Safeguarding Policy
• External Complaints Policy
• Anti-Harassment and EDI Policy
• Substance Misuse Policy
• Data Protection and GDPR
• Leave and Absence Policies
• Sickness and Absence Management Policy
• Staff Handbook
• Serious Incident Reporting Policy

This document is maintained by NSEMM leadership. Last reviewed: March 2026. For queries, contact [email protected]