AGENDA ITEM: 12

HARASSMENT AND BULLYING AT WORK POLICY & PROCEDURE

Review Date: September 2008

Review By: Head of Human Resources

1

Contents Page

Background to the Policy

3

What is Harassment?

3

Types of Harassment

4

Bullying

5

Courses of Action

7

Actively Implementing the Policy

9

Procedure for dealing with Complaints of Harassment or Bullying at Work

11

Informal Process

12

Formal Process

13

Form A

20

Form B

22

Form C

24

Form D

26

Appendix One

27

Appendix Two

31

Proforma for Investigation Report

34

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HARASSMENT AND BULLYING AT WORK POLICY & PROCEDURE 1.

Background to the Policy

Employees of the Trust have a right to be treated with dignity and respect, as set out in the Trust’s Staff Charter. As an employer, the Trust has both a legal and moral duty to protect their employees against harassment and bullying. Any such behaviour will be dealt with under the Disciplinary Policy & Procedure as a disciplinary offence that could lead to dismissal. Whilst wishing to ensure that any such occurrences of harassment or bullying will be treated with due gravity, it is not intended that having such a Harassment and Bullying at Work Policy should restrict personal expression within accepted norms, or stifle social interaction in the workplace. All employees are asked to treat this issue seriously, to read this document carefully and consider whether their actions and behaviour are always appropriate in the workplace. Managers’ responsibilities are clearly defined in this policy in terms of how they respond when they become aware of potential harassment and bullying issues. Managers in particular must ensure that their actions and inactions could not be misconstrued to be bullying or harassment when dealing with an employee. Harassment and bullying in the workplace can lead to illness for the employee being harassed, causing anxiety and tension, preventing an effective working environment. It can lead to stress at work or illness, increased absenteeism, resignation and denial of opportunities limiting future prospects. All employees should be given the opportunity to perform to their best abilities and therefore harassment or bullying at work will not be tolerated. Throughout this policy the term harassment is taken to mean an all encompassing term, which includes harassment and bullying.

2.

What is Harassment?

Harassment can be defined as any action based on gender, race, skin colour, ethnic origin, disability, sexual orientation, religion or age, by a person (or group of people) that is unwanted and unreciprocated, is found objectionable and causes humiliation, offence and distress. In addition to deliberate harassment, someone’s behaviour may unintentionally give offence to another. However, the law does not take into account the motive or intention of the harasser. The law takes into account only the impact the behaviour has on the recipient; ignorance of the law is no defence. People who are particularly vulnerable are those with less influence within the organisation or in society as a whole. Harassment may be an isolated incident or a series of events and can include gestures, verbal (spoken or written) or physical acts or other conduct making the recipient feel uncomfortable or upset and/or humiliated. Harassment (and bullying) may take place both in the workplace and outside between two individuals or several people (e.g. one person may harass a number of others or a group of people may harass one individual). Where the procedures refer to one perpetrator and one complainant, it should be interpreted to cover all other combinations.

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3.

Types of Harassment

3.1

What Is Racial Harassment?

Racial harassment covers race, colour, nationality or ethnic or national origins and can be seen as a deliberate or calculated act directed by members of one distinct racial group against those of a different racial group. Harassment in this context may be defined as any action by a person (or a group of people) that is unwanted, found objectionable, and causes humiliation, offence and distress. Harassment may be an isolated incident or a series of events. The following examples identify some types of behaviour that could constitute racial harassment. The list is illustrative only, and should not be regarded as exhaustive: Physical:

Physical threats or assault;

Verbal:

Derogatory comments; racist jokes; persistent name-calling or abusive language;

Non-verbal:

Wearing of offensive badges or insignia; offensive publications; racist posters or graffiti; insulting gestures or behaviour;

Intimidation:

Deliberate exclusion of a person(s) from conversations or particular types of work; rejection or isolation of an employee by refusing to talk or work with them; unfair pressure regarding the speed and; quality of work or unfair work allocations; unjustified supervision; the frequent invitation of comments on racial issues from a member of a minority racial group.

Similarly, harassment on religious grounds may arise in the form of verbal or other abuse in relation to the prayer, dress, dietary or other observances of the religion concerned. Where there are few people from visible ethnic groups in the workplace, the harassment may be perceived as worse, because of the recipients feeling of isolation. Some apparently trivial incidents, repeated over time, can create an unpleasant, intimidating or frightening atmosphere. Someone experiencing such incidents is often more deeply affected by them than the perpetrator thinks. What is important is the perception and feelings of the recipient. 3.2

What is Sexual Harassment?

The European Commission defines sexual harassment as “unwanted conduct of a sexual nature or other conduct based on sex affecting the dignity of women and men at work”. It is the creation of an offensive working environment where individuals feel uneasy because of their gender. Sexual harassment is direct, and personal, and causes humiliation, offence and distress to the recipient. Sexual harassment is perpetrated by men against women, by women against men, and by same sex harassment. Sexual harassment also includes harassment of transsexuals. Sexual harassment in the workplace can lead to illness for the employee being harassed, causing anxiety and tension; it may also prevent an effective working environment. Perceptions of what constitutes sexual harassment may vary from person to person, and sometimes what is perceived as friendliness by one person may well be interpreted as unwelcome attention by another, but the following examples identify some types of unwelcome or unwanted behaviour of a sexual nature. The list is 4

illustrative only, and should not be regarded as exhaustive: a) Physical: Touching, patting, pinching or brushing against another employee’s body, assault. b) Verbal/Written: Sexual advances, demands for sexual favours, lewd comments, sexual innuendo or other suggestive comments, offensive e-mails, notes or messages, flirtation. c) Non-verbal: The display of pornographic or sexually-suggestive pictures, objects or written materials, leering, whistling or making sexuallysuggestive gestures. d) Intimidation: Conduct that ridicules or offends or is physically abusive, based on the gender, dress or appearance. e) Sexual extortion: Suggestions that sexual favours may further someone’s career, or that refusal may damage it. 3.3

Sexuality Harassment

Lesbian women and gay men are disproportionately at risk of such harassment, which can include written, verbal, physical assault, comments and jokes that imply lesbian or gay lifestyles are inferior and should not be talked about, exclusion from social groups, or denial of job opportunities or certain types of work. In this context harassment may take place between two individuals, or a group of people may harass one individual. 3.4

Disability Harassment

Harassment directed at employees with disabilities, specific health conditions or persistent ill-health may include offensive or patronising remarks, ridicule, exclusion from certain types of work, ignoring or devaluing ability, physical assault, lack of job opportunities and excluding the employee from conversations or full participation at work. 3.5

Age Harassment

Unjustified assumptions made about a person’s value and abilities because of their age are examples of age harassment. It also includes ageist jokes and comments, physical threats or abuse or stereotyping about commitment to the job leading to the denial of development opportunities. There is sometimes a belief that older employees have outdated ideas and are inflexible with regard to change. Younger people are sometimes treated as though their views are unimportant because it is thought they lack experience, maturity or commitment.

4.

Bullying

4.1

What is Bullying?

Bullying can be defined as offensive or vindictive or manipulative behaviour that humiliates and undermines individuals or groups of people. Bullying at work is not an isolated expression of anger, but regular and persistent intimidation by one or more persons against an individual or group, which undermines the confidence, self-esteem and integrity of the target. Bullying is often, but not exclusively, the misuse of position or power, the persistent exertion of pressure on subordinate staff by those in authority, to coerce by fear and persecution or to oppress them by force or threat. Bullying is a sustained form of psychological abuse but it can manifest itself as attacks on individuals that are sudden, irrational, unpredictable and unfair. However, occasionally 5

the reverse happens and it could be carried out by a subordinate on a manager. Occasionally, bullying may arise in a peer-group context, where an individual is targeted by colleagues. Bullying must be distinguished from the right of, and obligation placed on managers, to exercise proper supervision of staff in the course of their duties. Whilst recognising individual personality traits and attributes of the staff they supervise, managers will exercise this supervision in a fair, constructive, consistent and reasonable manner which does not compromise the employee’s dignity. 4.2

Examples of Bullying

The following list is not exhaustive but gives examples of the type of inappropriate behaviour which may be used: a) b) c) d) e) f) g) h) i) j) k) l) m) n) o) p) q) 4.3

Repeatedly shouting at an individual Persistent and sometimes violent criticism Personal insults or name-calling Conduct which denigrates, ridicules, or humiliates an individual in front of their colleagues Picking on one person where there is a common problem Overruling, ignoring, or marginalising an individual Increasing responsibility whilst decreasing authority Removing responsibility and imposing menial tasks Withholding work related information The frequent setting of unrealistic deadlines Constantly undervaluing effort Constantly changing targets or work guidelines Consistently undermining an individual’s professional ability until their confidence crumbles Isolation at work, ignoring Non co-operation or communication Offensive language, gossip, spreading malicious rumours, slander, personal insults, name-calling Comments, looks, whispering The Effects of Bullying Behaviour

The effects of bullying can be significant and broad ranging, signs of which may be physical or psychological. The following list is illustrative only, and should not be regarded as exhaustive: Physical:

nausea, sweating/shaking, palpitations/trembling, panic attacks, sleeplessness, stomach/bowel problems, backache, headaches, skin complaints;

Psychological:

acute anxiety, loss of confidence, feeling isolated, loss of selfesteem and motivation, depression, tearfulness.

As with other forms of harassment, bullying is essentially experiential and depends upon how the person subjected to the inappropriate behaviour feels, rather than the intentions of the perpetrator.

5.

Courses of Action (Refer to flowcharts)

An employee who feels that they are being harassed or bullied has more than one course of action available to them. 6

Employees have a right to: a) b) c) d)

Access to a Contact Officer (see 6.2) for advice on the options available Access to an informal process to resolve issues Make a formal complaint about harassment or bullying at work Expect that every complaint will be fully investigated and dealt with appropriately.

The Trust is striving to provide a good working environment for all staff in its employment and, indeed, the people it serves. This includes ensuring that everyone is treated equally and with respect. Incidents of discrimination, bullying and/or harassment need to be brought to the attention of management to ensure that unacceptable behaviour is eliminated, and that a good environment can be maintained for the benefit of everyone. If such incidents are not reported they cannot be dealt with, and the alleged perpetrator may continue to subject others to similar treatment. Some people are unaware that their behaviour in some circumstances is harassing or bullying. If it is clearly pointed out to them that their behaviour is unacceptable, the problem can sometimes be resolved. With this in mind, this policy includes informal as well as formal procedures to deal with cases of harassment or bullying. The informal process may not be appropriate for some cases of harassment or bullying, when the formal process might be better. Formal cases are rare within the Trust, and it is hoped that most could be resolved satisfactorily at an informal and early stage. 5.1

Responsibilities of Employees

Each employee has a responsibility for his/her own behaviour. Employees must ensure that their behaviour does not constitute harassment or bullying, and they should co-operate in complying with the procedure. In particular employees are expected to consider the impact of their behaviour on others. Employees should offer support to a known target of harassment or bullying and not support the behaviour directly or indirectly by ignoring or condoning it. Employees have a responsibility to challenge and/or report harassment and bullying, where they see it, to the appropriate manager or use Form B. Employees have a responsibility to read and understand this policy and procedure. 5.2

Responsibilities of Managers

Managers are responsible for communicating this policy and procedure to all employees and new recruits. All levels of management have additional responsibilities in this policy and procedure, as follows: • to role model acceptable behaviour; • for addressing workplace harassment or bullying; • for taking appropriate decisions and actions as befits the nature of the situation; • to respond swiftly to information received or official complaints; • to work actively towards eliminating harassment and bullying behaviour; • to be sensitive to personal feelings and perceptions. The Head of HR will oversee formal investigations to check that they are completed within the specified timescales and are compliant with the policy. 5.3

Harassment by Contractors, NHS Professionals, Agency Staff, Service Users or 7

other groups Employees have a duty to report incidents of harassment by people who are not Trust employees. This should be done by advising his/her line manager of what happened and by completing an Incident Report Form C (See attached forms). The Trust has a duty to provide a safe working environment for its employees and will take what action it can to protect employees from harassment or bullying by third parties. Management undertakes to investigate reported incidents and take appropriate action, which could include, for example, a formal letter from the Trust’s Solicitor setting out reasonable behaviour, loss of the contract, termination of agency agreement, and withdrawal of service. 5.4

Management Action Options

The Trust has a range of options it may use to resolve harassment and bullying issues. These may include the following: a) Counselling where appropriate for the complainant and any other individuals involved in the incident by occupational health. This can be self or management referral for counselling. b) Discussing behaviour and requirements in a team meeting (without breaching confidentiality) within the area where problem arises facilitated by the line manager. c) Line manager to have one to one interviews with the alleged perpetrator to inform him/her of the effect of his/her behaviour and setting out expectations for the future. It may be appropriate to set targets with appropriate mechanisms to monitor progress and identify training needs. d) Referral to Training & Development Department for interpersonal skills training (i.e. communication skills, assertiveness, diversity awareness etc.). e) Mediation/Arbitration which is the use of qualified individuals to explore the individuals differences, settle them and find new constructive ways of working together. If this is necessary then the Line Manager should contact the Head of HR who will research a qualified mediator and obtain costs for the work. f)

Referral to Training & Development Department for mentoring for the complainant or the alleged perpetrator.

It should also be noted that disciplinary action and sanction may be taken against perpetrators of harassment and bullying. Disciplinary action may be taken only after a formal investigation has been conducted. Please see the disciplinary policy and procedure for further information.

6.

Actively Implementing the Policy

In order that this policy is actively implemented and is effective in eliminating harassment and bullying, the policy will be publicised in the following ways: a) All new employees will be issued with a copy of this policy and procedure and a 8

briefing on the content of this document will form part of the Induction process; b) Existing employees will be able to re-read and refer to the policy & procedure on the Trust’s intranet site and line managers to download a hard copy for display on staff notice boards; c) Awareness raising workshop sessions will be organised, that are open to any and all staff to attend. These sessions will be actively promoted to ensure that a majority, if not all staff attend over a period of time; d) Training will be provided in awareness, skills and knowledge in support of this policy. Such training will form a standard part of the management development programme; e) Staff notice boards will be used for a poster campaign to ensure that all staff are aware of how to get in touch with one of the Contact Officers. 6.1

Where can you get help from?

The Trust recognises that an employee who has been the target of harassment or bullying may require someone to talk to who will listen and enable him/her to deal with what has happened. Equally, employees accused of harassment or bullying may also require someone to talk to in confidence, or counselling to assist in coping with being accused. Support Services may include: • Contact Officers, who may be approached directly and consulted by an employee at any stage (a list of Contact Officers is available on the intranet and will be maintained by the Head of HR); • Occupational Health Services; • Trade Union Representatives; • Counselling (as already mentioned see 5.4a) 6.2

Contact Officers

Contact Officers will be selected from staff volunteers and by managers and staff side nominations. The skills required of a Contact Officer are as follows: a) b) c) d) e) f) g) h)

Well trusted and respected employees within the organisation; Approachable, easy to talk to and have active listening skills; Able to keep confidentiality and known for this ability; Objective and empathetic; Understand and know the organisation well; Sensitive to cultural, gender and minority group needs; Assertive and able to challenge discrimination; Has the ability to recognise and manage stress in themselves and others.

Contact Officers will be trained so that they understand the scope of the role and can carry it out effectively. To ensure that best practice is maintained, network meetings for Contact Officers will be facilitated, in liaison with the Head of HR. The role of the network will be to assist and support Contact Officers in their role, provide update training support with other Contact Officers. The purpose of the role is to provide:a) b) c) d) e)

Information in context; Support within the guidelines; Advice and information on options; Guidance on the process and procedure; A facility for employees who believe they are the subject of harassment/bullying 9

or an alleged perpetrator of such behaviour to talk confidentially to an independent and impartial person who can act as a 'sounding board'. Details of how to contact Contact Officers will be publicised via posters on staff notice boards, and via the Trust’s intranet. 6.3

Investigators

All formal complaints will be thoroughly investigated. To ensure this takes place consistently across the organisation, a number of people will be selected by management and staffside and trained as “investigators” to ensure that they have the necessary skills. When a complaint is received, the Head of HR will co-ordinate the investigators. An investigation team will usually consist of two investigators and that the time required for a full investigation is accorded during this process, this means they will be released from their duties to dedicate their time to the investigation. The skills required of an investigator are as follows: a) Able to recognise what harassment and bullying is and what it is not; b) Knowledgeable about the legal aspects of harassment and the conflicting rights and responsibilities of all those involved; c) Experienced in handling general employee complaints and grievances; d) Familiar with the organisations structure, policies, practices and management procedures; e) Outside the involved parties’ work area and jurisdiction - ideally in a nonoperational or service role; f) Credible to employees. The designated individuals should have a corporate reputation for independence, honesty, professionalism, sensitivity and directness; g) A trained facilitator, or someone who others find it easy to confide in; h) A neutral party, who is neither a friend or a colleague of either party; i) Able to recognise when their involvement might lead to issues of neutrality, impartiality and objectivity; j) Trained and experienced in dealing with the emotional aspects of an investigation. The purpose of specifically trained investigators is to ensure that a consistent process is followed by each investigation team. An investigation team’s role will be: a) To interview and use questioning and active listening skills to obtain information from all parties involved in a complaint; They will record notes of the meetings and request statements. b) To consider the information obtained objectively and to reach a conclusion about the complaint c) To write a report showing evidence gathered, and explaining conclusions reached, and including any information on contributory factors; d) To make recommendations for resolution of the complaint (which may include recommendations on pursuing disciplinary action). In acknowledgement of the requirements of the role of the Investigation team, all Clinical and Executive Divisions are required to nominate at least two officers, who fulfil the skills criteria above, to receive special training, and who will form part of a list of officers who may be called on to undertake an Investigation. The list is to be held and maintained by the Head of HR. In exceptional circumstances, it may be more appropriate for an external investigation team to be commissioned. For example: This would normally be for the following 10

reasons: a) If the allegations are against a Head of Service or member of the Senior Management Team; b) If the nature of the case is potentially a criminal act of harassment; c) If at any stage of a case the matter becomes larger or more complex than foreseen; d) There are insufficient resources, internally, to conduct the investigation.

7.

Procedure for dealing with Complaints of Harassment or Bullying at Work

It may be necessary, on occasions, to adapt this procedure to accommodate particular circumstances. Any such adaptations will be subject to agreement with the Chief Operating Officer and Staff side. Where the Procedure refers to one perpetrator and one complainant, it should be interpreted to cover all other combinations. 7.1

Records of Incidents

It is recommended that employees who feel that they are being harassed or bullied keep a diary and written record of all incidents of harassment/bullying. This might include dates, times, details of what happened and how they felt, and the names of witnesses, if any. A hard copy should be kept of any offensive e-mails or other communications. This is helpful to the investigators in looking into the complaint. 7.2

Malicious Complaints

Malicious complaints are exceptionally rare. However, if it is felt that this policy is being abused with a malicious complaint, this will be treated as a disciplinary offence and pursued via the disciplinary policy and procedure. 7.3

Confidentiality

In order to protect all parties involved in any investigation and/or disciplinary process, it is essential that everyone concerned adheres strictly to the rules of total confidentiality and are required to sign a letter of confidentiality (this is shown as Form D). Any breaches of confidentiality will normally be treated as misconduct under the disciplinary policy and procedure.

INFORMAL PROCESS Individual perceives problem

Seek advice 11 from one or more of the following:

Read Policy & Procedure

Contact Officer

Trade Union Representative

Occupational Health

Contact Officer or Individual completes Form A/C & send to Head of HR

Decide options within informal process

Can take up employer’s option of counselling

Speak to alleged perpetrator (can be accompanied)

Individual writes to alleged perpetrator

Decide to take formal action

Keep a record of conversation or letter

Matter resolved

Employee raises matter with appropriate Line Manager & lodges formal complaint

FORMAL PROCESS Complaint received or Issue of Concern comes to light

Appropriate Line Manager meets with complainant to establish facts

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Completion of Form B/C & send to the Head of HR.

Formal written complaint lodged with Head of HR

Counselling arranged for complainant & alleged perpetrator if required

Investigation Team appointed. Supervising Manager allocated

Form D issued to all parties, to ensure confidentiality

Confidential Investigation proceeds and concludes wherever possible within 42 days.

Debrief meeting with both parties Decision taken as to whether a disciplinary hearing should be arranged. YES

NO

Progress complaint through Disciplinary Procedure (refer to Disciplinary Policy)

No action taken

NO

Complainant appeals via Grievance procedure Disciplinary Hearing & opportunity to respond YES Is Disciplinary action taken?

YES

Sanction issued

Appeal Hearing

NO

Is grievance upheld?

No sanction issued YES

Appeal process

Trained mediator facilitates repair of relationship

Trained mediator facilitates repair of relationship

NO

Review decision

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7.4

Informal Action by Employees

In many cases of harassment or bullying at work, it may be sufficient to ensure that the unwanted attention or action stops. An employee who feels that they are the target of bullying or harassment may prefer to use an informal approach because, for example, the prospect of using the formal mechanism is out of proportion to their problem, or they may wish to resolve the matter personally, etc. Contact Officers will be able to advise on how this might be undertaken. To take informal action the employee(s) should raise the matter informally with the alleged perpetrator(s) who is/are creating the problem, stating which aspect of his/her/their behaviour is offensive and unacceptable, the effect it is having on the complainant, and making it clear that they want it to cease. This can be done either verbally or by means of a letter, a copy of which should be retained. The employee may seek the support of a friend, colleague, trade union representative or Contact Officer to accompany them at this discussion. The aim of this meeting, or action, is to ascertain whether the alleged perpetrator agrees that the behaviour occurred, irrespective of intention, and to obtain an agreement to cease the behaviour. The confidentiality of all parties must be maintained at all times. If agreement cannot be reached, the person subject to the alleged harassment or bullying may feel it necessary to move to the formal procedure. A record of the complaint and informal action taken should be made on the Confidential Monitoring Form A attached, by the employee who is the target of the harassment or bullying, or the Contact Officer and sent to the Head of HR for monitoring purposes. 7.5

Informal Action by Managers

As good management practice, the Trust would always seek to resolve employment issues, where possible, on an informal basis. As part of this philosophy the day-to-day supervision of employees is regarded as being outside the scope of formal procedures. An occasion may arise where a manager notices unacceptable behaviour, and considers (s)he should instigate informal action; an informal supervisory discussion may be sufficient to prevent a harassment situation arising or recurring. In such situations, the matter may be resolved without recourse to the formal procedures. By the very nature of these situations employees will normally be unaccompanied. The manager should record the details of the unacceptable behaviour on the Confidential Monitoring Form attached (Form A), and send it to the Head of HR for monitoring purposes. 7.6

Formal Action

The formal procedure will apply where: a) The informal procedure has proved ineffective and the complainant wishes to make a formal complaint, or b) An employee prefers the formal procedure from the outset, or c) An allegation has been made by a ‘third party’ who witnessed an incident, or d) Management is initiating formal action, or e) Where the allegations are so serious that gross misconduct is indicated. For formal investigation to be initiated it is necessary for one of the above bullet points to apply. Anonymous complaints will not be investigated.

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7.6.1

Reporting an incident of harassment or bullying

An employee who believes that he or she has been the subject of harassment or bullying should formally report the alleged act(s) to his/her manager. If the immediate manager is the alleged perpetrator, or there is a conflict of interest between the alleged perpetrator and immediate line manager the complaint should be made to that manager’s manager or alternatively, a formal complaint can be made directly to the Head of HR. 7.6.2

Supervising Manager

The Head of HR will also ensure that an investigation is overseen by a senior manager or Associate Director. This manager will be approved by both parties, he/she must not have any conflicts of interest in the case and he/she must be completely objective. This person will be the Supervising Manager and will receive the Investigating Officer’s final report. He/she will give the feedback to all parties. The Supervising Manager will also make a decision regarding any disciplinary action in conjunction with the HR department. 7.6.3

Allocation of Investigators

Whichever manager receives the formal complaint, they will notify the Head of HR without undue delay so that an investigation team can be allocated to investigate the complaint. The trained and approved investigators allocated to the complaint, will be from outside of the department where the complainant and alleged perpetrator regularly work. Consideration will be given to the nature of the complaint and it may be appropriate for it to be investigated by someone of the same sex, race or ethnicity etc. as the complainant. An investigation is conducted in order to establish the truth of the situation, uncover evidence and determine whether there is a case to answer. Strict confidentiality must be maintained by, and for, everyone involved in the investigation and all parties will be treated with respect and fairness at all times. 7.6.4

Suspension

In cases where the allegations are so serious that gross misconduct is indicated, the Disciplinary Policy & Procedure rules on suspension will apply. Similarly, in certain cases (e.g. where evidence may have been destroyed before a full investigation can take place), it may be necessary to suspend both parties or move both to a different location. 7.6.5

Representation

Throughout this procedure, both parties, including witnesses, may be represented or accompanied by a trade union or workplace representative or a colleague. An employee may not be accompanied by someone acting in a paid and/or professional capacity, other than the explicit trade union role. The representative will ensure for example, that there is fair questioning but does not answer for the witness. 7.7

The Investigation Process

Full details of the Investigation Process are given in Appendix two.

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Once a formal complaint has been received an Investigating team will be allocated and they, in conjunction with the Head of HR, will contact the complainant and the alleged perpetrator. The complainant will be invited to attend a meeting to discuss the complaint in more detail and to produce any supporting evidence. The complainant will usually be the first person to be interviewed. This is to ensure that the investigators fully understand the nature of the complaint before the alleged perpetrator is interviewed. The complainant will be asked to sign the Confidentiality Agreement (Form D). Immediately after this meeting a letter will be sent to the complainant summarising the complaint and allegations to be investigated. The complainant will be asked to advise the investigators, within 10 working days, if he/she feels that their allegation has been misunderstood or misrepresented. The alleged perpetrator may have already been informed by his/her manager that he/she is the subject of a formal investigation. Irrespective of whether this has occurred, once the details of the allegation have been clarified and confirmed with the complainant the alleged perpetrator will be informed, in writing of the following: a) That a formal complaint against them has been made b) A summary of the specific allegation(s). Under no circumstances should the full version be given to the perpetrator. c) That the complaint must be formally investigated d) The procedure that will be followed, e) The names of the Investigating Officers, f) Reassurance that the investigation will be thorough and fair. g) An appointment to meet the investigators. h) His/her right to be accompanied by a work colleague (not a witness) or union representative at any stage. i) The need for absolute confidentiality throughout. He/she will be asked to sign the Confidentiality Agreement (Form D). The names of potential witnesses and the nature of evidence gathered from these individuals should not be revealed at this stage to the alleged perpetrator. All letters will be prepared by the investigating team in conjunction with the Head of HR. 7.7.1

Investigative Interviews

Investigative interviews will be conducted promptly, and investigations should normally be completed within 42 calendar days of the receipt of the formal complaint. If this is not possible, the reason should be recorded and both parties informed in writing. Formal records should be kept at all stages of the proceedings by the investigators. A bring forward diary system will be kept by the Head of HR to ensure timescales are adhered to. It may be necessary to interview an individual more than once, in order to ensure that a complete understanding of the circumstances has been achieved. The questions asked during these interviews should be designed to ascertain all relevant facts, and should be consistent and fair to all parties. Witnesses may be represented or accompanied by a work colleague or trade union representative to any investigative interview. This person will also be required to maintain strict confidentiality and will be asked to sign a confidentiality agreement (Form D). The representative will ensure for example, that there is fair questioning but does not answer for the witness. 16

Witnesses cannot be forced to participate in an investigation. 7.7.2

Statements and Evidence

After interviewing each individual the Investigating team will write up their interview notes, which the individual concerned will be asked to amend, date and sign as a fair and true reflection of the interview. The interview notes should be returned to the investigators within 10 working days of their receipt. In addition to formal questions, as part of the investigation it may be appropriate to ask an individual to complete a written statement in his/her own words presenting the situation from their perspective. Interview notes and statements may be referred to, in the event of an appeal, by the person conducting the appeal. They will also be disclosed to all relevant parties, and may be part of the management case, if a disciplinary hearing results from the investigation. However in some rare cases, where complainants or witnesses may be sufficiently fearful of giving evidence or of being known to be interviewed as part of the investigation, the interview notes may remain confidential to the investigation team and not be disclosed, in order to protect the individuals from potential victimisation. This should be noted in the final report In addition to interviews, information and evidence will be sought by examination of site visits, e-mails, memos, file notes, statistical records e.g. sickness, turnover etc., and include wider investigation into staff morale, behavioural changes and management style. 7.73

Investigation Report and Subsequent Action

On completion of the investigation, the Investigating team will give a formal written report of their findings and recommendations to the Supervising Manager, who will decide upon the course of action to be taken, including any action under the Disciplinary Policy & Procedure. Both parties should receive feedback from the Supervising Manager, irrespective of the outcome of the investigation. Copies of the investigator’s written report will be sent to the complainant, the alleged perpetrator and any union representatives at least 10 working days before a meeting to give feedback takes place. These copies must be held in the strictest confidence and each copy will be identified e.g. numbered as an identification as to whom it belongs to. No photocopying will be permitted without permission from the Head of HR. The Supervising Manager will liaise with the alleged perpetrator’s line manager over this decision, before the feedback meeting takes place. Any disciplinary or other action will be initiated within 14 calendar days of the feedback meeting. If the action is to be a disciplinary hearing the Head of Employment Services should be asked for advice. 7.7.4

If The Complaint is Not Upheld

Where the complaint cannot be upheld, both the complainant and the alleged perpetrator will be informed and a decision will be taken as to whether the allegation was malicious. Where this is not the case no further action will be taken, though discussions and monitoring by a trained mediator should be undertaken to ensure that both parties are working productively and work is undertaken to repair the relationship.

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7.7.5

If The Complaint is Upheld

If the investigation reveals that the complaint is upheld, prompt action will be taken to stop the harassment or bullying immediately and prevent its recurrence. A disciplinary hearing will be conducted in accordance with the Trust’s Disciplinary Policy & Procedure. At the hearing, the alleged perpetrator (accompanied by a work colleague or trade union representative if required) will be entitled to speak to potential defence witnesses and appropriate arrangements for this will be made. Any questions from the alleged perpetrator to the complainant or other management witnesses will be catered for during the disciplinary hearing; prior to this hearing, the alleged perpetrator must not approach the parties to the management case. If the case is found, a range of steps may be pursued following the disciplinary hearing. These may range from a verbal warning, written warning, final written warning or dismissal. However in addition to these sanctions, written instructions may be given to the alleged perpetrator setting out required behavioural standards which must be complied with and additional training provided to ensure a raised level of awareness. In most cases and where the complainant feels able to, the complainant should be asked to attend the disciplinary hearing as a management witness. The alleged perpetrator or their representative will not be allowed to ask questions of the complainant directly. Because of the nature of harassment complaints, a complainant should be informed in writing of the outcome of the hearing, but the information is confidential and must not be divulged to any other party by the complainant. An employee disciplined as a result of a bullying and/or harassment complaint will have the usual appeal rights contained within the disciplinary procedure. The range of sanctions that are within the power of the Trust are as follows:a) b) c) d) e)

Verbal Warning Written Warning Final Written Warning Dismissal Summary Dismissal

In addition to these sanctions the Trust may redeploy, relocate and consider alternative ways and places of working to ensure further incidents could not occur. Once a particular complaint has been dealt with, it will be important for all concerned to restore normal, professional, working relations, whatever the outcome. Management will consider whether any special arrangements are required, such as mediation or personal development training, and all parties will be expected to co-operate with this process. 7.8

Victimisation

Intimidation and/or victimisation of employees who have filed a complaint or been party to an investigation is itself regarded as a disciplinary offence and management will take necessary action to prevent this and protect staff. In the absence of corroborative evidence, conclusions may be drawn on the balance of probability e.g. what probably happened as opposed to being certain it happened. 7.9

Monitoring following a formal Harassment/Bullying Complaint

The line manager of the complainant will monitor the working situation to ensure that no victimisation or recurrence takes place.

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7.10

Review and Monitoring

This policy & procedure will be monitored and reviewed on a regular basis. All complaints will be recorded by the Head of HR for monitoring purposes although personal files will not contain details of informal complaints which have been satisfactorily resolved. Statistical monitoring results will be given to members of the Joint Staff Council. The Head of HR will be responsible for initiating reviews of the procedure and its implementation, also liaising with the Joint Staff Council in this respect. 7.11

Completion of Forms

Use of the attached forms aids monitoring and is essential to ensure that the Head of HR is aware of the situations as they happen. Always keep a copy for yourself of any form filled in. Informal Action by an Employee Complete Form A and forward this to the Head of HR to record the complaint and allow for monitoring. . Informal Action by a Manager Complete Form A, (modifying the form statements as necessary) and send it to the Head of HR. Formal Action by an Employee upon lodging the formal complaint Complete Form B and hand this to the manager concerned. Formal Action by a Manager without a complainant should Complete Form B, (modifying the form statements as necessary) and send it to the Head of HR. Report of Incident of Bullying &/or Harassment by an employee who believes they are the subject of bullying &/or harassment in the course of their work by a person or persons not employed by Essex Rivers NHS should: Complete Form C & make a second copy (as well as keeping a copy for yourself) hand one copy to the manager concerned and forward one copy to the Head of HR (for monitoring). Confidentiality Proforma it is essential that all parties involved in any investigation and/or disciplinary process adhere strictly to the rules of total confidentiality and are required to sign a letter of confidentiality: Each individual involved should be requested to sign and return Form D as instructed.

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Form A Confidential monitoring of Harassment/Bullying issues dealt with informally NOTE: The details on this page are strictly confidential and will only be used for overall monitoring purposes; details will not be divulged during any proceedings, and individuals will not be identified. Completion of this form allows the Trust to monitor the effectiveness of the informal process and to assess if any particular group is subject to harassment or bullying. Monitoring of these statistics will help us to be more effective in targeting awareness of the policy and so prevention of harassment and bullying. NB – If you are a manager or Contact Officer return this under a compliment slip with your name on. Details of the person informally raising the issue Clinical/Executive Service/Division ……………..…………………………………………………………………………….. Dept/Ward……………………………………………………………………………….. Complainant’s band……………………………………… Gender: Male/Female

Disabled: Yes/No

Ethnic Origin ………………………………………… Working relationship with alleged harasser:………………………………………………………………………………… ……………………………………………………………………………………………. (e.g., the harasser is my colleague/line manager/supervisor/subordinate) The nature of the alleged behaviour you are complaining about Please tick which one of the following seems to apply: Sexual Sexuality Bullying

Racial Religion Disability

Age Other

If Other please specify …………………………………………………………………………………………… …………………………………………………………………………………………… …………………………………………………………………………………………… …………………………………………………………………………………………… 20

Form A Continued Please provide details of the incidents you have found unwelcome

Details about the alleged harasser(s) Clinical/Executive Division …………………………………………..Dept/Ward………………………………… Gender: Male/Female

Disabled: Yes/No (if known)

Was the harassment dealt with:

informally by you?

informally by line manager? This form should be completed when an issue is raised. The Manager forwards it to the Head of HR for monitoring purposes (HR Dept, Essex County Hospital – marked private & confidential).

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Form B Confidential Formal Complaint Report Harassment/Bullying This form should be completed when a formal complaint is made or by a Manager raising formal action without a complainant. Name of person making complaint ………………………………………………………………………………………… Workplace ………………………………………………………………………….. Telephone contact number ………………………………………………………. Name(s) of alleged harasser(s)…………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… Date or period of incident(s) ………………………………………………………………………………………… ………………………………………………………………………………………… Place(s) ………………………………………………………………………………………… ………………………………………………………………………………………… Please give an outline of what took place (continue on a separate sheet if necessary)

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Form B Continued Names of anyone else who witnessed the behaviour complained of:

Have you discussed this matter with a Contact Officer (or equivalent)? Yes/No Please state how you would like the issue resolved (if not already being dealt with):

I have been informed about the Trust’s Harassment and Bullying at Work Policy and Procedure. Signed:…………………………………………………………Date ………………..

Signature of line manager receiving the complaint…………………………………………………………………………….

Please ensure a copy of this form is sent promptly to the Head of HR, HR Dept., Essex County Hospital – marked private & confidential. The receipt of the form in the Head of HR will initiate the formal procedure. 23

Form C Bullying & Harassment Incident Report Form This form should be completed by employees who believe they have experienced harassment or bullying in the course of their work by people who are not employees of the Trust (e.g., by service users, contractors, agency staff, other groups of people). Name of person making complaint……………………………………………………………………………… ………………………………………………………………………………………… Workplace……………………………………………………………………………. Telephone……………………………………………………………………………. Clinical/Executive Division …………………………………………………….Job……………………………… ……………………………………………………………………………………… Name of the alleged harasser……………………………………………………………………………… ………………………………………………………………………………………… Name of the organisation for whom they work (if any)…………………………………………………………………………………… Date of the incident(s)…………………………………………………………………………… ……………………………………………………………………………………….. Place(s)……………………………………………………………………………… ……………………………………………………………………………………….. Please give an outline of what took place (continue on a separate sheet if necessary)

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Form C Continued

Nature of the Harassment: Please tick which one of the following seems to apply: Sexual

Racial

Age

Sexuality

Religion

Disability

Bullying Other (Please specify)………………………………………………………………..

Signed……………………………………………………………Date……………… …………………………………………………………………………………………. Signature of line manager receiving the complaint……………………………………………………………………………….

Please ensure a copy of this form is sent promptly to the Head of HR, Human Resources Department, Essex County Hospital (marked private & confidential). The receipt of the form by the Head of HR will initiate the appropriate action if required. 25

Form D Confidentiality Proforma (All parties) Please ask for: Direct line: Fax number: Your ref: Our ref: E-mail:

CONFIDENTIAL – BY HAND

Dear Independent Investigation The Trust has received a formal Bullying and/or Harassment complaint and the investigation team would like to interview you as part of the investigation. Whatever your level of knowledge of the situation and your involvement in its resolution, it is vital that you maintain confidentiality, in fairness to the individuals concerned so as not to prejudice the outcome of the investigation. Names of Investigators will be conducting the investigation and will explain the process to you. A meeting has been arranged for date at venue. Interview notes will be made and a full copy of them will be sent to you for you to agree and sign as a true reflection of your meeting. A signed copy should be returned to the investigators within 5 working days. You are welcome to take a work colleague or trade union representative with you although it will need to be someone who is not themselves likely to be interviewed as part of the investigation. If you do wish to take someone with you, it would be helpful if you could ask someone from a different area of work. While I trust your discretion I must instruct you to observe the following: You must not discuss anything about the case with other employees, or external third parties, whether they are also witnesses or not. If you have concerns about your involvement you may discuss them with the Head of HR or your union representative. This confidentiality requirement will remain during and after the investigation and any disciplinary or appeal hearings, whatever the outcome of these. I remind you that breach of confidentiality is in itself a disciplinary offence. Please sign and return the enclosed copy of this letter in acknowledgement of the above. Yours sincerely Head of HR I acknowledge receipt of this confidentiality proforma and undertake to be bound by it. Signed……………………………………………………Date……………………. 26

Appendix One Harassment and Bullying in the Workplace: The Legal Position As an employer, Essex Rivers NHS has a Duty of Care towards its employees. Failure to deal with allegations of harassment and bullying at work may expose the Trust to a range of costly legal consequences. Harassment and bullying at work may lead to discrimination claims. In addition harassment and bullying may lead to criminal claims for assault or civil claims for negligence and or breach of contract, for example, claims of constructive dismissal. Harassment and bullying within the workplace may also result in health and safety claims for failure to provide a safe and healthy workplace. Employees should be aware, that whilst the Trust may be pursued through legal action, individual employees could also be pursued and named in legal proceedings. In considering the implications of harassment and bullying within the workplace, the following terms can provide a practical guide to managers and employees: Direct discrimination This occurs when one person is treated less favourably than others in the same circumstances on the grounds of race, sex or disability, e.g. the refusal to recruit someone who has the required skills because they belong to a particular gender. Indirect Discrimination This consists of applying a condition or requirement of employment which, whether intended or not, adversely affects, or favours, one particular group more than another, and which cannot be (strictly) justified in terms of the requirements for performing the job. For example, an unnecessary physical requirement might discriminate against women or people with a disability. Victimisation This occurs when an employee is treated differently because he or she has previously complained of discrimination, or they have given evidence on behalf of another employee in a discrimination case. For example, an employer sacks an employee because he or she complained of racial discrimination. Constructive dismissal Failure to respond to and deal with alleged harassment or bullying or permitting such behaviour may be held to have breached the contractual terms relating to mutual trust and confidence. Failure to treat harassment and bullying or a complaint alleging harassment and bullying seriously may be a fundamental breach of contract even if there is no discrimination. This breach may result in an employee’s resignation and a claim of constructive dismissal through the Employment Tribunal. Health and Safety at Work Act 1974 If an employer fails to respond to complaints about harassment or bullying and the complainant's health and ability to work effectively suffers, a claim could be made under the Health and Safety at Work Act on the grounds of failure to provide a safe and healthy workplace. 27

The Sex Discrimination Act 1975 The Sex Discrimination Act makes it unlawful to discriminate directly or indirectly, on the grounds of sex or marital status against women, men or married persons in areas including employment. Although the Act contains no specific reference to sexual harassment, the Code of Practice which is admissible in the Employment Tribunals does. Harassment related to a person’s gender or sexuality, which undermines equality in the workplace is contrary to the European Commission’s Code of Practice on the protection of the dignity of women and men at work, and the principle of equal treatment for men and women, laid down in EC law, and given effect in UK law in the Sex Discrimination Act 1995. The Race Relations Act 1976 The Race Relations Act 1976 makes it unlawful to discriminate directly or indirectly on the grounds of colour, nationality (including citizenship), ethnic origin or national origin in a range of areas including employment. Although the Act contains no specific reference to racial harassment, the Code of Practice which is admissible in Tribunal does. Racial Harassment Harassment related to a person’s race is unlawful under the Race Relations Act 1976 and people who harass others may also be liable to prosecution under the Criminal Justice and Public Order Act 1994; Racial harassment in the workplace creates a hostile working environment; it undermines equality at work and can lead to illness for the employee being harassed. The Race Relations Act 1976 as amended The Race Relations Act was amended in 2000 to ensure that all public authorities are able to fully address institutional racism as identified by the Stephen Lawrence Inquiry Report. The amended Race Relations Act established an enforceable General Duty to eliminate racial discrimination, promote equality and good relations between different racial groups. The General Duty is supported by specific duties which are designed to help public authorities meet the General Duty. Specific duties include the publication of the Race Equality Scheme which is a strategy and action plan outlining how a public authority will meet its duties under the Act and monitoring and annually reporting grievances, for example racial harassment and bullying by ethnic origin. The Disability Discrimination Act 1995 The Disability Discrimination Act 1995 makes it unlawful to discriminate on the grounds of disability in a range of areas including employment. Although the Act contains no specific reference to disability related harassment, the Code of Practice which is admissible in the Employment Tribunals does. In accordance with the Disability Discrimination Act 1995 it is unlawful for an employer to discriminate against a disabled person (as defined), and employers must ensure that procedures are in place to protect disabled employees from harassment. The General Duty is supported by specific duties which are designed to help public authorities meet the General Duty. Specific duties include the publication of the Disability Equality Scheme which is a strategy and action plan outlining how a public authority will meet its duties under the Act. 28

The Human Rights Act 1998 The Human Rights Act 1998 came into force on 2 October 2000 and is one of the most significant pieces of constitutional legislation enacted in the United Kingdom. The Act allows people to claim their rights under the European Convention on Human Rights (ECHR), in UK courts and tribunals instead of going to the European Court in Strasbourg. The Act requires all public authorities in the UK to act compatibly with the Convention rights, Article 14 of the Act prohibits discrimination. Sex Discrimination (Gender Reassignment) Regulations 1999 The Sex Discrimination (Gender Reassignment) Regulations 1999 came into force in May 1999 and extended the Sex Discrimination Act 1975 to protect individuals from direct discrimination on the grounds of gender reassignment in employment and vocational training. The General Duty is supported by specific duties which are designed to help public authorities meet the General Duty. Specific duties include the publication of the Gender Equality Scheme which is a strategy and action plan outlining how a public authority will meet its duties under the Act Criminal Justice and Public Order Act 1994 Section 154 of the Criminal Justice and Public Order Act 1994 established a new offence of causing "intentional harassment, alarm or distress". Any 'intentional' harassment in the workplace may now be a criminal offence. Protection from Harassment Act 1997 The Protection from Harassment Act 1997 contains provisions designed specifically to deal with ‘stalkers’. Under this act it is a criminal offence to pursue a course of conduct that amounts to harassment and where the harasser knows, or ought to know, that it amounts to harassment of another. Article 13 of the Treaty of Amsterdam Article 13 of the Treaty of Amsterdam, where a comprehensive set of antidiscrimination measures and a minimum standard of legal protection against discrimination will apply across the European Union from 2003. Article 13, provides the European Union with a legal basis to take action to combat discrimination on grounds of racial or ethnic origin, religion or belief, disability, age or sexual orientation. Employment Equality (Sexual Orientation) Regulations 2003 and Employment Equality (Religion or Belief) Regulations 2003 – both have four elements 1. Direct Discrimination – which means treating people less favourably than others on grounds of sexual orientation or religion or belief; 2. Indirect Discrimination – which means applying a provision, criterion or practice which disadvantages people of a particular sexual orientation or religion or belief and which is not justified as a proportionate means of achieving a legitimate aim; 3. Harassment – which means unwanted conduct that violates people's dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment. Conduct shall be regarded as having that effect only if, having regard to all the circumstances, including in particular the perception of the recipient; it should reasonably be considered as having that effect. 29

4. Victimisation – which means treating people less favourably because of something they have done under or in connection with the Regulations, e.g. made a formal complaint of discrimination or given evidence in a tribunal case. The Trust’s Vicarious Liability Under the Sex Discrimination Act 1975, the Race Relations Act 1976 as amended and the Disability Discrimination Act 1995 the Essex Rivers NHS can be held liable for discriminatory acts committed by its employees during the course of employment with or without the Essex Rivers NHS knowledge or approval. This is known as 'vicarious liability' and the onus rests with the Trust to establish that it took all reasonable steps to prevent the act(s) occurring or re-occurring.

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Appendix Two Investigation Process 1. Complaint /issue of concern received via Form C to Head of HR who will then liaise with an appropriate senior manager who will oversee the investigation. An Associate Director could be asked to carry out this role. 2. The person complained of may be notified that a complaint has been made against them, by their manager. They will be informed of implications of any acts that may be construed as victimisation as a consequence of being aware of the complaint. 3. Investigation team will be co-ordinated and terms of reference specific to the case drawn up by the Head of HR. 4. The meaning of confidential needs to be defined in the context of the investigation within the terms of reference. All parties to the investigation will be required to sign a confidentiality proforma. 5. Investigation team writes to complainant and person complained of notifying they have been appointed and explaining the process, and their terms of reference. 6. If required counselling for complainant/alleged harasser/witnesses is offered and commences (and continues throughout the process and shortly beyond) 7. Investigation team proceeds to interview and investigates 8. Interviews should be conducted in a confidential context. The precise meaning of “confidential” should be explained at the beginning of each interview and be consistent. Each interviewee will be issued with a letter explaining the requirement of confidentiality and expected to sign their agreement to this. 9. Interviews to be conducted in a quiet, neutral place where people will not be disturbed, with trade union reps/colleagues present for support as requested. 10. Interviews should commence with a clear introduction of the purpose of the investigation and terms of reference explained. 11. Every interviewee must be told that in the event of an appeal any interview notes or statements, that they have agreed and signed, may be referred to by the person conducting the appeal. In the event of a disciplinary hearing used as evidence these documents may be disclosed to the alleged perpetrator and/or the person who has made the complaint. 12. During interviews notes should be taken (but not tape recorded), which are to be typed up, and sent to the interviewee for confirmation as an accurate reflection of the interview, to be amended, signed and returned. Brief accurate notes should be taken during the interview, and this should be explained clearly to each interviewee. Interviewees will be required to agree and sign their interview notes and to return a signed copy to the investigators within 5 working days. 31

13. If there is any risk to a witness or if a witness does not wish to be identifiable, his/her name will not be disclosed. He/she could be referred to in the Investigation Report as “Employee A” or “B” etc. 14. An individual cannot be forced to participate in the investigation process. If someone refuses to be involved, it should be mentioned, without names, in the final report. 15. If an interviewee refuses to sign off their interview notes, these notes cannot play any further part in the investigation or be referred to in the final report. The final report should record this point. 16. Ideally the complainant should be interviewed first. Following this interview the incident(s) are to be summarised in the investigators words, and used to inform the alleged harasser of allegations made and issues of concern. 17. The investigators will send a letter to the complainant summarising the allegation(s) to be investigated. The complainant will be asked to respond within 5 working days if he/she feels that aspects of the allegation(s) have been omitted or misrepresented. 18. The alleged perpetrator(s) must be informed, by letter, of the allegations. It must be made clear that it is the Trust’s policy to investigate all formal complaints. The alleged perpetrator(s) must be told of the potential outcomes and that all parties are expected to observe strict confidentiality. He/she must also be told that the allegations must not be discussed with the complainant and that if this happens it may be treated as a disciplinary matter. The Investigating Officer will meet the alleged perpetrator(s) to discuss the allegations in more detail. 19. The original letter of complaint, any statement or diary of events prepared solely by the complainant will not be given to the alleged perpetrator unless it is with the written consent of the complainant. However the person complained of must have sufficient information to enable them to answer the allegations and any charges brought. He/she will be given a copy of the investigators’ report. 20. The investigation team may request, from the appropriate source, relevant documentary evidence, policies and procedures, internal documentation, training records, to be gathered and collated for their perusal. 21. The investigation team produces, on the balance of reasonable belief, a written report to include recommendations. The written report will usually be disclosed to the complainant, the alleged perpetrator and the Supervising Manager. The written report will follow the Proforma included in this policy. 22. It is for the investigation team to consider options as to what repair mechanisms are appropriate and recommended/initiated, and to include these in the report. 23. Decision taken as to whether it should proceed to a disciplinary hearing. (The Disciplinary Policy & Procedure would then be followed).

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24. If the investigation team conclude that there is no evidence to proceed to disciplinary hearing, the complainant must be given the right of appeal via the grievance procedure. Appeal should centre on the adequacy of the investigation or investigators, evidence not seen, witnesses not called etc. 25. If the investigation team conclude that there is a need to proceed to disciplinary hearing, the disciplinary policy & procedure applies – the report will form the basis of the evidence. Where information has been given to the investigation team by individuals who are significantly fearful rules of full disclosure may not apply in order to protect those individuals. 26. In the disciplinary hearing, the complainant(s) may be called as witnesses, though care must be taken to ensure that the alleged bully/harasser does not have an opportunity to further harass or bully. Consideration should be given to whether it is necessary to call witnesses at all. In some circumstances it may only require the evidence of the investigating officers. 27. Following the disciplinary hearing, complainants should be informed of the outcome and any sanction taken against the alleged harasser/bully. However it should be made clear to them that this is confidential information that is not to be shared around the organisation. 28. Following the disciplinary hearing, if a disciplinary sanction is taken, the harasser/bully should be given a right of appeal via the disciplinary procedure. Should the bully/harasser appeal the sanction would not be increased but may only be reduced if appeal is successful. At this stage no appeal can or should be given to the complainant, irrespective of whether they are happy with the sanction taken. The only right of appeal for the complainant is if they are dissatisfied with the investigation. This is covered in point 24.

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Proforma for Investigation Report Investigation reports are normally confidential documents, and should therefore be numbered copies, and securely bound to dissuade copies being made easily. The numbered copies should be listed and a record should be kept of whom the copy is given. Any investigation report should include the following headings/chapters. 1. Terms of Reference – This should be agreed with the Head of HR prior to the investigation commencing. 2. Identification of the appropriately trained investigating officers, and position in the organisation/experience/training in dealing with these issues. 3. Methodology – the approach taken to gather evidence/perceptions. Whether this was through interviews/statements, assessment of organisational paperwork. Ideally should state how many people were seen in the course of the investigation, but should not name the individuals seen. 4. Background to the complaint – explanation of what department/ward structure, nature of the complaint. 5. Findings – what evidence the investigation team found. 6. Conclusions – on the balance of reasonable belief – what the investigators consider has happened, if anything. 7. Recommendations – Bullet point actions for individuals, departments and corporate. (Ideally on separate pages within the report, so they can be separated and shown only to relevant people). 8. Any relevant appendices.

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