Complaints & Disciplinary Policy - Aughton and Ormskirk

1. Introduction

Complaints and disciplinary matters are often interlinked. This document provides the policies for both, plus formal processes for dealing with issues if they are required.

Complaints – This policy relates both to complaints raised by members and complaints from external organisations and individuals. This document sets out how we will deal with them.

Disciplinary – This document also sets out how we will approach problems related to a breach or suspected breach of our Code of Conduct.

2. Commitments

Aughton & Ormskirk u3a makes the following commitments relating to complaints and disciplinary issues:

They will be dealt with quickly and fairly.
Every attempt will be made to de-escalate the situation and settle issues without having to resort to formal action.
Confidentiality will be maintained.
All formal actions will be documented.
Decisions made will be based on the facts and evidence gathered.

3. Resolution

In the first instance, members should raise the issue with the people involved (or the Group Leader), if they feel able. If this is not possible or it does not resolve matters, they should raise the issue with the Chair Chair. It would be helpful if the complaint was put in writing so everyone is clear about the issue.

All parties will be encouraged to take a problem-solving approach to achieve a resolution. It is hoped that issues can be dealt with informally in most cases but where this is not possible, a more formal process will be followed. See Appendix 1 for formal complaints process and Appendix 2 for formal disciplinary process.

Appendix 1 - Formal Complaints Process

1. Scenarios

Scenarios where the formal process is required include:

where someone wishes their complaint to be dealt with formally;
where all steps that have been taken to resolve matters informally have been unsuccessful;
where it is felt by the person(s) leading on the informal stage, that the situation warrants a more formal approach;
where a matter is deemed to be so serious that the only relevant course of action is to follow the formal process.

2. Steps

Confidentiality is key throughout the following steps:

Complainant to inform the Chair of the complaint in writing.
The Chair will write to the complainant to acknowledge receipt of the complaint within 7 days.
The Chair will appoint two impartial members of the Management Committee to lead on the investigation. They will maintain confidential notes throughout the process.
The two people will investigate by reviewing evidence and speaking to those involved.
They will make a decision, taking into account any mitigating circumstances. The possible outcomes are:
- The complaint is upheld and appropriate action taken eg apology, removal from a group, mediation, change of practice;
- The complaint is not upheld with reasons explained;
- Further action is required under the disciplinary process if misconduct is found (see Appendix 2 for formal disciplinary process).
The Chair will inform all parties of the decision within six weeks of the initial submission of the complaint.
If the complainant is not happy with the decision, they have 14 days in which to lodge an appeal, in writing, with the Chair.
The Chair will appoint two further impartial members of the Management Committee to be the Appeal Panel. They will maintain confidential notes throughout the process.
The member will be informed of their right to attend an appeal meeting for a right of reply and that they may be accompanied by a companion if they wish (who may speak on their behalf).
The Appeal Panel will investigate the complaint, hold an appeal meeting and make a final decision, taking into account any mitigating circumstances.
The Chair will inform all parties of the decision within six weeks of the appeal submission.

Notes:

1) The Management Committee may be told that the complaints process has been initiated and is being dealt with, but not given any of the detail. This is necessary in order not to bias any appeal that they may be required to be heard at a later date.

2) For more serious issues, the committee may need to liaise with and share information with the Third Age Trust. This will not constitute a data breach due to the u3a's membership of and affiliation to the Trust. Members involved in the complaint or disciplinary process will be informed of the Trust's involvement

Appendix 2 - Formal Disciplinary Process

1. Scenarios

Scenarios where the formal disciplinary process will be followed include serious alleged breaches of Aughton & Ormskirk’s Code of Conduct that states members must:

abide by the principles of the u3a movement;
always act in the best interests of the u3a and never do anything to bring the u3a into disrepute;
abide by the terms and conditions of the constitution;
treat fellow members with respect and courtesy at all times;
comply with and support the decisions of the elected committee;
advise the Membership Team of any change in personal details (or make amendments via the members’ online portal).

2. Steps (1 - 10)

Confidentiality is key throughout the following steps:

The Chair will appoint two impartial members of the Management Committee to hear the alleged breach. They will maintain confidential notes throughout the process.

2. The Chair will send a letter to the member who is alleged to have breached the Code of Conduct within 14 days of the Chair being made aware of the alleged breach:

advising they are subject to a formal disciplinary procedure;
advising them of what constitutes the alleged breach of the Code of Conduct;
asking for their response to the breach, in writing, within 14 days;
advising them of the date of the breach hearing (this must be within 28 days of the Chair being made aware of the alleged breach);
advising that they can also attend the Hearing Committee meeting to state their response in addition to their written response;
advising them they may choose to bring a companion, if they wish, who can speak on their behalf and who will also be bound by confidentiality.

3. Witness statements will be sought and received, if relevant. Statements must be a factual representation rather than an interpretation of what the witness says.

4. The initial Hearing Committee will examine the matter, considering any written statements submitted, verbal statements and any mitigating circumstances. From this the Hearing Committee will agree what disciplinary action is required.

5. The initial Hearing Committee can consider any of the following possible forms of disciplinary action. Levels 4 and 5 will only be invoked in the case of significant breaches or a persistent repetition of behaviour about which the member has previously been warned.

Levels of Action

Level 1

No case to answer. No further action necessary except to advise relevant parties.

Level 2

A verbal warning which makes clear the nature of the unacceptable behaviour and includes a warning about future conduct and the consequences of non-compliance. The Chair should give the warning on behalf of the initial Hearing Committee. Details of the warning should be recorded, dated and kept on file.

Level 3

A written warning from the Chair, on behalf of and agreed by the Hearing Committee, itemising the unacceptable behaviour, stating the improvement required with immediate effect and the consequences of continued non-compliance.

Level 4

A final written warning as above, which states that if the behaviour is repeated the member will be asked to leave the u3a (and/or Management Committee), with immediate effect.

Level 5

The member is asked to leave the u3a (and/or Management Committee).

Gross Misconduct

If there is a case to answer, for most problems the process will start at Level 1. However, the Management Committee has the right to move immediately to Levels 4 or 5 in the case of an extremely serious proven misdemeanour, for example:

Sexual/racial abuse, discrimination, harassment, bullying.
Dangerous or violent behaviour.
Falsification of expense claims.
Theft.
Malicious damage.
Conduct which brings the u3a into disrepute or is prejudicial to the u3a or the running of the u3a.

6. Within six weeks of the Chair first becoming aware of the breach, the decision should be communicated in writing to the member, advising them whether the breach has been upheld or not upheld. If the breach has been upheld, they will be informed:

of the action that will be taken as a result;
that they have the right of appeal;
that the right of appeal can only relate to the original breach;
that the appeal request must be lodged, in writing, with the Chair within 14 days from the date the decision is communicated;
that they may attend an appeal hearing for a right of reply and may be accompanied by a companion if they wish.

7. In the event of an appeal, the Chair will appoint two further impartial members of the Management Committee to be the Appeal Panel. They will maintain confidential notes throughout the process.

8. The Appeal Panel will hold an appeal hearing, at which the Chair of the Appeal Panel will summarise the facts then the member will be given the opportunity to speak, along with their companion if the companion wishes to speak.

9. The Appeal Panel will consider all the evidence and make a final decision, taking into account any mitigating circumstances.

10. The Chair will inform all parties of the decision within six weeks of the appeal submission.

Notes:

1) The Management Committee may be told that the disciplinary process has been initiated and is being dealt with, but not given any of the detail. This is necessary in order not to bias any appeal that they may be required to be heard at a later date.

3) If the Chair of the committee is suspected to have breached the Code of Conduct, then the Vice Chair will replace the Chair in the procedure. In this case, and in the event of an appeal, the Vice Chair may choose to ask committee members from a neighbouring u3a or seek advice or request attendance from Third Age Trust staff or Trustees.

Adoption and Review

This policy was adopted on: 25^th November 2025

Last review date: 25^th November 2025

Next Review date: November 2026