Policy and Procedure On Harassment At Work by 87J2L7Ir


									  Dignity at Work Policy

Version Control           Date
Implementation Date       01/04/08
Last Review Date          01/04/08
Next Formal Review Date   01/04/09

EQIA                      Engagement and
                          Consultation Groups
Rapid Impact Assessment   HR Directorate/Partnership
                          Forum, Confidential
                          Contacts/HR Sub Group
                          consisting of Staff Side
                          representatives, managers and
                          staff/Health and Safety

Approval Record           Date
JSNC                      11/02/08
Partnership Forum         25/02/08
Staff Governance          25/03/08


Section      Description                                        Page
1            Policy Statement                                   3
2            Aims and Objectives                                4
3            Impact of Bullying and Harassment at Work          4
4            What is harassment at work                         5
5            What is bullying at work                           7
6            Firm Fair Management                               8
7            The legal position                                 10
8            Dignity at Work Complaint Procedure                11
9            Appeals Procedure                                  15
10           Malicious Complaints                               16
11           Confidentiality                                    16
12           Support Available                                  17
13           Monitoring and Policy Review                       17
14           Bullying and Harassment by Patients, Carers,       18
             Relatives, Visitors and Advocates
15           Bullying and Harassment by Contractors and Staff   19
             form Other Agencies

Appendix 1   Key Roles and Responsibilities                     20
Appendix 2   Information Sources                                24
Appendix 3   Dignity at Work Procedure Flow Chart               25


1.      NHS Orkney is striving to be an equal opportunity employer and, as such, opposes all
        forms of unlawful and unfair discrimination in conjunction with our Equal Opportunities
2.      NHS Orkney is committed to provide a working environment which is free from
        harassment, bullying or intimidation of any nature, and believe that all people have the
        right to be treated with dignity and respect.
3.      The Board is committed to provide a healthy working environment and values the
        contribution that all its employees make to deliver efficient, high quality services and
        recognises that in order to deliver these services to the best of their ability, staff require
        an environment that is free from harassment and bullying of any nature.
4.      As well as applying to all staff directly employed it will also apply to agency staff,
        contractors, patients relatives, advocates, staff from other organisations and any other
        person who has access to NHS Orkney premises, who have a responsibility for their
        own behaviour and to ensure that their actions, attitudes or behaviours do not cause
        distress or upset to another individual and that they co-operate fully in any complaint
5.      Managers and supervisors have a specific responsibility to be vigilant in respect of the
        identification and elimination of bullying or harassment at work and to ensure
        implementation of, and adherence to this policy.
6.      This policy will be communicated to employees using a variety of methods including
        access via the intranet, leaflets and induction and mandatory training days.
7.      Claims will be taken very seriously and thoroughly investigated to establish an
        appropriate outcome, which may lead to disciplinary action up to and including
        dismissal depending on the seriousness of the allegations upheld. In addition, to
        intentionally harass, alarm or distress anyone can be a criminal offence, therefore,
        reference to, and application of, this Dignity at Work policy does not deny or inhibit in
        any way whatsoever, either the Board or the staff member’s legal rights, responsibilities,
        obligations and remedies. In serious cases dismissal and criminal prosecution can
8.      This policy, procedure and guidelines are endorsed by the Board, senior management
        and the recognised trade unions/professional organisations and will be communicated
        to all of those who require to be made aware of its contents.

Chair                             Chief Executive                               Employee Director

2.          Aims and Objectives

2.1         The policy, procedure and guidelines are intended to minimise the risk of bullying and
            harassment in the workplace, encourage a proactive approach to the early recognition
            of bullying and harassment, and resolve conflict effectively and timely when it occurs
            and prevent reoccurrence by:
           Promoting a culture in which employees feel confident in bringing forward complaints of
            harassment or bullying without fear of victimisation or recrimination.
           Raising the awareness for all staff of the stance taken by NHS Orkney against all forms
            of bullying and harassment and their own responsibilities for preventing such behaviour,
            ensuring that all staff understand that if their behaviour constitutes harassment or
            bullying that appropriate measures may be taken including, disciplinary action.
           Ensure that all staff are aware of the types of behaviour which may constitute
            harassment or bullying and their responsibilities for preventing such behaviour.
           Ensure staff understand the reasonableness or otherwise of what may or may not be
            acceptable behaviour to colleagues and the standards of behaviour expected by the
            organisation and the impact which unacceptable behaviour can have on colleagues.
           Providing information regarding the adverse effects which bullying and harassment can
            have on staff and the organisation.
           Ensure that everyday conflict is dealt with through positive communication,
            assertiveness, problem solving and open consultation.
           Ensure that all allegations of harassment or bullying are responded to quickly, positively
            and in confidence.
           Independent investigation and impartial procedures are followed to establish facts of
            alleged incident(s), as far as practicably possible.
           All parties involved are treated fairly and provided with access to confidential
            counselling, advice and support for victims of bullying and harassment at work.

3.          Impact of Bullying and Harassment at Work

3.1         Harassment or bullying is not dependent on an intention to cause distress or hurt, but is
            assessed by the impact the behaviour has on the recipient. As a result, it is possible
            that behaviour that is acceptable to some employees may cause embarrassment,
            distress or anxiety to others. It is recognised, therefore, that harassment or bullying
            relates essentially to the perceptions and feeling of the recipient.
3.2         The health and morale of staff may suffer and levels of stress, anxiety and sickness
            may increase. It makes sense that a working environment that is free from bullying and
            harassment will enable staff to contribute more effectively and enjoy higher levels of job
            satisfaction. It will also avoid the loss of staff with valuable skills and experience.
3.3         Understanding the intent is relevant to selecting the most effective way to try to resolve
            the situation. Levels of intent may be interpreted as:
           Intentional – behaviour directed at a victim with the intention of causing occupational,
            physical or psychological harm;
           Instrumental – the negative behaviour was an unintended side effect of a behaviour that
            was directed at achieving another goal;
           Unintentional – there was lack of sensitivity or awareness of the negative impact of the

3.4       Bullying and harassment often occurs to hide own feelings of inadequacy or insecurity.
          Management of Employee Capability or Disciplinary Procedures should equally be
          considered when determining the formal action to be taken.
3.5       Despite the facade, those that bully often have low self esteem and low self confidence.
          A person that bullies:
         Has never learnt to accept responsibility for their behaviour;
         Abdicates and denies responsibility for their behaviour and its consequences;
         Is unwilling to recognise the effect of their bullying on others;
         Is unwilling to recognise that there could be better ways of behaving.

3.6       This policy deals with situations where staff are being bullied or harassed by colleagues,
          subordinates, managers or supervisors. Customers, clients and contractors may also be
          involved; either as harassers or recipients and others who are present can sometimes
          be affected as adversely as those directly involved.
3.7       There may be occasions where NHS Orkney employees are working alongside
          employees of other organisations or agencies where an issue of harassment or bullying
          may arise. In such circumstances, the complaint should be handled jointly by the Board
          and Partner Agency, taking account of the respective policy arrangements.

4.        What is harassment at Work?

4.1       Harassment occurs when someone engages in unwanted conduct that has the purpose
          or effect of violating someone else’s behaviour or the person finds intimidating,
          upsetting, embarrassing, humiliating or offensive. It can take many forms, occur on a
          variety of grounds and may be directed at one person or a group of people. The
          intention of the perpetrator is irrelevant, it is the impact on the individual which
          determines whether harassment has taken place.
4.2       Harassment tends to be directed towards individuals on account of characteristics, for
          example: race or ethnic origin; gender or sexual orientation; trade union/professional
          organisation membership (or non-membership); disability; ex-offender status; age;
          AIDS/HIV; health; physical characteristics; religion or personal beliefs.
4.3       A racist incident is any incident that is perceived to be racist by the victim or any other
4.4       Any attention by an individual towards another individual, or group, which is offensive to
          the recipient and creates an intimidating, hostile or offensive work environment for one
          or more individuals, is unacceptable. Harassment also includes the display of material
          that is offensive to employees within the workplace.
4.5       The following list is not intended to be exhaustive but to provide some examples of
          harassing behaviour, which NHS Orkney deems to be unacceptable:
             Verbal abuse such as anonymous answer phone messages, offensive language or
              innuendo, telling offensive jokes, name calling or spreading malicious rumours
              (particularly on the grounds of race, sex, disability, sexual orientation and religion or
             Overbearing supervision or other misuses of power or position. Ridiculing or
              demeaning someone – picking on them or setting them up to fail.
             Deliberately undermining a competent worker by overloading and constant criticism.
             Preventing individuals progressing by intentionally blocking promotion or training
             Written abuse such as letters, faxes, e-mails or graffiti (these may be anonymous)
              or displaying offensive pictures or posters.
             Covert or disguised behaviour such as social isolation and non-co-operation and
              implicit threats.
             Incidents associated with work such as stalking

4.6       Harassment can take many forms, which may include:

          Sexual Harassment
         Unwanted non-accidental physical contact ranging from unnecessary touching, patting,
          pinching or brushing against a colleague’s body, to assault and coercing sexual
         Unwelcome sexual advances, propositions or pressure for sexual activity, continued
          suggestions for social activity within or outside the workplace, after it has been made
          clear that such suggestions are unwelcome: offensive flirting.
         Suggestions that sexual favours may further a colleague’s career or refusal may hinder
          it e.g. promotions, salary increase etc.
         The display of pornographic or sexually offensive pictures, emails, objects or written
         Leering, whistling or making sexual suggestive comments or gestures, innuendoes or
          lewd comments.
         Conduct that degrades or ridicules or is intimidating or physically abusive of an
          employee because of his/her sex, such as derogatory or degrading abuse or insults
          which are gender-related and offensive comments about appearance or dress. This
          includes someone intending to undergo, is undergoing, or has undergone gender
          Sexual Orientation Harassment
         Conduct that degrades or ridicules a colleague because of his/her sexual orientation,
          such as derogatory remarks, graffiti, jokes.
         The display or sending of offensive letters, emails or publications: threatening
         Being “frozen out” of conversations: jostling or assault, or other non accidental physical
         Derogatory nicknames or racial name-calling.
          Racial Harassment
         Conduct that degrades or ridicules a colleague because of his/her race, such as
          derogatory remarks, graffiti, jokes. Such conduct can be verbal or physical.
         The display or sending of offensive letters, emails or publications: threatening
         Being “frozen out” of conversations: jostling or assault, or other non accidental physical
         Derogatory nicknames or racial name-calling.
          Harassment on the grounds of Religion or Belief
         Conduct that degrades or ridicules a colleague because of his/her race, such as
          derogatory remarks, graffiti, jokes. Such conduct can be verbal or physical.
         The display or sending of offensive letters, e-mails or publications: threatening
         Being “frozen out” of conversations: jostling or assault, or other non accidental physical
         Derogatory nicknames or racial name-calling.
          Disability Harassment
         Mimicking the effect of a disability or speech impairment.
         Ostracising, “freezing out”, ignoring and staring.
         Making fun of a disability.
         Use of inappropriate terms (e.g. cripple, spastic).
         Inappropriate personal questions/comments about a disability.
         Belittling or patronising comments/nicknames.
         Moving a wheelchair without the user’s agreement.
         Practical jokes (e.g. hiding a disability aid).
         Touching a visually impaired person (to annoy).

      Harassment on the grounds of Age

         Legislation regarding discrimination on the basis of age was released in October 2006.
          The regulations cover employment and vocational training. This includes access to help and
          guidance, recruitment, promotion, development, termination, perks and pay. It also includes
          the right to request to work beyond the default retirement age of 65 (or any other justified
          retirement age set by the organisation). See NHS Orkney’s Retirement Policy and

         Using phrases like 'experienced and mature' in advertisements could be indirectly
          discriminatory to younger workers, although it will be open to an employer to attempt to
          justify that the discrimination is a proportionate way of pursuing business objectives

4.7       The essential characteristics of harassment are that it is unwanted by the recipient and
          that it is for each individual to determine what behaviour is acceptable to them and what
          they regard as offensive. It is the unwanted nature of the conduct that distinguishes
          harassment from behaviour between individuals that is welcome, mutual and
          appropriate in a working environment.

5.        What is bullying at Work?

5.1       Although harassment is often related to matters such as race, gender, disability,
          sexuality, age, religion or belief, is apparent that a more general form of harassment
          may take place that is not based on any one clearly identifiable aspect of the person
          concerned. This form of harassment may be described as bullying or aggressive,
          intimidating behaviour by one person towards another.
5.2       It is usually persistent (ie more than a one-off incident), is offensive, abusive,
          intimidating, malicious or insulting behaviour, or unfair use of sanctions which makes
          the recipient feel upset, threatened, humiliated or vulnerable and undermines self
          confidence. It can manifest itself in many other conditions such as stress, poor work
          performance, absenteeism etc.
5.3       Bullying is most commonly associated with an abuse of power most typically by a line
          manager or supervisor over their line managed staff.            However, other power
          relationships may equally lead to bullying by colleagues or a group of people who may
          target one individual.
5.4       It must also be recognised that, albeit less common, managers may find themselves
          bullied by one of their line managed staff who use the threat of higher powers or formal
          procedures to make unreasonable demands.
5.5       Bullying behaviour is largely identified not so much by what has actually been done, but
          rather by the effect it has had on the recipient.
5.6       At its most extreme, bullying can be physical eg hitting, pushing, damaging or stealing
          personal possessions. This may, in some cases constitute gross misconduct and
          should be dealt with under NHS Orkney’s Disciplinary Procedures or NHS Orkney’s
          Managing Violence and Aggression Policy
5.7       The following list is not intended to be exhaustive but to provide some examples of
          bullying behaviour, which NHS Orkney deems to be unacceptable:
         Shouting at a colleague; persistently negative and inaccurate attacks on a colleague’s
          personal or professional performance; criticising a colleague in front of others.
         Spreading malicious rumours/making malicious allegations.
         Threatening behaviour, both verbal and physical.
         Persistently setting objectives with impossible deadlines or unachievable tasks.
         Removing and replacing areas of responsibility with menial or trivial tasks and taking
          credit for the work achieved.
         Undervaluing a colleague’s contribution, placing unreasonable demands on and/or
          over-monitoring a colleagues performance.

         Withholding information with the intent of deliberately affecting a colleague’s
         Excluding colleagues by talking solely to third parties to isolate another.
         Isolating staff by treating them as non-existent and preventing them accessing

6.        Firm Fair Management

6.1       Line managers are responsible for ensuring that staff who report to them perform to an
          acceptable standard within a performance management framework. Legitimate,
          justifiable, appropriately conducted monitoring of an employee’s behaviour or job
          performance does not therefore constitute bullying.

6.2       It is reasonable to expect a manager to carry out his/her responsibilities in a fair, firm
          and consistent manner. Management responsibilities may include:
         Issuing reasonable instructions and expecting them to be carried out;
         Setting and publicising expected standards of performance within the department to
          support the relevant appraisal framework;
         Disciplining staff for misconduct, where appropriate, following a fair reasonable
         Implement action in respect of the management of sickness absence in line with
          promoting attendance policy;
         Introducing the capability procedure to manage concerns regarding ability to meet
          expected standards of performance.

6.3       Carrying out these functions does not constitute an act of bullying or harassment,
          although some staff may feel stressed or anxious while the procedures are ongoing.
          However, abusing these procedures may constitute bullying or harassing behaviour.

6.4       It is important to differentiate between firm, fair management and bullying or harassing
          behaviour. It is in the interests of the organisation that managers should be able to carry
          out their duties without the threat of ill-intentioned, malicious or vexatious complaints.

6.5       Because of differences in perception, it is not always easy to differentiate between firm,
          fair management and bullying and harassment. Some useful comparisons are listed

Firm/Fair Manager                                     Bullying/Harassment Manager

Leads by example, ability to motivate                 Divisive, uses manipulation and threat

Decisive                                              Random/impulsive

Assertive, respectful and considerate                 Aggressive, disrespectful and inconsiderate.

Accepts responsibility/acknowledges failings          Abdicates responsibility/denies failings –
                                                      blames others

Consistent and fair, treats all equally               Inconsistent and unfair, shows favouritism.

Shares credit                                         Unwilling to share credit when due.

Values abilities of others                            Devalues others.

Determined to achieve the best results, but           Unreasonable and inflexible.
reasonable and flexible.

Knows their own mind and is clear about their         Believes that they are always right has fixed
own ideas, but willing to consult with                opinions, believes they know best and is not
colleagues and staff before drawing up                prepared to value other people’s opinions.

Expects high standards of service in quality of       Insists on high standards of service and
and behaviour within the team. Will discuss,          behaviour but blames others if things go
in private, any perceived front of others,            wrong. Loses temper regularly, degrades
threatens views or taking action and does not         people deterioration before forming any
apportion blame on others when things go              official warnings without listening to
wrong.                                                explanation.                                      in

Ask for people’s views,            listens   and      Tells people what will be happening, does
assimilates feedback.                                 not listen.

Inclusive                                             Includes and excludes people without good

6.6       It is accepted that these descriptions represent extremes of behaviour. In practice things
          will not be so clear and perpetrators may display characteristics which fall somewhere in
          the middle. Such behaviour is unacceptable if:

         It is unwanted, unreasonable and offensive to the recipient
         It is used as the basis for employment decisions
         It creates a hostile or ineffective working environment

6.7       ‘At Work’ includes any place where the occasion can be identified within the
          requirement of employment, including social events linked/associated with the Board.

7.     The Legal Position

7.1    Behaviour that can be construed as harassment, bullying and/or victimisation, and the
       failure to deal with such incidents or allegations, may expose the Board and individual
       employees to a number of legal consequences.

7.2    The relevant statutes or regulations which can be used against either the harasser, the
       Board or both are detailed below. It should be noted that there is no one specific
       legislation which deals with bullying and harassment at work.
7.3    Health and Safety at Work act 1974 and the Management of Health and Safety at Work
       Regulations 1992 and similar legislation. This legislation places a duty of care on
       employers to ensure the Health and Safety of their employees, and to conduct
       assessments of potential risks to employees and to take appropriate remedial action.
       This may extend to acts by people over whom the employer has no direct control, but
       whom the employer might have reasonably foreseen the potential for bullying or
       harassment e.g patient, carers etc

7.4    Employment rights Act 1996 – this legislation gives employees the right to access an
       employment tribunal where they believe they have been “constructively dismissed.”
       This may apply where the organisation has failed to take appropriate action to deal with
       the complaint of bullying or harassment.

7.5    Sex Discrimination Act 1975, Race Relations Act 1976, Employment Equality (Sexual
       Orientation, Religion or Belief Regulations) (2003), Age Regulations (2006)– this
       legislation may be used by the employee where the harassment or bullying has a
       sexual, religion, age or racial basis. The employer can be held vicariously liable, even
       when it is unaware that such incidents have taken place. Refer to the Equal
       Opportunities Policy

7.6    Protection from Harassment Act 1997 – this legislation which was developed to cover
       “stalking” cases, enables staff to take a civil case where they believe a colleagues
       conduct amounts to harassment

7.7    Disability – The Disability Discrimination Act 1995 – this legislation makes it unlawful to
       discriminate against a disabled person at work on account of their disability

7.8    Public Interest Disclosure Act 1998 (Whistle Blowing) – this legislation was developed
       to protect so called “Whistle Blowers”. Where any member of staff is dismissed
       because he or she made a “protected disclosure”, the dismissal will be deemed
       automatically fair. Refer to The Whistle Blowing Policy.

7.9    Trade Union and Labour Relations (Consolidation)Act 1992 – this legislation protects
       employees from dismissal on the basis of Trade Union activities or membership, or of
       non Trade Union membership.

7.10   Rehabilitation of Offenders Act 1974 – this legislation essentially considers detrimental
       treatment of employees with spent convictions as similar to a “discrimination” provision.

7.11   The Board has a legal and ethical responsibility as a reasonable employer to ensure
       that staff are not subjected to inappropriate behaviour which may not only effect their
       performance, but more importantly their health and well being.

7.12   Employers may be liable for the actions of their employees, whether or not they are
       carried out with the employer’s knowledge or approval. This is in addition to the
       employees individual liability for his/her own actions. Liability for harassment amounting
       to unlawful discrimination can only be avoided if it can be proven that appropriate
       preventative measures were taken to guard against the offending acts being committed.

7.13   Whilst some forms of harassment may not be in breach of the law, they may contravene
       the Board’s policy and as such would be regarded as unacceptable behaviour and may
       invoking the Disciplinary Procedures.

7.14   Any legal claims against the Board for bullying would be concerned with breach of and
       unfair dismissal. That is, that the failure by an employer to deal with bullying related
       issues may result in a fundamental breach of one of the following implied terms:-

          To keep employees safe from harm
          To support and assist
          Trust and confidence

8.     Dignity at Work Complaint Procedure

8.1    The following procedure aims to help resolve complaints of bullying and harassment
       effectively and fairly through a two stage process by:
          Treating all complaints of bullying and harassment seriously;
          Clarifying how complaints should be made and resolved;
          Ensuring that complaints are dealt with promptly fairly and consistently;
          Protecting the rights of both the complainant and the alleged bully / harasser

8.2    Complaints wherever possible should be resolved at Stage 1 of the procedure. In order
       to maintain working relationships, issues should be dealt with by informal intervention
       wherever possible to conciliate rather than punish, however this will depend on the
       severity of the circumstances. 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.
Stage 1 - Informal
8.3    The first action to be taken by an employee who feels that they are being subjected to
       bullying or harassment is to inform their Line Manager. If the individual feels unable to
       do so on their own, they may approach a Confidential Contact to support them. This
       initial action is to discuss what the employee has experienced, establish if the Dignity at
       Work Policy is appropriate and to clarify the various courses of action.
8.4    Should the issue be with the individual’s own Line Manager then, escalation should be
       to the next level of Manager within the Directorate.
8.5    In some cases talking directly to the person who is causing the harassment or bullying
       will resolve the situation. This approach may be appropriate if:
       o   There are times when the working relationship is acceptable and the recipient
           believes that the behaviour is unintentional and that they are unaware of its impact
       o   The problems are recent;
       o   The behaviour did not include threats or was not perceived as threatening.

8.6    Personal action may entail the employee clearly explaining verbally or in writing the
           The behaviour that is unwelcome and the specific occasions when it occurred;
           How the behaviour makes you feel;
           Any other impact the behaviour has had;
           Confirming that the behaviour is not wanted and requesting it to stop;
           Describing appropriate behaviour that should be used / would be perceived as
           Seeking agreement to future behaviour;
           Confirmation of what further action you will take if same/similar behaviour

       Details of any personal action taken should be noted and confirmed to the Line
8.7    If a personal approach has failed or is felt to be inappropriate, the recipient should seek
       appropriate support by escalating in the first instance to their Line Manager. If it is felt
       that the issue raised is not being taken seriously, escalation should be to the Line
       Manager’s Manager as appropriate. Staff may consult with their Trade Union
       Representative at any time; however it is the Board’s intention that Line Managers take
       their duty of care responsibilities seriously.
       Your Confidential Contact will be able to clarify who the above might be, should
       you not be clear who to contact.
8.8    The Line Manager will escalate the complaint informally. They will meet with the
       complainant to discuss details of the incident / incidents to gather enough information to
       prepare a statement, which should include:
       o    A clear description of what behaviour has caused offence;
       o    Whether the behaviour has been a one off incident or part of a series;
       o    How the behaviour has affected the complainant / made them feel;
       o    What the needs of the complainant are / preferred behaviours;
       o    A request for specific action that is reasonable and practical;
       o    The complainant will be asked to check, sign and date the statement in order for it
           to be used in the formal stage and prevent repetition of meetings. The opportunity
           to amend / revise the statement may be given if progressed to the formal stage.
8.9    The complainant’s Line Manager will approach the Line Manager of the person against
       whom the allegation has been made to form agreement on establishing the facts and
       how the complaint will be progressed.
8.10   There may be more than one method of resolving the problem depending on the
       circumstances and all options should be fully explored. Guidance to roles and
       responsibilities can be found in Appendix 1.
8.11   Using the statement, the person against whom the allegations have been made, will be
       informed of the nature of the complaint that has been made and the intention to deal
       with the matter at Stage 1 of the procedure.
8.12   During any informal discussions held with the person against whom the allegations
       have been made, the following should be explored:
       o   Clarification of what behaviour was unwelcome;
       o   How the recipient is feeling as a result of the said behaviour;
       o   The alleged harasser/bully’s view of the situation;
       o   How the behaviour may have been intended if contrary to the nature of the
       o   Clarification of the required standards of behaviour expected as appropriate;
       o   Confirmation of the likely consequences of continuing the same or similar
       o   Willingness/agreement to resolve the situation/confirmation of any specific action
       o   How the situation will be monitored going forward.
8.13   The discussion should be noted and fed back to the complainant’s Line Manager, if not
       present, who in turn will feedback to the complainant. Agreement of how the complaint
       can best be resolved should be reached. For example:
       o   Whether a facilitated meeting with both parties to re-establish effective working
           relations would be appropriate or if professional mediation is necessary;
       o   If there is a training need, consult Training & Development to identify suitable
           training that might be available to support appropriate development;
       o   A review of current working arrangements may be appropriate;
       o   Consideration given to the appropriateness for the introduction of any other process
           for example the Disciplinary or Capability Procedure at this stage.

8.14   Line Manager’s should make a file note as a written record, to include date and the
       agreed outcome. This should be copied to Human Resources for the Personnel file.
8.15   Once the behaviour has been dealt with at Stage 1, the Line Manager will monitor the
       situation to ensure acceptable behaviours are maintained. Any subsequent incidents or
       reoccurrences will then be dealt with by the Line Manager as misconduct using the
       Disciplinary Procedure.
8.16   The aim of this informal approach is for inappropriate behaviour to be brought to the
       attention of those concerned, as soon as possible after the incident has occurred, to
       enable acceptable standards of working to be established for the future and maintained

8.17   In situations where an acceptable resolution is not agreed, or the representative
       decides that a complaint cannot be easily resolved informally at Stage 1, or where the
       allegation is of such a serious nature, the individual will be advised to follow Stage 2 of
       the procedure outlined below.

Stage 2 – Formal
8.18   Prior to making a formal written complaint under the Dignity at Work Policy, individuals
       are recommended to have sought advice or support from at least one of the following:
       o   Confidential Contact
       o   Line Manager
       o   Trade Union / Professional Organisation Representative
       o   Staff Side Representative/ Employee Director
       o   Human Resources
       Any of the above will be able to provide guidance on the policy, process and the
       escalation path.
8.19   In order for the matter to be dealt with formally at Stage 2, the complaint must be made
       in writing to a Senior Manager of the Department – the Receiving Manager.
       Preparation is important, emails should be avoided, a letter should include the following
       o   Confirmation that the complaint is being made under the Dignity at Work Policy
       o   Full name / names of alleged perpetrator
       o   Clear specific allegations against the named person(s)
       o   Factual Descriptions of events of unacceptable behaviour
       o   An indication of how the incident made the complainant feel
       o   Wherever possible dates, times and witnesses to incidents
       o   Details of any informal approach, personal action, the complainant has already
           taken, e.g. statement taken at Stage 1 of the complaints procedure
       o   Any relevant documentary evidence supporting the complaint
8.20   The Line Manager of the person against whom the allegations have been made will be
       made aware that the formal complaint is to be dealt with at Stage 2 of the procedure.
       He/she will be responsible for ensuring the full cooperation of those concerned in order
       to expedite the investigation.
8.21   Once a written complaint has been received, a letter of acknowledgement must be
       issued within 5 working days by the Senior Manager concerned or their deputy, who will
       appoint an appropriate Manager to carry out the investigation and inform Human
8.22   The Investigation Manager will invite the complainant and the alleged harasser to
       independent meetings. The invitation will advise of the nature of the investigation and
       the anticipated timescales to complete, and the right to be accompanied by a Trade
       Union/ Professional Organisation Representative, or work colleague. Evidence of
       allegations must be included by way of a copy of the written complaint if appropriate, or
       quoting relevant extracts of the complaint.

8.23   As formal disciplinary action is a possible outcome from this investigation it should be
       conducted in accordance with the provisions of the Disciplinary Procedure.
8.24   A representative from Human Resources will be assigned to support the Investigating

Guiding Principles
8.25   Every effort shall be made to protect the legitimate rights of all parties involved. In
       particular the following principles shall be adhered to:
       o   The principle of confidentiality shall apply in relation to the details of the case and
           investigation in accordance with Section 10.
       o   During the whole of the investigation process, the complainant, the person against
           whom the allegations have been made and any other individuals interviewed shall
           be entitled to be accompanied at any stage of the investigation by a Trade Union /
           Professional Organisation Representative, or a colleague not acting in a legal
       o   All complaints will be dealt with expeditiously and at least within the timescales
           prescribed, other than in exceptional circumstances where justification will be
       o   Allegations will be considered against the principles of reasonable belief and the
           balance of probability.
       o   Both parties will be provided with the right to appeal.
8.26   Consideration will be given to the working arrangements of the complainant and the
       person against whom the complaint has been made for the duration of the investigation.
       In accordance with the Disciplinary Procedure, the question of whether or not to
       suspend the person against whom the allegations have been made should be
8.27   The initial investigation should take no longer than a maximum of 10 weeks, from
       receipt of the complaint to the preparation of the final report. Whilst every effort will be
       made to adhere to this timescale, there may be exceptional circumstances, which will
       mean that the process may take longer. Any requirement to extend the timescale will be
       confirmed in writing to both parties.
8.28   The aim of an investigation process is to discover what took place, and why, and to
       propose steps to be taken to resolve the conflict in a timely manner. It will be the
       responsibility of the Receiving Manager to ensure timescales are managed
8.29   The report of the findings of the investigation will be submitted to the Receiving
       Manager, who will be at an appropriate level in the Directorate concerned. This report
       will include conclusions and recommendations and be submitted as a complete file,
       containing all minutes, notes, witness statements, and evidence collated.
8.30   The Receiving Manager will raise any immediate issues arising from the report with the
       Investigation Manager, and where appropriate, he/she will address the concerns and
       the report may be amended as required.
8.31   On conclusion of the investigation, the Investigation Manager will provide written
       confirmation that the investigation has been completed and the case has been referred
       to the Receiving Manager.
8.32   Within 2 weeks of receipt of the report, the Receiving Manager will decide on the
       appropriate course of action to progress, taking into account the report’s findings,
       witness statements, conclusions and recommendations made by the Investigation
8.33   Both the complainant and the person against whom the allegations have been made,
       will be provided the opportunity to meet with the Receiving Manager to discuss the
       report and the outcome of the investigation, each party will have the right to be
       accompanied by a Trade Union/Professional Organisation Representative or a work

8.34      Confirmation of the outcome will be provided in writing with due respect for
          confidentiality to both parties. A copy of the investigation report will be provided and the
          Appeal Procedure confirmed.
8.35      Where it is considered that there may have been misconduct or gross misconduct by an
          employee, the matter may be considered at a formal disciplinary hearing. In the event of
          a formal disciplinary hearing, the Receiving Manager concerned, will write to the person
          against whom the allegations have been made, detailing the allegations, providing
          copies of evidence, witness statements and confirmation of the arrangements for the
          hearing, providing the right to be accompanied by a Trade Union/Professional
          Organisation Representative or a work colleague.
8.36      Any formal disciplinary hearing should be conducted in accordance with the provisions
          contained within the Disciplinary Procedure. It will be for the Chair of the Panel to
          determine how the hearing will be structured, following consultation with those involved,
          taking into account the sensitivity of the issues and the need to protect the rights of all
8.37      Following a formal disciplinary hearing, where the complaint is held to be valid,
          appropriate formal action will be taken, which in serious cases may include dismissal. In
          some circumstances if relocation proves necessary on a permanent basis, every effort
          will be made to relocate the person against whom the allegations have been founded
          and not the complainant unless it is the stated wish of the individual that they want to be
          moved. This will be in conjunction with the Redeployment Policy.
8.38      The Board in all cases where bullying or harassment is founded, will seek to prevent
          recurrence of the offending behaviour.
8.39      There may be circumstances where the investigation has not found sufficient evidence
          of misconduct, but nevertheless has identified recommendations to improve the working
          relationship. These recommendations should be considered by the Receiving Manager
          with a view to their implementation.

8.40      Informal actions to be taken as a result of the recommendations from the report should
          commence as soon as possible and no later than 1 month from the confirmation of the
          outcome, other than in exceptional circumstances that prevent this, such as an appeal.
          This may involve a number of informal actions and may include professional mediation,
          counselling, staff development, consideration of the Management of Employee
          Capability Procedure.
8.41      The completed file will be provided to the Human Resources Department to retain on
          file as per the Data Protection Act 1998 and shredded after 3 months. If the case is
          escalated to disciplinary action, file will be retained for the duration of the sanction.

9.        Appeals Procedure

9.1       The complainant or the person against whom the allegations have been made has a
          right of appeal against the decision taken by the Receiving Manager if he/she
         The process of the investigation to be procedurally flawed and therefore unfair
         The outcome of formal/informal action is considered to be unreasonable because it is
          not supported by the findings of the report.
9.2       The purpose of the appeal is, therefore, to consider whether the process of the
          investigation was fair and/or whether the conclusions and recommendations are
          reasonable in all of the circumstances. The purpose is not to reinvestigate the
9.3       If disciplinary action has been taken as part of the outcome, as outlined above, any
          appeal should be in accordance with the Disciplinary Procedure. There will be no right
          of appeal under the Dignity at Work Appeal Procedure.

9.4    Any appeal should be made in writing to the next appropriate level of Manager to the
       Receiving Manager within the same Directorate wherever possible and copied to the
       Head of Human Resources within 10 working days of receipt of the letter from the
       Receiving Manager confirming the outcome. This will be escalated to the appropriate
       level within the directorate concerned. The appeal request must clearly state on what
       grounds the appeal is being made.
9.5    The appeal will be heard by an appropriately selected panel of 2 or more delegates,
       which will include a representative from Human Resources not previously involved in
       the investigation wherever possible.
9.6    Wherever possible, the appeal hearing should be convened within 10 working days of
       receipt of the written appeal request.
9.7    The individual appealing will have the right to be accompanied by their Trade Union/
       Professional Organisation Representative or a work colleague, when presenting their
       case to the appeal panel.
9.8    The outcome of the appeal should be decided and will be confirmed in writing to both
       the complainant and the person against whom the allegation has been made. This
       decision will be final. The appeal procedure should be completed within 1 month
       wherever possible. Any cause for delay will be notified in writing, to both parties with
       confirmation of the anticipated completion date and notified to a member of Senior
       management Team to ensure that appeal timescales are limited appropriately.

10.    Malicious Complaints

10.1   Where an allegation is not upheld, it does not mean that the complaint was malicious.
       The complainant may still feel that they have been subjected to harassment or bullying,
       but the Investigating Manager and the Receiving Manager have not been able to find
       the necessary evidence to substantiate the allegations.
10.2   On completion of the investigation, the Investigating Manager or the Receiving Manager
       may conclude that the complaint was malicious. That is, that the complaint was entirely
       false and made with the deliberate intention of having action taken against another
       employee. In these circumstances the complainant may be dealt with under the
       Disciplinary Procedure.

11.    Confidentiality

11.1   Claims of harassment and/or bullying will always be treated seriously and dealt with in
       the utmost confidence. It is important to provide all parties concerned with a degree of
       security and to ensure that all procedural aspects are dealt with sympathetically,
       impartially and objectively.
11.2   It is therefore necessary to make it clear to anyone involved in any part of the process
       that ‘confidentiality’ relates to the details of the case and investigation. Appropriate
       steps will be taken so that only those who are required to know details of a case will
       have access to relevant information, including both the complainant and the person
       against whom the allegations have been made. Anonymity cannot be guaranteed,
       especially where there may be a breach of the law or where criminal proceeding may be
11.3   At Stage 2 of the Complaint Procedure, it will be made clear to all those involved, that
       their evidence or statement will form part of the report of the investigation and will be
       read by both sides and may go to a disciplinary hearing or employment tribunal, and
       could therefore become public.
11.4   In order that the Board can resolve, revise and develop its procedures and practices,
       key information from cases may be used to assist in this process. This Policy has been
       devised to provide mechanisms that will help the Board improve best practice based on
       the outcomes of cases whilst protecting any individual or group of people involved.

12.    Support Available

12.1   The Board recognises that all employees involved in harassment or bullying at work
       may experience emotional or psychological reactions to their experiences. This includes
       the complainant, the person against whom the allegations have been made and any
       witnesses. It is therefore considered essential that the management response to these
       situations is sympathetic and supportive.
12.2   Staff should have the confidence to raise issues informally to enable the Board to tackle
       any problems appropriately. The support available to all concerned is as follows:
       o   Access to the Board’s Confidential Contacts is available to all concerned;
       o   Line Managers are there to provide support and guidance to their staff.
       o   Human Resources are there to support Managers and staff through the process.
       o   Self or Management Referral to Occupational Health; this may lead to referral for
           professional Counselling if appropriate to the circumstances.
       o   In the case of complaints dealt with at Stage 2, parties involved can contact the
           Investigation Manager for advice and assistance;
       o   Integration into the workplace following a complaint will require sensitive handling to
           establish effective working relationships. This may involve professional mediation or
           a review of job roles, or PDP with Line Manager or independent support.
       o   Training and Development may provide support through current workshops
           available for individuals or for teams or be involved in the development of bespoke
           support for specific groups as required.
          Redeployment may be considered as an option where a complaint under this
           policy is upheld. However, where as a result of disciplinary proceedings a complaint
           is upheld, it is advised that only the harasser should be redeployed as opposed to
           the complainant.

13.    Monitoring and Policy Review

13.1   All records of reported incidents of harassment and/or bullying are confidential and as
       such will be maintained in the strictest confidence.
13.2   Responsibility for monitoring the application of this policy will rest with Human
       Resources in partnership with the Local Partnership Forum. Monitoring and review will
       be undertaken annually as part of Staff Governance and in line with any updates to
       legislation and best practise.
13.3   This policy will be reviewed every three years with amendments being made as
       appropriate following consultation with Staff, Staff Representatives and Local
       Partnership Forum.
13.4   The policy may be reviewed more frequently dependant upon new impacting legislation,
       and in view of feedback reports from Confidential Contacts and practise.

14.     Bullying and Harassment by Patients, Carers, Relatives, Visitors
        and Advocates

14.1    Staff have the same rights as patients and service users to be treated with respect and
        dignity at all times and have the right to complain if bullied or harassed by a patient,
        service user, carer, relative, visitor or advocate in the course of carrying out their duties.
14.2    It is a priority of the Board to ensure that no member of staff is put in a situation of
        potential risk and the following procedures are put in place to protect staff whilst
        carrying out their duties.
14.3    It is inappropriate to move staff around without explaining to the individual the reasons
        for this action. Should an individual request to be moved, this must be given full
        consideration and the issue should not be ignored but continue to be investigated to
        prevent reoccurrence.
14.4    In all cases an Incident Report Form should be completed and reported to the
        appropriate Line Manager/Supervisor. Reference should be made to the policy for
        Management of Violence and Aggression in the Workplace.

Informal Stage
14.5    Where possible incidents should be dealt with informally in the first instance with
        guidance from Stage 1 above, with consideration to the following differences:
        o   If the harasser is a patient or service user it may be appropriate to discuss the
            matter with a carer, or relative at the earliest opportunity. It may be that they could
            be more successful in getting them to change their behaviour.
        o   If the bully or harasser is a carer/relative/member of the public or advocate it may
            be appropriate to discuss the matter with the patient/service user.
14.6    The Manager must inform the harasser of the consequences of further incidents. Where
        it appears the individual is refusing services on personal/racial grounds they should be
        advised that their action may be discriminatory.
14.7    It should also be made clear to the individual that in taking this action they may be
        deemed to be refusing services altogether, which may result in conditional care being
        instigated or either the withdrawal of a service or the loss of access to Board’s
Formal Stage
14.8    The Manager must consider the following prior to progressing to the formal stage or
        making their decision regarding formal action:
        o   The degree to which the incident undermines the relationship between parties;
        o   If any previous incidents have occurred and the severity of these;
        o   The health problem of the patient/service user;
        o   The effects of the incident on the member of staff.
14.9    If the incident is serious, or a repetition of a previous incident(s) for which informal
        action has been taken then the bully or harasser should be written to officially by the
        relevant Senior Manager informing them:
        o   That their comments, actions, behaviour is not acceptable and is potentially
        o   That further incidents will not be tolerated.
        o   Further incidents may result in conditional care being instigated or even the
            withdrawal of services depending on the circumstances.
14.10   Where the incident is sufficiently serious the Senior Manager will meet with the
        individual prior to putting the matter in writing as above. Any correspondence should be
        copied to the appropriate senior management.

14.11   In cases of physical violence or serious threats of violence the Senior Manager should
        also involve the police as appropriate. Notwithstanding this a member of staff may at
        any time involve the police as they wish. Reference should be made to the
        Management of Violence and Aggression in the Workplace Policy, which is linked
        to the Board’s Health and Safety Policy. Any decisions regarding conditional care
        must be approved by the Chief Executive or deputy in their absence.
14.12   Stage 2 above should be used for guidance.
Appeal Procedure
14.13   If a decision to take no further action is made the member of staff or their representative
        may request a formal review. This request should be made to the next Senior
        Management level or other individual as agreed within the Board within 10 days of
        receipt of the decision. It will be for this individual to decide once they have reviewed
        the investigation material as to whether further interviews or hearings are required and if
        a fair process has been followed given the circumstances.
14.14   It is recommended that further interviews or hearings are kept to a minimum to protect
        those involved.
14.15   This formal review process should be completed within 1 month of receipt of the
        request. The individual and their representative, where appropriate, should be kept fully
        appraised of the progress.

15.     Bullying/Harassment by Contractors and Staff from other Agencies

15.1    In cases where the bullying or harassment involves contractors or staff from other
        agencies, the policy above should be used as guidance. Due to the specific nature of
        the relationship between the Board and these individuals/organisations the following will
15.2    If the harasser is a contractor, or staff member from another agency the manager will
        contact the appropriate senior person within the company/organisation concerned to
        advise them that this type of behaviour is unacceptable and notify them that if it is
        repeated then the individual concerned may be refused entry to the Board’s premises.
15.3    This is predicated on the basis that all contractors are advised that the provisions of the
        Policy apply to them in advance of an award the Contract for Services under which they
        are operating. Also that partnership organisations are aware that whilst on Board
        premises or dealing with staff employed by the Board, they will be expected to behave
        in an acceptable manner.
15.4    This should be applied in line with guidance from the Informal Stage above.
15.5    Should the matter not be resolved informally, the following would apply:
        o   The appropriate Senior Manager within the Board will write to the appropriate senior
            person within the company/organisation concerned to advise them that this type of
            behaviour is unacceptable and that if it is repeated then the individual concerned
            may be refused entry to Board premises or continued contact with staff of the
        o   This should be applied in line with guidance from the Formal Stage detailed above.
15.6    Reference should be made to the policy for Management of Violence and Aggression
        in the Workplace.
Appeal Procedure
15.7    If a decision to take no further action is made the member of staff or their representative
        may request a formal review. This request should be made in line with guidance from
        the Appeal Procedure above.

Appendix 1: Key Roles and Responsibilities

Staff are responsible for:
   Treating others with dignity and respect and be aware of how their behaviour can affect
    other people;
   Challenging inappropriate behaviours of others and deal with conflict constructively;
   Supporting colleagues who are being bullied or harassed by assisting them in following the
    correct procedure;
   Respecting the authority and decisions of others;
   Recognising the needs of the business and of others;
   Acknowledging and recognising the efforts of others.

Confidential Contact
The Board will identify and train suitable individuals who are fully knowledgeable about the
Dignity at Work Policy, the Policy Statement on Bullying and Harassment at Work and this
Procedure. Details of the named individuals and how to contact them will be published as an
addendum to this Policy.
Due to the particular nature of bullying and harassment it can be helpful for an individual who
has been bullied or harassed to talk to someone who is independent and impartial to the
situation. Confidential Contacts will have an in-depth awareness of the Dignity at Work Policy
and Procedures; have undertaken training to develop listening and responding skills.
The role of the Confidential Contact entails consultative support through:
   Listening to individual concerns regarding incidents that have happened or how you are
    feeling, without any fear that any personal judgements are being made.
   Establishing if your complaint would be covered by the Dignity at Work Policy.
   Providing sufficient information regarding options available to enable the individual to make
    their own decision on how they want to move the situation forward.
   Talking through the procedure and concerns at any stage.
   Providing anonymous feedback to HR, via feedback sheets to assist in monitoring the
    implementation of the policy, and instances of bullying and harassment.
   Progress concerns to HR and line management with your expressed consent.
Note: It is also important to emphasise that the Confidential Contact has no formal role within
Disciplinary Procedures and is not expected or trained to fulfil a professional counselling/
mediation role.

Receiving Manager
The Receiving Manager in many cases will be the Line Manager of the individual against whom
the allegations have been made, or the next level of manager as appropriate within the
Directorate. Alternatively, the member of the Senior Management Team, with responsibility for
the area, (or an alternative member of the Senior Management Team in their absence), will
appoint a Manager with the appropriate level of experience,
The Receiving Manager will be involved in those complaints dealt with at Stage 2 of the
complaints procedure under this policy.
The Receiving Manager will have a number of responsibilities in order to ensure that the
procedure is applied consistently in all cases. On receipt of the written complaint, the Receiving
Manager will: ·Receive and check that the details contained in the written complaint are
sufficient to initiate the investigation, and to request further detail if necessary;
   Appoint an appropriate Investigation Manager and provide instructions to conduct the

   Liase with the complainant (and respective Line Manager concerned if relevant) in respect
    of suspension where necessary, or temporary transfer of either or both party in order to
    allow the investigation to take place;
   Inform the complainant and the person against whom the allegations have been made,
    contact details of the appointed Investigation Manager and the agreed anticipated
    completion date for the investigation.
   Monitor progress of the investigation, facilitate if necessary within the Directorate to enable
    the Investigation Manager to carry out their responsibilities within the timescales set out.
   Receive a first draft of the report of the investigation to consider and request further
    investigation or suggest adjustments as appropriate.
   Receive and review the findings and recommendations of the final Investigation Report and
    after due consideration, decide the outcome of the investigation. Provide a copy of the
    report to both the complainant and the person to whom the allegations have been made.
   Meet separately with the complainant and the person against whom the allegations have
    been made and their representatives to confirm the outcome and any actions both formal
    and informal to be progressed; confirm the right to appeal and the process of appeal;
    confirm details discussed in writing, within 5 days of the meeting, including the details of the
    appeal process.
   The Receiving Manager may be required to present the findings, including use of witness
    statements/evidence to a disciplinary hearing or an appeal panel and may further be
    required to attend an Employment Tribunal in connection with the investigation.

Investigation Manager
An Investigation Manager will be assigned to investigate complaints dealt with at Stage 2 of the
complaints procedure. He/she will be independent in that they will have no prior involvement in
the case or have current responsibility for Line Management of either party. They will have a
good understanding of the Dignity at Work Policy and Procedure, have relevant skills/
experience of carrying out interviews, objective thinking, reflective listening, providing
consultative support and report writing skills.
The role of the Investigation Manager will be to conduct a fair and thorough investigation in
accordance with the Dignity at Work Policy; they must take all reasonable steps to gather all of
the relevant facts surrounding the allegations.
This may include:
   Determining who should be interviewed and provide written signed and dated statements to
    support evidence. As a minimum this will include the complainant, the alleged harasser/
    bully, and any witnesses. This list may expand during the interview process. The person
    against whom the allegations have been made will also be informed of who has made the
    complaint and the nature of the allegations
   Explain the procedure, and their role within it, inform all parties of the need for
    confidentiality, discuss the possible range of outcomes from the investigation, and ensure
    that witnesses are aware of their rights and responsibilities, that statements will be shared
    with both parties, answer any questions as appropriate.
   Identifying additional information that may provide supporting evidence: absence records,
    performance appraisal records, PDP’s, local procedures, minutes of meetings, departmental
    or organisational changes that may have influenced the situation etc
   Confirming anticipated timescale required to complete investigation. This will depend upon
    availability of those involved. Every effort should be made to complete as soon as possible
    as extending the process may cause unnecessary difficulties, as evidence becomes less
    reliable, memory of events fade and the ongoing stress and anxiety experienced by those
    involved may be detrimental.
   Liase with the Receiving Manager to determine whether necessary to suspend / relocate
    either party in order to protect them or aid the investigation.
   Maintain an open and impartial position with regard to the people interviewed, reporting
    relevant facts and avoiding emotional impressions and hearsay.
   Ensure interviews reports are accurate and representative of the views of the witness. To
    prevent the complainant or the alleged bully or harasser having to repeat their statements to

    different managers at different times, full, written and signed statements from all involved
    should be taken at an early stage.
   Consider any additional support required for individuals concerned, e.g. any reasonable
    adjustments during the process, including assistance from Occupational Health if required.
   Monitor the progress of the investigation and keep both parties fully informed at regular
   Provide first draft of the report of the investigation to the Receiving Manger, who may
    request further investigation or adjustments as appropriate.
   Complete the investigation report, which will establish facts contain conclusions and
    recommendations, and provide to the Receiving Manager with supporting evidence, witness
    statements and notes summarising meetings held.
   Provide written confirmation to the complainant and the person whom against the complaint
    has been made, that the investigation has been completed and the case referred to the
    Receiving Manager.
   The Investigation Manager may be required to present the findings to a Disciplinary Hearing
    or an Appeal Panel and may further be required to attend an Employment Tribunal in
    connection with the investigation.

Line Managers
Managers are essential for the effective implementation of the policy. They are responsible for:
   Effective communication with staff and between staff by operating an open door policy and
    discouraging bullying and harassment at team meetings.
   Being aware of how their own behaviour is perceived and setting examples of standards of
    appropriate behaviour.
   Developing a culture where destructive forms of behaviour are not tolerated, where
    everyone is treated with respect and dignity.
   Recognising destructive behaviour and taking appropriate action to correct it when it occurs.
   Ensuring staff know about the policy and how to raise a bullying or harassment issue.
   Working effectively to find solutions to bullying and harassment cases.
   Supporting staff who may feel they are being bullied or harassed.
   Dealing with any complaints fairly, thoroughly, quickly and confidentially, respecting the
    feelings of all concerned.
   Ensuring that there is no retaliation against those involved in bullying and harassment
    complaints, including those providing witness statements.
   Recognising that gossip regarding bullying and harassment claims can be destructive,
    ensure occurrence will not be condoned.

Trade Union/Professional Organisation/Staff Side Representatives/Employee Director
Staff are encouraged to approach independent representatives from the relevant groups
available to discuss concerns.
They are trained and experienced to provide support by:
   Listening to your concerns and providing an independent view.
   Explaining how the procedures for making a complaint operate both informally and formally.
   Providing independent guidance, support and representation throughout both the informal
    and formal process.
   Maintaining confidentiality and your best interest to reach an effective resolution.

Human Resources
   An HR representative will be appointed to support the Investigation Manager.
   An alternative HR representative will be appointed to support an appeal procedure.
   HR have a responsibility to ensure that the policy is followed fairly and consistently.
   Wherever possible an alternative member of HR will provide advice and support Managers
    on the application of the policy.
   Wherever possible an alternative member of HR will support the appeal process.
   Listening to staff concerns and escalating issues appropriately.

   Advising Managers and staff where individuals feel that they are being harassed or bullied
    in the course of their employment.
   Monitoring incidence of bullying and harassment.
   Reviewing and amending the policy as necessary.

Occupational Health
   All staff have the opportunity to self refer, should they require further support, outside of that
    already sought.
   Information may be shared with Human Resources, in order to alert concerns.
   Information will be shared with Line Manager on request or with expressed consent.
   Line Managers may refer staff involved in bullying and harassments claims to Occupational
    Health, due to health concerns, this may be in conjunction with the Capability Procedure.
   Feedback will be provided to Line Manager and may also be referred to Human Resources.
   Occupational Health may be involved in referrals to professional counselling services if

Appendix 2: Information Sources

Awareness of this policy and the Human Resources Manual of Polices and Procedures will be
highlighted during the induction training for new staff and mandatory refresher days. The HR
Manual of Polices and Procedures will be provided to all Heads of Department, throughout the
organisation, be available on the intranet and be supported in a leaflet format.
Policies and Procedures to Reference
   Management of Violence & Aggression in the Workplace Policy
   Equal Opportunities Policy
   Redeployment Policy
   Disciplinary Procedure
   Grievance Procedure
   Management of Employee Capability Procedure
   Whistleblowing Policy
   Procedures on Recruitment for ExOffenders
   Complaints Procedure
   Code of Conduct

Sources of Information
   www.nhs.scotland.co.uk
   www.dti.gov.uk
   www.cipd.co.uk
   www.acas.org.uk
   www.bullyonline.org
   www.rcn.co.uk

Appendix 3: Dignity at Work Procedure Flow Chart

                                 Individual feels subjected to

                             Is the alleged behaviour likely to be
                                serious or gross misconduct?

         Do they feel able to handle it on their                       NO                       YES

        YES                               NO                   Discuss with
                                                              Line Manager

   Personal Action
   Consider discussing                                        Agree course
   with a confidential                                          of action
   contact who will
   listen / refer to DAW
   Policy / advise
   options how to
   approach / who to
   contact for further            Informal Stage                             Formal Stage
   support or seek                Incident reported to Line                  Complaint made in writing to
   support from your              Manager. Agree approach                    Line Manager of the alleged
   Line Manager                   with Line Manager of alleged               perpetrator (Line Manager is
                                  perpetrator to establish                   the ‘receiving manager’.
                                  facts/follow up to prevent

  approaches alleged
  perpetrator and                 Agreed follow up action carried            An appropriate Manager is
  requests unwelcome              out                                        appointed to carry out the
  behaviour to stop                                                          investigation. With
                                                                             independent support from HR

                                  Unwelcome behaviour stops?

                                                                             Investigation carried out in line
                                                                             with procedure. Parties must
   Individual records                                                        be kept up to date with the
   details of action               YES                     NO                anticipated timescales for
   taken and notifies                                                        completion
   Line Manager

                                   No further          Is it worth
                                   action                 trying             Investigation Manager
   Unwelcome                       required             informal             provides report of findings and
   behaviour stops?                                  route again?            recommendations to the
                                                                             Receiving Manager

  YES            NO                               YES            NO

                                                                                      See over page

         No further                                                                         Receiving Manager provides a
         action                                                                             copy of the report to both parties
         required                                                                           and provides the opportunity to
                                                                                            meet to provide feedback and
                                                                                            discuss outcome

                                                 Possible Outcomes

Insufficient evidence or     Informal Action                     Disciplinary Action                 Malicious Complaint
complaint unfounded          Progressed within 1                 Formal hearing                      Disciplinary action
Some form of informal        month may include:                  convened – process                  may be taken against
action may be considered     mediation, Capability               outlined in disciplinary            the complainant
depending on the             Procedure, Monitoring               policy
circumstances                and review process,
                             Development Plan

                           Outcome confirmed in writing, providing right of appeal
                                          See appeal procedure

                                                   Appeal Procedure
                                   Appeal must be made in writing with supporting
                                  justification, within 10 days of the outcome being
                                   confirmed, to the EMT member responsible for
                                               the Directorate concerned

                                                 Appeal Hearing held
                                                 with individual (and
                                                 presenting the case

                                                 EMT will review
                                                 report and evidence
                                                 from investigation,
                                                 and make an
                                                 informed decision of
                                                 the outcome

                                                 Final outcome
                                                 confirmed in writing.


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