Mosaic LGBT+ Young Persons’ Trust, Charity Number 1166676

 

Policy Owner: FRG Committee

Review Cycle:  Biannually or sooner if legislation/guidance changes

Next Review Date: May 2028 (Updated and re-approved May 2026)

 

M Mindful

O Open

S Safe

A Agile

I Inclusive

C Community

1. Scope and Purpose 

 

This policy sets out how Mosaic LGBT+ Young Persons' Trust (Mosaic) handles concerns about conduct, performance, and workplace grievances. Our aim is to ensure that all concerns are addressed fairly, consistently and promptly, and that everyone connected with Mosaic is treated with dignity and respect.

 

This policy covers:

 

• Contracted staff directly employed by Mosaic
• Volunteers and mentors engaged by Mosaic
• Trustees of Mosaic

 

How this policy applies to different groups:

 

• Staff: Full disciplinary and grievance procedures apply, consistent with employment law and the ACAS Code of Practice.
• Volunteers and mentors: A lighter-touch, informal-first approach applies. Formal procedures are available where informal resolution has failed or where the matter is serious.
• Trustees: As office-holders rather than employees, Trustees are not subject to employment law. Matters involving Trustees are handled under charity governance principles, led by the Chair of Trustees with Board ratification. Where the matter involves the Chair, it will be handled by a panel of Trustees led by the Vice-Chair.

 

This policy does not cover the performance or conduct of external contractors, consultants or partner organisations. 

 

This policy is based on the ACAS Code of Practice on Disciplinary and Grievance Procedures and the ACAS guidance on disciplinary and grievance procedures. Employment tribunals take the ACAS Code into account and may adjust awards by up to 25% where either party has unreasonably failed to follow it.

 

2. Principles

 

The following principles apply across all disciplinary and grievance matters, regardless of the group involved.

 

• Issues will be dealt with promptly and without unreasonable delay.
• Mosaic will act consistently and fairly in all cases.
• Allegations will be properly investigated before any formal action is taken.
• Anyone facing allegations will be told what is alleged and given a genuine opportunity to respond.
• Anyone involved in a formal meeting has the right to be accompanied (see Section 5).
• Everyone has the right to appeal any formal decision.
• Confidentiality will be maintained as far as practicable throughout.
• The wellbeing of everyone involved, including the individual facing allegations, will be taken into account.
• Informal resolution, including mediation, will always be considered before formal action is taken.

 

Mediation is a voluntary process supported by an independent third party. It does not determine who is right or wrong. Either party can decline mediation, but Mosaic encourages it wherever it may help.

 

3. Disciplinary procedure

 

3.1 Informal resolution

 

Minor or first-time concerns should, wherever possible, be addressed informally. A conversation between a line manager and the individual, or between Trustees where a Trustee is involved, may resolve the issue without the need for formal action. No formal record will be kept of informal resolutions, though a manager may make a brief note for their own reference.

 

Where an informal approach has not worked, or where the matter is too serious for one, the formal procedure below will apply.

 

3.2 Investigation

 

Before any formal disciplinary meeting takes place, Mosaic will carry out an investigation to establish the facts. The investigation should be:

 

• Carried out without unreasonable delay
• Proportionate to the seriousness of the matter
• Conducted with an open mind
• Documented clearly

 

For staff, the investigation will normally be conducted by the line manager or, where that is not appropriate, by another manager, Trustee or suitable individual appointed for that purpose.

 

For volunteers and mentors, the investigation will normally be conducted by the staff member responsible for their engagement or a Trustee.

 

For Trustees, the investigation will be conducted by the Chair of Trustees or, where the Chair is involved, by a panel of Trustees appointed by the Board, led by the Vice-Chair.

 

The investigation may involve a fact-finding meeting with the individual, conversations with witnesses, or a review of relevant documents and records. The individual should be informed that an investigation is taking place. If a meeting with the individual is required as part of the investigation, they should be given reasonable notice and an opportunity to prepare. As a guide, at least five working days' notice should be given unless an urgent situation requires otherwise.

 

In cases of alleged gross misconduct (see Appendix 7), it may be necessary to suspend the individual on full pay (for staff) or ask them to step back from their duties temporarily (for volunteers, mentors and Trustees) while the investigation is carried out. Suspension or temporary stand-down is a neutral act and does not indicate that any finding has been made.

 

3.3 Formal disciplinary meeting

 

On completion of the investigation, if there is a case to answer, the individual will be invited in writing to attend a formal disciplinary meeting. The letter or email will:

 

•       Set out the nature of the alleged conduct or performance concern

•       Include a summary of the evidence gathered, including any witness statements

•       State the range of possible outcomes

•       Confirm the right to be accompanied (see Section 5)

•       Give reasonable notice of the meeting date (normally at least five working days)

 

The meeting should be chaired by a person not previously involved in the investigation. For staff, this will normally be a more senior manager or a Trustee. For volunteers and mentors, this will normally be a Trustee or senior manager. For Trustees, this will be the Chair, or a panel of Trustees led by the Vice-Chair, where the Chair is the subject.

 

The individual must be given a full opportunity to respond to the evidence, present their case and call witnesses or submit witness statements. A note-taker should be present who is not otherwise involved in the case.

 

After the meeting, the chair should adjourn before reaching a decision to allow proper reflection and to check any disputed facts.

 

3.4 Outcomes

 

The range of possible outcomes following a formal disciplinary meeting is set out below.

Warnings will clearly state the concern, the required improvement or change, the timescale, any available support, and the consequences of no improvement. Warnings will be disregarded for disciplinary purposes after the period stated, provided the required improvement has been maintained.

 

For volunteers and mentors, the equivalent of dismissal is termination of the volunteering or mentoring arrangement. This may be done with or without notice, depending on the seriousness of the matter. Mosaic will always follow a fair process before taking this step.

For Trustees, the equivalent outcomes are a formal reprimand, a requirement to undertake specific action or training, suspension from the Board, or removal from office. Removal of a Trustee requires a decision of the full Board in accordance with Mosaic's governing documents and charity law.

 

All outcomes will be confirmed in writing to the individual as soon as possible, with clear information about the right of appeal.

 

4. Grievance procedure

 

4.1 What is a grievance?

 

A grievance is any concern, complaint or problem that an individual wants Mosaic to address. This might include concerns about working conditions, relationships with colleagues or managers, treatment at work, or the application of Mosaic policies. Anyone covered by this policy has the right to raise a grievance.

 

4.2 Informal resolution

 

In the first instance, individuals are encouraged to raise concerns informally with their line manager, a senior manager or, where appropriate, the Chair of Trustees. Many concerns can be resolved quickly through an open conversation. Volunteers and mentors should raise concerns with the staff member responsible for their engagement, or with a Trustee if that is more appropriate.

 

If informal resolution has not worked, or if the individual does not feel comfortable raising the matter informally, they may raise a formal grievance at any time.

 

4.3 Raising a formal grievance

 

A formal grievance should be put in writing and sent to the most appropriate person. As a guide:

 

• Staff should write to their line manager or to the Chair of Trustees where the grievance involves their line manager.
• Volunteers and mentors should write to the member of staff responsible for their engagement or to Mosaic’s Director.
• Trustees should write to the Chair, the Vice-Chair, or another Trustee (e.g., the committee Chair) when the grievance involves the Chair.

 

The written grievance should explain: what the concern is; any relevant background or evidence; and what outcome the individual is seeking. Mosaic will acknowledge receipt promptly and aim to hold a formal grievance meeting within ten working days.

 

4.4 Grievance meeting and investigation

 

Mosaic will investigate the grievance to reach a fair decision. This may involve speaking with other individuals, reviewing documents or gathering other evidence. The individual who raised the grievance will have the opportunity to explain their concern, present evidence and have the matter taken seriously.

 

Mosaic will:

 

• Keep written records throughout and treat all information as confidential
• Consider the wellbeing of everyone involved
• Involve the police or relevant statutory authorities if the matter may involve criminal conduct
• Apply mediation at any stage where it may help

 

Where a grievance is raised at the same time as a disciplinary matter, Mosaic will consider the most appropriate way to handle both. In some cases it may be appropriate to pause the disciplinary procedure to deal with the grievance first.

 

4.5 Outcomes

 

After a fair process, Mosaic will decide on the most appropriate outcome based on the findings, what is fair and reasonable, and how similar matters have been handled previously. The individual will be informed of the outcome in writing as soon as possible.

 

Where a grievance is upheld and involves another individual's conduct, Mosaic may need to initiate a disciplinary procedure.

 

5. Right to be accompanied

 

Anyone attending a formal disciplinary or grievance meeting has the right to be accompanied by one of the following:

 

• A fellow employee or volunteer of Mosaic not involved in the matter
• A trade union representative
• A certified companion under the Employment Rights Act 2025, once the relevant provisions are in force (expected in future regulations)

 

The companion may address the meeting, sum up the individual's case and confer with the individual during the meeting. They may not answer questions on the individual's behalf.

 

Where a Trustee is involved in a formal meeting, the companion should be a fellow Trustee not involved in the matter, or another appropriate person agreed in advance.

 

Volunteers and mentors have the same right to be accompanied at any formal meeting.

 

Reasonable adjustments will be made to enable anyone to participate fully in the process, including reasonable accommodations for disability, language needs or other relevant factors.

 

6. Appeals

 

Staff

Any member of staff who wishes to appeal a formal disciplinary or grievance outcome must do so in writing within five working days of receiving the written decision, stating the grounds of appeal. An appeal meeting will be held within ten working days. Appeals will be heard by the Chair of Trustees or, where the Chair was involved in the original decision, by one or more Trustees not previously involved. The decision following the appeal is final.

 

Volunteers and mentors

Volunteers and mentors may appeal any formal outcome by writing to the Chair of Trustees within five working days. The appeal will be considered within ten working days by a Trustee or group of Trustees not previously involved. The decision following the appeal is final.

 

Trustees

A Trustee who wishes to appeal a formal decision of the Board may request a review by writing to the Chair (or Vice Chair where the Chair was involved) within five working days. The full Board, excluding the Trustee concerned, will consider the appeal at the next available opportunity. The decision of the Board is final and binding under Mosaic's governing documents.

 

7. Confidentiality and Record-Keeping

 

All disciplinary and grievance matters will be handled with appropriate confidentiality. Information will only be shared with those who need it to conduct a fair process. Breaching confidentiality by any party involved in a procedure may itself be treated as a disciplinary matter.

 

Records of disciplinary proceedings, including investigation notes, hearing records and outcomes, will be kept securely and in accordance with Mosaic's data protection obligations under the UK General Data Protection Regulation (UK GDPR) and the Data Protection Act 2018. Records will be retained for a period appropriate to the seriousness of the matter and the relevant limitation periods for legal claims.

 

Where a warning has lapsed, the record will remain on file but will play no part in any future disciplinary process unless the matter is directly relevant.

 

Confidentiality clauses (sometimes called non-disclosure agreements) will not be used to prevent an individual from making a disclosure about harassment, discrimination or other unlawful treatment, in accordance with the Employment Rights Act 2025.

 

8. Harassment and Safeguarding

 

Mosaic takes harassment, bullying and safeguarding concerns extremely seriously. Given Mosaic's work with LGBT+ young people, any allegation involving harm, abuse or inappropriate conduct towards a young person or vulnerable individual will be treated with the highest priority and may be referred immediately to statutory authorities, including the police or children's services, regardless of where the allegation sits within this procedure.

 

Since October 2024, employers have a legal duty to take reasonable steps to prevent sexual harassment in the workplace. From October 2026, this rises to a duty to take all reasonable steps, and employers will also become liable for harassment by third parties where they have failed to meet this standard. Mosaic is committed to meeting this obligation.

 

Any allegation of harassment, including sexual harassment or harassment related to a protected characteristic under the Equality Act 2010, will be treated as a serious matter and will be investigated promptly and thoroughly. Mosaic may suspend or stand down an individual from duties while an investigation into harassment is carried out.

 

9. Whistleblowing

 

Any individual covered by this policy who has a concern about wrongdoing, illegal activity, danger, or a serious breach of Mosaic's values may raise this as a protected disclosure under the Public Interest Disclosure Act 1998. Such disclosures should be made in accordance with Mosaic’s Whistleblowing policy. Staff who make a qualifying protected disclosure have statutory protection against detriment or dismissal as a result.

 

Raising a protected disclosure is not the same as raising a grievance. Both routes remain open, and Mosaic will treat them appropriately.

 

10. Rules of Mosaic LGBT+ Young Persons' Trust

 

The following rules apply to all individuals covered by this policy. This list is not exhaustive. Further guidance can be found, among others, in the Mosaic Code of Conduct for staff, volunteers, trustees and members, and Safeguarding, Diversity, Equity, Inclusion and Belonging, and Anti-Fraud, Corruption and bribery Policies.

 

• All individuals must comply with the terms of their engagement with Mosaic.
• Instructions and duties relating to your role should be carried out to the required standard.
• The consumption of alcohol or the use of illegal drugs on Mosaic premises or during Mosaic activities is not permitted.
• Threatening, violent or intimidating behaviour or language towards any person is not permitted.
• Discriminatory behaviour, language or non-verbal communication of any kind is not permitted.
• Harassment or bullying of any individual, in any form, is not permitted.
• Personal data and confidential information must be handled in accordance with Mosaic's data protection policies.
• Behaviour that puts at risk the safety or wellbeing of any young person or vulnerable individual is not permitted and may result in immediate referral to statutory authorities.
• Theft, fraud, and financial dishonesty are not permitted.
• Conduct that causes serious damage to the reputation of Mosaic is not permitted.

 

11. Review

 

This policy will be reviewed regularly, and at a minimum every two years, or sooner if there is a relevant change in legislation or in Mosaic's operations. The Board of Trustees is responsible for approving this policy. Day-to-day implementation is the responsibility of the relevant line manager or, where no manager is identified, the Chair of Trustees.

 

 

Appendix 1: Verbal Warning / Improvement Note (first formal step for performance)

 

An improvement note sets out: the performance concern; the specific improvement required; the timescale for achieving that improvement; a review date; and any support or training to be provided. A copy is kept on file and used as the basis for monitoring. It will normally be disregarded after six months, provided the required improvement has been sustained.

 

Appendix 2: Written Warning (first formal step for misconduct)

 

A written warning sets out: the nature of the misconduct; the required change in behaviour; and a warning that further misconduct may result in a final written warning. The warning will normally remain current for six months and will be disregarded for disciplinary purposes after that period, provided there has been no further misconduct.

 

Appendix 3: Final Written Warning

 

A final written warning will be given where misconduct or unsatisfactory performance continues after a prior warning, or where a first offence is sufficiently serious that it does not warrant dismissal but goes beyond what a written warning alone would address. The warning will normally remain in effect for 12 months (or longer if stated in the sanction)  and will state that further misconduct or failure to improve may result in dismissal or other action.

 

Appendix 4: Action Short of Dismissal

 

Where a final written warning has been issued, further misconduct or unsatisfactory performance may result in action short of dismissal, such as demotion, loss of seniority, mandatory training, loss of increment or transfer. For staff, these measures may only be applied where permitted by the individual's contract or with their agreement. Any such action will be confirmed in writing with clear information on the appeal process.

 

Appendix 5: Dismissal with Notice

 

Dismissal with notice will occur where conduct or performance has not improved to the required level despite a final written warning, or where Mosaic has otherwise followed a full and fair procedure. The individual will receive their contractual or statutory notice entitlement, whichever is greater, or, where appropriate, payment in lieu of notice.

 

Appendix 6: Dismissal without Notice (Summary Dismissal)

 

Summary dismissal may occur in cases of gross misconduct. A fair disciplinary process will always be followed before a decision to dismiss without notice is made. The individual will be informed in writing of: the reasons for dismissal; the date their employment ends; notice arrangements (if any); and their right of appeal.

 

Appendix 7: Examples of Gross Misconduct

 

The following are examples of conduct that Mosaic considers to be gross misconduct. This list is not exhaustive and is subject to update. Each case will be considered on its own facts.

 

• Physical violence towards any employee, volunteer, Trustee, service user or young person
• Behaviour that seriously endangers the health or safety of any individual
• Any conduct that puts a young person or vulnerable individual at risk of harm
• Sexual harassment or harassment related to any protected characteristic under the Equality Act 2010
• Serious misuse of Mosaic that exists between staff or volunteers and service users or young people
• Deliberate damage to the property of Mosaic or of any individual associated with Mosaic
• Theft, fraud or financial dishonesty of any kind
• Serious negligence resulting in loss, damage or injury
• Serious acts of insubordination
• Unauthorised access to or disclosure of confidential information, including personal data
• Serious breaches of Mosaic's data protection obligations under UK GDPR
• Serious conduct that damages the reputation of Mosaic
• Discrimination, harassment or victimisation on the basis of any protected characteristic
• Ineptitude or dangerous incapability caused by alcohol or illegal drugs
• Any criminal act connected with employment or Mosaic's activities
• Serious breach of safeguarding policies or procedures

 

Appendix 8: Key Legal Framework

 

This policy is grounded in the following legislation and guidance:

 

• ACAS Code of Practice on Disciplinary and Grievance Procedures (2015, as supplemented by current ACAS guidance)
• Employment Rights Act 1996 (as amended)
• Employment Rights Act 2025 (Royal Assent 18 December 2025), including provisions on unfair dismissal qualifying periods, companion rights and confidentiality clauses
• Equality Act 2010
• Worker Protection (Amendment of Equality Act 2010) Act 2023, introducing the duty to take reasonable steps to prevent sexual harassment (in force from October 2024, rising to all reasonable steps from October 2026)
• Public Interest Disclosure Act 1998 (whistleblowing protections)
• UK General Data Protection Regulation and Data Protection Act 2018
• Charities Act 2011 (applicable to Trustee governance)
• Trade Union and Labour Relations (Consolidation) Act 1992