Harassment and Dignity at Work

Here you'll find City's harassment and dignity at work policy and guidelines, a list of harassment advisers and their contact details and guidelines for harassment advisers.

Contents

Policy Statement and Scope
Principles Related to Natural Justice
Legal Framework
Definition of Harassment
Examples of Harassment
Definition of Bullying
Examples of Bullying
Impact of Harassment and Bullying
Monitoring and Review of the Policy
Management Responsibility
Employee's Responsibility
Relevant University HR Policies
Harassment of member of General Public by Staff

Appendices

Appendix A – Forms of Harassment
Appendix B - Relevant Legislation and Useful Contacts
Appendix C - Harassment and Dignity at Work Monitoring Form
Appendix D - Management Responsibility

1. Policy Statement and Scope

1.1 City University takes the issue of harassment and bullying very seriously and is committed to a working environment that is free from discrimination and intimidation and in which the dignity of the individual is paramount. The purpose of this policy is to assist in developing a working environment in which;

harassment and bullying are considered to constitute conduct that is unacceptable. Such will include harassment and bullying on the grounds of colour, race, nationality, ethnic or national origin, gender, sex, marital status, sexual orientation, disability, religion or philosophical belief, age, HIV/AIDS status or class;
individuals have the confidence to complain about harassment and bullying should it arise;
individuals have the confidence that any concerns they may have will be dealt with fairly and appropriately.

1.2 This policy will apply to all non- academic staff. The University Statutes will be applied to academic staff when dealing with allegations of harassment and bullying and the investigation process outlined in the Guidelines on Good Practice should only be used if invoked under paragraph 14(2) of the Statues by the Vice-Chancellor. A breach of the Policy will be treated as a disciplinary offence, which may lead to dismissal.

2.Principles Related to Natural Justice

2.1 This policy is underpinned by the principles of natural justice as defined below:

Right to representation - The Complainant and the Alleged Perpetrator will have the right to be represented by a line manager, Harassment Adviser, trade union representative or work colleague at any meeting which forms part of the process.
Independent investigation – An investigation conducted under this process will be undertaken by independent Invesitgating Officers who have no link to the case in question. The Invesitgating Officers will be Senior Managers from a cross section of Institutes Schools and Portfolios, and trained to carry out the independent investigator role.
Right to respond – An Alleged Perpetrator will be made aware of the complaint at an early stage and be given the right to respond.
Right of appeal – The Complainant and the Alleged Perpetrator have the right to appeal. (please see the Harassment and Dignity at Work Guidelines on Good Practice, paragraph 5.1)
Confidentiality – Complaints will be dealt with confidentially, as far as practicable, and when it is felt necessary to apprise other relevant employees of particular information, this will be discussed and explained to the Complainant. E.g. In order to instigate the disciplinary process

2.2 Other relevant principles

Sensitivity and timeliness – complaints should be taken seriously and dealt with sensitively and promptly
Upholding dignity at work – Dignity at work will be upheld by creating a culture in which staff are encouraged to report incidents of harassment and bullying in the knowledge that they will be taken seriously, incidents will be investigated and appropriate action taken address conduct which is found to constitute harassment and bullying.
Victimisation – care must be taken to ensure that the Complainant is protected against victimisation or retaliation for making the complaint; whilst the Complainant is employed by the University and after the period of employment.
Malicious complaints – the University will endeavour to protect employees against frivolous or malicious complaints and disciplinary action may be taken against the perpetrator of such complaints.
Staff Development – Members of staff who are likely to be involved in implementing the Harassment and Dignity at Work Procedure will be required to attend the appropriate staff development events provided by the University.
Data Protection - records on misconduct issues and investigations, including unsubstantiated cases, will be stored until one year after the end of employment.

3. Legal Framework

There is a body of legislation (Please see Appendix B) that refers to discrimination and harassment at work. Failure to deal effectively with allegations or incidents may lead to legal action against the University as well as individual employees. The University has a legal responsibility to ensure a healthy and safe working environment that is free from unlawful discrimination.

4. Definition of Harassment

4.1 Harassment is “unwanted conduct that violates people’s dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment.” In determining whether conduct can reasonably be considered as having such effect, the perception of the Complainant should be taken into account.

4.2 All employees have responsibility for respecting the feelings of others in the workplace, and behaving in a way, which does not cause offence. Harassment can be intentional or unintentional, however, it is the duty of staff to be awarFe of the impact their conduct may have on others. Harassment is always unacceptable whether intentional or not, and all reported cases should be investigated by the manager. The perception of the Complainant regarding the behaviour, which they believe constitutes harassment, should be taken into account.

5. Examples of Harassment

Verbal or written comments of an offensive nature, spreading malicious rumours;
Lewd, suggestive or over familiar behaviour;
Displaying or circulating sexually suggestive material or other offensive material;
Insulting, ridiculing or subjecting a person to any other detriment because of his or her colour, race, nationality, ethnic or national origin, gender, sex marital status, sexual orientation, disability, religion or philosophical belief, age, HIV/AIDS status or class;
Criminal acts such as indecent exposure, physical attack or sexual assault.

5.1 This list is not exhaustive and is intended to act as a guide to illustrate types of unacceptable behaviour (further examples can be found in Appendix A).

6. Definition of Bullying

6.1 Bullying is a serious form of harassment. It may involve actions, comments, physical contact or behaviour that is found to be objectionable. Personal vindictiveness against an individual(s) is also a factor. Bullying can be defined as persistent actions, criticisms or personal abuse either in public or private, which humiliates, intimidates, undermines or demeans the individual(s) involved.

6.2 Bullying is to be distinguished from vigorous academic debate or the actions of a manager making reasonable (but perhaps unpopular) requests of his/her staff including the need to manage performance effectively.

7. Examples of Bullying

Using abusive language;
Unreasonably removing areas of responsibility;
Continually ignoring or excluding an individual;
Deliberately undermining a competent worker by overload and constant criticism;
Picking on one person when there is a common problem;
Frightening someone with physical or other threats; and
Shouting at or humiliating an individual in front of colleagues or in private;
Preventing individuals progressing by intentionally blocking promotion or training opportunities.

7.1 This list is not exhaustive and is intended to act as a guide to illustrate types of unacceptable behaviour.

8. Impact of harassment and bullying

8.1 This policy recognises that conduct constituting harassment and bullying has a negative impact on the working environment and therefore the effectiveness with which the area operates. Some examples of the possible impact on employees who may be the subject of harassment and bullying are given below.

Physical Effects - Feeling sick, tearful, sweating, shaking, disturbed sleep, palpitations, loss of energy, stomach/bowel problems, severe headaches, minor aches and pains
Emotional Effects - Anxiety, irritability, panic attacks, depression, anger, aggressive feelings, lack of motivation, loss of confidence, feeling of isolation, reduced self-esteem

9. Monitoring and Review of the policy

9.1 Anonymised data regarding known incidents or allegations of harassment will be reported to the Human Resources Committee on an annual basis. The statistics should be obtained from Managers, Human Resources Business Partners and Harassment Advisers who will be required to record the nature of complaints made to them. Please see Appendix C for the Harassment and Bullying at Work Monitoring Form.

10. Management Responsibility

10.1 Managers and supervisors have a responsibility to ensure that staff perform their roles effectively and to acceptable standards. Managers and supervisors also have a responsibility to issue reasonable instructions and expect them to be carried out. The legitimate management of staff should be distinguished from bullying or harassing behaviour. Crucially managers and supervisors should:

foster a climate that discourages the occurrence of harassment;
pay attention to style of dealing with people, ensuring that staff are treated with dignity and respect;
act upon potential breaches of this policy and unacceptable behaviour despite the absence of a formal complaint;
ensure that members of staff have an understanding of this policy and know where to seek help (e.g. Harassment Advisers).

10.2 Please see Appendix D for the “Delegations Framework”

11. Employee's Responsibility

Individual staff have a role to play by:

helping to create a climate that discourages harassment. Making it clear that they find such behaviour unacceptable;
supporting colleagues. This may include challenging the harasser at the time of the incident, offering support in any other way and co-operating in any investigation;ensuring no victimisation of Complainants occur.

Differences in culture, attitudes and experience, or misinterpretation of social signals, can mean that what is perceived by the person experiencing the behaviour as bullying and harassment, may be perceived by others as normal. Employees should be aware that they may need to modify their behaviour in response to the feelings and sensitivity of others.

12. Relevant University HR Policies

12.1 Policy on Mental Health and Stress at Work (Harassment can lead to the individual(s) concerned feeling stressed)

12.2 Disciplinary Policy

12.3 Equality and Diversity Policy

12.4 Race Equality Policy

12.5 Disability Policy (The disability policy clearly sets out the standard of behaviour expected towards staff with a disability)

12.6 Grievance policy

The Harassment and Dignity at Work Policy should be used for grievances that are related to harassment and bullying. Managers, Human Resources Business Partners, Harassment Advisers and trade Union should advise the Complainant on which procedure is appropriate. However, during the course of an investigation if it becomes apparent that it is not a straightforward grievance or harassment case, and that an inappropriate procedure has been used, steps should be taken to use the appropriate procedure by the Investigating Officers which may be the appropriate Disciplinary Procedure. All parties should be made aware of this.

12.7 Harassment of staff by Students

In cases of harassment of staff by Students, these should be dealt with under the Student Disciplinary Code

12.8 Harassment of Student by Staff

In cases of harassment of students by staff please see the student Guidelines for dealing with Sexual and Racial Harassment.

12.9 Harassment of Staff by Member of General Public

If the perpetrator is external to the University or a staff member of a contractor or supplier his/her line manager will decide on the most appropriate course of action. (e.g. raising a complaint with the Alleged Perpetrator and contractor or supplier). Until the allegation has been investigated, and again if the allegation is later substantiated:

preventing the perpetrator from entering University buildings.
providing support/counselling to the Complainant;
if the compliant is considered to be in a frontline service, providing “prevention of violence safety training” if appropriate

NB. Refusal to adequately investigate and take appropriate action by the vendor /service provider may lead to non-renewal of contracts. Where the service provider is not an employee of the University but is working at the University, the University's policy and procedure will apply.

12.10 Harassment of member of General Public by Staff

Members of the general public who wish to make a harassment complaint against a member of staff should first direct the complaint to the head of the relevant department who should acknowledge the complaint within 10 working days. The department head will be responsible for investigating and resolving the complaint. If the member of public is still unhappy with the outcome or the complaint is of a serious nature a formal complaint should be made to the University Secretary who will appoint Harassment Investigators to formally investigate the complaint.

The investigation should be undertaken within the principles enshrined in this policy.

Human Resources Department

July 2004

Appendix A

Forms of Harassment

1. Race

This is offensive or hostile treatment of an individual(s) on the basis of their race, nationality, ethnic origin, or skin colour.

Examples include:

Racial abuse of a physical, verbal or prejudicial nature, racist jokes, insults, ridicule or name calling of a racist nature, the display of racially offensive written or visual material including graffiti and open hostility to black and other racial groups.

More subtle forms include:

Deliberate unfair allocation of work, unequal treatment in the application of conditions of employment, unreasonable pressure to complete tasks, exclusion from conversation and normal workplace activities or social events, unreasonable withholding of permission to attend training or similar events and disproportionate monitoring of timekeeping.

2. Gender

This is unwanted conduct of a sexual nature, or other conduct based on gender affecting the dignity of women and men at work including:

Unnecessary touching and invasion of another person's body space, unwelcome, unwanted advances, patronising comments, propositions. Pressure of sexual activity, suggestive remarks, innuendoes or lewd comments, jokes of a sexual or prejudicial nature and unwanted comments on dress or appearance. The display of pornographic or sexually suggestive pictures, objects or written material, leering or sexually suggestive gestures are examples of non-verbal conduct which fall into this category.

3. Disability

This is unfair and unwelcome treatment based on the fact that a person has a physical or sensory or mental impairment or, learning difficulties. including:

Offensive patronising language, action or behaviour including jokes about disability, inappropriate comments and questioning regarding a person's impairment, the consistent or repeated failure to provide clear identified facilities or requirements in order for a person to perform his/her duties or receive an adequate service, prevention of attendance at training or similar events.

4. Age

Ridiculing or demeaning behaviour based on stereotypical perceptions and prejudices, about a person(s) because of their mature age and experience (or lack of experience in the case of a young person) including:

Unnecessary stipulation of age as a criteria in job descriptions, not taking a person seriously because of his/her age, unfair exclusion of people from training or promotion.

5. Sexual Orientation

Behaviour, which condemns, ridicules or excludes individuals on the basis of stereotypical perceptions of Sexual Orientation including:

Offensive jokes, ridicule or name calling, comments that are anti-lesbian or anti-gay or which stereotype lesbians or gay men, the display or circulation of offensive written or visual material, use of verbal abuse, threats or derogatory comments about people who are, or are assumed to be lesbian or gay, using intrusive questioning about a person's partnership or domestic circumstances, the systematic exclusion of lesbians or gay men from workplace activities, and unequal treatment in the application of conditions of employment.

6. HIV/AIDS

Treating somebody adversely because he/she has or it is suspected/believed that he/she has HIV or AIDS.

7. Religious/Belief

Socially unacceptable behaviour, which fails to accommodate or acknowledge the rights or needs of individuals with different and dedicated religious convictions, beliefs and practices. This may take many forms including criticising people for items worn for religious reasons. Denigrating cultural festivals, or making derisory comments against an individual’s beliefs.

8. Bullying

Persistent action, which humiliates, intimidates, undermines or demeans the person involved including:

Using abusive language, unreasonably removing areas of responsibility, continually ignoring or excluding an individual, deliberately setting objectives with impossible deadlines, picking on one person when there is a common problem, frightening someone with physical or other threats and continually shouting at or humiliating an individual in front of colleagues or in private.

9. Stalking

Is a form of harassment which is being more commonly reported. It involves pestering an individual, either in person or in writing or by electronic formats or on the telephone. Stalking can also involve following an individual or spying on them, alarming the recipient or causing distress and may involve violence or lead to a fear of violence.

NB. The above examples are a general guideline and some of the offences listed under a particular heading may also apply to other situations. The above examples are not exhaustive.

Appendix B

Relevant Legislation

The University has obligations under the following acts:

Race Relations Act 1976 (Amendment) Regulations 2003
Race Relation Amendment Act 2000
Sex Discrimination (Gender Reassignment) Regulations 1999
Human Rights Act 1999
Disability Discrimination Act 1995
Criminal Justice and Public Order Act 1994
Race Relations Act 1976
Sex Discrimination Act 1975
Rehabilitation of offenders Act 1974
Employment Equality (Sexual Orientation) Regulations 2003
Employment Equality (Religion or Belief) Regulation 2003

Useful Contacts

Internal

External

Organisation	Telephone
Association of University Teachers	020 7690 9700
British Association for Counselling	0800 443 5252
Work Foundation Information Service	020 7004 7100
Samaritans	0845 760 9090
Equal Opportunities Commission	0845 601 5901
Stonewall	020 7593 1850
- Stonewall info line number (free)	08000 502020
Lesbian and Gay Employment Rights	020 7704 2205
Commission of Racial Equality	020 7939 0000
Disability Rights Commission	0845 7622633
Andrea Adams Trust Help line (Bullying)	01273 704900
Commission for Racial Equality	020 939 0000

Appendix C

Harassment and Dignity at Work Monitoring Form

Appendix D

Management Responsibility

Role	Accountability
Vice-Chancellor (nominate delegate) (for academic staff please see paragraph 1.2 of the policy)	Receive formal complaints against the Pro Vice Chancellor or Deputy Vice Chancellor: nominate appropriate officer to investigate complaint on his/her behalf to resolve the issue; inform Human Resources Business Partner convene the appropriate Investigation Team; suspend or temporarily transfer the Alleged Perpetrator inform the Complainant and Alleged Perpetrator of the outcome of the investigation take appropriate action against the perpetrator in line with the procedure carry out review and ensure no victimisation
Pro Vice Chancellor or Deputy Vice Chancellor	Receive formal complaints against Deans or higher graded employees: try to resolve the issue; inform Human Resources Business Partner convene the appropriate Investigation Team; suspend or temporarily transfer the Alleged Perpetrator inform the Complainant and Alleged Perpetrator of the outcome of the investigation take appropriate action against the perpetrator in line with the procedure carry out review and ensure no victimisation can be called upon to be part of the investigation team
Senior Area Managers and Senior Service Managers	Receive formal complaints against lower graded employees; inform Human Resources Business Partner try to resolve the issue convene the appropriate Investigation Team suspend or temporarily transfer the Alleged Perpetrator inform the Complainant and Alleged Perpetrator of the outcome of the investigation take action against the perpetrator in line with the procedure carry out review and ensure no victimisation can be called upon to be part of the investigation team
Heads of academic departments or equivalent and Service departmental heads	Can be called upon to be part of the Investigation team Receive informal complaints Try to resolve the issue Take action against the perpetrator in line with the procedure Inform the Complainant and Alleged Perpetrator of the outcome of any informal investigation Initiate formal proceedings
Line Managers	Receive informal complaints Try to resolve the issue Take action against the perpetrator in line with the procedure Informs the Complainant and Alleged Perpetrator of the outcome of any informal investigation Initiate formal proceedings
Investigating Team	Carry out a formal investigation Produce report and recommendation of action Submit report to the convening officer for decision
Director of Human Resources	Develop and maintain policy framework
Equality and Diversity Adviser	Develop and maintain policy framework Provide advice on the application of the policy
Human Resources Business Partners	Provide advice to managers on the application of the policy
Director of Organisational and Staff Development	Provide training and development in harassment and equality issues

Contents

Introduction
How to make a complaint
Informal Action
Formal Complaints
Follow up action
Further Guidelines
Harassment Adviser Facility

Appendix - The Investigation Process

Introduction
How to carry out a Formal Investigation
Taking Evidence
Issues to be considered during a Disciplinary Hearing

1. Introduction

These guidelines are intended to support the University’s policy on the Harassment and Dignity at Work. These guidelines:

Provide advice on the informal and formal routes available to staff who may wish to make a complaint; and
set out a clear and simple process to assist managers dealing with complaints which may constitute harassment or bullying.

1.1 These guidelines replace the “Guidelines for dealing with Harassment and Bullying”. The University Statutes will be applied to academic staff when dealing with allegations of harassment and bullying and the investigation process outlined in this document should only be used if invoked under paragraph 14(2) of the Statues by the Vice-Chancellor.

1.2 The Human Resources Business Partner for your area is able to provide professional advice and support at all stages of the process. Information on your designated contact.

1.3 The Harassment Monitoring Form is included at Appendix C of the Harassment and Dignity at Work Policy.

2. How to make a Complaint

2.1 If an employee believes that he or she is the subject of harassment or bullying, there are various options available to the employee for dealing with the situation which may be formal or informal in nature. It is however, recommended that for relatively minor and isolated problems the informal route should normally be employed before invoking the more formal stages of the process.

3. Informal Action

3.1 There are several possible courses of action that can be taken to resolve the matter in an informal manner. The informal process should be used where the incident appears to be a fairly minor one and where it appears to be an isolated event.

The important points to bear in mind are that quite often the Complainant mainly wishes the offending behaviour to stop as quickly as possible. That he/she would prefer for the informal process to be conducted in a confidential and low key manner and is seeking sensitive and local intervention, to diffuse the issue.

3.2 Action to be taken by the Complainant

The Complainant may wish to discuss the matter with a work colleague, Line Manager, or a more senior manager, Harassment Adviser, Human Resources Business Partner or trade union representative before deciding on the appropriate action to take: or
Complainant may talk to the Alleged Perpetrator alone or with a Harassment Adviser, work colleague, Human Resources Business Partner or Trades Union Representative, to let him/her know about the behaviour that is causing them distress. The Complainant should make it clear that their behaviour is unwanted and it should not be repeated.
The Complainant may choose to write to the Alleged Perpetrator (and keep a copy of the letter in case further action becomes necessary): or
The Complainant may ask his/her immediate manager or a more senior manager to speak to the Alleged Perpetrator on his or her behalf.

3.2.1 Employees who believe that they are being subjected to harassment and bullying are advised to keep a diary of events and witnesses. Also, copies of any emails or documents.

3.2.2 In most cases the offending behaviour can be stemmed at this early stage in the process. However, even if the complaint is addressed satisfactorily at this stage, it is advisable if you are the manager, to record details of any approach to the Alleged Perpetrator whether verbal or written, as this may be relevant should there be a recurrence of the unwanted behaviour.

3.3 Action to be taken by Managers

3.3.1 In cases where an employee chooses to ask his/her Line Manager to deal with the Alleged Perpetrator, the Line Manager will, in accordance with the good practice guidelines, provide clear indications of what action(s) will be taken and the relevant time scales involved. The manager should also provide details about the procedures for dealing with harassment and bullying. The relevant Human Resources Business Partner may be approached for advice.

(a) The Inquiry

The manager/supervisor who is approached should act according to the principles laid out in paragraph 2 of the Harassment and Dignity at Work Policy and should:

respect and accept a Complainant’s decision to have the matter dealt with on a wholly confidential and low key manner;
speak to the Alleged Perpetrator after gaining the agreement of the Complainant, explain the nature of the complaint and who has made it. The Alleged Perpetrator should be given the opportunity to respond (any written complaint or written response will be made available to both parties);
arrange, if appropriate and agreed by the Complainant, a meeting between the parties involved in order to try and seek reconciliation between the two parties;
where it is necessary to gain further insight, carry out a confidential, low key, informal inquiry, to gain further insight into the situation;
provide advice and information on how to make a formal complaint if necessary;
ensure that a person who brings a formal complaint suffers no detriment in so doing;
ensure that employees who give evidence are not victimised;
maintain appropriate records

(b) Outcome of the Formal Procedure

(i) Where Harassment has occurred

Where the informal procedure reveals that a problem exists, the steps to resolve the problem and prevent the situation recurring must be discussed with the Complainant, action to be taken could include the following:

obtain a commitment from the perpetrator that the behaviour will not be repeated;
give an informal caution to the perpetrator;
counsel the Complainant and other staff about the incident;
discuss the behaviour and requirements in a team meeting (without breaching confidentiality);
offer counselling interviews, with the Alleged Perpetrator to let him/her know that his/her behaviour is unacceptable and clarify what is expected of him/her in future. There may be a need to set targets, monitor progress, identify training needs, review work practices, provide additional supervision and set ground rules for behaviour to support the establishment of a positive working relationship.

(ii) Where the case is not substantiated

If, on the balance of probability, it cannot be decided whether or not the incident(s) occurred the manager should;

make known the appropriate standard of behaviour required by the University of its staff;
identify training needs and provide appropriate training

(iii) Where the perpetrator does not accept his/her responsibility

Where the perpetrator does not accept his/her responsibility or is not responsive to remedial action, formal proceedings may be initiated.

4. Formal Complaints

4.1 The Formal Procedure may be used where the informal route proves ineffective, for more serious instances of harassment or where the Complainant prefers to use the Formal Procedure. The formal procedure will only be used with the agreement of the Complainant. Proven cases of misconduct under the Formal Complaints Procedure may lead to disciplinary action the purpose of which will be to substantiate or rebuke the allegations and if appropriate determine the disciplinary sanction. Each case of misconduct will be considered on its particular merits, taking into account any mitigating circumstances. Serious cases can be considered to constitute gross misconduct leading to dismissal under the relevant Disciplinary Procedure.

4.2 Action to be taken by the Complainant

4.2.1 A formal complaint must be made in writing to the Senior Area Manager or Senior Service Manager. If the compliant is against the Dean or higher graded employees, the complaint should be to the Pro Vice-Chancellor or Deputy Vice-Chancellor. If the complaint is against the Pro Vice-Chancellor or Deputy Vice-Chancellor, the complaint should be made to the Vice Chancellor (VC) (The VC should nominate an appropriate officer to undertake his duties as the officer receiving a complaint). If the complaint is against the Vice-Chancellor, the complaint should be made to the Chair of Council.

4.2.2 The signed complaint should include the following details: the nature of the complaint with reference to dates, times and places (where possible); who the complaint is being made against; the names of any witnesses to the incidents and any actions which have already being taken.

4.3 Action to be taken by the Manager

4.3.1 Where possible, the complaint and proposal to resolve it should be discussed with the Complainant. The complaint should be acknowledged in writing upon receipt and every effort should be made to send a full response to the Complainant and Alleged Perpetrator within 10 working days. It should, however, be recognised that some cases may take longer to investigate.

4.3.2 The manager should speak to the Alleged Perpetrator, explaining the nature of the complaint and who has made it. The Alleged Perpetrator should be given a copy of the written complaint and the policy as soon as is reasonably possible. Any written response will be copied to the Complainant.

4.3.3 Depending on the seriousness of the allegations the manager may:

discuss the case with both parties separately and try to agree a resolution;
where both parties agree, arrange a joint meeting to discuss and seek to resolve the issues;
convene an "Investigation Team". The team will consist of two senior managers (who may be Heads of Academic Departments or equivalent and Service Department Heads, Senior Service Managers or Senior Area Manager) who must not be from the same School, Institute or Portfolio as either party and not be connected in any away with the complaint that has been made. The seniority of the investigation team should reflect the level of seriousness of the case to be investigated.

4.3.4 The Human Resources Department will provide administrative support to the Team and will store confidentially the record of the meetings of the Team in a file not attached to the personnel files of the individuals concerned.

4.3.5 During the investigation the Senior Area Manager or Senior Service Manager or appropriate officer (see paragraph 4.2.1) may consider suspension or temporary transfer of the Alleged Perpetrator.

4.3.6 Where allegations of criminal acts such as indecent exposure, physical attack or sexual assault have been made, the Complainant should be given supported in dealing with any matter involving the Police. The Head of Service and the University's Security Department should be informed (if appropriate).

4.4 The Investigation Team

4.4.1 The role of the Investigation Team will be to interview the Complainant, the Alleged Perpetrator and any other relevant people such as named witnesses and to produce a report of its investigation outlining any proposals for action resulting from the team's findings including whether a formal disciplinary hearing should be brought under the appropriate Disciplinary Procedure. The report should also contain an accurate record of the complaint and investigation, the names of the parties, dates, nature and frequency of incidents, action taken and monitoring. The Investigation Team should also try to ascertain if there are any institutional or service issues raised during the investigation. The report will be submitted to the Senior Area Manager or Senior Service Manager or appropriate officer (see paragraph 4.2.1) and Director of Human Resources or nominee who together will decide on what appropriate action to take and in particular whether a formal disciplinary hearing should be held under the Disciplinary Procedure. The Head of the School, Institute or Portfolio (or appropriate officer (see paragraph 4.2.1) should then be informed.

4.4.2 Before coming to a decision regarding the seriousness of a case and whether to proceed with a formal disciplinary hearing managers may find it useful to consult their Human Resources Business Partner. Please see Appendix 1 for further guidance regarding issues for consideration. In any event; it is advisable that the Human Resources Department be kept informed of action taken in response to a formal complaint.

4.4.3 The Senior Area Manager/Senior Service manager who received the complaint will convey the outcome of the report and the intended action by writing to both parties.

4.4.4 Outcome of the investigation

(i) Where it is deemed that there is a case to answer

If following an investigation it is decided that there is a case to answer in relation to the allegation of bullying and/or harassment, any disciplinary hearing will be carried out under the appropriate Disciplinary procedure.

(ii) Where the case is not substantiated

If, on the balance of probability, it cannot be decided whether or not the incident(s) occurred the manager should:

make known the appropriate standard of behaviour required by the University of its staff;
identify training needs and provide appropriate staff development.

4.4.5 Support of the Complainant and Alleged Perpetrator

At any stage of the formal or informal procedure the Complainant and Alleged Perpetrator should be made aware of both internal and external sources of support/advice. Please see Appendix B of the Harassment and Dignity at Work Policy.

5. Follow up action

5.1 Appeal against outcome of the Disciplinary Hearing - An appeal against the finding of a Disciplinary Panel may be made under the provisions of the relevant Disciplinary Procedure

5.2 Reconciliation - Unless dismissal has resulted from the formal procedure, it is the responsibility of the manager/supervisor to ensure that there is some reconciliation between the two parties to enable them to work effectively in future. If this fails it may be necessary to transfer one or both parties to another section, department or location. Where the complaint has been upheld, the transfer of the Complainant should only be with his/her agreement. In keeping with good practice it is normal to relocate the perpetrator.

5.3 Review – The Head of School, Institute or Portfolio should arrange reviews to monitor the situation after the investigation has been completed to ensure that the harassment has stopped and that there is no victimisation.

6. Further Guidelines

6.1 Anonymous complaints - If a member of staff makes a complaint but wishes to remain anonymous (e.g. the employee informs his/her manager that they are being harassed but does not have the confidence to take the matter further), his/her confidentiality should be maintained. Other methods of solving the problem should be sought particularly action to prevent any further harassment. E.g. seeking other sources of evidence, awareness-raising changes in work practice, team building and encouraging the Complainant to contact a Harassment Adviser for support.

6.2 Group Complaints - If several people are experiencing bullying or harassment from the same source, and complain as a group, individual statements should still be taken by the Investigating Officers.

6.2.1 Should a complaint be made against a number of Alleged Perpetrators, individual responses to the compliant will be required. Outcomes to the complaint should be communicated to individuals separately and not to the group as a whole.

7. Harassment Adviser Facility

7.1 Employees in need of a Harassment Adviser are asked to select an Adviser from a list of Harassment Advisers, which will be maintained by Human Resources and is available on the Human Resources web site.

7.2 The employee and Harassment Adviser will make an initial agreement about the number of sessions (normally no more that six).

7.3 At the first session arrangements for making contact between the Harassment Adviser and the employee should be agreed. Employees are not permitted to contact the Harassment Adviser at home. Under no circumstances should employees be given the Harassment Adviser’s home telephone number or address.

7.4 Each session will last no more than one hour and will normally be held during working hours by appointment within City University premises

7.5 As part of the support available to Harassment Advisers, Advisers are required to contact a Harassment Adviser Supervisor after the initial contact with the employee. In any discussion with the Supervisor confidentiality must be maintained, but the general gist of the issues and outcome of the meeting may be discussed.

Human Resources Department

July 2004

Appendix

The Investigation Process

1. Introduction

This appendix is intended to help managers with the investigative process and presents issues to be considered before arriving at a conclusion regarding the seriousness of a complaint

2. How to carry out a Formal Investigation

The Investigation may be conducted with the assistance of a Human Resources Business Partner and the following process should be carried out:

it is advisable that the Investigating Officers arranges times of the interviews and other meetings at the outset to avoid delays;
separate interview(s) of the Alleged Perpetrator and Complainant should be held. All elements of the case against the Alleged Perpetrator should be put to him or her;
during the investigation the Investigating Officers may consider suspension or temporary transfer of the Alleged Perpetrator and if appropriate recommend this action to the appropriate Senior manager (see appendix 4.2.1);
the Investigating Officers should interview people present where an incident is alleged to have taken place and anyone indicated as having relevant evidence about the matter. Witnesses should be advised that the matter is confidential and should not be discussed outside of the investigation;
detailed confidential notes should be taken of each interview. Written statements must be agreed and signed by the interviewee;
if necessary, the Complainant, Alleged Perpetrator and witnesses may need to be recalled;.
relevant documents should be carefully examined.

2.1 An accurate record of the investigation, complaint and conclusion should be kept. It should include names of parties, dates, nature and frequency of incidents, action taken and monitoring.

3. Taking evidence

3.1 The allegations should be listed so that they can be investigated, analysed and a conclusion reached on each separate allegation. For example:

Allegation 1 – Sexual harassment by C

Allegation 2- Victimisation by X and Z

The facts surrounding the allegation and a summary of the evidence, both supporting and contradicting the allegation, should be noted.

Before coming to a decision regarding whether to proceed with formal disciplinary action managers may find it useful to consult their Human Resources Business Partner. In any event it is advisable that the Human Resources Department be kept informed of action taken in response to a formal complaint.

4. Issues to be considered during a Disciplinary Hearing

Deciding on the seriousness of the Complaint

The following factors should also be taken into account in deciding the level of misconduct:

the effect of the behaviour on the Complainant and whether the behaviour was reasonable;
the training and support the Alleged Perpetrator has received;
what behaviour would be reasonable to expect of the Alleged Perpetrator (staff in senior positions represent the University and are in a position of authority hence, the level of expectation from senior members of staff is quite high);
alternative explanations given for actions/incidents;
persistence;
the nature of the offence;
whether the Alleged Perpetrator is in a supervisory capacity to the Complainant (the offence is more serious if he/she is in a supervisory capacity to the Complainant);
other similar incidents;
the behaviour of the Alleged Perpetrator towards other employees;
general behaviour of the Alleged Perpetrator towards subordinates, women/men or minority groups;
remorse

The level of proof the law requires in relation to disciplinary action is that the manager must have a reasonable belief based on evidence that a breach of disciplinary rules has occurred. This requires a judgement as to whether, on a balance of probability, the alleged incident occurred.

Harrassment Advisers Guidelines

1. Introduction

This scheme has been set up as part of the Harassment and Dignity at Work Policy. Harassment Advisers will be selected from volunteers from City University and will act as a source of support for employees experiencing distress in the workplace as a result of harassment/bullying at work. The Harassment Advisers will be provided with training.

2. Principles of the role

2.1 Harassment Advisers will offer support and discuss the options open to the employee in order to help him/her determine if and how he/she would like to progress matters. It is crucial that the Adviser does not make any decisions for the employee, nor take up the role of investigator.

2.2 The complainant may be accompanied by the Harassment Adviser at any meetings related to the complaint about harassment/bullying. The Harassment Adviser will not act as a witness.

2.3 Harassment Advisers are not intended to take the place of professional counsellors. Serious cases should be referred to the Occupational Health Service Counselling Service.

2.4 Harassment Advisers will carry out counselling on a voluntary and non-payment basis, normally during working hours and in addition to their normal job responsibilities. Time off will be given to allow the Harassment Adviser to carry out his/her advisory responsibilities.

2.5 The provision of counselling will be available to both the complainant and perpetrator. The latter may be unaware of, or insensitive to, the impact of their actions and counselling may help him/her change their behaviour and prevent the occurrence of further incidents.

3. General Principles

Harassment Advisers will conduct meetings in keeping with the following principles:

3.1 Privacy – The counselling must take place in a private room (Rooms can be booked via, City University's room booking service) on University premises and away from the complainant’s usual workplace. The room should allow for the free exchange of information. The Harassment Adviser should agree meeting times with his/her line manager. Meetings will normally take place during normal working hours.

3.2 Sensitivity and Confidentiality - Counselling should be conducted with confidentiality, respect, sensitivity and without pressure. Confidentiality is of prime concern to colleagues wishing to use the service. Individuals may fear that their career prospects or job security are at risk. It is therefore crucial that confidentiality is maintained if the service is to have credibility with staff.

3.2.1 Confidentiality means not revealing any information received from the employee (whether obtained directly or by inference) to any other person, except those, which the Adviser relies on within the Harassment Adviser scheme for support and supervision. Employees should be advised however, that if they reveal an action, or contemplate an action that could cause danger to others (e.g. physical harm), then the Harassment Adviser will have no option but to break the confidentiality and take appropriate action to warn the individual or other appropriate person including the relevant line manager.

3.2.2 Members of the Human Resources Department who are supporting an employee as a Harassment Adviser should not be involved in any management discussions or any other process outside of the Harassment Adviser role concerning the case to avoid conflict of interest.

3.2.3 Any notes taken during a counselling session or related to the case must be stored in a locked confidential location, which is only accessible to the Harassment Adviser. At the conclusion of the case the papers must be destroyed immediately.

3.2.4 To assist with the monitoring of the scheme, Harassment Advisers must complete a monitoring form (See the Harassment and Dignity at Work Policy, Appendix C) in the presence of the complainant. The form is anonymous and does not identify the complainant. The completed form should be returned to the HR Equality Adviser.

3.3 Breach of Confidentiality - Any Harassment Adviser found to be in breach of the agreed limits of confidentiality, as defined below, will be removed from the list of Harassment Advisers by the Director of Human Resources.

3.4 Support – The Harassment Adviser should be non-judgemental in approach and encourage the employee to come to his/her own decision regarding how she/he wishes to proceed.

3.5 Appointment – Appointment into the Harassment Adviser post will be subject to the agreement of the employee’s line manager

3.6 Recruitment – Harassment Advisers will be selected from a pool of volunteers. Selection will be based on a person specification and job description. The aim should be to recruit a cross section of staff i.e., women, men, Black and Minority Ethnic staff and staff with a disability. No grade will be specified, although experienced people are most likely to be selected.

3.7 Staff Development – All Harassment Advisers must be trained in basic counselling skills.

3.8 Support for Support Officers – Support Officers will be required to meet every 3 months to exchange general information (confidentiality must be maintained), review the running of the scheme and provide general support to each other. In addition Harassment Advisers are required to contact a Harassment Adviser Supervisor after the initial contact with a complainant. Discussions about the case will be on confidential terms.

3.9 Publicity - A general leaflet giving brief details about the Harassment and Dignity at Work Policy and Harassment Adviser facility will be distributed to all staff.

3.10 This scheme is new and we are anxious to monitor its efficiency, to this end we welcome any suggestions on how the scheme can be enhanced. Comments should be sent to The Equality and Diversity Adviser, Human Resources Department, Northampton Square, London EC1V OHB.

Please see Paragraph 7 of the Harassment and Dignity at Work Guidelines on Good Practice for further information.

Human Resources Department

November 2003

Appendix 1

Supporting a Complainant at a meeting

Before the meeting

Be clear what the complainant wants from the meeting
Talk them throughhow it might go
Your role:
- not there to judge
- but will support them in managing the meeting
Agree what to do if alleged harasser disagrees

Process for delivering feedback

You may find it helpful to run through this process with the complainant, so that they can use it in the meeting:

State the issue
Name the specific behaviour
State the effect it is having
Say what you want to happen
Agree next step

At the meeting

Help manage power differences
Ensure complainant gets chance to deliver their message
Ensure alleged harasser gets chance to respond
Ensure action is agreed BUT if response is defensive or aggressive, do not prolong the meeting.

After the meeting