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Grievance & Disciplinary Policy

Effective Date: January 2024
Last Review Date: January 2026

1. Purpose

This policy outlines how Overcome manages concerns related to conduct, performance, and workplace issues. It ensures that all matters are handled fairly, consistently, and transparently.

2. Scope

This policy applies to:

  • Staff
  • Trainees (including placement students)
  • Volunteers and contractors

3. Principles

Overcome is committed to:

  • Fair and proportionate decision-making
  • Providing individuals the opportunity to respond to concerns
  • Supporting improvement where appropriate
  • Maintaining professional and ethical standards
  • Resolving issues at the lowest appropriate level

PART A: GRIEVANCE PROCEDURE

4. What is a Grievance?

A grievance is any concern or complaint raised by a staff member, trainee, or volunteer relating to:

  • Working conditions
  • Treatment by colleagues or management
  • Allocation of work or expectations
  • Any aspect of their role or experience within the organisation

5. Informal Resolution

Where appropriate, individuals are encouraged to:

  • Raise concerns informally with a supervisor or manager
  • Seek early resolution through discussion

6. Formal Grievance Process

If informal resolution is not appropriate or unsuccessful:

  1. Submission
    • Grievance is submitted in writing to a manager or the leadership team
  2. Acknowledgement
    • Acknowledged within a reasonable timeframe
  3. Investigation
    • Proportionate review of the concern
    • Relevant individuals may be contacted
  4. Outcome
    • Findings and actions communicated clearly
  5. Appeal
    • Individuals may request a review if dissatisfied

PART B: DISCIPLINARY PROCEDURE

7. Types of Concerns

Concerns may include:

  • Professional conduct issues
  • Failure to meet role expectations
  • Breaches of organisational policies
  • Repeated non-performance

These align with internal categories such as:

  • Integrity breaches
  • Serious professional breaches
  • Operational non-performance

8. Definition: Record of Improvement (ROI)

A Record of Improvement (ROI) is a structured, supportive process used to address early performance concerns. It is not a formal disciplinary action but aims to provide:

  • Clear expectations
  • Agreed actions
  • A timeframe for improvement
  • Appropriate support

9. Informal Stage (Early Intervention)

Overcome adopts a proactive approach to identifying and addressing concerns early.

This includes the use of a demerit points system, where minor issues (e.g. missed meetings, lateness, or reduced responsiveness) are tracked over a defined period.

  • Points act as an early indicator of potential performance concerns, not a disciplinary measure in themselves
  • Individuals with elevated points are invited to discuss this with a line manager
  • The purpose of this discussion is to:
    • Identify any underlying issues
    • Provide support
    • Agree on steps for improvement

Where appropriate:

  • Concerns may also be addressed through feedback or supervision
  • A Record of Improvement (ROI) may be initiated

The ROI will outline:

  • Areas for improvement
  • Agreed actions
  • Timeframes for review

10. Formal Disciplinary Process

Stage 1: Formal Warning

  • Issued where concerns persist or are more serious
  • Clear explanation of the issue and expectations
  • Opportunity for the individual to respond

Stage 2: Final Warning / Review

  • Issued if concerns continue
  • May include closer monitoring or restriction of duties

Stage 3: Removal / Termination of Role

  • Applied where:
    • Issues remain unresolved
    • There is a serious breach of conduct
  • Decision is proportionate and documented

Immediate Action

In cases of serious misconduct (e.g. confidentiality breaches), immediate removal may occur.

11. Investigation Process

  • Concerns are reviewed by appropriate senior staff
  • Evidence may include:
    • Communication records
    • Session records (where appropriate)
    • Reports from supervisors or clients
  • Individuals are given an opportunity to respond before decisions are made

12. Support and Supervision

  • Individuals may discuss concerns in supervision
  • Support is provided where improvement is expected

13. Monitoring and Record-Keeping

  • All concerns, actions, and outcomes are documented
  • Patterns of behaviour may inform decisions
  • Internal systems (e.g. performance tracking, demerit points, and Records of Improvement) are used to monitor engagement and expectations

14. Review

This policy is reviewed annually and updated as required.