A policy recommended for use abc Trust Policy for Dignity and Respect at Work In: All Trust Directorates By: Trust Management For: All Trust Staff Key Words: Dignity and Respect Written by: Rebecca Manning HR Advisor Supported by: Policy Sub Group Approved and Ratified by: Trust Partnership HR Director Signed Date 4 th September 2009 Staff Side Signed Date 4 th September 2009 Policy issued: To be reviewed before: To be reviewed by: HR Policy Lead Policy supersedes: Location of archived copy: HR archive Policy Registration No. 00 Version No. 2 Author: HR Policy Lead Date of issue: September 2009 Page 1 of 15
CONTENTS 1. Introduction 2. Key Objectives 3. Definitions 4. Role of Human Resources 5. Employee Support Programme 6. Occupational Health 7. Procedure 7.1 Initial Individual Action 7.2 Informal Action 7.3 Mediation 8. Formal Action 7.3.1 What is good about mediation? 8.1 Complaints against other staff members 8.2 Complaints by members of staff against employees of other organisations 8.3 Complaints from an employee from another organisation against a Trust member of staff 8.4 Harassment of staff by patients/service users/relatives 9. The Alleged Bully/Harasser 10. Malicious Complaints 11. Investigation Outcomes 12. Review, Monitoring and Effectiveness 13. Training 14. Related Documents Appendices Appendix 1 Formal Harassment Registration Form Author: HR Policy Lead Date of issue: September 2009 Page 2 of 15
DIGNITY AND RESPECT AT WORK abc 1. INTRODUCTION The Trust is committed to a policy of equality of opportunity and aims to provide a working environment that is free from unfair discrimination. All individuals should be treated with dignity and respect whether at work or study; staff and management have an important role to play in creating an environment where harassment is unacceptable. This policy applies to all staff working within the Trust regardless of their role, position, band or seniority within the organisation. As such, it will cover employees, visitors, patients, contractors and staff from other organisations working on Trust premises. The purpose of this Policy is to assist in developing and encouraging a working and learning environment and culture in which harassment is known to be unacceptable and where individuals have the confidence to deal with harassment without fear of ridicule or reprisals. This policy aims to ensure that if harassment or bullying does occur, adequate procedures are readily available to deal with the problem and to prevent it from recurring. The Trust recognises that bullying and harassment can have a detrimental effect upon the health, confidence, morale, learning and performance of those affected by it. The Trust undertakes to: Apply the policy to all members of staff including Medical and Dental staff and patients. Ensure a prompt response to formal complaints. Treat incidents of harassment or bullying as being very serious. In some instances, harassment may be dealt with informally, in others, there may be grounds for disciplinary action, including dismissal. Publicise the policy as widely as possible in order to ensure that all staff and management are aware of its existence. 2. KEY OBJECTIVES Complaints of harassment or bullying will be taken seriously. Complaints will be investigated promptly and objectively and appropriate action will be taken. Author: HR Policy Lead Date of issue: September 2009 Page 3 of 15
The purpose of this policy is to provide protection and support for individuals facing harassment and to outline what action may be taken. It explains what you should do: - As an employee experiencing harassment. As a Manager receiving a complaint. As a colleague of someone who is being harassed. 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. 3.0 DEFINITIONS Bullying may be characterised as offensive, intimidating, malicious or insulting behaviours, an abuse or misuse of power through means intended to undermine, humiliate, denigrate or injure the recipient. Harassment is unacceptable or unwanted behaviour that can affect the dignity of staff in the workplace. This can range from violence and bullying to more subtle behaviour such as ignoring an individual at work or study. It subjects an individual or a group to unwelcome attention, intimidation, humiliation, ridicule, offence or loss of privacy. It is unwanted by the recipient and continues after an objection is made, although a single incident may be serious enough to constitute harassment and justify a complaint. This definition includes sexual and racial harassment, and bullying as well as any other form of personal harassment arising from disability, sexual orientation, socio-economic status, age, religion etc. It can be a single explicit incident causing distress or repeated unacceptable behaviour affecting the dignity of an individual that appears or feels offensive, demeaning, intimidating or hostile to the individual. Differences in attitude, background or culture can mean that what is perceived as harassment by one person may not seem so to another. Harassment will have occurred if any independent, reasonable individual deems it to have occurred. Examples of behaviours that are offensive, abusive, malicious, insulting or intimidating, include: Unwanted physical contact, physical abuse, over familiar or suggestive gestures and behaviour, open hostility including organised hostility in the workplace Author: HR Policy Lead Date of issue: September 2009 Page 4 of 15
Offensive or suggestive verbal remarks, insults or ridicule because of age, sex, sexual orientation, disability, race, nationality, religious or political conviction Circulation or display of offensive or suggestive material including e-mail Sending of unwanted messages via e-mail Exclusion from normal workplace conversation or social events Victimisation False/malicious allegations Repeated unjustified criticism Action by a manager imposed without reasonable justification Unfair allocation of work and responsibilities Preventing individuals progressing by intentionally blocking promotion or training opportunities Changes in duties or responsibilities of the employee to the employee s detriment without reasonable justification Unfair treatment on the basis of Trade Union membership 4. ROLE OF HUMAN RESOURCES The Human Resources department has a responsibility to ensure that the policy is followed fairly and consistently. Their duties will involve but not be limited to: 1. Advising managers on the application of the policy 2. Advising managers and staff where individuals feel that they are being harassed or bullied in the course of their employment 3. Ensuring the effective implementation of the policy 4. Monitoring incidence of bullying and harassment and initiating appropriate action 5. Reviewing and amending the policy as necessary. 5. EMPLOYEE SUPPORT PROGRAMME (ESP) The Trust provides a confidential external service for its staff. This service offers 24 hour telephone support with confidential face to face counselling sessions. The advice line will have access to this policy and will guide staff how to take the appropriate action. There is also a provision for managers to seek guidance on how to deal with a bullying or harassment issue. The ESP can also provide support for those individuals who are being accused of bullying or harassment. 6. OCCUPATIONAL HEALTH Author: HR Policy Lead Date of issue: September 2009 Page 5 of 15
Any member of staff who is involved in a claim of bullying and harassment may find it helpful to talk to the occupational health service. All employees have a right to refer themselves to occupational health. 7. PROCEDURE 7.1 Initial Individual Action Sometimes people are not aware that their behaviour is unwelcome and an informal discussion can lead to greater understanding and an agreement that the behaviour will cease. Talk to the person you believe is harassing or bullying you. You may choose to do this yourself, or you may need support. It is advisable that individuals should keep a diary of events. If further incidents occur, or the employee does not feel able to approach the person responsible, they should seek advice and support from a colleague, their line manager, HR Officer, HR Manager or Trade Union representative. 7.2 Informal Action The line manager should then arrange an informal discussion with the member of staff to talk through their concerns. The manager would then determine how best to resolve their concerns informally. This may take to form of: Training or Development Mediation, as agreed by both parties The Line Manager would then meet the person who is believed to be harassing or bullying the member of staff to advise them of the concerns that have been raised and discuss ways in which the concerns can be resolved. Following discussions with HR the Line manager would then make a decision on how to move forward and advise the two individuals of this. The Line Manager would be responsible for future monitoring and ensure prescribed improvements have occurred and the unacceptable behaviour has ceased. If at any time the complainant encounters reprisals, the case moves to the formal stage immediately. It is important that all parties participate in an informal process before moving on to formal action. An informal discussion will be beneficial to all concerned. 7.3 Mediation Mediation is a way of sorting out disagreements or disputes informally. A trained mediator works with the people who have a disagreement or Author: HR Policy Lead Date of issue: September 2009 Page 6 of 15
dispute to help them reach an agreement that will sort out their problem. Any such mediator should be an employee of the Trust e.g. a Human Resources Officer or HR Manager, Trade Union Representative or a line manager of equivalent status to the immediate line manager. In exceptional cases external mediation may by sought in agreement with all parties. If this approach is not acceptable to either party then the employee can invoke the formal resolution stage. The mediator will decide how best to do carry out the mediation. They will usually talk to each of the parties involved in the dispute or disagreement separately and then, later on, talk with those involved together. 7.3.1 What is good about mediation? It is voluntary It leaves you in control of what is finally agreed rather than having someone else decide for you It is less stressful and generates better and longer lasting solutions and it has a good success rate It can be a chance to sort out a problem informally 8. FORMAL ACTION 8.1 Complaints Against Other Staff Members If informal attempts have not brought a resolution and the harassment or bullying has not ceased, the complainant needs to make a formal written statement to their Line Manager/Deputy General Manager/Divisional Director. Individuals should complete the form at the back of the policy and send it to the relevant manager, either their line manager, or their line manager s manager. The manager receiving a written complaint of harassment or bullying will respond in writing within 7 calendar days to the complainant explaining the procedure to be followed. The complainant must be informed that their complaint will be explained to the alleged harasser. The manager must decide: Whether it is necessary for either party to relocate to another workplace/area. Whether authorised paid leave for either party or both is appropriate. None of the individuals concerned should suffer any financial or other detriment as a result of any of the above actions. Author: HR Policy Lead Date of issue: September 2009 Page 7 of 15
The manager will appoint an Investigating Officer. The Investigating Officer will be a manager outside the service/unit where the individual/s work and in some cases may be an external investigator. They 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 them within 7 calendar 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 they will have the opportunity to give their account of events. Access to appropriate support, including a Trade Union representative or friend, will be made available from the outset and available to all parties involved. The investigation should commence within 14 calendar days of receiving the complaint. If it is not possible to meet the timescales all parties must agree and will be kept fully informed. Any relevant witnesses should be interviewed and the importance and reasons for confidentiality must be emphasised. On concluding their investigation the Investigating Officer will produce a factual report within 4 weeks 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 they 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 and the Manager, 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 will accompany staff at these meetings. Any witnesses will be informed that the investigation 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, which may include Equality and Author: HR Policy Lead Date of issue: September 2009 Page 8 of 15
Diversity Training. / monitored by HR. The recommendations should be reviewed If a complaint turns out not to have been made in good faith, the Manager should decide whether the Disciplinary Procedure should be invoked for the complainant. Where the case is referred to the disciplinary policy the panel may consider alternatives to verbal or written warnings under this policy (for example if the working relationship has become intolerable). These include: Demotion Compulsory transfer For the same reason the Trust may also transfer the perpetrator during the investigation if the alternative would be to suspend. As with suspension, this transfer would be a neutral act. The complainant will have the right of appeal if they feel that the process of the investigation has been unfairly or poorly carried out. This appeal should be put in writing to the Director of Human Resources within 14 calendar days of the date of the letter confirming the outcome. Where a complaint of harassment is not upheld, consideration should be given to transferring or rescheduling the work of one of the employees concerned without any element of penalty, rather than requiring them to continue to work together against the wishes of either party. Staff making complaints of harassment may seek advice from the Employee Support Programme and Counselling Service, HR Department and their Trade Union Representative. Individuals can refer to any support service. 8.2 Complaints by Members of Staff Against Employees of other Organisations If following Individual Action the bullying or harassment has not ceased, the complainant will be advised to make a formal written statement. The formal written statement will be given to the Line Manager of the member of staff from the other organisation and a copy to the Human Resource Manager of the other organisation. The member of the other organisation will then be investigated under their organisations Dignity and Respect Policy. The Trust member of staff may be asked to attend meetings and will be able to bring a representation / support from the Trust with them. Author: HR Policy Lead Date of issue: September 2009 Page 9 of 15
8.3 Complaints by an Employee from another organisation against a Trust member of Staff If following Individual Action the bullying or harassment has not ceased, the complainant will be advised to follow the Trust Dignity and Respect policy. The Line Manager of the member of staff from the other organisation and the Human Resource Manager will be informed of this. The member of staff may be accompanied to any meeting by a Trade Union Representative, friend or colleague not acting in a legal capacity. 8.4 Harassment of Staff by Patients/Service Users/Relatives It is important not to ignore this type of harassment, even using illness, confusion, old age or mental ill health as reasons for the behaviour. No employee should have to suffer harassment. The Trust recognises the right of its employees to work in an environment free from harassment. 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 bullying and harassment in accordance with relevant legislation. The Trust will make every effort to provide a safe working environment. Harassment of members of staff can be an expression of dissatisfaction with the care that is being provided. It is important, therefore, that the appropriate clinician is consulted during any investigation. They will also help to distinguish harassment from behaviour related to the patient's health problem. One solution might be to replace the recipient with another member of staff. This, however, is not an acceptable or appropriate course of action unless the member of staff who has been harassed requests it. An employee who is the subject of harassment from a patient, service user, carer, relative or member of the public should consider Individual action in the first instance, such as informing the harasser that their remarks, actions or behaviour are unacceptable, telling them not to repeat it. In some instances staff who have suffered harassment may not be confident or feel able to tell the harasser. If this is the case they should then report it to their line manager, this would move the process onto the informal stage. The employee should not be obliged to approach the perpetrator him or herself, but should be entitled to have the matter dealt with swiftly by their line manager. Managers should take immediate action to stop harassment as soon as it is reported. The matter should be discussed sensitively with the complainant and appropriate clinician and agreement reached on the course of action to be taken. For some members of staff it may be Author: HR Policy Lead Date of issue: September 2009 Page 10 of 15
enough that their concerns have been treated with sufficient seriousness and no further action will be necessary. However, by pointing out to the harasser that their behaviour is unacceptable, managers on many occasions will be able to put a stop to the problem without the need for further action. The harasser should be approached by the complainant's immediate line manager, e.g. Ward Manager, Team Leader or person responsible for the overall care of the patient. Written records detailing the time, date, place, witnesses, and how the alleged harassment took place should be kept by the manager, along with details of any action taken. The person with overall responsibility for the care of the patient/service user will be informed. The employee should be offered the use of further support/counselling. The Trust will not tolerate harassment to its staff and further action will be dealt with through care practices. If, the harassment persists or an incident is sufficiently serious, the individual should put a complaint in writing to their Line Manager within 14 calendar days of the incident, following the informal procedure. This should include details of what has happened and how it is affecting them as described in the informal action above. There will be an initial response to a formal complaint within 7 calendar days to advise them who will be the investigating officer and HR Officer or HR Manager supporting the investigating officer. The complainant will have the right to representation at this meeting. The complainant will have the right of appeal if they feel that the process of the investigation has been unfairly or poorly carried out. This appeal should be put in writing to the Director of HR within 14 calendar days of the letter confirming the outcome. 9. THE ALLEGED BULLY / HARASSER The alleged bully/harasser will have the right to representation at the meeting. The alleged bully/harasser will be informed of the potential for an appeal against the findings of the report by the claimant. They will be advised on one of the following outcomes: 1. No case to answer. All records of the matter will be disregarded for disciplinary purposes. Furthermore, should there be any further allegations against the individual by the same complainant then issues that have already been investigated and not found may not be raised again in a further complaint. 2. The matter is to be dealt with informally, the individual who has been accused of bullying or harassment will be advised of what will be included in that informal action. The detail of which will remain confidential and not shared with any other parties. The Author: HR Policy Lead Date of issue: September 2009 Page 11 of 15
complainant will be told that informal action has been taken and the inappropriate behaviours will stop. 3. The case will go to a formal disciplinary hearing. The appropriate senior line manager in the department will be responsible for any subsequent informal or formal action. 10. MALICIOUS COMPLAINTS All complaints of bullying and harassment will be considered within the context of the right of each individual to be treated with dignity, respect and with fairness. Staff who have a bona fide complaint are encouraged to raise it without fear of recrimination, in the knowledge that the Trust takes issues of bullying and harassment extremely seriously. However, proven malicious complaints of bullying and harassment will be considered as gross misconduct by the Trust and disciplinary action up to and including summary dismissal of the complainant will be taken. When there is no case to answer, the complaint will only be treated as a malicious complaint when there are reasonable grounds to do so. A malicious complaint must comprise of the following criteria: 1. The investigation has found the original complaint to be without foundation 2. The investigation can demonstrate that the complainant in making the complaint knowingly lied to the investigating officer. 11. INVESTIGATION OUTCOMES If, following a hearing, it appears that bullying/harassment and therefore misconduct has occurred, the hearing manager will recommend the appropriate course of action in line with the Trusts disciplinary procedure. In cases where the two parties are to remain in the service of the Trust, yet are from the same work area, it may be necessary for them to be separated. Wherever possible, it will be the alleged bully/harasser that will be moved if a complaint is upheld against them. When separating parties the Trust will also consider the needs of the service when deciding who is moved and where they are moved to. If it s not possible to separate the individuals due to service issues, senior management will undertake to review the relationship on an ongoing basis and provide support. Informal action will include such remedies as training, performance management, coaching, buddying and mentorship. Author: HR Policy Lead Date of issue: September 2009 Page 12 of 15
The complainant will be met and told that the investigation has been completed, but no details of recommendations will be given as this is confidential. 12. REVIEW, MONITORING AND EFFECTIVENESS The Trust monitors the number of concerns raised under the Dignity and Respect at Work Policy. As a result of any changes in legislation the Policy is updated and also following review of individual cases the Trust revises, as appropriate, it s handling of any subsequent complaints. The effectiveness of this policy will be periodically monitored and reviewed by a group consisting of Senior HR staff and Staff side and will also take into account feedback from staff. If it is found to be ineffective the policy will be reviewed and revised. 13. TRAINING A training needs analysis has been carried out in relation to this policy and training is provided for managers. Mediation training is also available for Trust staff. 14. RELATED DOCUMENTS Health and Safety at Work act 1974 Sex discrimination Act 1975 Race Relations Act 1976 Disability Discrimination Act 1995 Criminal Justice and Public Disorder Act 1995 Employment Rights Act 1996 Protection from Harassment Act 1997 Crime and Disorder Act 1998 Race Relations Bill 2000 Employment Act 2002 Employment Equality (Sexual Orientation) Regulations 2003 Employment Equality (Religion or Belief) Regulations 2003 Human Rights Act 1998 Author: HR Policy Lead Date of issue: September 2009 Page 13 of 15
Author: HR Policy Lead Date of issue: September 2009 Page 14 of 15
APPENDIX 1 FORMAL HARASSMENT REGISTRATION FORM 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. PERSONAL DETAILS NAME. DEPARTMENT JOB TITLE. WORK PLACE/SECTION... TELEPHONE NUMBER.. 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: What the allegations are about Relevant dates of events Witnesses to events Where they took place Relevant background information leading up to the allegations 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 Author: HR Policy Lead Date of issue: September 2009 Page 15 of 15