Bullying and Harassment in the Workplace Policy and Procedure

Bullying and Harassment in the Workplace Policy and Procedure Policy Title State previous title where relevant. State if Policy New or Revised Policy Strand Org, HR, Clinical, H&S, Infection Control, Finance For clinical policies only - state index category Links to National Regulatory Standards: Care Quality Commission(CQC) NHS Litigation Authority (NHSLA) National Institute for Health & Clinical Excellence (NICE) Policy Lead/Author Job titles only Consultation State year and the individuals, groups, committees, service users, working partners etc. you have consulted with Ratification State ratified by whom - Policy Ratification Group, Executive Committee or Director Equality Impact Assessment Implementation Plan Bullying and Harassment in the Workplace Policy and Procedure New Human Resources NHSLA Risk Management Standard 3.8 CQC Essential Standards of Quality and Safety Outcome14: Supporting workers Director of Workforce and Learning Human Resources Divisional Directors/Managers Corporate Managers Service Managers Staff Forum Policy Ratification Group December 2012 Yes Yes Month/year policy first developed December 2012 Months/years policy reviewed Keep review dates in chronological order New Policy Next review due December 2015 Review details Revisions made, changes etc include page numbers and paragraphs For Corporate Executive Support use New Policy Date Policy First Uploaded to Intranet December 2012 Date Policy Revised & Reloaded to Intranet New Policy Version 1 December 2012

Bullying and Harassment in the Workplace Policy and Procedure Ref. Contents Page 1.0 Introduction 4 2.0 Purpose 4 3.0 Objectives 4 4.0 Definitions 5 5.0 Duties 5 6.0 Committee/Group Responsible for Approval of this Policy 7 7.0 Procedure 7 8.0 Confidentiality 9 9.0 Support and Advice 9 10.0 Monitoring Compliance 9 10.1 Process for Monitoring Compliance 9 10.2 Standards/Key Performance Indicators 10 11.0 Equality Impact Assessment 12 12.0 Training 12 13.0 Data Protection Act and Freedom of Information Act 12 14.0 References 12 14.1 Legislation 12 15.0 Links to other Polices and Procedures 13 Appendices Appendix 1 Examples of unacceptable behaviours that could be considered to constitute Bullying and Harassment Appendix 2 Mediation Guidelines 15 Appendix 3 Form BH/01- Notification of Formal Stage 16 Appendix 4 Flowchart - Dealing with Bullying and Harassment in the Workplace Appendix 5 Appeal Process 20 14 19 Version 1 December 2012 2

Review and Amendment Log Version Reason Status Date Description of Change V1 Alignment of policies following TCS Ratified Dec. 2012 Policy for the new organisation BCPFT Version 1 December 2012 3

1.0 Introduction Black Country Partnership NHS Foundation Trust recognises that all employees have the right to be treated with consideration, dignity and respect and is committed to providing safe, secure and supportive working environments, which are free from all forms of harassment, intimidation or bullying. The Trust is committed to tackling all forms of offensive behaviour and this policy and procedure sets out the informal and formal process for dealing with bullying and harassment within the workplace. Many incidents and patterns of behaviour can be dealt with effectively in an informal way and every effort should be made to resolve matters informally before a formal approach is adopted. Bullying and harassment are not acceptable and may be treated as a disciplinary offence and, where allegations are founded, may lead to summary dismissal. Disciplinary action may also be taken if a complaint is found to have been submitted maliciously. This policy and procedure applies to all Trust staff, with the exception of seconded staff and agency staff who should be managed in accordance with their employer s policy and procedure. Trust Bank staff should raise any concerns through the Bank Cause for Concern Procedure, a copy of which is available from the Bank and Rostering Department. 2.0 Purpose The purpose of this policy and procedure is to support a working environment and culture in which bullying and harassment is known to be unacceptable and where individuals are confident enough to bring complaints without fear of victimisation or reprisal. 3.0 Objectives To ensure the Trust meets its legal obligations by providing employees with protection from discrimination, harassment and victimisation To encourage a culture where individual employees can report any genuine concerns in the confidence that they will be taken seriously and will not be victimised as a result. To ensure that all employees are aware of the types of behaviour which may constitute bullying and harassment and their responsibilities for preventing such behaviour. To ensure that all employees understand that bullying and harassment is intolerable and unacceptable and that disciplinary action may be taken against offenders. Provide arrangements whereby complaints can be investigated in a manner, which recognises the sensitivity of the issues raised, and the rights of all parties. Version 1 December 2012 4

Ensure that all allegations of bullying and harassment are responded to promptly and with the complainant s confidentiality protected as far as possible. 4.0 Definitions Harassment The Equality Act 2010 defines harassment 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. Harassment on the basis of age, disability, gender reassignment, race, religion or belief, sex and sexual orientation is covered by the Equality Act 2010. The law also covers harassment from a third party (a contractor, for example). Bullying The Advisory, Conciliation and Arbitration Service (ACAS) defines bullying as offensive, intimidating, malicious or insulting behaviour, an abuse or misuse of power through means that undermine, humiliate, denigrate or injure the recipient. Bullying or Harassment may be by an individual against an individual (perhaps by someone in a position of authority such as a manager or supervisor) or involve groups of people. It may be obvious or it may be insidious. Whatever form it takes, it is unwarranted and unwelcome to the individual. The Trust recognises that Bullying and Harassment is not always clear-cut. Appendix 1 provides examples of unacceptable behaviours that can be considered to constitute bullying and harassment. 5.0 Duties Chief Executive The Chief Executive has the overall responsibility for assuring that this policy is implemented within the Trust. Operational responsibility has been delegated. Director of Workforce and Learning Responsibility for this policy has been delegated by the Chief Executive to the Director of Workforce and Learning who will:- - Ensure that effective procedures, systems and guidance are developed and implemented for dealing with bullying and harassment within the workplace. - Lead on strategies and innovations to reduce incidents of bullying and harassment within the workplace where this is required - Ensure that any serious concerns regarding the implementation of this policy are brought to the attention of the Board Trust Board The role of the Trust Board is to have a strategic overview and final responsibility for Version 1 December 2012 5

safe, secure and supportive working environments, which are free from all forms of harassment, intimidation or bullying. Executive Committee A sub-committee of the Trust Board has delegated responsibility for ensuring safe, secure and supportive working environments, which are free from all forms of harassment, intimidation or bullying in accordance with the Board s Assurance Framework and strategic priorities. Workforce Development Group The Workforce Development Group is expected to:- - Develop and agree revisions to the Trust s approach to this policy following discussions with Staff Side Forum - Receive quarterly reports on incidents, or trends in relation to this policy - Monitor the number of cases raised in order to identify trends and risks to the organisation and ensure that procedures are effective both in preventing problems and dealing with issues as they arise. - Develop and monitor action plans to address any areas of underperformance, in relation to this policy - Provide progress and exception reports to the Executive Committee in respect of this policy. Divisional Management Boards The Divisional Management Board for each Division is expected to monitor any incidents or trends in relation to this policy for its own Division, and in collaboration with Human Resources agree appropriate action or strategies to address any incidents to ensure safe, secure and supportive working environments, which are free from all forms of harassment, intimidation or bullying. All Managers and Supervisors All Managers and supervisors are responsible for:- - Setting a positive example by treating others with respect and dignity and setting standards of acceptable behaviour - Ensuring compliance with this policy, within the timescales outlined in this process. - Ensuring that this policy is effectively and consistently applied within their line of responsibility - Dealing with complaints quickly, sympathetically and confidentially, giving the employee and the alleged perpetrator full support throughout the whole process. - Promoting an environment at work in which it is clear that all forms of bullying and harassment are unacceptable and will not be tolerated. - Tackling, and where possible, resolving incidents of Bullying and Harassment. - Consulting with the Human Resources Department for advice and support. - Signposting staff to appropriate support and advice, such as Trade Union Representatives and the Staff Support Service. Human Resources The Human Resources Department are responsible for:- - Ensuring that this policy and procedure is followed, fairly and consistently. Version 1 December 2012 6

- Advising managers and staff on the application of the policy and procedure. - Signposting staff to appropriate support and advice, such as Trade Union Representatives and the Staff Support Service. - Lead consultations with Staff Side Forum on all aspects of this policy - Monitoring the implementation, compliance and effectiveness of this policy and reporting quarterly to the Workforce Development Group. - Monitoring incidence of bullying and harassment and initiating appropriate action. - Reviewing and amending this policy and procedure as necessary on behalf of the Workforce Development Group. All Staff All staff are responsible for:- - Taking personal responsibility for their own behaviour and ensuring that their conduct supports a positive working environment for themselves and colleagues alike. - Identifying or reporting inappropriate behaviour and taking action if they observe or have evidence that someone is being bullied or harassed. - Reporting to the appropriate manager, Trade Union representative, or Human Resources Department, any incidents of bullying and harassment, which come to their attention - Complying with this policy and procedure - Ensuring that confidentiality is maintained at all times 6.0 Committee/Group Responsible for Approval of this Policy The Workforce Development Group is responsible for the approval of this policy. 7.0 Procedure The purpose of this procedure is to ensure that the complaints or concerns of employees are properly considered and resolved and that settlement of the complaint is as near as possible to its point of origin. See Flowchart Appendix 4 Unless in exceptional circumstances, employees should raise their complaint within 4 weeks of the incident(s)/complaint taking place. 7.1 Informal Procedure If an employee feels they are being bullied and/or harassed the alleged bully/harasser should be approached and told to stop the unwanted behaviour. If an employee feels they cannot approach the alleged harasser/bully themselves, the employee can ask for support from a Trade Union representative, a work colleague, their line manager, or a Human Resources representative to ask the alleged bully/harasser to stop. If the complaint is against their line manager, they should raise the matter with another line manager within the service. Actions an individual can take:- Keep a diary of all incidents - records of dates, times, any witnesses, your feelings etc. Keep copies of any correspondence that may be relevant, for example reports, letters, memos, notes of any meetings that relate to you. Version 1 December 2012 7

In many instances it is possible for the complaint to be resolved quickly by explaining directly to the harasser the effect their behaviour is having and that you want it to stop. You should always make it clear that if it continues you will make a formal complaint. If the behaviour of a person is aggressive it may be necessary to walk away making it clear you do not wish to be spoken to in that way. Should the unwanted conduct persist or the informal approach is not considered appropriate for any reason, the formal procedure should be followed. 7.1.1 Mediation If you feel unable to deal directly with the alleged harasser, then as part of the informal procedure you may request mediation. The mediator will discuss and agree with both parties the steps to be taken to assist in resolving the difficulties. This will be undertaken where possible within 10 working days. By definition mediation can only be facilitated with the agreement of both parties (see Appendix 2). 7.2 Formal Procedure If informal attempts to resolve the situation have not been successful Form BH/01 (Appendix 3) must be completed and forwarded to the appropriate Senior Manager or Service Manager within 5 working days. 7.2.1 Meeting with all parties The Senior Manager or Service Manager with a Human Resources Representative will meet with the complainant in an attempt to resolve the complaint within 10 working days of receipt of Form BH/01, before making a decision on one of the following options:- a) Appropriate internal action to be taken based on discussions held with the individual member of staff. b) A formal investigation to be carried out into the complaint under the Trust s Disciplinary Procedure. The manager may, if appropriate, also have an initial discussion with the alleged harasser before making a decision. All members of staff will have the right to be represented by a Trade Union Representative or workplace colleague at any meetings held under the formal procedure. 7.2.2 Notification of outcome The Senior Manager or Service Manager must write to the complainant within 10 working days of the meeting under Section 7.2.1. If option (a) is recommended this must be confirmed in writing giving full written reasons of the outcome and inform the complainant of their right of appeal as set out under Section 7.3. If option (b) is recommended the Senior Manager or Service Manager will inform the complainant in writing that the matter is being referred for investigation under the Trust s Version 1 December 2012 8

Disciplinary Procedure. The complainant will have no further right to proceed with their complaint under this procedure and will have no right to appeal if upon completion of the investigation a disciplinary hearing is not called. 7.3 Appeal The complainant must formally write to the Divisional Director or equivalent level of management outlining their reasons for appeal and citing the desired outcome within 10 working days of notification of the outcome of the formal stage. The appeal will be conducted in line with the process set out in Appendix 5. 8.0 Confidentiality All employees involved with the investigation and any subsequent process are required to respect the need for confidentiality. All complaints, associated correspondence and interviews will be treated in strict confidence. Breaches in confidentiality will be subject to disciplinary action. 9.0 Support and Advice For those involved in bullying and harassment complaints there is a range of support and advice available, including:- Confidential Staff Support Service Occupational Health Service Trade Union Representatives Mediation (see Appendix 2) 10.0 Monitoring compliance 10.1 Process for Monitoring Compliance The key elements of this policy that need to be monitored a) Duties b) Statement by the organisation that harassment and bullying are not acceptable c) How concerns about harassment or bullying can be raised d) What should be done once a concern has been raised e) How the organisation trains staff, in line with the training needs analysis f) How the organisation monitors compliance with all of the above Who will perform the monitoring? The Workforce Development Group is responsible for monitoring and ensuring compliance with this policy How often will monitoring of the key elements of the policy be undertaken? A quarterly report is prepared for the Workforce Development Group which will include incidents and trends in respect of the key elements of this policy Version 1 December 2012 9

An annual audit will be undertaken by Human Resources in respect of the key elements of this policy and the findings reported to the Staff Side Forum and the Workforce Development Group. An annual report is submitted to the Executive Committee by the Workforce Development Group detailing the work undertaken throughout the year which will include compliance with the key elements of this policy. Please refer to the Training and Study Leave Policy for details of how training is monitored. What method would be used to monitor compliance? As described above Where will the results of the monitoring be reported? The Executive Committee will report the results of its monitoring to Trust Board What will happen if any shortfalls are identified? The Executive Committee will work with HR Director, Head of Employment Services and Divisional Management Boards to ensure the required actions identified to rectify the shortfalls will be completed in a specified timeframe How will the resulting action plan be progressed and monitored HR Director will be responsible for identifying an appropriate person or persons to action the required changes to practice within a specific timeframe. Progress to completion will be monitored by the Executive Committee who will sign off completed actions plans. How will the results inform or improve current practice? This will depend on the findings and recommendations of each audit or report submitted to the Workforce Development Group and the Executive Committee. The results can inform or improve current practice in a variety of ways and below are some examples of the different forms this may take:- - policy review - review of training needs analysis - improving the methods used to communicate to staff - introduction of new procedures - review of support available to managers and staff - introduction of, or increase in the frequency of audits - review relevant data differently or more frequently 10.2 Standards / key performance indicators Key Performance Indicator Method of Assessment Duties A quarterly report is prepared for the Workforce Development Group which will include incidents and trends in respect of the key elements of this policy An annual audit will be undertaken by Human Resources in respect of the key elements of this policy and the findings Version 1 December 2012 10

reported to the Staff Side Forum and the Workforce Development Group. An annual report is submitted to the Executive Committee by the Workforce Development Group detailing the work undertaken throughout the year which will include compliance with the key elements of this policy Statement by the organisation that harassment and bullying are not acceptable How concerns about harassment or bullying can be raised Minutes of meetings of the above-named groups will evidence this is taking place Workforce Development Group will approve any changes or revisions to this policy and minutes of their meetings will evidence this. A quarterly report is prepared for the Workforce Development Group which will include incidents and trends in respect of the key elements of this policy An annual audit will be undertaken by Human Resources in respect of the key elements of this policy and the findings reported to the Staff Side Forum and the Workforce Development Group. An annual report is submitted to the Executive Committee by the Workforce Development Group detailing the work undertaken throughout the year which will include compliance with the key elements of this policy What should be done once a concern has been raised How the organisation trains staff, in line with the training needs analysis How the organisation monitors compliance with all of the above Minutes of meetings of the above-named groups will evidence this is taking place As described above Please refer to the Training and Study Leave Policy This is undertaken by the Executive Committee through the annual audit report i.e. 1. Audit report undertaken as per annual reporting schedule for Executive Committee 2. Action plans drawn up as necessary to implement any recommended improvements 3. Appropriate person(s) assigned to implement action plans 4. Implementation progress monitored to completion by Executive Committee 5. Action plan signed off by Executive Committee when completed 6. Process repeated to confirm improvements embedded into current practice 7. Improvements confirmed in next annual report to Executive Committee which will be evidenced in the minutes of Executive Committee Version 1 December 2012 11

meetings BCPFT-HR- POL-1212-001 Bullying and Harassment in 11.0 Equality Impact Assessment The Black Country Partnership NHS Foundation Trust is committed to ensuring that the way we provide services and the way we recruit and treat staff reflects individual needs, promotes equality and does not discriminate unfairly against any particular individual or group. The Equality Impact Assessment for this policy has been completed and is readily available on the Intranet. If you require this in a different format e.g. larger print, Braille, different languages or audio tape, please contact the Equality & Diversity Team on 0121-612-8067 or email EqualityImpact.assessment@bcpft.nhs.uk 12.0 Training Please refer to the Trust s Mandatory and Risk Management Training Needs Analysis for further details on training requirements, target audiences, and update frequencies. 13.0 Data Protection Act and Freedom of Information Act All staff have a responsibility to ensure that they do not disclose information concerning the Trust s activities or about service users in its care to unauthorised individuals. This responsibility applies whether you are currently employed or after your employment ends and in certain aspects of your personal life e.g. use of social networking sites etc. The Trust seeks to ensure a high level of transparency in all its business activities but reserves the right not to disclose information where relevant legislation applies. 14.0 References Bullying & Harassment at Work: A Good Practice Guide for RCN Negotiators and Healthcare Managers Royal College of Nursing (2005) Bullying and Harassment of Doctors in the Workplace British Medical Association (BMA) (2006) Bullying at Work: Beyond Policies to a Culture of Respect Charted Institute of Personnel and Development (CIPD) (2005) Improving Working Lives Standard Department of Health (2000) The NHS Constitution: The NHS belongs to us all Department of Health (2010) Code of Conduct for NHS Managers Department of Health. (2002) NHS Employers website provides further information and resources on bullying and harassment: www.nhsemployers.org NHS Litigation Authority Risk Management Standards 2012-13 14.1 Legislation Equality Act 2010 Health and Safety at Work Act 1974 Criminal Justice and Public Disorder Act 1995 Employment Rights Act 1996 Protection from Harassment Act 1997 Version 1 December 2012 12

Crime and Disorder Act 1998 Human Rights Act 1998 Public Interest Disclosure Act 1998 Employment Act 2002 Data Protection Act 1998 Freedom of Information Act 2000 BCPFT-HR- POL-1212-001 Bullying and Harassment in 15.0 Links to other Polices and Procedures Disciplinary Policy and Procedure Raising Concerns at Work (Whistleblowing) Policy Policy for Policies Version 1 December 2012 13

Appendix 1 BCPFT-HR- POL-1212-001 Bullying and Harassment in Examples of unacceptable behaviours that can be considered to constitute bullying and harassment Bullying by exclusion - this may take the form of social isolation and/or exclusion from meetings The deliberate withholding of information with the intention of affecting a colleagues performance Persistent, unfair or destructive criticism Intimidating behaviour Verbal abuse and spreading of unfounded rumours Humiliation or ridicule Setting of unrealistic or impossible deadlines which are unreasonable and/or changed with limited notice or consultation Copying correspondence that is critical about someone to others that do not need to know Physical contact which is unwanted Unwelcome remarks about a person s age, dress, appearance, race or marital status Jokes, offensive language, gossip, slander, sectarian songs and letters Isolation or non-cooperation and exclusion from social activities Cyber Bullying, for example, detrimental texts via mobiles or images of work colleagues posted on external websites following work events This list is not an exhaustive list. Version 1 December 2012 14

Appendix 2 BCPFT-HR- POL-1212-001 Bullying and Harassment in Dealing with Bullying & Harassment in the Workplace Policy and Procedure GUIDELINES ON MEDIATION Mediation is a multi-stage process designed to give the disputants time to speak, listen, to meet privately with the mediator and work together towards an agreed outcome. Mediation is a process whereby a neutral third party assists individuals who are in conflict to reach an agreed resolution of their problem. The appointed mediator will not decide who is right or wrong. The role of the mediator is to bring clarity to the situation and a mutual understanding of the issues involved. This is achieved by promoting constructive communication between the two parties and broadening the search for options to resolve the dispute. The mediation process is voluntary and confidential. To ensure that the process works to the best advantage of both parties, the meetings will only involve the individuals concerned and no record of the meeting will be made. In the event that an issue remains unresolved, the use of mediation does not affect the rights of either individual to use the formal procedures. Version 1 December 2012 15

Appendix 3 BCPFT-HR- POL-1212-001 Bullying and Harassment in Form BH/01 Dealing with Bullying and Harassment in the Workplace Procedure: Name: Service Area: Job Title: Contact Telephone No: Work Location Address: Trade Union Representative & their contact No: Date of submission: Outcome of Informal Stage and why unhappy (complete as appropriate) SECTION 2 NOTIFICATION OF FORMAL STAGE If you are not satisfied with the outcome of the Informal Stage, the reason(s) should be noted above. Under the Formal Stage you are required to complete this form for each incident/allegation before submitting it to your Senior Manager or Service Manager. I have attached (please insert number) BH/01 form(s). Signed: Date: Note to Senior Manager/Service Manager A meeting must be arranged within 10 working days of receipt of this form, between the complainant, their Trade Union Representative or Work Colleague, the Line Manager/Supervisor and yourself. Following this meeting you must inform the complainant of your decision and the reason for your decision:- Please tick the appropriate box: Appropriate internal action is decided A formal investigation is to be carried out Please send one copy of this form to your lead Human Resources Advisor, Delta House marked confidential for auditing and monitoring purposes. Version 1 December 2012 16

Manager s Name: Signed: Job Title: Date: Place of Complaint/Allegation/Incident: Date: Time: Witnesses Present: Complaint Against: Brief outline of complaint/allegation/incident: What is your desired outcome from this complaint? Version 1 December 2012 17

The following documents are attached which help confirm this complaint/ allegation/ incident took place. 1. 2. 3. 4. 5. Please tick appropriate box(s) which you feel your complaint/allegation/incident is under: Bullying Sexual *Harassment/Discrimination Victimisation Sexual Orientation *Harassment/Discrimination Disability Transsexual (Gender Identity) *Harassment/Discrimination *Harassment/Discrimination Racial Religion or belief *Harassment/Discrimination *Harassment/Discrimination Age Other (please state) *Harassment/Discrimination Signed: Date: Name: Contact No: Version 1 December 2012 18

Appendix 4 DEALING WITH BULLYING AND HARASSMENT IN THE WORKPLACE Employee feels they are being bullied or harassed Employee to raise with the alleged bully/harasser or another manager if the alleged bully/harasser is their line manager If employee cannot approach the alleged bully/harasser, request support from TU Rep, work colleague, line manager or HR Resolved? Yes No Proceed to formal stage Submit Form BH/01 within 5 working days Senior manager and HR meet with employee within 10 working days No further action Internal action taken Matter referred to investigation under Disciplinary Policy If employee dissatisfied with outcome, appeal to Divisional Director within 10 working days No further right to appeal No further right to proceed with complaint & no right to appeal if disciplinary hearing not called Version 1 December 2012 19

Appendix 5 Appeal Process BULLYING & HARASSMENT APPEAL PROCESS FLOWCHART OPTION (A) ONLY Notification of outcome of formal procedure Employee must submit appeal within 10 working days of notification of outcome to Divisional Director (or equivalent level of management). Must state grounds for appeal. Appeal to be heard within 30 days of submission. Appeal to be heard by a Director of the Trust and a Senior HR representative. The Chair of the appeal panel shall notify the employee and their representative in writing of the day, time and place of the hearing at least 5 working days before it is due to take place. Both the Senior/Service manager and the employee will be asked to submit a written statement of case and should fully address the stated grounds for the appeal. Version 1 December 2012 20