Harassment & Bullying Policy

Harassment & Bullying Policy Version: 5 Executive Lead: Lead Author: Director of Workforce & Organisational Development Head of Operational HR Approved Date: 9th April 2015 Approved By: Joint Consultative and Negotiating Committee Ratified Date: 14 th April 2015 Ratified By: Policy Panel Issue Date: 27 th April 2015 Review Date: 27 th April 2018 Target Audience: This Policy must be understood by all Trust employees, contractors and employees of other organisations who are on site, volunteers, visitors and patients/service users at the point of service delivery. Page 1

Preface - concerning the Trust Policy Management System (PMS) P1 - Version Control History: Below notes the current and previous Version details Version Date of Issue Author Status Comment V4 September 2011 V5 27 th April 2015 Head of Operational HR P2 - Relevant Standards: HR Adviser Superseded Archived Current Full review a) Equality and RESPECT: The Trust operates a policy of fairness and RESPECT in relation to the treatment and care of service users and carers; and support for staff.. P3 - The 2012 Policy Management System and the Policy Format: The PMS requires all Policy documents to follow the relevant Template Policy Template is the essential format for most Policies. It contains all that staff need to know to carry out their duties in the area covered by the Policy. Operational Policies Template provides the format to describe our services,how they work and who can access them Guidance Template is a sub-section of the Policy to guide Staff and provide specific details of a particular area. An over-arching Policy can contain several Guidance s which will need to go back to the Approval Group annually. Recovery Care Pathways (RCP) are documents that describe a clear route from assessment, through intervention to recovery. Symbols used in Policies: RULE =internally agreed, that this is a rule and must be done the way described = a national standard which we must comply with, so must be followed STANDARD Managers must bring all relevant policies to the attention of their staff, where possible, viewing and discussing the contents so that the team is aware of what they need to do. Individual staff/students/learners are responsible for implementing the requirements appropriate to their role, through reading the Policy and demonstrating to their manager that they understand the key points. All Trust Policies will change to these formats as Policies are reviewed every 3 years, or when national Policy or legislation or other change prompts a review. All expired & superseded documents are retained and archived and are accessible through the Compliance and Risk Facilitator Policies@hpft.nhs.uk All current Policies can be found on the Trust Policy Website via the Green Button or http://trustspace/informationcentre/trustpolicies/default.aspx Page 2 of 30

PART: Contents Page Page: Preface Preface concerning the Trust Policy Management System: P1 - Version Control History P2 - Relevant Standards P3 - The 2012 Policy Management System & Document Formats 2 2 2 PART 1 Preliminary Issues: 1. Flowchart 2. Summary 3. Purpose 4. Definitions 5. Duties and Responsibilities 4 5 6 6 7 PART 2 What needs to be done and who by: 6. What is Harassment and Bullying? 7. What Behaviour constitutes as Harassment? 8. What Behaviour constitutes as Bullying? 9. The Effects of Harassment and Bullying 10. Procedure 11. Informal Resolution 12. Raise concerns directly with the alleged perpetrator 13. Raise concerns with line manager 14. Resolution through mediation 15. Formal action Complaints against other members of staff 16. Appeals 17. Support & Advice 18. Training /Awareness 19. Equality and RESPECT 20. Process for monitoring compliance with this document 9 9 10 10 10 10 11 11 11 12 13 14 14 15 16 PART 3 Associated Issues: 21. Version Control 22. Archiving arrangements 23. Associated documents 24. Supporting References 25. Comments & Feedback 17 17 17 17 18 Appendices: Appendix 1: Formal Harassment Registration form Appendix 2: Harassment & the Law including types of harassment Appendix 3: Additional Guidance for Employees Appendix 4: Mediation Referral Form Appendix 5: RESPECT Statement 20 21 25 26 29 Page 3 of 30

PART 1 Preliminary Issues: 1. Flow Chart Raise concerns with line manager or line manager s manager Mediation Yes Resolved? No Raise a formal complaint Complete Bullying Form (App. 1) Investigation Outcome Appeal Page 4 of 30

2. Summary Hertfordshire Partnership University NHS Foundation Trust is committed to providing a working environment where staff are able to be themselves, be treated with dignity and respect and have equality of opportunity without the fear of bullying, harassment or discrimination of any kind, as described within the respect statement in appendix 5. The Trust expects all employees to act appropriately in line with the Trusts Values & Behaviours: Welcoming Kind Positive Respectful Professional when dealing with colleagues and service users, and regards any form of victimisation, intimidation, bullying or harassment as unacceptable behaviour. The Trust views violence or aggression, verbal or physical, against staff, service users or visitors to the Trust as unacceptable. The Trust recognises and accepts its responsibility for the prevention and management of violence and aggression in accordance with relevant legislation. The Trust will make every effort to provide a safe working environment. The Trust is committed to ensuring that all our policies and procedures are reflective and implemented in line with our Values and Behaviours. Page 5 of 30

3. Purpose The Trust has a duty to protect its employees against harassment from work colleagues, service users, contractors and members of the public. The purpose of this policy is to develop a working environment in which bullying and harassment are not tolerated and where individuals are confident to raise any concerns or complaints they may have, without fear of reprisal The policy also provides information for employees about the type of behaviour that is unacceptable, and a range of support mechanisms for those who believe they are victims of bullying or harassment to raise concerns and seek resolution. All employees are expected to comply with this policy and carry responsibility for their own behaviour ensuring that such conduct does not occur. Appropriate action will be taken against any employee, service user, carer or relative who violates this policy. This may include disciplinary action (including dismissal for serious offences) through the disciplinary procedure for staff or removal of services for service users. An explanation of the client group that new members of staff will have to deal with should be fully discussed and explained at both interview and induction stage. Links to the Prevention and Management of Non-Physical and Physical Assaults Policy should be also discussed and awareness raised. 4. Definitions STANDARD Bullying may be characterised as:- Spreading malicious rumours Unfair Treatment Intentionally denying someone training or promotion offensive, intimidating, malicious or insulting behaviour an abuse or misuse of power through means that undermine, humiliate, denigrate or injure the recipient. Harassment, is against the law and regulated under the Equality Act 2010. Under the Act harassment is defined as unwanted conduct related to a relevant protected characteristic, which has the purpose or effect of violating an individual s dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment for that individual. Protected characteristics are defined within the Equality Act 2010 as: Age Disability Gender Gender Reassignment Marriage & Civil Partnership Pregnancy & Maternity Race & Ethnicity Page 6 of 30

Religion & Beliefs Sexual Orientation Harassment is unacceptable even if it doesn t fall within one of these categories. However, it is not bullying and harassment to be managed when at work - see duties and responsibilities in following section. 5. Duties and Responsibilities RULE Managers and Supervisors are responsible for: Implementing this policy and for ensuring that all employees are aware of their responsibilities under it. Promoting awareness that bullying or harassment will not be tolerated and set the standards of acceptable behaviour expected of staff Acting as a role model by ensuring their own behaviour cannot be construed as personal harassment or bullying by acting within appropriate guidelines. This includes using their judgement to correct standards of conduct or behaviour, where these could be seen as harassment and bullying, and to remind staff of the standards expected of them Promoting the and RESPECT campaign statement within their Teams (Appendix 5) Ensuring that following any alleged incident of harassment or bullying, the complainant is protected from victimisation, intimidation or discrimination for their action or for assisting in an investigation Treating all complaints seriously, respectfully, promptly and confidentially giving the employee and the alleged perpetrator full support during the whole process Consulting with their Human Resources Business Partner/Adviser as appropriate for advice and support contact HR Query 01727 804639 or e-mail HRQueries@hertspartsft.nhs.uk Ensuring all staff are aware of support mechanisms in place and to ensure posters and leaflets for the employee assistance helpline are displayed on the notice boards as well as ensuring all staff have received a copy of the Trust guide on inclusive workplaces. Individual Employees are expected: To comply with this policy, the RESPECT campaign statement. (Appendix 5) To set a positive example by treating all colleagues and service users with dignity and respect To recognise how their own conduct could be perceived by others To challenge or report unacceptable behaviour either from other staff. service users, carers, members of the public, contractors to whom? Page 7 of 30

To co-operate with investigations into allegations of harassment or bullying and to always raise concerns To be responsible for working to the satisfactory standard of their job description and be willing to be managed to reach the required standard. It is not bullying and harassment to be managed when at work. To be responsible for their own behaviour and staff should comply with their specific professional codes of conduct. Employees should refer to the Employee Charter for further information. The Trust is responsible for: Providing guidance and training to managers and staff on all aspects of this policy Taking any remedial action necessary as a result of any complaints of harassment or bullying Ensuring an open organisational culture exists whereby staff feel able to raise concerns in a safe environment. Ensuring that quarterly reports are provided and reviewed to the appropriate committees. These reports will identify the types of harassment and bullying; the numbers of allegations made by staff, and the status of each reported cases. Page 8 of 30

PART 2 6. What is Harassment and Bullying? Examples and definitions of what may be considered bullying and harassment are provided below for guidance. For practical purposes those making a complaint usually define what they mean by bullying or harassment - something has happened to them that is unwelcome, unwarranted and causes a detrimental effect. If employees complain they are being bullied or harassed, then they have a right to have the matter dealt with regardless of whether or not their complaint accords with a standard definition. Bullying and Harassment is measured by what a reasonable person would deem to be harassment and bullying. Harassment and bullying is not being asked to perform a job to a satisfactory standard and being managed to do that. Bullying or harassment can be direct or indirect and can have many forms, which may include verbal, written, transferred electronically via mobiles or emails or through visual displays. 7. What behaviour constitutes Harassment? As the definition of Harassment makes clear, any behaviour that is unwanted and could reasonably be considered as violating a person s dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment for them is potentially Harassment. Typically, for behaviour to be considered Harassment, it must be persistent and continue or develop over a period of time. However, a one-off incident that is particularly serious can in itself constitute Harassment. Harassment can be communicated verbally, be physical in nature, or be expressed through other means of communication, such as letters, emails, text messages and graffiti. It may be expressed directly to the Complainant, occur in their presence or be communicated about them to a third party. Often Harassment is targeted at a particular individual. However, a prevailing workplace or learning culture, where, for example, the telling of racist jokes or homophobic comments is tolerated, can also constitute Harassment. Behaviour amounting to Harassment may include: Insults, name-calling and offensive language and gestures Inappropriate jokes Ridiculing and undermining behaviour Inappropriate or unnecessary physical contact Physical assault or threats of physical assault Intimidating, coercive or threatening actions and behaviour Unwelcome sexual advances Isolation, non-cooperation or deliberate exclusion Inappropriate comments about a person s appearance, intrusive questions or comments about a person s private life and malicious gossip Offensive images and literature Pestering, spying or stalking These examples are not intended to be exhaustive. They are, however, indicative of behaviour that would be considered unacceptable conduct by the Trust. Page 9 of 30

8. What behaviour constitutes Bullying? Behaviour generally accepted as amounting to bullying includes: Ridiculing a person Shouting or screaming at a person Setting someone up to fail, e.g. withholding necessary information or Deliberate work overload Unwarranted or invalid criticism and criticism which lacks the necessary constructive support to help the recipient improve their performance Persistently singling out a person without good reason or deliberately excluding, isolating or ignoring an individual The above examples are not exhaustive. They are, however, indicative of behaviour that would be considered unacceptable conduct by the Trust. 9. The Effects of Harassment and Bullying Poor morale and poor employee relations Loss of respect Poor performance Reduced productivity High absence levels Increased staff turnover Damage to the Trust's reputation Tribunal and other court cases and payment of unlimited compensation Stress and ill health can become part of the daily life of those being harassed or bullied. Employees who feel harassed can be subject to fear and anxiety, which can put strains on personal and family life, as well as on their time at work. 10. Procedure Complaints of harassment or bullying will be taken seriously. Complaints will be investigated promptly and objectively and appropriate action taken. The following processes in 10. and 11. describe the actions to be taken in order to advise employees how to raise concerns and how these complaints of harassment and bullying will be addressed. 11. Informal Resolution It is the intention that the majority of problems are addressed informally by the harasser being made aware that their behaviour is unacceptable, that it should cease immediately and, where the allegation concerns another member of staff, that failure to do so could result in disciplinary action. Employees who believe that they are being bullied or harassed are encouraged to do the following at the earliest stage: Keep records of all conversations, letters sent, witnesses, dates/times, the locations and nature of incidents, and how it made them feel. Seek advice and support ( see section 16 below) The Trust is committed to achieving informal resolution of complaints wherever possible. In some cases people are not aware that their behaviour is unwelcome and an informal Page 10 of 30

discussion can lead to greater understanding and an agreement that the behaviour will cease. Before embarking on any formal process resolution of the issues through informal methods should be explored and exhausted. There are a number of options available for informal resolution. 12. Raise concerns directly with the alleged perpetrator The employee should talk to the person they believe is harassing or bullying them, identifying clearly the behaviour that is causing them distress. with a view that the behaviour should cease or be modified. In circumstances where the employee feels it is too difficult for them to make this initial approach the employee may be informally supported by a work colleague or friend, not working in the same area, Trade Union Representative or appropriate manager. 13. Raise concerns with line manager In circumstances where the employee has been unable to resolve the situation by raising this directly with the person, or if they do not feel comfortable in following this approach they may raise their concerns with their line manager, or, in cases where the behaviour being complained of is that of their line manager, a more senior manager. Managers receiving a complaint from a member of staff should tell them of the options available to them in order to pursue their complaint. At the informal stage the manager needs to act as soon as he/she notices any behaviours that need to be addressed even before a complaint is made. At the informal stage the manager needs to record relevant information from any meetings or conversations. Also at the informal stage the manager can speak with the person on their behalf explaining the situation or alternatively they could facilitate a meeting between the employee and the alleged perpetrator regarding their perceived behaviour. Following the informal meeting the manager will confirm in writing the agreed actions either in supervision, by letter or by drafting an action plan with copies to both parties. 14. Resolution through mediation If the above approach fails or is inappropriate, mediation should be tried before resorting to formal procedures. Mediation can be a good way to help the employee who feels harassed to see the other persons perspective and help the alleged harasser to see how their behaviour is affecting their colleague. Both parties have to agree to mediation for it to go ahead. Mediation is a confidential and voluntary process, impartial mediators facilitate communication between the two individuals in dispute. The mediator are not there to judge, to say that one individual is right and the other is wrong, or to tell those involved in mediation what to do. Mediation seeks to provide an informal and speedy solution to a dispute, disagreement or upset. It offers a safe and confidential space for the individuals to find their own answers in a number of ways: By exploring issues, feelings and concerns of both parties and rebuilding relationships Page 11 of 30

By Allowing those involved to understand and empathise with the feelings of those they are in conflict with By Helping individuals develop the skills to resolve workplace difficulties for themselves in the future By encouraging communication and helping individuals involved to find a solution that feels fair for both sides. The content of the discussions during the meeting will remain confidential to the individuals concerned: however, any agreed outcomes will be confirmed in writing and made available to both parties. Any breach of confidentiality may lead to action being taken in accordance with the disciplinary procedure. If both parties wish to proceed via Mediation the Mediation Referral will need to be completed by the Referrer (usually the Manager of the parties involved). See Appendix 4 on page x). 15. Formal Action Complaints against other members of staff If informal methods including mediation fail to bring about the required changes in behaviour or where the alleged behaviour or actions are deemed serious enough to constitute a disciplinary offence, a formal investigation should be initiated. The complainant should make a formal written statement outlining the details of the alleged harassment or bullying using the form in appendix 1. This should be sent, in confidence, to the employee s line manager, or in cases where the behaviour being complained of is that of their line manager, a more senior manager. The manager receiving a written complaint of harassment or bullying will respond in writing immediately to the complainant explaining the procedure to be followed. The complainant must be informed that their complaint will be explained to the alleged harasser. A copy of the complaint must be given to the alleged perpetrator. The manager must decide: Whether it is necessary for either party or both to relocate to another workplace/area. Whether authorised paid leave for either party or both is appropriate. Neither of the individuals concerned should suffer any financial or other detriment as a result of this; this includes booked bank work, which will be honoured for one week. The manager without delay will appoint an Investigating Officer. The Investigating Officer will be a manager outside the service/unit where the individual/s work. She/he will be trained in the skills of objective investigations, interviewing and report writing. The Investigating Officer will inform the alleged harasser in writing of the complaint that has been made against him/her within 5 working days of the complaint being received. The terms of reference for the investigation, nature of the allegation, including dates and times and any potential witnesses should be contained within the letter sent to the alleged harasser/s. The alleged harasser will also be told that a formal investigation will be conducted, during which time s/he will have the opportunity to give his/her account of events. Access to appropriate support, including a Trade Union representative or friend, will be made available from the outset will be available to all parties involved. Page 12 of 30

The investigation should commence within 10 working days of receiving the complaint. Any relevant witnesses should be interviewed and the importance and reasons for confidentiality must be emphasised. On concluding his/her investigation the Investigating Officer will produce a factual report within 20 working days of the last interview for presentation to the appropriate Manager. It is the responsibility of the Manager to produce an outcome to a valid complaint, which offers action that may include mediation. The Manager will decide whether the Disciplinary Procedure needs to be invoked for the alleged harasser, at which point s/he will consider whether the complaint constitutes potential gross misconduct and whether the harasser should be suspended or placed on authorised paid leave. Advice should be sought from the HR Department on the action to be taken, however it is the manager s responsibility to make any decision regarding any outcome. In instances where a formal disciplinary hearing has not been convened the Investigating Officer together with a member of the HR Department will meet separately with the complainant and the alleged harasser to explain the outcome of the investigation. Trade Union representatives may accompany staff at these meetings. Any witnesses will be informed that the situation has been investigated and has been completed, however the details of the outcome will not be shared. The Manager should then consider how any outstanding issues are resolved. This may include a recommendation that internal/external counselling/mediation is offered, or an agreed action plan for a change of behaviour may be implemented. Please refer to the Performance Management Guide for managers available on the intranet for the process and a template action plan. The manager should confirm the outcome of the investigation in writing to the complainant. If a complaint turns out not to have been made in good faith, the Manager should decide whether the Disciplinary Procedure be invoked for the complainant. Once the procedure has been completed the manager should arrange for a follow up meeting with the complainant to ensure the harassment has stopped and they have not been subjected to intimidation, victimisation or discrimination. 16. Appeals The complainant will have the right to appeal if he/she feels the process of the investigation has been unfairly or poorly carried out. Appeals must be lodged within 10 working days of the written notification of the outcome of the investigation. Appeals will be acknowledged within ten working days and the appeal process explained. 17. Support and Advice Page 13 of 30

The Trust recognises that for a variety of reasons some employees may be unwilling or find it difficult to make a complaint against someone who has caused them distress by their behaviour. Various sources of advice and support are available to employees if they are experiencing distress as a result of another individual s behaviour. They may seek advice from one or more of the following: o A senior manager o Line manager o A trade union/professional Organisation, accredited representative or work colleague o Occupational health service o Employee Assistance Helpline ( available 24 hrs 0800 328 1437) o Equalities Manager/Equality & Diversity Team (including Spiritual Care Support) o Human Resources representative/hr Helpline 01923 633534 o Mediators ( please contact the Human Resources Department for more information) o ACAS Helpline ( 08457 474747) The above is not an exhaustive list and an employee may discuss the issue and seek support from any other person with whom they feel comfortable from within the Trust. Associated documents & policies:- Whistleblowing Policy Disciplinary Policy Stress Management Policy Trust Employee Charter Single Equality Scheme (replaced from April 2012 by the NHS Equality Delivery System (EDS) Managing physical & non-physical assaults 18. Training/Awareness STANDARD Training takes place for all staff within the corporate induction to the organisation as detailed in the Trust Training Needs Analysis in the Mandatory Training Prospectus 2011. Course For Renewal Period Delivery Mode Contact Information Induction Training (incorporates Slips, Trips and Falls for Staff Policy and Harassment and Bullying Training) All Staff Once only 1 day For taught courses, contact the Learning & Development Team: Learning@hpft.nhs.uk You can check for future dates here, and request a specific date. Page 14 of 30

19. Embedding a culture of Equality & RESPECT The Trust promotes fairness and RESPECT in relation to the treatment, care & support of service users, carers and staff. RESPECT means ensuring that the particular needs of protected groups are upheld at all times and individually assessed on entry to the service. This includes the needs of people based on their age, disability, ethnicity, gender, gender reassignment status, relationship status, religion or belief, sexual orientation and in some instances, pregnancy and maternity. Working in this way builds a culture where service users can flourish and be fully involved in their care and where staff and carers receive appropriate support. Where discrimination, inappropriate behaviour or some other barrier occurs, the Trust expects the full cooperation of staff in addressing and recording these issues through appropriate Trust processes. RULE: Access to and provision of services must therefore take full account of needs relating to all protected groups listed above and care and support for service users, carers and staff should be planned that takes into account individual needs. Where staff need further information regarding these groups, they should speak to their manager or a member of the Trust Inclusion & Engagement team. Where service users and carers experience barriers to accessing services, the Trust is required to take appropriate remedial action. Service user, carer and/or staff access needs (including disability) Involvement Relationships & Sexual Orientation The Trust does not discriminate against staff living with physical mental and/or emotional disabilities under the Equality Act 2010. This policy does not apply to service users or carers. The policy applies to all staff employed by HPFT. A wide variety of clinical and operational leaders have been involved in the development of this policy to ensure safe and effective service delivery for our service users. Discrimination based on sexual orientation is illegal under the Equality Act 2010. All staff must complete mandatory training Equality, Diversity & Culture, so are aware of needs and support services which may assist this process. Culture Ethnicity Spirituality Age & The Trust does not discriminate against race or ethnicity of all staff. All staff must complete mandatory training Equality, Diversity & Culture, so are aware of needs and support services which may assist this process. The Trust does not discriminate against religions/beliefs of all staff. This policy applies to all staff regardless of their age, race or ethnic backgrounds. Page 15 of 30

Gender & Gender Reassignment Discrimination based on Gender is illegal under the Equality Act 2010. All staff must complete mandatory training Equality, Diversity & Culture, so are aware of needs and support services which may assist this process. Advancing equality of opportunity Maternity/ Pregnancy Offer equality of opportunity between different groups. Foster good relations between different groups via the good working practices of the Trust. This policy applies to all staff employed by HPFT. 20. Process for monitoring compliance with this document As part of the Trust compliance with the Public Sector Equality Duty (a product of the Equality Act 2010), data will be collected and published in line with national reporting requirements which will include details of grievances raised by protected group. Monitoring: Lead Method Frequency Action Report to: Report on the Human Audit Quarterly Health & number of Resources reports safety H&B service Group instances and lead areas they are occurring Audit of cases process etc. Human Resources service lead Audit Quarterly reports Audit report HR Board Page 16 of 30

PART 3 Associated Issues 21. Version Control STANDARD Version Date of Issue Author Status Comment Superseded Archived V1 Superseded Archived V2 Superseded Archived V3 June 09 F Hook Superseded To be presented to JCNC July 2009 V4 September 2011 N Elvidge Superseded V5 27 th April 2015 Senior HR Adviser Current Full review 22. Archiving Arrangements STANDARD: All policy documents when no longer in use must be retained for a period of 10 years from the date the document is superseded as set out in the Trust Business and Corporate (Non-Health) Records Retention Schedule available on the Trust Intranet A database of archived policies is kept as an electronic archive administered by the Compliance and Risk Facilitator. This archive is held on a central server and copies of these archived documents can be obtained from the Compliance and Risk Facilitator on request. 23. Associated Documents STANDARD This document should be used in conjunction with the following HPFT procedural documents all of which are available on the HPFT staff website. The Trusts Values and Behaviours Framework Whistleblowing Procedure Trust Employee Charter NHS Equality Delivery System (EDS) Stress Management Policy Managing physical & non-physical assaults 24. Supporting References STANDARD Public Sector Equality Duty Protection of Harassment Legislation NHS Litigation Authority Standards Standards for Better Health Duty of care for health and safety issues connected with stress management, ACAS guide to Bullying and Harassment at work Page 17 of 30

25. Comments and Feedback List people/ groups involved in developing the Policy. STANDARD Example list of people/groups involved in the consultation. HR and OD Staff Policy Group Page 18 of 30

APPENDICES Appendix 1: Formal Harassment Registration form page 20 Appendix 2: Harassment & the Law including types of harassment page 21 Appendix 3: Additional Guidance for Employees page 25 Appendix 4: Mediation Referral Form page 26 Appendix 5: RESPECT Statement - 29 Page 19 of 30

Appendix 1 HARASSMENT PROCEDURE FORMAL HARASSMENT REGISTRATION FORM Part A and B of this form should be completed by an employee invoking the Harassment and Bullying Policy and Procedure and sent to their line manager, or their line manager s manager, or to the Head of Human Resources. The normal process for a formal harassment procedure should only be invoked after informal discussions have taken place and failed to resolve the matter. PART A PERSONAL DETAILS NAME. DEPARTMENT JOB TITLE. WORK PLACE/SECTION... TEL NO.. Page 20 of 30

Appendix 2 PART B THE HARASSMENT AND BULLYING ALLEGATIONS Please give summary of allegations:- This section must be completed. It is not sufficient to refer to other documents without summarising your allegations below. Include information on: 23.1 What the allegations are about 23.2 Relevant dates of events 23.3 Witnesses to events 23.4 Where they took place 23.5 Relevant background information leading up to the allegations 23.6 Why the issue was not resolved at earlier stage, why did the informal process not result in a resolution? What action have you already taken to try and resolve the conflict informally? What outcome are you looking for? What do you expect the Trust to do next? (i.e., how can your concerns be resolved?) Signature. Date Received by: Signed Date. Page 21 of 30

HARASSMENT AND THE LAW THE EQUALITY ACT 2010 The Equality Act came into effect from 1 October 2010 absorbing all existing 116 pieces of Equalities legislation into one legal framework to ensure protections for the following protected groups : Age Disability Gender Gender reassignment Marriage or civil partnership Pregnancy and maternity Race & Ethnicity Religion or belief Sexual orientation As a public sector organisation, the Trust is also required to comply with the public sector equality duty requiring the Trust to have a general duty to: Eliminate unlawful discrimination, harassment and victimisation Advance equality of opportunity between different groups Foster good relations between different groups In addition from January 2012 the Trust is required to publish information showing its compliance with additional specific equality duties. In doing this it is important for the Trust to be clear on what constitutes different types of discrimination. Some examples of this are below. Age Age discrimination is prejudice against someone because they are- or perceived to be a certain age. Discrimination is based on perception. Examples of harassment or bullying based on age can include inappropriate jokes, forced retirement, suggesting older staff members seek medical retirement, implying younger staff members lack experience etc. Disability Disability Discrimination is prejudice against someone who has a disability, including long term health conditions and mental health issues. Examples of bullying & harassment can include denying reasonable adjustments based on disability, making inappropriate jokes, treating someone differently because they are a carer of a disabled person, ignoring disabled staff members in the workplace. Gender reassignment It is discriminatory to treat people who propose to start to or have completed a process to change their gender less favourably. Examples of bullying or harassment can include denying annual leave to staff need time off for gender reassignment, inappropriate jokes, disclosing that someone is transgender within consent, refer to someone by a name attributed to the opposite gender Pregnancy and maternity It is discriminatory to treat a women less favourably because they are pregnant or have given birth. Examples of bullying and harassment include denying opportunities to women who are pregnant or returning from maternity leave, making assumptions about the capability of pregnant workers, excluding workers from tasks because they are pregnant. Race Page 22 of 30

Racism is the prejudice against someone based on their race, which includes colour, nationality, ethnic or national origin. Some examples of bullying and harassment include denying access to professional development, inappropriate jokes, giving no consideration to annual leave for cultural festivals. Religion or belief This is the prejudice against people because they hold a particular religious or spiritual view or because of another belief they might hold (including lack of any belief). Some examples can include denying appropriate space for a staff member to observe their religion (where appropriate), imposing rules re: religious dress that contravene Trust policy, inappropriate jokes re: religion. Gender It is discriminatory to treat someone less favourably on the grounds of their gender/sex. Examples can include preferential treatment for men or women, inappropriate sexually overt behaviour towards either men or women, inappropriate jokes, requiring specific duties of a staff member based on their gender. Sexual orientation It is discriminatory to treat someone less favourably based on a perception of whether someone is lesbian, gay, bisexual, heterosexual etc. Some examples of this include inappropriate jokes, deliberately preventing someone from coming out at work, disclosing that someone is lesbian, gay or bisexual without their consent, inappropriate jokes. TYPES OF DISCRIMINATION: Direct discrimination - where someone is treated less favourably than another person because of a protected characteristic. This type of discrimination is obvious and is often obvious to identify. Indirect Discrimination when there are rules or conditions that apply to everyone, but affect one group of people more than another without good reason. Indirect Discrimination The collective failure of an organisation to provide appropriate services/support to people based on protected characteristics. Can be seen in processes and attitudes, which amount to discrimination through prejudice, ignorance and thoughtlessness creating disadvantage. Associative discrimination - this is direct discrimination against someone because they are associated with another person who possesses a protected characteristic. Discrimination by perception - this is direct discrimination against someone because others think that they possess a particular protected characteristic. They do not necessarily have to possess the characteristic, just be perceived to. HPFT is adverse to all forms of discrimination and works proactively to address any issues of discrimination that arise. Any discrimination will be dealt with extremely seriously by the Trust. Education and Training is offered to all employees and attendance at the Equality Matters awareness programme is well supported by managers and staff. OTHER RELATED LAW The Health and Safety at Work Act 1974 This Act states that an employer is obliged to provide a working environment free from all forms of discrimination and there is a clear obligation on employers to take reasonable care for the health, Page 23 of 30

safety and welfare at work of their staff. The employer is also liable for the actions of their employees at work. The Employment Rights Act 1996 This Act incorporates an employee's right to claim 'unfair constructive dismissal', when an employee resigns in the face of the employer's breach of contact, which may include failure to protect their health and safety at work. The Criminal Justice and Public Order Act 1994 This Act makes intentional harassment of any form a criminal offence and provides a right to claim damages for the victim. Page 24 of 30

Appendix 3 ADDITIONAL GUIDANCE FOR EMPLOYEES 1. WHAT TO DO IF YOU ARE BEING HARASSED OR BULLIED 1.1 Ensure that you read the policy. If there are parts of it you do not understand, speak to your manager and / or HR or the Local Trade Union Representative. If you want to resolve the matter informally a meeting to discuss your concerns should be arranged between all parties. However if an informal approach has not worked then the Harassment Form in appendix 1 should be completed and sent to the line manager, or if that is not appropriate the line manager s manager. 1.2 If you feel you are being harassed or bullied by a colleague, your manager, a contractor or an employee of another organisation you do not have to put up with it. There are steps you can take: 1.3 The majority of harassing and bullying goes on behind closed doors so tell a friend or work colleague, Trade Union representative and/or The Confidential Harassment Service. You may well find out you are not the only one who has suffered. It is important that you do not try to cope on your own. 1.4 Keep a diary. Make a note of any incidents and occurrences with dates and times, and to record any witnesses. This will give a vital record of the nature of the harassment or bullying and when it occurred. (It will be important when the harasser/bully is confronted). Many of the incidents may appear trivial in isolation so it is important to establish a pattern over a period of time. 1.5 Consider a direct approach. Tell the person concerned that you find their behaviour unacceptable and ask them to stop. If you feel unable to speak to the harasser, you could write a letter stating that their behaviour is causing offence, how it is affecting you and ask them to stop. Keep a copy of the letter and make notes of any incidents/occurrences with the date and time. This is important so that accurate information can be provided as evidence, if necessary, later on. 1.6 If you feel unable to approach the harasser or bully directly, or if you would like some support, contact your local Trade Union representative/hr Department, or the Employee Assistance Programme. 1.7 If the bullying or harassment continues or if it is not appropriate to resolve the problem informally, it should be raised formally. This means putting your complaint in writing to your line manager, or if it is s/he who is harassing you write to his/her line manager. Investigations of any complaints will be handled sensitively. 1.8 If as a result of an investigation a formal disciplinary hearing is convened, you will be asked to attend as a witness. During this time you will be provided with as much support as possible. 1.9 If the investigation does not result in formal action being taken, your manager, the Investigating Officer and a member of the HR Department will meet with you to explain the outcome of the investigation and to ensure that the harassment has stopped. Your Trade Union representative may accompany you at this meeting. If you wish follow up counselling is also made available for you. 1.10 Appropriate action, including dismissal, for serious offences, will be taken. Page 25

Appendix 4 Confidential Workplace Mediation service Referral form Please complete this form as fully as possible and return to: Mediation Co-ordinator, Employee Relations Team, Trust Head Office, 99 Waverley Road, St Albans AL3 5TL or email mediation@hpft.nhs.uk Referral for mediation needs to be made by a manager or a senior manager Please note: We may contact you to discuss your referral further before we contact the participants directly Mediation is voluntary and both parties must be willing to participate before mediation can take place. Referrer: please complete the following information: Your name Department/Section/Unit SBU Work address Position Your contact number/s Email address Participants details. Please note that we contact all parties by phone in advance of mediation. Name Position Department/section/unit SBU Contact number/s Email address Typical availability Nature of party s working relationship Specific venue requirements (i.e. disabled Participant 1 Participant 2 Page 26 of 30

access)* *please note, it will usually be the referrer s responsibility to provide the venue which will need to include 3 separate rooms for a full day. It will need to be a neutral and private space for the parties to feel comfortable. Please provide a brief summary of the situation. Please advise us if the issues are part of a formal grievance or disciplinary process. Please provide details of any action taken to date to resolve, investigate of otherwise manage the situation including outcomes.(continue on a separate sheet if needed) Please outline your expected outcomes of mediation. These will form our terms of reference. Other relevant details. Yes No Are all parties aware that this case is being referred for mediation? Have the parties been provided with a copy of the HPFT Workplace Mediation Service Guide? Are all parties aware that they will be contacted by phone prior to mediation commencing? Mediation Co-ordinator s use only Case Referral Page 27 of 30

Date referral received Allocated to mediator(s) Date and venue of mediation Date case completed/returned Outcome of mediation. Date of one month follow up Date of three month follow up Date of six month follow up Date of twelve month follow up Outcome Outcome Outcome Outcome Appendix 5 Page 28 of 30

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