Volunteer Disciplinary Procedure
Purpose and scope
1.1 Context
1.1.1 Odyssians entrusts its volunteers with high levels of responsibility and is committed to delivering a high standard of service delivery. Odyssians volunteers are therefore responsible for ensuring their behaviour, conduct and performance is appropriate: this is important for the safety and wellbeing of service users and beneficiaries, as well as fellow volunteers.
1.1.2 The baseline for acceptable standards of behaviour, conduct and performance is described in section 2.1 below and our Code of Behaviour.
1.2 Purpose
1.2.1 Generally, minor wrongdoing or under-performance will be dealt with as part of the normal process of day-to-day line management. This could include advice or the provision of additional support, without resorting to any formal disciplinary process. It should also be addressed through the normal line management process.
1.2.2 Odyssians differentiates between under-performance caused by:
1. Negligence and/or non-compliance, and
2. Lack of skill and/or capability
1.2.3 Where under-performance in volunteers is caused by lack of skill and/or capability, it will not be dealt with under the Disciplinary Procedure, but instead, through day-to-day line management processes, including the provision of additional support, training or one-to-one sessions. Consideration should be given to possible redeployment if a volunteer is deemed to be incapable of performing particular tasks.
1.2.4 Where under-performance in volunteers is caused by negligence and/or non-compliance, it will be dealt with under the Volunteer Disciplinary Procedure. Where under performance is cited in the remainder of this document, the term is used to refer to this type of under-performance, unless otherwise stated. For the purposes of brevity, the term “misconduct” is used throughout this document to refer to any incident which may constitute a disciplinary offence.
1.2.5 In the case of repeated under-performance or misconduct, misconduct of a serious nature, or gross misconduct Odyssians may initiate a formal disciplinary procedure. This could potentially involve some form of investigation and hearing, leading to disciplinary action which in the case of gross misconduct could result in summary dismissal.
1.2.6 Because of the potential consequences that could flow from disciplinary action, there is a clear procedure to be followed, which is set out below.
1.3 Scope
1.3.1 This procedure applies to all Odyssians volunteers.
1.4 Definition of terms and responsibilities
1.4.1 The term “Trustees” is used throughout this document to refer to the Odyssians Trustees acting collectively, or through delegation to a trustee acting on behalf of the Trustees.
1.4.2 The Trustees are responsible for approving all actions as detailed within this document, unless otherwise stipulated.
1.4.3 “Volunteer” means a Trustee or a participant in Odyssians’ activities who does not require care.
2. Undertaking disciplinary action
2.1 Disciplinary offences
2.1.1 Matters that Odyssians views as amounting to disciplinary offences include (but are not limited to):
a. failure to observe Odyssians policies and/or procedures
b. abusive behaviour
c. deliberate or malicious damage to Odyssians property
d. persistent poor quality of work (caused by negligence or noncompliance)
e. misuse of the organisation’s systems, property, equipment or name
f. discrimination or harassment
g. bringing the organisation into disrepute
h. professional misconduct (all volunteers including Healthcare professionals)
i. causing loss, damage or injury through negligence
j. breach of health and safety rules
k. breach of safeguarding rules
l. breach of confidence or trust, including failure to disclose a potential conflict of interest
m. sending email or social media messages containing language that may be offensive, suggestive, or derogatory
n. inappropriate or unauthorised contact with the media.
2.1.2 Examples of gross misconduct include (but are not limited to):
o. any criminal offence likely to involve police proceedings which may affect a volunteer’s duties or ability to carry out those duties
p. threatening or abusive behaviour or assault
q. theft, fraud, falsification of records, corruption or other serious unlawful conduct
r. victimisation of a volunteer who has raised concerns under the Grievance Procedure
s. incapability while on Odyssians business brought on by alcohol or illegal drugs
t. serious breaches under the headings listed in paragraph 2.1.1 above.
2.2 Potential criminal acts
2.2.1 In safeguarding cases, where a volunteer is suspected of having committed a criminal act, there is a duty to alert the police and / or the Local Safeguarding Children or Adult Boards immediately before initiating any disciplinary action.
2.2.2 In other (non-safeguarding) cases, the Trustees will consider whether it is appropriate to inform the police before initiating or after completing any disciplinary action.
2.2.3 Any alleged victim of a potential criminal act retains the right to make a direct complaint to the police or other authorities, irrespective of disciplinary action being taken.
2.3 Determining the correct action to take
2.3.1 The first step is to assess the seriousness and the nature of the alleged misconduct. The line manager will need to act promptly following the potential/alleged offence and gather enough information to make a judgement about how to proceed. This may involve speaking to the volunteer, and others, to gather more information. The volunteer should always be given an opportunity to state their case on the matter. In the case of complex alleged offences, it may be appropriate to conduct an investigation through the appointment of an Investigation Officer (IO) (see section 2.10 below).
2.3.2 Cases where immediate action is necessary: in a small minority of cases, it may be necessary for the supervisor of the volunteer to take immediate action, either to stand down the volunteer (in cases of minor offences) or to suspend them (in cases of more serious offences). If suspension is considered, it must only be in cases of a serious nature, and approval must first be obtained from one of the Trustees. If the supervisor takes the decision to stand down the volunteer, this decision must be reviewed and next steps considered with Trustees within 24 hours. See section 2.16 for more information on standing down and suspension.
2.4 Informal approach
2.4.1 As a first step, line managers will always attempt to deal with minor misconduct or under-performance through the day-to-day management processes. An area for improvement will be identified, together with any necessary corrective action. Such processes include:
· Informal processes, such as conversations with the people involved
· Mediation between the people involved to seek a satisfactory outcome
· Advice from the supervisor or manager, or other forms of support, such as training or counselling
· One to one sessions with the supervisor or manager
When informal processes don’t work, it may be necessary to resort to the formal Disciplinary Procedure.
2.4.2 Line managers should seek guidance from Trustees, regarding the use of an informal approach to deal with minor misconduct or under-performance.
2.4.3 Persistent minor misconduct - for example, persistent failure to follow Odyssians procedures - may result in the formal disciplinary procedure being invoked, as described below.
2.5 Formal disciplinary action
2.5.1 In cases where an informal approach has not brought about the required improvement, or where the nature of the offence makes informal action inappropriate, a formal process will be invoked, however this will only take place with the approval of Trustees.
2.5.2 The level of warning agreed upon will be appropriate to the level of misconduct and will not always have to start with a verbal warning. In cases of gross misconduct, it is appropriate to consider immediate dismissal and removal from site. Line managers will consult with Trustees to agree the appropriate course of action.
2.5.3 In the case of particularly complex alleged offences, it may be appropriate to consider conducting an investigation through the appointment of an Investigation Officer (see section 2.10 below).
2.5.4 In cases that are less complex the line manager may, subject to Trustees approval, move immediately to a verbal warning/disciplinary hearing.
2.6 Verbal warning
2.6.1 If the misconduct is deemed to be fairly minor (and approved as such by the Trustees) a verbal warning shall be issued, and a note of this warning will be recorded on the volunteers’ personnel file for fourteen months.
2.6.2 The volunteer’s subsequent behaviour shall be monitored by the line manager. If, after fourteen months, satisfactory improvements have been made in the volunteer’s behaviour, the note of the warning will be removed from the volunteer’s personnel file. If satisfactory improvements are not observed, the line manager will consult with Trustees to agree the next course of action.
2.7 First written warning
2.7.1 Where the level of misconduct is significant or if there is a repetition of performance issues or misconduct within the life of a verbal warning, a first written warning may be given to the volunteer. The first written warning will give details of the complaint, the improvement required and the timescale. It will warn that action under the next stage will be considered if there is no satisfactory improvement and will advise of the right of appeal.
2.7.2 A copy of this written warning will be kept in the volunteer’s personnel file, but it will be spent at the end of the defined period, subject to satisfactory conduct and performance. If the volunteer is not meeting a satisfactory standard in accordance with the improvement required, a further disciplinary panel may be reconvened following a further investigation into the reasons why.
2.8 Final written warning
2.8.1 If the misconduct is sufficiently serious to warrant a written warning but not serious enough to justify dismissal or there is a repetition of performance issues or misconduct within the life of a first written warning, a final written warning will normally be given to the volunteer. This will give details of the complaint and warn that dismissal will result if there is no satisfactory improvement. It will advise of the right of appeal.
2.8.2 A copy of this written warning will be kept in the volunteers’ personnel file, but it will be spent after the end of the defined period, subject to satisfactory conduct and performance. If the volunteer is not meeting a satisfactory standard in accordance with the improvement required, a further disciplinary panel may be reconvened following a further investigation as to the reasons why.
2.9 Dismissal
2.9.1 If there is further repetition within the life of the final written warning, then the volunteer will normally be dismissed. The volunteer will be provided with written reasons for dismissal, the date on which the dismissal took place and the right of appeal. The volunteer will not be permitted to re-join Odyssians.
2.9.2 If the conduct or performance is so serious (“gross misconduct”) that it is impossible or inappropriate to allow the volunteer to continue with Odyssians immediate dismissal will normally result. The volunteer will be provided with written reasons for dismissal, the date on which the dismissal took place and the right of appeal. The volunteer will not be permitted to re-join Odyssians. The volunteer may be able to reapply for volunteering with Odyssians after a certain period of time (to be stipulated to the volunteer upon dismissal) has elapsed.
2.9.3 Matters relating to the professional conduct of Health Care Professionals may be reported to their respective Regulatory/professional body.
2.10 Conducting an investigation
2.10.1 If the individual’s line manager believes that there is a case to look into further, providing the following criteria are met, an independent Investigating Officer (IO) will be appointed:
· There is a lot of data to be gathered and analysed and/or
· there are multiple witnesses to be interviewed and/or
· an independent view is needed and
· in any event, the Trustees approve this action.
2.10.2 The IO will be a manager at a similar level to the volunteer’s line manager but sufficiently removed from the issues. The IO will be responsible for investigating the issues and gathering evidence in the form of documentation, emails or statements from witnesses. Trustees will appoint the IO. See section 2.10 below for the investigation process.
2.10.3 If at any point in an investigation it becomes apparent that allegations of misconduct are unfounded, the volunteer concerned will be informed in writing, as soon as practicable.
2.10.4 A volunteer may be suspended from Odyssians activity whilst the allegation is investigated, however, suspension should only be considered in serious circumstances. See section 2.16 for further details.
2.10.5 Volunteers who are being investigated may access support and guidance from a “Welfare Support Officer” – an Odyssians volunteer who has been trained to help volunteers to understand and navigate their way through the process, and to understand and fulfil their role within it. They may also provide moral support. Trustees will appoint the Welfare Support Officer who must be from a different part of Odyssians to the volunteer under investigation to ensure impartiality. See Appendix A for a role description of the Welfare Support Officer.
2.11 Investigation process
2.11.1 Any investigation will be conducted as soon as is practicable after the incident(s) occurred and concluded as quickly as possible. The investigation shall be timely and proportionate to the case in scale. It will be conducted as thoroughly as possible.
2.11.2 Interviews with (e.g.) witnesses can take place either in a number of formats, e.g. face to face; over the phone; over video call; or, if there are only a few basic questions to ask, via e-mail.
2.11.3 Upon completion of interviews, all interviewees will sign to verify their statement is a true and accurate reflection of their views. If the statement has been obtained via email, providing the interviewee has been made aware that their statement may be used as evidence, an electronic signature is sufficient.
2.11.2 On completion of the investigation, the IO will submit a report to the line manager and the Trustees to initiate the next step in the process. The report will be a factual account of the investigation and will contain sufficient information to determine whether:
· there is a case of misconduct to be considered at a disciplinary hearing
· no further action is required.
2.11.3 The process from the appointment of the IO to the conclusion of the investigation should normally take no longer than four weeks.
2.12 Disciplinary hearing
2.12.1 Following the investigation a volunteer may be required to attend a disciplinary hearing. Normally a minimum of five calendar days advance notice of a disciplinary hearing being held will be given to the volunteer, however if volunteers are unable to attend a hearing within this timeframe, the notice period will be extended to a total of 10 calendar days.
Notification of a disciplinary hearing
2.12.2 The letter to the individual will confirm:
· the nature of the allegation
· who will hear the case
· the names of any witnesses being called relevant evidence arising from the investigation
· the date, time and venue of the hearing
· the right to be accompanied
· a copy of the Disciplinary procedure.
Right to accompaniment
2.12.3 At any formal hearing the volunteer has the right to be accompanied by a friend or family member.
2.12.4 The companion will be allowed to address the hearing to put and sum up the volunteer’s case, respond on behalf of the volunteer to any views expressed at the meeting and confer with the volunteer during the hearing. The companion does not, however, have the right to answer questions on the volunteer’s behalf, or address the hearing if the volunteer does not wish it.
2.12.5 As this is a volunteer disciplinary process it is not appropriate for volunteers to be accompanied by legal representation.
Attendees at a hearing
2.12.6 The individual’s line manager will normally chair the hearing and undertake the role of “hearing manager”. In some circumstances where the allegations are of such a serious nature, or where it is felt that the case is of a complicated nature, another appropriate hearing manager not linked to the case may chair the hearing.
2.12.7 The IO should not take the role of the hearing manager.
2.12.8 Trustees shall make the final decision regarding a suitable chair for the hearing.
2.12.9 The hearing manager is responsible for arranging the time and date, venue, inviting witnesses for the management and issuing the invitations.
2.12.10 When the volunteer receives the letter confirming a disciplinary hearing, they must notify the line manager if they intend to call any witnesses to the hearing and the name of any representative at least three days in advance of the hearing. If the volunteer’s companion is not available to attend on the given date the volunteer may propose an alternative date, which should not be more than one week after the original hearing date unless agreed by both parties.
2.12.11 The manager should be accompanied at the hearing by a Trustee or another appropriate manager whose role will include that of note-taker.
2.12.12 Both sides may call witnesses but should limit the number of witnesses to the minimum required to support their case. Alternatively, witnesses may submit signed statements.
2.12.13 It is the responsibility of the volunteer to arrange for the attendance of their own witnesses.
2.12.14 Any timings within this procedure may be amended at the discretion of the hearing manager if considered fair and reasonable in the circumstances.
Conduct of the hearing
2.12.15 It is the volunteer’s responsibility to ensure that they and their companion are available to attend a hearing. A volunteer may request, with reason, a postponement. However, there is no automatic right to a postponement. If either the volunteer or their companion fails to attend without prior notification the hearing may proceed, and potentially reach conclusions, in their absence.
2.12.16 Any witness who is interviewed during a hearing should only be present in the hearing during the time that they are giving evidence.
2.12.17 A volunteer who is not able to attend a hearing will be entitled to representation in their absence and the panel will also consider any written statement that the volunteer has submitted.
2.12.18 The overriding objective of the procedure is that the hearing must be dealt with justly, and in particular:
· dealing with the hearing in an efficient and timely manner
· recognising the rights of the person subject to the disciplinary procedure under the European Convention on Human Rights
· respecting the interest of witnesses and victims and keeping them informed of the progress of the hearing
2.12.19 The hearing will involve the hearing manager outlining the case against the volunteer, calling witnesses where appropriate. The volunteer will then have the opportunity to present their case, calling witnesses as appropriate. The hearing manager may question the volunteer and witnesses.
2.12.20 There will normally be an adjournment for the hearing manager to consider the evidence and reach a decision. When the meeting resumes (which may be the same day, or in complex cases, it may be necessary to reconvene the meeting at a later date) the volunteer will be informed verbally of the decision and the reasons for it, along with any disciplinary sanction. The volunteer will subsequently be notified of the decision in writing.
Outcome of the disciplinary hearing
2.12.21 The hearing may result in a finding of ‘no action’ either because the case was found unsubstantiated, or because of exceptional mitigating circumstances. In this case, all records of the hearing and investigation will be removed from the volunteer’s personal file and destroyed.
2.12.22 In cases where the volunteer is considered culpable, the form of disciplinary sanction will depend upon the seriousness and frequency of the offence, and any mitigating factors.
2.12.23 Disciplinary sanctions need to be agreed with Trustees before being actioned.
2.12.24 Where the volunteer is a registered healthcare professional Trustees shall discuss the outcome of the disciplinary hearing with the relevant national professional lead to agree whether or not a referral to the professional body is appropriate.
2.13 Right of appeal and appeal process
2.13.1 Within the formal stages of the disciplinary procedure a volunteer has the right of appeal (except following a verbal warning) and the right to appear personally either alone or accompanied by a friend or family member.
2.13.2 The appeal must be lodged in writing to the relevant manager named in their outcome letter, within one week of the date of the written notice of the disciplinary action and the appeal will normally be heard within two weeks of receipt of the notice of appeal.
2.13.3 The volunteer’s notice of appeal shall contain brief details of the grounds of appeal. Grounds for appeal must include evidence:
· Submission of evidence that Odyssians did not follow its own Disciplinary Procedure
· Submission of evidence that Odyssians took disciplinary action based on an unfounded allegation – e.g. if there was no evidence to support that allegation
· Challenge to the level of disciplinary sanction imposed, for example, if there is evidence that Odyssians acted differently in past similar cases
· New evidence or reasons why disciplinary action shouldn’t be taken.
The appeal letter must also contain the names of any witnesses the volunteer wishes to call and evidence to support the grounds for appeal. It is the responsibility of all parties to arrange for the attendance of their own witnesses.
2.13.4 Once the notification of the appeal is received, the hearing manager/line manager will appoint an “appeal manager” in agreement with the Trustees. The appeal manager will be a more senior manager than the one who dealt with the original disciplinary or with another manager at the same level if this is not possible. In either case the appeal manager will not have been involved in the case previously.
2.13.5 The appeal manager will firstly assess the grounds for appeal:
· If evidence to support the grounds for appeal has not been provided, the appeal manager (in consultation with the Trustees) may decide it is sufficient to discuss the appeal individually with the volunteer, and provide a written response detailing the outcome, following this discussion. Unless the volunteer can present evidence for their grounds for appeal, this decision is final.
· If evidence to support the grounds for appeal has been provided, the appeal manager will move forward and arrange an appeal hearing.
2.13.6 Any witness who is interviewed during a hearing should only be present at the hearing during the time that they are giving evidence.
2.13.7 If either party fails to send a representative to the hearing the appeal manager shall consider whether to hear the appeal in the absence of that party or whether in the circumstances it would be reasonable to adjourn the hearing.
2.13.8 During an appeal the volunteer will be asked the grounds on which they are appealing. Particular attention will be paid to any new evidence introduced.
2.13.9 The appeal manager may confirm, amend or reject the disciplinary action, but may not increase its severity other than in very exceptional circumstances.
2.13.10 The appeal manager, having considered the evidence, shall reach a decision at the earliest opportunity which will be notified in writing to both parties, normally within two weeks of the date of the hearing.
2.13.11 The decision of the appeal manager will be final and there will be no further right of appeal.
2.14 Recording of disciplinary action
2.14.1 All informal/formal disciplinary action will be recorded on the volunteer’s personal file. Verbal warnings will normally remain on the volunteer’s personal file for 6 months but must be considered informal.
2.14.2 Set out below are the fixed periods during which a formal warning will normally remain current on file:
· First written warning – 14 months
· Final written warning – 26 months.
2.14.3 At the end of the period of a written warning, the warning expires and will normally be disregarded for future disciplinary purposes.
2.14.4 Exceptionally, there may be occasions where the nature of the offence and the post concerned does not make it desirable and practicable for proposed time limits to apply. If this is so, the volunteer will be notified in writing when the warning is given of the period applicable. There may also be circumstances where the misconduct is so serious (e.g. relating to safeguarding issues) that it cannot be disregarded for future disciplinary purposes. In such circumstances, the written warning can never be disregarded, and any recurrence may lead to dismissal.
2.15 Health care professionals (HCP)
2.15.1 Where an offence indicates professional misconduct on the part of a HCP, or there is evidence of underperformance due to negligence or noncompliance, the line manager shall refer immediately to the Trustees.
2.15.2 In such exceptional cases where it is clear that there is a risk to other patients, the Trustees may submit a formal notification to the relevant professional body.
2.15.3 The Trustees shall remind registrants of their own obligation to report themselves to their professional body in line with the registering bodies own guidelines where action has been taken following the disciplinary procedure.
2.16 Suspension and standing down
2.16.1 In a small number of cases concerning minor offences, it may be necessary for the supervisor to take immediate action to stand down the volunteer. This would mean removing them from their immediate volunteering activity but would not mean the volunteer was suspended from engaging in any future volunteering activity. If the supervisor takes decision to stand down the volunteer, this appropriateness of this decision and next steps must be considered with the Trustees within 24 hours.
2.16.2 Suspension is where volunteers are temporarily stopped from performing their role, or engaging in Odyssians activities, whilst an investigation into their alleged misconduct takes place.
2.16.3 Suspension is a neutral act and does not, in and of itself, imply misconduct or poor performance. Suspension of a volunteer from their role is for their own protection, and for the protection of others (e.g. Odyssians, service users and other volunteers). Suspension does not constitute disciplinary action and does not indicate any culpability.
2.16.4 A volunteer may be suspended from Odyssians activity whilst the allegation is investigated, however, suspension should only be considered in serious circumstances.
Examples of occasions where suspension is probably not appropriate (but immediate stand down may be):
· Allegations of refusal to follow a line manager’s instructions (one-off instances)
· Allegations of inappropriate behaviour, such as engagement in an argument with another volunteer
Examples of occasions where it may be appropriate to consider suspension of a volunteer:
· A serious complaint or allegation is made against the volunteer
· In cases of serious alleged misconduct, for example, turning up to volunteer whilst under the influence of alcohol, or using physical violence whilst volunteering (see section 2.1 for further examples).
2.16.5 If a line manager is considering suspension of a volunteer, they must first obtain approval from the Trustees.
2.17 Raising a grievance during the disciplinary process
2.17.1 If a volunteer who is subject to disciplinary proceedings raises a grievance it will usually be heard before the disciplinary process is concluded if:
· the grievance is related to the disciplinary allegation or process
· or the outcome of the grievance may have an impact on the outcome of the disciplinary hearing.
2.17.2 If the grievance is unrelated then the disciplinary process will continue.
2.18 Confidentiality
2.18.1 This is not a confidential process. To investigate any allegations under this procedure it is likely that additional evidence will need to be sought from witnesses and other sources. Nevertheless, Odyssians will make every effort to ensure than any individuals who are the subject of these procedures are treated fairly and that information regarding specific cases is only made available on a need-to-know basis.
2.18.2 The only circumstance where confidentiality may not be ensured is when the disciplinary procedure concerns the personal health of an individual in some way. In such cases, Odyssians will take the steps necessary to maintain confidentiality about any related sensitive medical data of individuals whose health status is relevant to the process.
2.19 Accessibility
2.19.1 If any aspect of the disciplinary process causes difficulty on account of any disability that the volunteer may have, they should raise this issue with their line manager who will make appropriate arrangements.
If you have any questions regarding this policy, please use our Contact Us form.
[This procedure was last revised and updated February 2020]
Appendix A: Welfare Support Officer role description
Role title: Welfare Support Officer
Summary of role:
From time to time in Odyssians, individuals have Grievances or Disciplinaries raised against them, sometimes by other volunteers or service users, sometimes by the line manager. This can be for reasons of misconduct, wrongdoing or under-performance, or it could be the case that the individual hasn’t done anything wrong at all, it’s just that someone has perceived them to be in the wrong.
Sometimes, to get to the bottom of the matter, an investigation is carried out by an independent person (usually, someone from within Odyssians, but who doesn’t work/volunteer closely with the person being investigated).
This can be a stressful and sometimes confusing experience. The role of the Welfare Support Officer is therefore to help individuals to understand and navigate their way through the process, and to understand and fulfil their role within it. They may also provide moral support.
Main duties and responsibilities:
To help individuals to understand the Grievance and Disciplinary procedures.
To help individuals being investigated to make sense of what might happen, and to plan out their response/ the action they might take to defend their case.
To help individuals to create an action plan, so they are better equipped when attending hearings or meetings.
To help individuals to mentally prepare themselves, and to view the situation objectively.
To be a source of emotional support, signposting to counselling where appropriate.
To accompany the individual to meetings, not to represent them, but to help them to understand the process.
To play a bridging role between the investigation panel and the individual, to help to prevent a “them v’s me” situation.
To help to ensure the process is followed correctly and appropriately.
Person specification:
Able to be objective/ impartial.
Understands the difference between empathy and sympathy.
Methodical.
Able to understand Odyssians policies and procedures.
It is not a separate role in its own right, but more of a voluntary duty that any Odyssians volunteer can be asked or volunteer to take on in addition to their current role.