no. hrp4 - wirral community nhs trust · 6.1 informal procedure 10 6.2 formal ... harassment in...

Dignity at Work Policy

(HARASSMENT AND BULLYING POLICY)

NO. HRP4

Applies to: All staff

Committee for Approval Education and Workforce Committee

Date of Approval: 13 February 2012

Review Date: 13 February 2014

Name of Lead Manager Director of HR

Version Version 2

UNLESS THIS VERSION HAS BEEN TAKEN DIRECTLY FROM THE TRUST WEB SITE THERE IS NO ASSURANCE THIS IS THE CORRECT VERSION

2/35 HRP4 Dignity at Work Policy – Version 2


CONTENTS

Sections Page

1 Introduction 4

2 Equality Impact Assessment 4

3 Good Corporate Citizen 5

4 Definitions 5

5 Duties (responsibilities) 6

5.1 Chief Executive 6

5.2 Trust Board 6

5.3 Director of HR & Corporate Affairs 6

5.4 HR Department 7

5.5 Head of Service/Divisional Manager 7

5.6 Service Lead 7

5.7 Line Manager 7

5.8 Employee 8

5.9 Occupational Health 9

5.10 Staff Counselling Service 9

5.11 Staff Side Representatives 9

5.12 Independent Mediators 9

5.13 Policy Review Group 9

5.14 Education & Workforce Committee 10

6 Procedure 10

6.1 Informal Procedure 10

6.2 Formal Procedure 12

6.3 Representation 17

6.4 Appeal 18

6.5 Confidentiality 19

7 Trust Support 19

8 How the Organisation Trains Staff in line with the Training Needs Analysis

19

9 How the Organisation monitors compliance 20

10 Other Relevant Procedural Documents 20

11 References 20

Appendices

Appendix 1 Examples of unacceptable behaviours 21

Appendix 2 Registration of (Informal) Dignity at Work Form 23

Appendix 3 Registration of (Formal) Dignity at Work Form 25


Appendix 4 Dignity at Work Policy Scheme of Delegation 29

Appendix 5 Guidance on writing formal complaints and appeals 30

Appendix 6 Flowchart for dealing with formal complaints 31

Appendix 7 Appeal Procedure – Dignity at Work Policy 32

Appendix 8 Process for Monitoring Compliance with the Procedure for Harassment and Bullying

34



1. INTRODUCTION

Wirral Community NHS Trust (WCT) is committed to ensuring that staff are able to work in an environment whereby their dignity is treated with respect. WCT will strive towards creating a culture where we put people first and take the time to listen to the needs of our employees. As an equal opportunities employer we must eliminate and prevent bullying and harassment by working in partnership with Staff Side Representatives to improve the wellbeing of all employees and provide a safe and positive environment to work in. The purpose of this policy is to support a working environment in which bullying, harassment, victimisation and illegal discrimination is unacceptable and to provide a proper framework in which complaints about these matters can be dealt with. WCT does not tolerate any form of intimidation, humiliation, harassment, bullying or abuse. The impact of not creating a culture that allows staff to work in such an environment could be detrimental to the effectiveness of the organisation and adversely affect the quality of patient care delivered as well as increase absenteeism and turnover which can prove costly. This policy provides a framework for staff to be able to raise concerns about bullying or harassment and a process for dealing with them as quickly and efficiently as possible. In addition it also outlines the support available to staff. 2. EQUALITY IMPACT ASSESSMENT As part of its development, this policy and its impact on equality have been reviewed in consultation with Staff Side and other employee representatives. The purpose of the assessment is to promote equality, minimise if possible or remove any disproportionate impact on employees on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation. WCT promotes equality to ensure that policies do not discriminate either directly or indirectly against staff. A full impact assessment was completed in relation to this policy and there were no adverse effects identified under the Equality Act in relation to the protected characteristics within the Act. Where requested, assistance will be given to employees who need help in writing their complaints because of a disability or where they have problems articulating their concerns in the English language.


3. GOOD CORPORATE CITIZEN

A just and healthy society with good governance requires organisations to have proper and transparent mechanisms for employees to raise complaints and to have them addressed by their employer before they escalate. The organisation will consider mediation as a way of resolving disputes at the earliest opportunity. 4. DEFINITIONS

4.1 Bullying

Bullying may be characterised as offensive, intimidating, malicious or insulting behaviour, an abuse or misuse of authority through means intended to undermine, humiliate, denigrate or injure the recipient. These are often unwanted actions or practices that are directed at one or more individuals and are unwelcome to the victim. The actions can cause distress, humiliation and offence.

4.2 Harassment

Harassment in general terms is unwanted conduct affecting the dignity of men and women in the workplace. It may be related to age, sex (including issues relating to gender reassignment or identity), race, disability, religion, sexual orientation, nationality or any personal characteristic of the individual, and may be persistent or an isolated incident. The key is that the actions or comments are viewed as demeaning and unacceptable to the recipient.

4.3 Discrimination

The law defines discrimination as:

Using inappropriate, biased or prejudiced methods in any employment matter

Having unfair opinions about people or groups of people and using these unsuitable opinions to make unfair decisions

Separating a person or groups of people and treating them differently

Victimisation

Enforcing a practice or policy that results in indirect discrimination

4.4 Associative Discrimination

For practical purposes "associative discrimination" (or "discrimination by association") in an employment context refers to where an employee (or employees) are treated less favourably than others as a result of their association with a person against whom it would be unlawful to discriminate.


An example is that of an employer treating a particular employee less favourably than other employees for being absent from work because that employee took time off to look after a disabled child.

4.5 Mediation

ACAS describe Mediation as:

‘a completely voluntary and confidential form of alternative dispute resolution. It involves an independent, impartial person helping two or more individuals or groups reach a solution that's acceptable to everyone. The mediator can talk to both sides separately or together. Mediators do not make judgments or determine outcomes - they ask questions that help to uncover underlying problems, assist the parties to understand the issues and help them to clarify the options for resolving their difference or dispute.’

5. DUTIES (responsibilities) 5.1 Chief Executive The Chief Executive has overarching responsibility for ensuring the content of this policy is applied consistently and fairly across WCT. 5.2 Trust Board The Board of Directors have overall responsibility for ensuring that the Trust delivers high quality services that are efficient and effective.

The Board is made up of the Chairman, Chief Executive, Executive Directors, Medical Director and Non-Executive Directors. The Board of Directors oversee the running of the Trust, make the decisions that shape future direction, monitor performance and ensure accountability.

5.3 Director of Human Resources and Corporate Affairs The Director of Human Resources and Corporate Affairs is the named officer responsible for ensuring the content of this policy is applied consistently and fairly across WCT. 5.4 HR Department

The HR Department have a responsibility to ensure that the policy is followed, fairly and consistently. Their duties will involve:

Advising managers on the application of the policy


Advising managers and staff where individuals feel that they are being harassed or bullied in the course of their employment

Ensuring the effective implementation of the policy

Monitoring incidents of bullying and harassment and initiating appropriate action

Reviewing and amending the policy as necessary. 5.5 Head of Service/Divisional Manager The Head of Service (HOS)/Divisional Manager is responsible for ensuring this policy is disseminated and adhered to across their service. 5.6 Service Lead The Service Lead is responsible for ensuring this policy is implemented across their service. 5.7 Line Manager

Line Managers have a duty of care to establish and maintain a healthy and safe working environment. They have responsibility for implementing this policy and for bringing it to the attention of staff in their work area, in order to establish and maintain a work environment free from bullying and harassment. They must:

Treat all complaints seriously and deal with them promptly and confidentially, giving the employee and the alleged perpetrator full support during the whole process

Set a positive example by treating others with respect and setting standards of acceptable behaviour

Promote a working environment where harassment is unacceptable and not tolerated

Take prompt action and tackle issues to stop bullying and harassment wherever possible to resolve incidents

Consult with Human Resources at any time for advice and support. Managers must be aware of how their own behaviour comes across to their employees. Managers have the right to manage, and are given the authority to do so, however they must ensure that when providing feedback to staff they do not:

Use feedback that is not constructive

Make sure the feedback is about the issue or mistake, not about the person

Make sure the feedback is designed to make the person aware of their error and support them to get it right in future, not just humiliate them

5.8 Employee


Each employee has a personal responsibility for their own behaviour and for ensuring that their conduct is in line with the standards set out in this policy. Employees must report any incidents arising under this policy. There are a number of things that employees can do to help prevent harassment. They must:

Set a positive example by treating others with respect

Be aware of WCT’s policy and comply with it

Do not make personal comments about anyone

Ensure that their own conduct does not cause offence

Do not accept behaviour that may be offensive and take positive action to ensure it is challenged and or/report it to either their line manager (or their manager, if the complaint is about them) or a Staff Side Representative

Be supportive of colleagues who may be subject to bullying and/or harassment Employees must be aware of their own behaviour towards others at all times and the impact it may have on others and make themselves aware of the list of examples outlined in Appendix 1 within this policy. Employees should ask themselves the following questions if they feel they are being bullied:

How was the message delivered?

Was the request reasonable?

When feedback was given, how did you feel?

Was this the first time you felt this way? Bullying and harassment is most often quite clear cut but sometimes employees might be unsure whether or not the way they are being treated is acceptable. If this applies to you there are a number of things to consider, including:

Has there been a change of management or organisational style to which you just need time to adjust e.g. because you have a new manager

Can you talk to someone you can trust e.g. a colleague, your line manager/supervisor or Staff Side representative to share your concerns?

Can you agree with your line manager any changes to the way you work that will make it easier for you to cope?

Employees who are subjected to bullying and/or harassment must follow the guidance as set out in Section 6.1Informal Procedure, in the first instance. Employees who do not feel able to approach the offender, must make notes including dates and details which will help them recall events clearly. They must then raise the issues either with their Line Manager (or their manager, if the


complaint is about them). Advice can be sought from either a Staff Side representative or member of the HR department.

5.9 Occupational Health Service

Any member of staff who is involved in a claim of bullying and harassment may find it helpful to talk to a member of the occupational health team. Employees wishing to access support through this service should approach their Line Manager (or their manager, if the complaint is about them), in the first instance.

5.10 Staff Counselling Service

It is recognised that it can be a difficult time for all those involved in issues relating to bullying and harassment, therefore support through the confidential counselling service is offered to all staff involved. This can be accessed directly and details are available on the Trust’s website.

5.11 Staff Side Representatives

WCT recognises the important role Staff Side Representatives play in addressing harassment; employees can approach representatives regarding their concerns for advice. WCT will work in conjunction with Staff Side Representatives in addressing unacceptable and inappropriate behaviours. The contact details for all Staff Side Representatives are available on the Community Trusts website.

5.12 Independent Mediators

Internal mediators are specially trained to facilitate informal outcomes where possible between those who have raised concerns and the people that they have concerns about. Mediators are drawn from across the wider organisation of WCT, Human Resources department and Staff Side representatives, but operate independently of these roles for the purposes of mediation. In addition external ACAS mediators can be sourced by the Scheme Co-ordinator, in extreme cases where it is felt internal mediation would not be of benefit. It should be noted that agreement to undergo mediation must be received from all parties involved in order for it to be undertaken as an option.

5.13 Policy Review Group

The Policy Review Group (PRG) is a subgroup of the Education & Workforce Committee which consists of representatives from HR, Management and Staff Side. PRG has the responsibility of developing, reviewing and monitoring this policy. Once PRG have agreed the content of the policy it will be submitted to the Education & Workforce Committee for approval.

5.14 Education & Workforce Committee


The Education & Workforce Committee is responsible for approving this policy.

6. PROCEDURE This procedure has been separated into two sections: Informal and Formal. 6.1 Informal Procedure Employees must discuss any concerns about bullying or harassment with their line manager (or their manager, if the complaint is about them). Staff Side representatives, the HR department and Occupational Health Provider, PAM Assist, can all provide support and advice. Where an employee does not feel able to raise their concerns, they may ask their Staff Side representative to raise a matter on their behalf. Wherever possible, WCT will make every effort to try and resolve matters satisfactorily at an informal stage, however this might not always be appropriate. Employees may be able to take some initial steps to try to resolve their issues/concerns and these must be exhausted wherever possible:

Keep a diary of all incidents - records of dates, times, any witnesses, your feelings etc… Keep copies of any correspondence that may be relevant, for example reports, letters, memos, notes of any meetings that relate to you. However, confidentiality must be maintained in line with Section 6.5 of this policy.

In many instances it is possible for the complaint to be resolved quickly by explaining directly to the individual who is alleged to have harassed or bullied, the effect their behaviour is having and that you want it to stop.

You must always make it clear that if it continues you will make a formal complaint.

If the behaviour of a person is aggressive, in some circumstances it may be necessary to walk away, making it clear you do not wish to be spoken to in that way.

If you do not feel able to raise your concerns with the person directly (as suggested above) you could write them down stating that you feel harassed, when and where this occurred and how you wish to be treated, giving a copy to the person who is allegedly harassing you and keeping a copy for yourself.

The Head of Service/Divisional Manager (or their manager, if the complaint is about them) should be informed of the issues that have been raised at this stage by the Line Manager (or their manager, if the complaint is about them) as soon as is practicably possible verbally or via email.

Managers must meet with the employee to discuss their concerns and take all reasonable steps to try and resolve the issues that have been raised informally.


Every effort must be made in order to resolve issues at an early stage in order to avoid the issues becoming formalised. Where the issues cannot be resolved informally by the Line Manager (or their manager, if the complaint is about them), it is expected that the employee would commit to resolution through independent mediation within a reasonable timescale, which would normally be within a 3 month period.

Where the matter is so serious that the Line Manager (or their manager, if the complaint is about them) feels that they are unable to resolve matters informally or through independent mediation, they should escalate the issue to the formal stages of this procedure. The Line Manager (or their manager, if the complaint is about them) should consult with a representative from HR when considering escalating an issue straight to the formal procedure. The Line Manager (or their manager, if the complaint is about them) must provide confirmation, in writing, to the employee in relation to the outcome of the informal stage of this procedure using Appendix 2. A copy should be sent to the Head of Service/Divisional Manager (or their manager, if the complaint is about them) and the HR Department. If local informal Line Management interventions are not able to resolve the matter, then mediation through the Mediation Scheme must be considered, as outlined in Section 6.1.1. 6.1.1 Mediation

In the event that local informal Line Management interventions have not resolved the matter then mediation through the Mediation Scheme must be considered. There must be good-will and a genuine desire to resolve issues at the lowest level, in order that acceptable solutions will be reached. WCT has trained internal ACAS Accredited mediators in order to assist the facilitation and resolution of issues/concerns. ACAS encourage individuals to resolve issues through mediation because: ‘Mediation helps people who don’t see eye to eye to sort out their differences as quickly as possible and so minimise distress and cost.’ and ‘Although having suitable policies and procedures to resolve workplace problems is essential, in many cases a positive result can be achieved through early and informal intervention.’


The mediation process is entirely confidential between the parties involved and the mediator. Employees entering mediation must always adhere to the code of confidentiality in order for the process to be successful. Any agreement comes from those in dispute, not from the mediator. The mediator is not there to tell those involved in the mediation what they should do. Mediation may not be suitable if:

Used as a first resort – because people should be encouraged to speak to each other and talk to their Manager before they seek a solution via mediation

It is used by a Manager to avoid managerial responsibilities

A decision about a right or wrong is needed e.g. a breach of confidentiality

The individual has an ongoing discrimination, harassment or bullying issue

Where one individual is completely inflexible towards using mediation and will only raise unrealistic expectations of a positive outcome

If either party feels the involvement of a mediator would assist them they must, in the first instance, contact their Line Manager (or their manager, if the complaint is about them). Employees can also contact, the Mediation Scheme Co-ordinator directly. If the issues are not satisfactorily resolved the Line Manager (or their manager, if the complaint is about them) will inform the employee/s (using Appendix 2), that they have the right to pursue the issues through the Formal Stages of the policy as outlined in Section 6.2. The Line Manager (or their manager, if the complaint is about them) will also inform the Head of Service/Divisional Manager and a HR representative of the outcome and whether the issues may proceed to the next stage (using Appendix 2). 6.2 Formal Procedure If informal attempts to resolve the situation have not been successful, the employee must raise their concerns using the Registration of Dignity at Work Form (Appendix 3).

Issues/concerns must be raised within 3 months from the date that the matter occurred or following the end of the informal process. In exceptional circumstances and depending on the reasons, a longer time period may be considered. This decision will rest with the Director of HR & Corporate Affairs. To request a longer time period employees must indicate this on the Registration of Dignity at Work Form (Appendix 3) where indicated.

Where an individual is absent from work through sickness and it is deemed that it is in the interests of both the individual(s) and the organisation, the process will continue. However, in some circumstances it may be considered, that the process would need to be delayed until the individual returns to work. This should be discussed with all parties involved, including any Staff Side representatives.


On receipt of the Registration of Dignity at Work Form (Appendix 3), the Head of Service/Divisional Manager (or their manager, if the complaint is about them) must acknowledge receipt in accordance with the timescales set out in Table 1. The Head of Service/Divisional Manager (or their manager, if the complaint is about them) must consider whether a formal investigation is required. If a formal investigation is required then the process outlined in this section and in Table 1 must be followed. If a formal investigation is not required then the Head of Service/Divisional Manager (or their manager, if the complaint is about them) must ensure that a meeting is held with the individual before a decision is made on the outcome. The decision whether to instigate a formal investigation must be taken in consultation with a representative from HR.

Where an investigation is deemed an appropriate course of action, it must be conducted independently by an Investigating Officer, supported by a representative from HR allowing for the appropriate involvement of Staff Side representation.

If the employee has any concerns in relation to the process they must speak to either the Investigating Officer or a representative from HR.


Table 1

Action Timescale Responsibility

Acknowledgment Letter Sent to Employee

5 working days of receipt of the Registration of Dignity at Work Form

Head of Service/ Divisional Manager*

Decision to be made on whether a formal investigation is needed



If an investigation is not required then a meeting should be held with the individual to discuss the issues being raised and the reasons for not proceeding with an investigation



Outcome Letter Issued Within 5 working days of the date of the meeting


Where an investigation is required the following timescales should be adhered to:

Action Timescale Responsibility

Investigating Officer to be Appointed

5 working days of the Acknowledgement Letter being issued

Head of Service/ Divisional Manager*/ Executive Director

Meeting date to be issued by Investigating Officer

5 working days of being appointed

Investigating Officer

Completed Report to be issued for consideration

6 weeks from date of being appointed

Investigating Officer

Meeting to be held with individual raising the Dignity at Work issue to inform them of the outcome

5 working days from the date of the report being submitted

Designated Manager*

Outcome Letter Issued Within 5 working days of a decision being made i.e. from the date of the meeting

Designated Manager*

* or other appropriate Manager as outlined in the Scheme of Delegation (Appendix 4)


Investigations must be handled within the agreed timescales, as set out above. These are designed to allow issues/concerns to be dealt with in a reasonable time period, without unreasonable delay.

However, where the issues/concerns are more complex and require more in depth investigations, it will be necessary to agree a longer period. In this instance, the Investigating Officer will be required to inform all individuals and their Staff Side representatives of the agreed extended timescales.

Once an Investigating Officer is allocated to investigate the allegation(s), they must produce a report from the case in order for the Head of Service/Divisional Manager (or their manager, if the complaint is about them) to consider the issues. At this stage a HR Representative will be involved in an advisory capacity to the relevant Investigating Officer. Formal Meetings will be recorded for reference purposes but notes of key points will be taken to assist the Investigating Officer in their fact-finding. The Head of Service/Divisional Manager (or their manager, if the complaint is about them) will be assisted by a representative from the HR Department. This person can advise on the process.

A report summarising the findings must be forwarded to the relevant Head of Service/Divisional Manager (or their manager, if the complaint is about them) and the HR lead by the Investigating Officer for consideration. Both parties must be notified of this in writing that the report has been completed and submitted for consideration.

The Head of Service/Divisional Manager (or their manager, if the complaint is about them) must consider the findings of the report and if harassment/misconduct is demonstrated then they must make a decision on whether there is a case to answer. Both parties must be provided with a response outlining the outcome of the investigation in respect of the complaint.

The outcome must be communicated to the employee/s in writing in accordance with the time limits in Table 1.

The investigation and any action arising from it must be carried out in line with WCT’s Standards of Conduct & Disciplinary policy (HRP1).

Issues/concerns, which upon investigation, are considered to be malicious or contrary to the organisation’s Standards of Conduct Disciplinary Policy HRP1 will be subject to further investigation.

In certain exceptional circumstances, where it is deemed that disclosure may compromise the individuals concerned, the Investigating Officer/Manager may withhold some information pertaining to the investigation i.e. the identity of witnesses/s or information relating to a disciplinary.


If the employee has any concerns in relation to the process they must speak to either the Investigating Officer or a representative from HR. If the employee has any concerns in relation to the process they must speak to a representative from HR.

6.2.1 Action following an upheld complaint

Where the Head of Service/Divisional Manager (or their manager, if the complaint is about them) decides that there is a case to answer and there has been a breach relating to HRP1 Standards of Conduct & Disciplinary Policy, then the Head of Service/Divisional Manager (or their manager, if the complaint is about them) will be responsible for informing the employee/s involved. The Head of Service/Divisional Manager (or their manager, if the complaint is about them) will then be responsible for the process under HRP1.

Where this is concluded, the Head of Service/Divisional Manager (or their manager, if the complaint is about them) will be responsible for informing the employee who the allegations have been made against that a disciplinary hearing will be held in accordance with HRP1 Standards of Conduct and Disciplinary Policy.

Where it is viewed as a serious or gross misconduct issue, dismissal is one of the potential outcomes to be considered. This will also apply in cases where the complainant's behaviour is deemed to be malicious or vexatious.

Employees who have raised the complaint will have the right to appeal the decision at the end of this Stage in accordance with Section 6.4. Employees who have raised the complaint will not be informed of the outcome of any hearing relating to another member of staff for reasons related to confidentiality. If the employee has any concerns in relation to the process they must speak to a representative from HR.

6.2.2 Action following a complaint that is not upheld

Where an investigation outcome is deemed as ‘no case to answer’ i.e. there is no evidence to support the allegation, then both parties must be informed in writing by the Head of Service/Divisional Manager (or their manager, if the complaint is about them).

It will be necessary at this stage for the Head of Service/Divisional Manager, (or their manager, if the complaint is about them) to consider what action needs to be taken in order to resume normal working arrangements and restore working relationships within the workplace.


This will include considering whether mediation is required, particularly if the individuals work closely together.

When an issue is resolved which requires some form of management action, the Head of Service/Divisional Manager (or their manager, if the complaint is about them) must ensure that any such action is implemented by the named responsible person as agreed. If the employee has any concerns in relation to the process they must speak to a representative from HR. 6.3 Representation

All employees who raise a concern, or have an allegation raised against them at the formal stages of this policy have a right to either be represented by a recognised Staff Side representative, or be accompanied by a work based colleague of their choice (who is not acting in a professional capacity, or has a conflict of interest). Only one representative will be permitted. Employees are able to allow their Staff Side representative who have not been involved in the sequence of events (but not their work based colleague) to speak, summarise and ask questions on their behalf. At an Appeal Hearing, the Chair of a panel retains the right to specify that the employee rather than the representative answer questions where there is cause to do so. The representative must be given a reasonable amount of time to confer privately with the employee. If being accompanied by a work based colleague, employees can adjourn to confer with their colleague but must speak, summarise and ask questions themselves. If the chosen Staff Side representative cannot attend on a proposed date, another date must be suggested that must suit all involved. The new date should not be more than 5 days after the date originally proposed unless mutually agreed by all parties. Where the employee is accompanied by a work based colleague, this will not incur a delay in the process and employees will be required to either proceed without a work based colleague to support them or find an alternative, unless there are exceptional circumstances and it is mutually agreed by all parties. Accredited Staff Side representatives who raise a concern may be accompanied by a Full Time Officer of the Trade Union at all Formal Stages of this policy but time scales should be adhered to. Individuals who are providing a witness statement (interview) in relation to an investigation will be entitled to be accompanied by a work-based colleague only.


It is the responsibility of the employee to make arrangements for representation and for Staff Side Representatives to arrange for alternative representatives to attend if they are unavailable. If the employee has any concerns in relation to the process they must speak to a representative from HR. 6.4 Appeal

Employees must submit their appeal, in writing by letter, within 20 working days, of receipt of the outcome letter, to the appropriate Director in accordance with the Scheme of Delegation (Appendix 4). The appeal must clearly state the reasons and facts for appealing. An appeal will not be progressed until the reasons for appealing are clear. As part of this policy there are further guidance notes in Appendix 5. A request for an Appeal must be written in accordance with these guidance notes so that consideration can be given by the Director (or their manager, if the complaint is about them) as to the appropriateness of the appeal and so that Management can prepare their case. The appropriate Director will acknowledge the appeal within 5 working days of receipt. On receipt of a request for an Appeal, if the employee indicates that they wish their Appeal to be considered by a Non-Executive Director (NED) on the Panel, then the request will be referred to the Chairman for consideration. The Chairman will consider the reasons for the request, but their decision regarding NED involvement will be final. The appeal must be heard as soon as is practicable, without unreasonable delay and the time and date of the hearing will be confirmed in writing, in advance of the meeting. Evidence and statements of case must be provided by both management side and the employee(s) raising the appeal, which must arrive at least 10 working days prior to the date set for the hearing of the appeal. When both statements of case have been received, the HR support to the panel must provide a copy of the statements of case to both parties (Management/employee). The decision made by the Director (or their manager, if the complaint is about them) will be final and there will be no further right to an additional appeal after this stage.

If the employee has any concerns in relation to the process they must speak to a representative from HR.

6.5 Confidentiality


All employees involved with the investigation and any subsequent process must respect the need for confidentiality. All complaints, associated correspondence and interviews will be treated in strict confidence. Breaches of confidentiality will be subject to investigation and potential disciplinary action in line with HRP1 Standards of Conduct and Disciplinary Policy. 7. TRUST SUPPORT

WCT recognises the importance of Staff Side Representative’s in addressing harassment and members can approach them regarding their concerns for advice. WCT will work in conjunction with Staff Side reps in addressing unacceptable and inappropriate behaviours. The contact details for all Staff Side representatives are available on the website.

Any member of staff who is involved in a claim of bullying and harassment may find it helpful to be referred to the Occupational Health team. Any member of staff who wishes to be referred to OH should contact their Line Manager (or their manager, if the complaint is about them). Staff can also contact the Counselling services and/or the 24 hour advice helpline.

An annual training needs analysis is overseen and co-ordinated by the Learning and Development Group (L&D) which leads to the development of

a Trust Wide Mandatory Training Matrix

a service specific mandatory training matrix

Awareness level training for staff and managers will be included in the Equality & Diversity Training which is detailed in the Trust Wide Mandatory Training Matrix. Specific support will be provided to those who require it on a case by case basis from the HR department.

8. HOW THE ORGANISATION TRAINS STAFF IN LINE WITH THE TRAINING

NEEDS ANALYSIS

The Learning and Development Group agreed and updated the key requirements for the Trust’s Mandatory Training Matrix, based on:-

Care Quality Commission standards

NHS Litigation Authority standards for risk management training

Trust strategic objectives

Department of Health and other statutory body requirements The Trust-wide Training Matrix is formally approved by the Education and Workforce Committee.

Attendance at Trust Wide Mandatory Training as per Matrix The set target for attendance at mandatory training is 95%


Attendance at Trust wide mandatory training is centrally recorded by the Quality and Governance Service

Quarterly reports for Trust wide Mandatory Training are made available to Divisional Managers via the Learning and Development group

If services are not meeting projected targets for attendance, Divisional Managers to risk assess using the Trusts Risk Policy if low levels of attendance is a potential risk to business continuity and or patient safety

The Trusts Learning and Development Policy outlines how the organisation monitors attendance at training and persistent non-attendance. 9. HOW THE ORGANISATION MONITORS COMPLIANCE

See Appendix 8

10. OTHER RELEVANT PROCEDURAL DOCUMENTS

HRP1 Standards of Conduct & Disciplinary Policy

HRP2 Policy for Handling Individual & Collective Grievances

HRP12 Disclosure Policy (Whistle-blowing) HRP 6 Flexible Working Policy GP46 Learning and Development Policy

11. REFERENCES

The Equality Act 2010 http://www.legislation.gov.uk/ukpga/2010/15/contents

Protection from Harassment Act 1997 http://www.legislation.gov.uk/ukpga/1997/40/contents Employment Act 2002 http://www.legislation.gov.uk/ukpga/2002/22/contents Bullying and harassment at Work – A guide for Managers and Employers (ACAS) http://www.acas.org.uk/CHttpHandler.ashx?id=304&p=0

http://www.legislation.gov.uk/ukpga/2010/15/contents



http://www.acas.org.uk/CHttpHandler.ashx?id=304&p=0


APPENDIX 1

Examples of unacceptable behaviours that can be considered to constitute bullying and harassment:

Bullying by exclusion - this may take the form of social isolation and/or exclusion from meetings, conversations, group activities or more informal things such as laughing at a joke or not sharing/including someone

The deliberate withholding of information with the intention of affecting a colleagues performance

Unfair and destructive criticism

Intimidating behaviour

Verbal abuse and spreading of unfounded rumours

Humiliation or ridicule

Setting of unrealistic targets which are unreasonable and/or changed with limited notice or consultation

Copying memos that are critical about someone to others that do not need to know

Bullying can take many forms. The following are just some of the most common ways. Bullies may:

Use terror tactics, open aggression, threats, shouting, abuse or obscenities towards them.

Subject them to constant humiliation or ridicule, belittling their efforts, often in front of others.

Subject them to excessive supervision, monitoring everything they do and be excessively critical about minor things.

Constantly take the credit for the other person’s work but never take the blame when things go wrong.

Constantly overrule the person’s authority.

Remove whole areas of work of responsibility from the person, reducing their job to routine tasks, which are well below their skills and capabilities.

Set the person what they know are impossible objectives, or constantly change the work remit without telling the person, and then criticise or reprimand the person for not meeting their demands.

Deliberately withhold information, which the person requires in order to do their job effectively.

Ostracise or marginalise them, dealing with the person only through a third party, excluding the person from discussions, decisions etc.

Spread malicious rumours about the individual.

Refuse reasonable requests for leave, training etc. or block a person’s promotion.


The reasons for which individuals may be subjected to harassment in the workplace are wide ranging and may include reference to an individual’s:

Race, ethnic origin or nationality

Gender

Sexual orientation

Religious or political convictions or beliefs

Membership or non-membership of a trade union

Disability, progressive conditions, sensory impairment or learning difficulty

Physical appearance

Age

Status as an ex-offender

Willingness and/or ability to challenge harassment

Lack of employment position/power

Marital/family status

These lists are not exhaustive.


APPENDIX 2

REGISTRATION OF (INFORMAL) DIGNITY AT WORK COMPLAINT

To be completed by the employee’s Line Manager (or their manager if the complaint is about them) To (Head of Service/Divisional Manager): ................................................................ Department: . ..................................................... Base: ............................................ Name of employee(s): ………………………………………..…………………………… Line Manager’s Name: …………………………………………………………………… Contact Details: (Mobile) ………………………………… (Work) ……………………… Name of Manager completing this form ……………………………………………… (if different from above) Issues Raised (including relevant dates): ....................................................................................................................................... ....................................................................................................................................... ………………………………………………………………………………………………… Please indicate what actions have already been taken in order to resolve the matter informally: ....................................................................................................................................... ………………………………………………………………………………………………… ………………………………………………………………………………………………… Did you meet with the individual’s concerned? YES/NO If yes, what date? …………………………………………………………………………. Did these actions resolve the matter YES/NO Has Mediation through the Mediation Scheme been offered? YES/NO Have both parties agreed to mediation? YES/NO


If yes, what date did mediation commence: ………………………………………… If no, why not? ………………………………………………………………………………. Did the mediation resolve the matter(s)? YES/NO Has the employee been advised that of their right to pursue the matter through the Formal Stages of the Policy? YES/NO Does the employee want to pursue the matter formally? YES/NO Has the employee been advised to complete a Registration of (Formal) Dignity at Work Form (Appendix 2)? YES/NO Signed: ............................................... Date: ........................................................... A copy of this form must be sent to the employee who raised the issue and a copy to the HR Department


APPENDIX 3

REGISTRATION OF (FORMAL) DIGNITY AT WORK COMPLAINT

SECTION A: To be completed by employee

Name: ……………………………………….. ........ …………………………………….. Job Title: ............................................................ …………………………………….. . Department: . ..................................................... Base: ............................................ Line Manager: ……………………………………………………………………………… Address for correspondence: ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... Contact Number (Home/Work): …………………………………………………………… Email Address: ………………………………………………………………………………

SECTION B: To (Name): .................................................................................................................... (Head of Service/Divisional Manager or their manager if the complaint is in relation to them) Date:………………………………………………………………………………………….. Please indicate what actions have already been taken in order to resolve the matter informally: ………………………………………………………………………………………………… ………………………………………………………………………………………………… …………………………………………………………………………………………………


…………………………………………………………………………………………………… Have you been asked to take part in mediation as a way of resolving this matter prior to submitting this form? Yes/No Did you accept this offer? Yes/No If yes, what date did mediation commence: ………………………………………………… Please give brief details of the mediation (dates) and why you feel it was not successful as a method of resolution? ………………………………………………………………………………………………… ………………………………………………………………………………………………… ………………………………………………………………………………………………… ………………………………………………………………………………………………… If you did not accept the offer of mediation, please state your reasons: …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… What date did the mediation end? ………………………………………………………….. (this date should be within 3 months of completing this form, if it is longer than 3 months then a request should be made to the Director of HR) Do you wish to make a request for an extension in relation to the 3 month time limit? (this should only be requested in exceptional circumstances) YES/NO If yes, please state your reasons: …………………………………………………………… ...........................................................................................................................................

SECTION C: I wish to register a Dignity at Work issue against (name/s): .......................................................................................................................................


Please state the reasons why you wish to raise a Dignity at Work issue: ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... Please state how you anticipate seeking resolution of the issues: ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... ....................................................................................................................................... I will be represented by (name/job title): ...................................................................... Please indicate whether the individual is a Staff Side representative or workplace colleague: ……………………………….. ......................................................................................... If applicable, which Trade Union: …………………………………………………………… Contact details (tel/email/base) : …………………………………………………………… Signature: ……………………………………………………………………………………. Date: .............................................................................................................................. PLEASE HAND THIS FORM TO YOUR HEAD OF SERVICE/DIVISIONAL MANAGER OR THEIR MANAGER IS IF THE COMPLAINT IS IN RELATION TO THE HEAD OF SERVICE/DIVISIONAL MANAGER.


SECTION C:

Equal Opportunities Monitoring - Person against whom allegations made

We require this information for monitoring under the Race Relations Act and other legislation and directives covering equal opportunities and diversity. The Trust is committed to equal opportunities and fully supports this monitoring. As a Public Authority it is our duty under the Race Relations Act.

Ethnicity Codes

White Mixed Asian or Asian British

Black or Black British

White British A White & black Caribbean

D Indian H

Caribbean M

White Irish B White & Black African

E

Pakistani J

African N

Any other White

C White & Asian F Bangladeshi K

Any other Black background

P

Any other mixed background

G Any other Asian background

L

Other ethnic groups

Not stated

Chinese R Not stated Z

Any other ethnic group

S

Disability codes

Age Category Gender code

Banding

No disabilities N

Under 20 years 1 Male M

1 7

Dyslexic D 20-24 years 2 Female F 2 8a

Blind/sight impaired

S

25-44 years 3 3 8b

Deaf/ hearing impaired

H 45+ years 4 4 8c

Mobility difficulties

M

5 8d

Other 6 9

This form should be completed and returned in a sealed envelope to the Investigating Officer. The Investigating Officer is then required to pass the sealed envelope to the HR Business Partner.


Appendix 4

Dignity at Work Policy Scheme of Delegation

Category of Staff

Informal Formal Appeal

Chief Executive (CEO)

Trust Chairman Designated Non-Executive Director

Two Non Executive Directors

Executive Directors

Chief Executive Trust Chairman Chairman plus one Non Executive Director

Other staff directly responsible to the Chief Executive

Chief Executive Trust Chairman Chairman plus one Non Executive Director

Medical & Dental Staff (i.e. Doctors & Dentists)

Head of Service/ Divisional Manager or designated Medical/Executive Director

Other Medical/Executive Director

Chief Executive

All other staff Immediate Line Manager

Head of Service/ Divisional Manager or designated representative

Director, Head of Service/Divisional Manager who has not previously been involved

Notes (1) Where, for any reason the Chairman is not available, the role of the Chairman may

be undertaken by a designated representative, ie a Non Executive Director. (2) In some circumstances, where it is deemed appropriate, a Non Executive Director

from another NHS organisation will act as one of the panel members. (3) In all instances where the case relates to the Chief Executive or other Director, then

a discussion should take place with the Director of HR & Corporate Affairs. (4) Appeal panels will consist of at least one Director (Chair) or designated

Director/Head of Service/Divisional Manager and a representative from HR. (5) On receipt of a request for an appeal, if the employee indicates that they wish their

appeal to be considered by a Non-Executive Director on the panel then the request will be referred to the Chairman for consideration. The Chairman will consider the reasons for the request and their decision will be final.


APPENDIX 5

Guidance on writing formal complaints and appeals under the


1 Type or write clearly in black ink - your document will need to be photocopied and read by other people. The information will only be shared with individuals who need to know.

2 Check which policy you would like your complaint to be considered against i.e.

the Policy for Handling Individual and Collective Grievances and Disputes HRP2 or Dignity at Work Policy HRP4.

3 Discuss your document with a Staff Side representative, if you are a member of a

union or a colleague, however, please remember that confidentiality must be maintained, therefore if you do this discuss this with a colleague, they should be a work-based colleague who will be your support throughout the process.

4 Keep your comments focussed on the specific issues you wish to raise - if you

raise too many issues, you may hide the crucial ones. 5 Don’t use your submission as a chance to complain about other issues which are

less important. 6 If there is one key issue, identify it as such. 7 Try and keep the document to one or two sides of A4. 8 Don’t exaggerate the issues - it makes for a much more effective process if the

issues are outlined in a clear and straightforward manner. 9 Describe what happened and provide specific details i.e. dates, names and

circumstances. 10 Explain steps, if any, you have taken to address the issues informally. 11 Outline what outcome you would like to see - but remember to be reasonable and

realistic in your expectations, even if you don’t think that the other parties have been.

12 Remember to sign and date the form before handing it to your Line Manager.


APPENDIX 6

FLOWCHART FOR DEALING WITH FORMAL COMPLAINTS

Registration of Dignity at Work Form received by Head of Service

Acknowledgement letter sent to individual by Head of Service within 5 working days

Head of Service to consider whether a formal investigation is required in consultation with HR (within 5 working days)

No Yes

Head of Service to liaise with Executive Director to appoint an investigating officer with 5 working days of the acknowledgment letter being issued

Head of Service to meet with individual to discuss their concerns and make a decision

within 10 working days of receipt of the Registration of Dignity at Work Form

Head of Service to write to individual to confirm outcome of the Dignity at Work issues within 5 working days

from the date of the meeting

Investigating Officer is appointed and informs individual of meeting date within 5 working days

of being appointed

Completed investigation report to be submitted to the Head of Service within 4 weeks of being appointed

Meeting to be held with individual raising the grievance to inform them of the outcome within 5

working days of receipt of the report

Outcome letter to be sent to individual within 5 working days of the report being submitted

Case to answer?

No

Yes

Any learning outcomes should be identified and communicated to the relevant parties.

Has there been a breach in the disciplinary procedures? No

Any learning outcomes should be identified and communicated to the relevant parties.

Yes

Refer to HRP1 Standards of Conduct and Disciplinary Policy


APPENDIX 7

APPEAL PROCEDURE – DIGNITY AT WORK POLICY

At the Hearing of a Dignity at Work Appeal Panel, the following procedure shall be observed: (a) The employee or his/her representative shall put his/her case in the presence of

management’s representative and may call witnesses. (b) Management’s representative shall have the opportunity to ask questions of the

individual, his/her representative or his/her witnesses. (c) The members of the panel shall have the opportunity to ask questions of the

employee, his/her representative or his/her witnesses. (d) The employee or his/her representative shall have the opportunity to re-examine

his/her witnesses on any matters referred to in their examination by members of the Panel or management’s representative.

(e) Management’s representative shall state management’s case in the presence of

the employee and his/her representative. (f) The employee or his/her representative shall have the opportunity to ask questions

of management’s representative and witnesses. (g) The members of the Panel shall have the opportunity to ask questions of

management’s representative and witnesses. (h) Management’s representative shall have the opportunity to re-examine his/her

witnesses on any matter referred to in their examination by members of the grievance panel, the employee or his/her representative.

(i) Management’s representative and the employee or his/her representative shall

have the opportunity to sum up, if they so wish. The employee or his/her representative shall have the right to speak last. In their summing up, neither party may introduce any new matter/evidence.

(j) Nothing in the foregoing procedure shall prevent the members of the Panel from

inviting either party to clarify any statement he/she may have made; or from asking him/her such questions as may be necessary to ascertain whether or not he/she proposes to call any evidence in respect of any part of his/her statement or, alternatively, whether he/she is in fact claiming that the matters are within his/her


own knowledge, in which case he/she will be subject to examination as a witness under (b) or (f).

(k) The Panel may, at their discretion, adjourn the Hearing. (l) Management’s representative, the employee and his/her representative and

witnesses, shall withdraw. (m) The Panel, with the officer appointed as Secretary to the Panel, shall deliberate in

private, only recalling both parties to clear points of uncertainty on evidence already given. If recall is necessary, both parties shall return notwithstanding only one is concerned with the point giving rise to doubt.

(n) Wherever possible, the Panel will announce their decision to both parties at the

Hearing. The outcome will be confirmed to the employee and/or representative in writing within 5 working days of the date of the Hearing.

HRP4 Dignity at Work Policy – Version 1

Appendix 8 Process for Monitoring Compliance with the Procedure for Harassment and Bullying

Minimum requirement to be monitored

Process for monitoring (e.g. audit)

Responsible individual / group/ committee

Frequency of monitoring

Evidence Responsible individual for development of action plan

Responsible committee for monitoring of action plan and Implementation

a. Description of the duties

Review of Employee Relations caseload over previous 12 months and report submitted to Policy Review Group (annually)

Policy Review Group

Annually Information provided with the audit/report

Policy Lead Education & Workforce Committee

b. Statement by the organisation that harassment and/or bullying are not acceptable


Policy Review Group



c. How concerns about harassment and/or bullying can be raised

Review of Employee Relations caseload over previous 12 months and report submitted to Policy

Policy Review Group



HRP4 Dignity at Work Policy – Version 1

Minimum requirement to be monitored

Process for monitoring (e.g. audit)

Responsible individual / group/ committee

Frequency of monitoring

Evidence Responsible individual for development of action plan

Responsible committee for monitoring of action plan and Implementation

Review Group (annually)

d. What should be done once a concern has been raised


Policy Review Group



e. How the organisation trains staff in line with the training needs analysis

Attendance at Trust wide mandatory training is monitored at the L&D Group

Learning and Development Group

A minimum of twice a year

Attendance reports

Divisional Managers

Learning and Development Group and by exceptions to E&W Committee