Trust Policy for Dignity and Respect at Work - East and North Herts ...

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTDIGNITY AND RESPECT AT WORKabc1. INTRODUCTIONThe Trust is committed to a policy of equality of opportunity and aims toprovide a working environment that is free from unfair discrimination.All individuals should be treated with dignity and respect whether atwork or study; staff and management have an important role to play increating an environment where harassment is unacceptable.This policy applies to all staff working within the Trust regardless oftheir role, position, band or seniority within the organisation. As such, itwill cover employees, visitors, patients, contractors and staff from otherorganisations working on Trust premises.The purpose of this Policy is to assist in developing and encouraging aworking and learning environment and culture in which harassment isknown to be unacceptable and where individuals have the confidenceto deal with harassment without fear of ridicule or reprisals. This policyaims to ensure that if harassment or bullying does occur, adequateprocedures are readily available to deal with the problem and toprevent it from recurring. The Trust recognises that bullying andharassment can have a detrimental effect upon the health, confidence,morale, learning and performance of those affected by it.The Trust undertakes to: Apply the policy to all members of staff including Medical andDental staff and patients. Ensure a prompt response to formal complaints. Treat incidents of harassment or bullying as being very serious.In some instances, harassment may be dealt with informally, inothers, there may be grounds for disciplinary action, includingdismissal. Publicise the policy as widely as possible in order to ensure thatall staff and management are aware of its existence.2. KEY OBJECTIVESComplaints of harassment or bullying will be taken seriously.Complaints will be investigated promptly and objectively andappropriate action will be taken.Author: HR Policy Lead Date of issue: September 2009 Page 3 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTThe purpose of this policy is to provide protection and support forindividuals facing harassment and to outline what action may be taken.It explains what you should do: -As an employee experiencing harassment.As a Manager receiving a complaint.As a colleague of someone who is being harassed.It is the intention that the majority of problems are addressed informallyby the harasser being made aware that their behaviour isunacceptable, that it should cease immediately and, where theallegation concerns another member of staff, that failure to do so couldresult in disciplinary action.3.0 DEFINITIONSBullying may be characterised as offensive, intimidating, malicious orinsulting behaviours, an abuse or misuse of power through meansintended to undermine, humiliate, denigrate or injure the recipient.Harassment is unacceptable or unwanted behaviour that can affect thedignity of staff in the workplace. This can range from violence andbullying to more subtle behaviour such as ignoring an individual at workor study. It subjects an individual or a group to unwelcome attention,intimidation, humiliation, ridicule, offence or loss of privacy. It isunwanted by the recipient and continues after an objection is made,although a single incident may be serious enough to constituteharassment and justify a complaint.This definition includes sexual and racial harassment, and bullying aswell as any other form of personal harassment arising from disability,sexual orientation, socio-economic status, age, religion etc. It can be asingle explicit incident causing distress or repeated unacceptablebehaviour affecting the dignity of an individual that appears or feelsoffensive, demeaning, intimidating or hostile to the individual.Differences in attitude, background or culture can mean that what isperceived as harassment by one person may not seem so to another.Harassment will have occurred if any independent, reasonableindividual deems it to have occurred.Examples of behaviours that are offensive, abusive, malicious, insultingor intimidating, include: Unwanted physical contact, physical abuse, over familiar orsuggestive gestures and behaviour, open hostility includingorganised hostility in the workplaceAuthor: HR Policy Lead Date of issue: September 2009 Page 4 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUST Offensive or suggestive verbal remarks, insults or ridiculebecause of age, sex, sexual orientation, disability, race,nationality, religious or political conviction Circulation or display of offensive or suggestive materialincluding e-mail Sending of unwanted messages via e-mail Exclusion from normal workplace conversation or social events Victimisation False/malicious allegations Repeated unjustified criticism Action by a manager imposed without reasonable justification Unfair allocation of work and responsibilities Preventing individuals progressing by intentionally blockingpromotion or training opportunities Changes in duties or responsibilities of the employee to theemployee’s detriment without reasonable justification Unfair treatment on the basis of Trade Union membership4. ROLE OF HUMAN RESOURCESThe Human Resources department has a responsibility to ensure thatthe policy is followed fairly and consistently. Their duties will involve butnot be limited to:1. Advising managers on the application of the policy2. Advising managers and staff where individuals feel that they arebeing harassed or bullied in the course of their employment3. Ensuring the effective implementation of the policy4. Monitoring incidence of bullying and harassment and initiatingappropriate action5. Reviewing and amending the policy as necessary.5. EMPLOYEE SUPPORT PROGRAMME (ESP)The Trust provides a confidential external service for its staff. Thisservice offers 24 hour telephone support with confidential face to facecounselling sessions. The advice line will have access to this policyand will guide staff how to take the appropriate action.There is also a provision for managers to seek guidance on how todeal with a bullying or harassment issue.The ESP can also provide support for those individuals who are beingaccused of bullying or harassment.6. OCCUPATIONAL HEALTHAuthor: HR Policy Lead Date of issue: September 2009 Page 5 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTAny member of staff who is involved in a claim of bullying and harassmentmay find it helpful to talk to the occupational health service. All employeeshave a right to refer themselves to occupational health.7. PROCEDURE7.1 Initial Individual ActionSometimes people are not aware that their behaviour is unwelcomeand an informal discussion can lead to greater understanding and anagreement that the behaviour will cease. Talk to the person you believeis harassing or bullying you. You may choose to do this yourself, or youmay need support.It is advisable that individuals should keep a diary of events.If further incidents occur, or the employee does not feel able toapproach the person responsible, they should seek advice and supportfrom a colleague, their line manager, HR Officer, HR Manager or TradeUnion representative.7.2 Informal ActionThe line manager should then arrange an informal discussion with themember of staff to talk through their concerns. The manager wouldthen determine how best to resolve their concerns informally. This maytake to form of:Training or DevelopmentMediation, as agreed by both partiesThe Line Manager would then meet the person who is believed to beharassing or bullying the member of staff to advise them of theconcerns that have been raised and discuss ways in which theconcerns can be resolved. Following discussions with HR the Linemanager would then make a decision on how to move forward andadvise the two individuals of this. The Line Manager would beresponsible for future monitoring and ensure prescribed improvementshave occurred and the unacceptable behaviour has ceased. If at anytime the complainant encounters reprisals, the case moves to theformal stage immediately.It is important that all parties participate in an informal process beforemoving on to formal action. An informal discussion will be beneficial toall concerned.7.3 MediationMediation is a way of sorting out disagreements or disputes informally.A trained mediator works with the people who have a disagreement orAuthor: HR Policy Lead Date of issue: September 2009 Page 6 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTdispute to help them reach an agreement that will sort out theirproblem. Any such mediator should be an employee of the Trust e.g. aHuman Resources Officer or HR Manager, Trade UnionRepresentative or a line manager of equivalent status to the immediateline manager. In exceptional cases external mediation may by soughtin agreement with all parties. If this approach is not acceptable to eitherparty then the employee can invoke the formal resolution stage.The mediator will decide how best to do carry out the mediation. Theywill usually talk to each of the parties involved in the dispute ordisagreement separately and then, later on, talk with those involvedtogether.7.3.1 What is good about mediation? It is voluntary It leaves you in control of what is finally agreed rather thanhaving someone else decide for you It is less stressful and generates better and longer lastingsolutions and it has a good success rate It can be a chance to sort out a problem informally8. FORMAL ACTION8.1 Complaints Against Other Staff MembersIf informal attempts have not brought a resolution and the harassmentor bullying has not ceased, the complainant needs to make a formalwritten statement to their Line Manager/Deputy GeneralManager/Divisional Director. Individuals should complete the form atthe back of the policy and send it to the relevant manager, either theirline manager, or their line manager’s manager.The manager receiving a written complaint of harassment or bullyingwill respond in writing within 7 calendar days to the complainantexplaining the procedure to be followed. The complainant must beinformed that their complaint will be explained to the alleged harasser.The manager must decide:Whether it is necessary for either party to relocate to anotherworkplace/area.Whether authorised paid leave for either party or both isappropriate.None of the individuals concerned should suffer any financial orother detriment as a result of any of the above actions.Author: HR Policy Lead Date of issue: September 2009 Page 7 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTThe manager will appoint an Investigating Officer. The InvestigatingOfficer will be a manager outside the service/unit where the individual/swork and in some cases may be an external investigator. They will betrained in the skills of objective investigations, interviewing and reportwriting.The Investigating Officer will inform the alleged harasser in writing ofthe complaint that has been made against them within 7 calendar daysof the complaint being received. The terms of reference for theinvestigation, nature of the allegation, including dates and times andany potential witnesses should be contained within the letter sent to thealleged harasser/s. The alleged harasser will also be told that a formalinvestigation will be conducted, during which time they will have theopportunity to give their account of events. Access to appropriatesupport, including a Trade Union representative or friend, will be madeavailable from the outset and available to all parties involved.The investigation should commence within 14 calendar days ofreceiving the complaint. If it is not possible to meet the timescales allparties must agree and will be kept fully informed. Any relevantwitnesses should be interviewed and the importance and reasons forconfidentiality must be emphasised.On concluding their investigation the Investigating Officer will producea factual report within 4 weeks of the last interview for presentation tothe appropriate Manager.It is the responsibility of the Manager to produce an outcome to a validcomplaint, which offers action that may include mediation.The Manager will decide whether the Disciplinary Procedure needs tobe invoked for the alleged harasser, at which point they will considerwhether the complaint constitutes potential gross misconduct andwhether the harasser should be suspended or placed on authorisedpaid leave. Advice should be sought from the HR Department on theaction to be taken, however it is the manager’s responsibility to makeany decision regarding any outcome.In instances where a formal disciplinary hearing has not beenconvened the Investigating Officer and the Manager, together with amember of the HR Department, will meet separately with thecomplainant and the alleged harasser to explain the outcome of theinvestigation. (Trade Union) Representatives will accompany staff atthese meetings. Any witnesses will be informed that the investigationhas been completed, however the details of the outcome will not beshared.The Manager should then consider how any outstanding issues areresolved. This may include a recommendation that internal/externalcounselling/mediation is offered, or an agreed action plan for a changeof behaviour may be implemented, which may include Equality andAuthor: HR Policy Lead Date of issue: September 2009 Page 8 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTDiversity Training./ monitored by HR.The recommendations should be reviewedIf a complaint turns out not to have been made in good faith, theManager should decide whether the Disciplinary Procedure should beinvoked for the complainant.Where the case is referred to the disciplinary policy the panel mayconsider alternatives to verbal or written warnings under this policy (forexample if the working relationship has become intolerable). Theseinclude:DemotionCompulsory transferFor the same reason the Trust may also transfer the perpetrator duringthe investigation if the alternative would be to suspend. As withsuspension, this transfer would be a neutral act.The complainant will have the right of appeal if they feel that theprocess of the investigation has been unfairly or poorly carried out.This appeal should be put in writing to the Director of HumanResources within 14 calendar days of the date of the letter confirmingthe outcome.Where a complaint of harassment is not upheld, consideration shouldbe given to transferring or rescheduling the work of one of theemployees concerned without any element of penalty, rather thanrequiring them to continue to work together against the wishes of eitherparty.Staff making complaints of harassment may seek advice from theEmployee Support Programme and Counselling Service, HRDepartment and their Trade Union Representative. Individuals canrefer to any support service.8.2 Complaints by Members of Staff Against Employees of otherOrganisationsIf following Individual Action the bullying or harassment has notceased, the complainant will be advised to make a formal writtenstatement.The formal written statement will be given to the Line Manager of themember of staff from the other organisation and a copy to the HumanResource Manager of the other organisation. The member of the otherorganisation will then be investigated under their organisations Dignityand Respect Policy. The Trust member of staff may be asked to attendmeetings and will be able to bring a representation / support from theTrust with them.Author: HR Policy Lead Date of issue: September 2009 Page 9 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUST8.3 Complaints by an Employee from another organisation against aTrust member of StaffIf following Individual Action the bullying or harassment has notceased, the complainant will be advised to follow the Trust Dignity andRespect policy.The Line Manager of the member of staff from the other organisationand the Human Resource Manager will be informed of this. Themember of staff may be accompanied to any meeting by a Trade UnionRepresentative, friend or colleague not acting in a legal capacity.8.4 Harassment of Staff by Patients/Service Users/RelativesIt is important not to ignore this type of harassment, even using illness,confusion, old age or mental ill health as reasons for the behaviour. Noemployee should have to suffer harassment. The Trust recognises theright of its employees to work in an environment free from harassment.The Trust views violence or aggression, verbal or physical, againststaff, service users or visitors to the trust as unacceptable. The Trustrecognises and accepts its responsibility for the prevention andmanagement of bullying and harassment in accordance with relevantlegislation. The Trust will make every effort to provide a safe workingenvironment.Harassment of members of staff can be an expression ofdissatisfaction with the care that is being provided. It is important,therefore, that the appropriate clinician is consulted during anyinvestigation. They will also help to distinguish harassment frombehaviour related to the patient's health problem.One solution might be to replace the recipient with another member ofstaff. This, however, is not an acceptable or appropriate course ofaction unless the member of staff who has been harassed requests it.An employee who is the subject of harassment from a patient, serviceuser, carer, relative or member of the public should consider Individualaction in the first instance, such as informing the harasser that theirremarks, actions or behaviour are unacceptable, telling them not torepeat it.In some instances staff who have suffered harassment may not beconfident or feel able to tell the harasser. If this is the case they shouldthen report it to their line manager, this would move the process ontothe informal stage. The employee should not be obliged to approachthe perpetrator him or herself, but should be entitled to have the matterdealt with swiftly by their line manager.Managers should take immediate action to stop harassment as soon asit is reported. The matter should be discussed sensitively with thecomplainant and appropriate clinician and agreement reached on thecourse of action to be taken. For some members of staff it may beAuthor: HR Policy Lead Date of issue: September 2009 Page 10 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTenough that their concerns have been treated with sufficientseriousness and no further action will be necessary. However, bypointing out to the harasser that their behaviour is unacceptable,managers on many occasions will be able to put a stop to the problemwithout the need for further action.The harasser should be approached by the complainant's immediateline manager, e.g. Ward Manager, Team Leader or person responsiblefor the overall care of the patient. Written records detailing the time,date, place, witnesses, and how the alleged harassment took placeshould be kept by the manager, along with details of any action taken.The person with overall responsibility for the care of the patient/serviceuser will be informed. The employee should be offered the use offurther support/counselling.The Trust will not tolerate harassment to its staff and further action willbe dealt with through care practices.If, the harassment persists or an incident is sufficiently serious, theindividual should put a complaint in writing to their Line Manager within14 calendar days of the incident, following the informal procedure. Thisshould include details of what has happened and how it is affectingthem as described in the informal action above. There will be an initialresponse to a formal complaint within 7 calendar days to advise themwho will be the investigating officer and HR Officer or HR Managersupporting the investigating officer.The complainant will have the right to representation at this meeting.The complainant will have the right of appeal if they feel that theprocess of the investigation has been unfairly or poorly carried out.This appeal should be put in writing to the Director of HR within 14calendar days of the letter confirming the outcome.9. THE ALLEGED BULLY / HARASSERThe alleged bully/harasser will have the right to representation at themeeting. The alleged bully/harasser will be informed of the potential foran appeal against the findings of the report by the claimant. They willbe advised on one of the following outcomes:1. No case to answer. All records of the matter will be disregardedfor disciplinary purposes. Furthermore, should there be anyfurther allegations against the individual by the samecomplainant then issues that have already been investigatedand not found may not be raised again in a further complaint.2. The matter is to be dealt with informally, the individual who hasbeen accused of bullying or harassment will be advised of whatwill be included in that informal action. The detail of which willremain confidential and not shared with any other parties. TheAuthor: HR Policy Lead Date of issue: September 2009 Page 11 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTcomplainant will be told that informal action has been taken andthe inappropriate behaviours will stop.3. The case will go to a formal disciplinary hearing.The appropriate senior line manager in the department will beresponsible for any subsequent informal or formal action.10. MALICIOUS COMPLAINTSAll complaints of bullying and harassment will be considered within thecontext of the right of each individual to be treated with dignity, respectand with fairness. Staff who have a bona fide complaint areencouraged to raise it without fear of recrimination, in the knowledgethat the Trust takes issues of bullying and harassment extremelyseriously.However, proven malicious complaints of bullying and harassment willbe considered as gross misconduct by the Trust and disciplinary actionup to and including summary dismissal of the complainant will betaken. When there is no case to answer, the complaint will only betreated as a malicious complaint when there are reasonable grounds todo so.A malicious complaint must comprise of the following criteria:1. The investigation has found the original complaint to be withoutfoundation2. The investigation can demonstrate that the complainant inmaking the complaint knowingly lied to the investigating officer.11. INVESTIGATION OUTCOMESIf, following a hearing, it appears that bullying/harassment andtherefore misconduct has occurred, the hearing manager willrecommend the appropriate course of action in line with the Trustsdisciplinary procedure.In cases where the two parties are to remain in the service of the Trust,yet are from the same work area, it may be necessary for them to beseparated. Wherever possible, it will be the alleged bully/harasser thatwill be moved if a complaint is upheld against them. When separatingparties the Trust will also consider the needs of the service whendeciding who is moved and where they are moved to. If it’s not possibleto separate the individuals due to service issues, senior managementwill undertake to review the relationship on an ongoing basis andprovide support.Informal action will include such remedies as training, performancemanagement, coaching, buddying and mentorship.Author: HR Policy Lead Date of issue: September 2009 Page 12 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTThe complainant will be met and told that the investigation has beencompleted, but no details of recommendations will be given as this isconfidential.12. REVIEW, MONITORING AND EFFECTIVENESSThe Trust monitors the number of concerns raised under the Dignity andRespect at Work Policy. As a result of any changes in legislation the Policy isupdated and also following review of individual cases the Trust revises, asappropriate, it’s handling of any subsequent complaints.The effectiveness of this policy will be periodically monitored and reviewed bya group consisting of Senior HR staff and Staff side and will also take intoaccount feedback from staff. If it is found to be ineffective the policy will bereviewed and revised.13. TRAININGA training needs analysis has been carried out in relation to this policy andtraining is provided for managers. Mediation training is also available for Truststaff.14. RELATED DOCUMENTSHealth and Safety at Work act 1974Sex discrimination Act 1975Race Relations Act 1976Disability Discrimination Act 1995Criminal Justice and Public Disorder Act 1995Employment Rights Act 1996Protection from Harassment Act 1997Crime and Disorder Act 1998Race Relations Bill 2000Employment Act 2002Employment Equality (Sexual Orientation) Regulations 2003Employment Equality (Religion or Belief) Regulations 2003Human Rights Act 1998Author: HR Policy Lead Date of issue: September 2009 Page 13 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTAuthor: HR Policy Lead Date of issue: September 2009 Page 14 of 15Regn. No: 010 Version No: 2 Valid until: September 2011

DIGNITY AND RESPECT POLICYEAST & NORTH HERTS NHS TRUSTAPPENDIX 1FORMAL HARASSMENT REGISTRATION FORMThis form should be completed by an employee invoking the Harassment andBullying Policy and Procedure and sent to their line manager, or their line manager’smanager, or to the Head of Human Resources.The normal process for a formal harassment procedure should only be invoked afterinformal discussions have taken place and failed to resolve the matter.PERSONAL DETAILSNAME …………………………….DEPARTMENT ……………………………………JOB TITLE ……………………….WORK PLACE/SECTION ………………………...TELEPHONE NUMBER…………………………..THE HARASSMENT AND BULLYING ALLEGATIONSPlease give summary of allegations:-This section must be completed. It is not sufficient to refer to other documentswithout summarising your allegations below.Include information on:What the allegations are aboutRelevant dates of eventsWitnesses to eventsWhere they took placeRelevant background information leading up to the allegationsWhy the issue was not resolved at earlier stage, why did the informal processnot result in a resolution?What action have you already taken to try and resolve the conflict informally?What outcome are you looking for? What do you expect the Trust to do next? (i.e.,how can your concerns be resolved?)Signature ………………………………… Date ……………………………………Received by:Signed ………………………… …………Date ……………………………………Author: HR Policy Lead Date of issue: September 2009 Page 15 of 15Regn. No: 010 Version No: 2 Valid until: September 2011