Policy for Managing concerns about a Volunteer

Policy for Managing concerns about a Volunteer Reference: Date Approved: Approving Body: Implementation Date: 10/3/15 Version: V2.0 Engagement Committee Supersedes: V0.7 Consultation Undertaken: Review with engagement committee Target Audience: Staff and Volunteers Review Date: 10/3/16 Lead Executive Author/Lead Manager: Chris Wade Chris Wade Managing Concerns about a volunteer 2.0 Page 1 of 13

Policy for Managing Concerns about a Volunteer Contents Page Contents 2 1. Policy Statement 3 2. Scope of these procedures 4 3. Procedures 5 4. Record Keeping 10 5. Process 11 Managing Concerns about a volunteer 2.0 Page 2 of 13

1. Policy Statement Volunteers give their time and effort freely, and taking action to address poor performance or behaviour is one of the hardest roles those supporting volunteers face. The Association wants volunteering to be a positive and rewarding experience; however, unfortunately it is sometimes necessary to take action to avoid performance or behaviour that is inappropriate for people affected by MND or the Association. The Association expects a high standard of conduct and integrity from its volunteers. Conduct which calls the Association into disrepute or impairs its efficient running is taken seriously. The principle of this policy is that concerns about volunteer behaviour and competence be addressed supportively and sensitively, but swiftly, fairly and objectively. In most cases concerns about volunteers should be addressed and resolved amicably in this fashion without the need for formal escalation. It is recognised that in addressing concerns, relationships between the volunteer and the employee or other volunteers may be occasionally damaged, leading to allegations and counterallegations. In such cases directors may, at their discretion, consider appropriate sources of mediation and arbitration to resolve differences outside of the formal processes. Where an informal resolution is not possible or is inappropriate, the formal concerns processes must be followed. Managing Concerns about a volunteer 2.0 Page 3 of 13

2. Scope of these procedures It is recognised that some concerns arise within a committee or between local volunteers. In these situations it is expected that proactive efforts are made amongst the volunteers concerned or through the branch chair or group leader to address the concerns prior to the reliance on these procedures and employee involvement. However, volunteers are encouraged to seek advice and assistance from their volunteer development coordinator, who may also assist in mediation. These procedures are designed to guide those involved in managing concerns about a volunteer or multiple volunteers. The concerns may be raised from or to a member of staff, or a fellow volunteer. These procedures are designed for use in handling concerns about volunteers carrying out all roles except for trustees and members of board subcommittees, for whom there is a separate procedure. Where the concern relates to a trustee volunteering in a board sub-committee role, this generic concerns procedure must be used. The outcome of any investigation must be reported to the Chair of Trustees and any termination of volunteering may result in subsequent termination of the board / sub-committee role, and other volunteering roles. There is a separate procedure for considering the termination of membership of the Association, as stipulated in the Articles of Association If the issue also involves a complaint about an employee, the Head of HR must be informed. If employee disciplinary or complaints procedures are required, the timescales set out in this document may require delay to allow the correct HR procedure to be followed. Managing Concerns about a volunteer 2.0 Page 4 of 13

3. Procedures A prescribed procedure is helpful for the proper and successful functioning of the Association and exists to ensure that all individuals are treated fairly and sensitively. Volunteers will be given an opportunity to share their concerns at each stage of the procedure. Examples of the types of issues which may lead to formal action being take according to the procedure include: Unsatisfactory performance of the duties of the role as set out in the volunteer s role description Harassment or bullying of any person affected by MND, Association employee, associate or volunteer Breach of confidentiality Breach of safety procedures or policy Discriminatory behaviour Bringing the Association into disrepute Consistently failing to attend appointments with people affected by MND Activities that put the health of people with MND at risk Refusal or repeated failures to follow Association policy and practice despite advice, instruction and support to the contrary Financial irregularities or fraud 3.1 STAGE ONE INFORMAL MEETING The VDC, RCDA or other responsible employee as appropriate should arrange to have an informal meeting with the volunteer to explain the concerns, and for the volunteer to give their account of the concern. They should give the volunteer reasonable notice and agree a time slot preferably within one week of the request. They must explicitly explore the behaviour or performance that cause concern and both parties should explore means by which repeats of the concerns can be avoided in the future. They must give the volunteer a full and clear statement of the changes to/improvement(s) of behaviour and/or performance that is expected of them, including a clarification of the timeframe within which such changes or improvement(s) are expected. These expectations must be reasonable and within the scope of the role, service and Association policies. Remember the role is voluntary and we the Association cannot expect volunteers to take on extra roles and tasks if they are unhappy to do so. The employee must give the volunteer the opportunity to dispute, correct or inform their understanding of the situation. The employee may feel they need to gather more evidence, but as this is an informal procedure the focus should be on resolution and future expectations rather than investigating past behaviour. The employee may be able to provide support, training or guidance in some instances to assist the volunteer to rectify the concern. Where considered necessary, changes to the volunteer s existing support mechanisms can be agreed within the remit of the employee dealing with the concern (or in agreement with a Director). Dates for review meetings may be set to allow both parties to review actions. Managing Concerns about a volunteer 2.0 Page 5 of 13

The informal meeting is designed to enable issues to be addressed positively, swiftly, and objectively. By addressing these issues in a spirit of positive open improvement, all parties should agree to the outcomes. However, where addressing the concern leads to acrimony, the employee should consider whether any mediation / support is appropriate to facilitate working harmony between volunteers or, if appropriate, between volunteers and employees. This mediation may be either internal or external to the Association but must be independent of both parties. A Director, or an RDM, may authorise external spend on mediation. If after a reasonable time the behaviour has not improved, the employee should consider moving to the formal stage. A record should be made of any agreement and shared with all relevant parties, and filed for future reference. In some serious cases it may be necessary to move straight to the formal stages, and any consideration of mediation should be considered after the formal hearing. 3.2 STAGE TWO FORMAL MEETING If the informal approach fails to generate appropriate actions to address the concerns or is unsuccessful within a realistic timeframe (six to eight weeks) and instances continue, or is of sufficiently serious concern, a formal process should be arranged with the volunteer to address the issues and allow the volunteer to give their views on the concerns. In such cases, this should in the first instance be reported to the Head of Volunteering. The Head of Volunteering will decide who will lead the formal process and who will investigate the issue. The lead person should be as close as is practical to the team concerned but must also have sufficient impartiality, sensitivity and skill to lead such formal processes. The lead person should seek guidance as needed from the Head of Volunteering. The Head of Volunteering may decide to appoint other appropriate internal or external lead persons, or investigators as appropriate. The Head of Volunteering and the lead person will consider whether it is appropriate to inform the local branch or group chair / leader; weighing up issues of confidentiality, local rapport, and practical implications for local activity. The role of the lead person in this process is to ensure (i) the policy is followed, (ii) the process and investigation is impartial and accessible and (iii), stakeholders are appropriately engaged. The lead person is also responsible for making the decisions at the end of the formal process. The role of the investigator is to gather information and evidence in an impartial manner and present these to the lead person for consideration. Usually a meeting will be arranged to discuss the concerns. In some instances the lead employee may decide several meetings are required to investigate the actions of concern. Ideally the employee holding the meetings should arrange for another employee or suitable impartial volunteer to be present too, as an independent observer. The employee should inform the volunteer of the reason for, and the date and time of the formal meeting verbally and it should be confirmed in writing. The letter must be sent to the Head of Volunteering for approval before sending by recorded delivery. Managing Concerns about a volunteer 2.0 Page 6 of 13

The volunteer should be given every opportunity to attend and also to have a friend / fellow volunteer present during the formal meeting. This person s role is to support the volunteer but they should not answer questions or speak on behalf of the volunteer. If the volunteer refuses to attend a meeting, then they should be informed that decisions based on current information may be made in their absence. In complex cases, more than one meeting may be needed with volunteers and employees involved so that the facts may be ascertained. The employee managing the meeting will present the issue at the formal meeting, along with evidence of the behaviour. The employee will explain his / her concerns and the volunteer will have fair opportunity to give his / her side of the issue. The employee will produce a letter outlining any action to be taken and the consequence of any further repeats of the behaviour or performance involved. This content of this letter will be agreed by the Head of Volunteering before posting by recorded delivery. This will be filed in their records. Once again, the employee may consider whether any mediation or support is required to restore good relations. If the manager believes the volunteering should be terminated, then the procedures in 3.3 below must be followed. The Head of Volunteering must consider what information is appropriate to be shared with the branch chair or group leader and other stakeholders, being mindful of confidentiality. Dates for review meetings may be set to allow both parties to review actions. 3.3 TERMINATION OF VOLUNTEERING Termination of the right to volunteer for the Association is sometimes unfortunately necessary. The Association has on such occasions, the power to revoke a volunteering status in order to safeguard the reputation of the Association or to protect people affected by MND, employees, volunteers, or other clients. Reasons for terminating the right for someone to volunteer with the Association include: gross misconduct all reasonable development opportunities have failed to change behaviour or performance the volunteer refuses to amend behaviour or take action to address performance the volunteer s persistent action compromises their own safety or the safety of others the volunteer s actions are contrary to Association s policy or procedure criminal activity (past or future) inappropriate use of social media The volunteer is found to have engaged in bullying, harassment or discrimination. This list is not exhaustive. The decision to terminate a volunteer role should not be taken alone. A volunteer role may not be terminated by another volunteer. Termination of volunteering or volunteer activity in a specific role may only be terminated by an RCDA or VDC with the agreement of a Director. A letter should be sent, by recorded mail, to the volunteer Managing Concerns about a volunteer 2.0 Page 7 of 13

within five days of the formal meeting explaining the reason for revoking the volunteering. After any appeal process or time allowed for an appeal, if upheld a letter requesting the return of any Association property and any ID card should be sent. If a volunteer has several roles, a decision will be needed to decide whether the action requires the termination of all volunteering or the revoking of specific roles. A record of the basis for this decision must be made. The volunteer s record should be updated accordingly, and the local group leader or branch chair informed where appropriate. It is important to note that employees do not have the power to terminate membership of the Association. In such cases that an investigating employee feels that a volunteer s membership should be revoked, they must submit a recommendation to this effect to the Board of Trustees via the relevant director. The volunteer must be informed that such a recommendation is being made. Please refer to the Articles of Association. 3.4 APPEALS STAGE Volunteers have the right of appeal. To do so, the volunteer should submit their appeal in writing, setting out the grounds for their appeal and submitting any additional information that they feel the appeal panel should consider. Grounds for appeal would normally be that the actions that the employee took were disproportionate, the volunteer is not satisfied that the process was fair, or that substantial evidence was not considered. The volunteer should make it clear whether they wish to address the panel in person when they meet, and if they wish to bring a friend. The role of an accompanying friend is the same as set out in the formal meeting stage. The appeal should be addressed to the Director of Engagement, and sent within ten days from the receipt of written communication of the decision they wish to appeal. If the Director of Engagement is not available for any reason or if he/she is involved in the investigation, the appeal should be directed to an alternative director. The Director will then arrange for 2 members of the Association s Appeals panel (to include at least one trustee) to review the decision. Within 7 days of the receipt of the letter of appeal, the Director will write to the volunteer acknowledging the appeal, informing him/ her of the date the panel will sit, who is hearing the appeal, and confirming a final cut-off date for the submission of additional information to the appeal. The Appeals panel will review existing materials concerning the issue, and any written submission from the volunteer. They may, at their discretion, decide to seek further information in writing or in person from those involved in the issue, should they believe they are missing pertinent information required for them to make a judgement The appeals panel will inform the volunteer of their decision in writing, by recorded mail, within 10 working days of the panel meeting. Only one appeal is permitted and the decision made following that appeal is final. Managing Concerns about a volunteer 2.0 Page 8 of 13

3.5 GROSS MISCONDUCT Allegations of misconduct must always be managed by a Director, but they may delegate the investigation activity to another employee such as an RCDA or RDM or an external investigator. The director will follow the formal stages outlined above in section 3.2 A volunteer would normally be suspended from volunteering pending the formal process in the case alleged of gross misconduct to avoid any repeated risk. Normally the volunteer would be told of this suspension by telephone or face-to-face by the Director and this would be confirmed in writing, by recorded mail. Following the formal hearing, gross misconduct may sometimes be considered as so serious that the decision to terminate the volunteering will be reached without further attempts to address the volunteer s behaviour and actions. Examples of gross misconduct include (this list is not exhaustive): Criminal activity Threatening behaviour, verbal abuse or using physical violence against any person affected by MND, an employee, volunteer, associate or client, or against property Wilful or serious breach of confidentiality or data protection Wilful refusal to adhere to or serious breach of any of the Association s policies Bringing the Association into disrepute Inappropriate or misleading or potentially detrimental or misrepresentative use of social media Improper use of Association facilities Missing appointment with people with MND (repeatedly or wilfully) Displaying discriminatory behaviour Gross negligence Wilful or serious disregard of health and safety procedures Bullying or harassment Managing Concerns about a volunteer 2.0 Page 9 of 13

4. Record Keeping Employees must keep an audit trail of decisions, agreements, meetings and other actions throughout the formal stages on the volunteer s record. All such information will remain confidential and be available only to the volunteer and those involved in the stages outlined above. A copy of all evidence, letters, minutes and actions must be sent to the Director of Engagement who will ensure a central record of matters investigated under this procedure is kept securely. The Director of Engagement will periodically review the concerns and the outcomes to ensure the Association learns lessons and remains fair in the use of this procedure. This analysis will be shared annually with the Engagement Committee Information on the administration of these procedures should be kept for 6 years and then destroyed. Managing Concerns about a volunteer 2.0 Page 10 of 13

5. Process Stage Activity Role Informal Formal Initial awareness of issue If the concern is possibly gross misconduct Arrange and conduct meeting to address matter informally with focus on resolution Ensure actions are recorded and reviewed. Appoint persons to lead and investigate Maintain records of investigation Invites to investigation meetings as needed Ensuring the volunteer that concerns have been expressed about is aware of complaint and procedure Agree who will address the issue informally Log with Head of Volunteering Alert Head of Volunteering so that formal stage may be considered. Arrange meeting and communicate with stakeholders Follow through on actions agreed. Confirm outcome to Head of Volunteering Keep accurate records Log these centrally with Head of Volunteering Invites giving notice, explaining procedure etc Person responsible / accountable VDC with support from Branch Chair / Group Leader / other regional staff VDC VDC / Chair / group leader / regional staff member as agreed between parties. Accountability sits with VDC or member of staff responsible for the volunteer s development. VDC / Regional staff Head of Volunteering Investigator and lead Investigator / lead Investigator Lead of formal stage Managing Concerns about a volunteer 2.0 Page 11 of 13

Appeal Gross Misconduct Termination of volunteering Revoking membership Invites to formal stage meeting after investigation to review evidence Decisions following formal stage (or in the case of termination of volunteering recommendations) Record keeping of formal stage Ensuring appropriate support throughout for volunteers and staff involved Arranging appeal process Ensuring that the issue is lead by a Director Decision to terminate volunteering Decision to revoke membership Considering whether the colleagues have access to emotional support, need for mediation etc. Case needs to be put to the Board of Trustees Lead of formal stage Lead of formal stage but please discuss contentious decisions with Head of Volunteering Lead to ensure all records are maintained and shared with Head of Volunteering Lead of formal stage Director of Engagement / CEO Head of Volunteering Director Director Managing Concerns about a volunteer 2.0 Page 12 of 13

Issue No Serious? Yes Informal Formal Resolution Resolved? Investigation Yes No Hearing End Outcome Appeal? Yes No Appeal End Managing Concerns about a volunteer 2.0 Page 13 of 13