Harassment Policy
First Issued November 1998 Revised October 2002 Contact details only revised May 2011
CONTENTS
Page No
Introduction 1
Purpose of the Procedure 1
What is meant by Bullying and Harassment? 2
What form can Harassment take? 4
Why such unacceptable behaviour will not be tolerated 4
Responsibilities 5
Complaints Procedure 6 Informal action 6 Formal action 7
Possible Outcomes & Actions 9
Rights of the Individuals 10
Support for Employees who have been harassed/bullied 10
Roles Support Officer 11 Manager 12 Investigating Officer 13
Monitoring 14
Review of Policy and Procedures 14
Appendices
1 Harassment Procedure Flowchart
2 Harassment Monitoring Form
INTRODUCTION
Harassment of employees which is not properly and effectively dealt with can result in tension and conflict within the workplace, stress, ill-health and absence, interference with work outputs, and even resignation.
Cumbria County Council is an Equal Opportunities employer and therefore believes that every employee has a right to a working environment in which the dignity of individuals is respected and in which bullying and harassment are unacceptable. The Council is committed to providing a safe and healthy workplace for its employees and will deal seriously with any instances of harassment that could affect this, whatever form this might take.
Purpose of the Procedure
The purpose of the Harassment Procedure is to create a climate within Cumbria
County Council where all employees are treated with respect and dignity at work. This procedure provides a framework for action to be taken to either enable employees to deal with situations themselves, or if they wish, for action to be taken to investigate a complaint and, if harassment is proved to have occurred, for the Council to take action which could reasonably be expected to address the situation.
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WHAT IS MEANT BY BULLYING AND HARASSMENT?
Harassment is a complex and sensitive issue with no simple or adequate definition. This is because it takes so many different forms, can be isolated or repetitive behaviour and may be directed at individuals or groups. It is also very personal, because what constitutes acceptable behaviour for one individual may be deemed harassment by another.
In general terms, harassment can be defined as: any unwanted attention or behaviour that a person finds objectionable or offensive and which makes him or her feel threatened or uncomfortable leading to a loss of dignity and self-respect.
The test of whether the harasser ought to have known that the behaviour amounted to harassment is whether another reasonable person in possession of the same information would have realised that it did.
Intentional harassment at work is also a criminal offence and is punishable at law. An employer who fails to deal with the allegations or acts of harassment can also be subject to the rigours of UK law and European decision making.
There is now a case for describing bullying as a distinct and clearly separate form of harassment, if only to aid recognition of it generally. It is a phenomenon which we all recognise as being associated with the school playground, but it is in fact a real problem which bedevils the workplace and is defined as: persistent, offensive, abusive, intimidating, malicious or insulting behaviour, abuse of power or unfair use of penal sanctions, which makes the recipient feel threatened, humiliated, or vulnerable, undermines their self-confidence and which may cause them distress.
Harassment and bullying can occur because of a person's :-
• race, nationality, skin colour or ethnic background • gender • disability • age • class • sexuality • religious or political convictions • suspected or actual HIV/AID status • trade union membership • status as an ex-offender • willingness to challenge harassment and therefore being victimised themselves
This list is by no means exhaustive and the forms of harassment are not mutually exclusive, for example a woman may be harassed on grounds of sex and race. Virtually anyone can be the subject of harassment as it comes in so many shapes and forms.
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WHAT FORM CAN HARASSMENT TAKE?
Harassment can be expressed in many ways. It can be overt, covert, persistent or take place in isolated incidents. It can even be done unwittingly ie the harasser is completely unaware that they are perpetrators of harassment. It can range from less obvious forms like ignoring someone, to extremes such as violence. Whatever the form, it will be unwanted behaviour which is unwelcome and unpleasant. Possible forms include the following by no means exhaustive list :-
• unwelcome physical contact or invading a person's space • suggestive comments or innuendo • persistent, unwelcome attention • singling out or victimising • inappropriate detailed checking of work, times of coming and going, or excessive supervision • ostracising or freezing out; withholding information, resources or training • setting impossible objectives; ie setting someone up to fail • changing priorities or objectives unreasonably; "moving the goalposts" • unreasonable allocation of duties, work or areas of responsibility • public reprimand, ridicule, sarcasm or humiliation • belittling or patronising comments • display or issue of offensive literature and pictures • practical jokes or initiations • rifling, damaging or stealing of personal possessions • shouting, swearing, abuse, nicknames, or malicious gossip • persistent reminders of past failings • deliberate wrongful attribution of blame • grabbing - a person or their clothing • pushing, jostling, prodding or stalking • physical assault • other forms of harassment can include the use of e-mails, the sending of faxes or making of telephone calls within the working environment or to a person's home invading their privacy.
It should be noted that there is no guarantee that, in the workplace, all employees will enjoy trouble free professional relationships all the time. Such differences of opinion are part of life and may not, in themselves be grounds for a claim of harassment. Employees should also be aware of the need to check that their own attitude is not a contributory factor to the situation. Equally, the fact that a manager has asked an employee to carry out a task which they do not wish to undertake does not of itself constitute harassment.
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WHY SUCH UNACCEPTABLE BEHAVIOUR WILL NOT BE TOLERATED
1. Behaviour of this nature is contrary to the Council's values. It undermines the Council as an Equal Opportunity employer. It breaches the Code of Conduct for County Council employees.
2. Allowing harassment to go unchecked and undetected can have a major impact on the organisation, through reduced individual and team performance, attitude towards the organisation and the potential cost of litigation.
3. Health and safety implications, such as the physical and psychological damage caused, affect the morale, health and number of accidents in the workplace.
4. Cases which go to Employment Tribunal are time consuming, costly and guaranteed to bring widespread bad publicity. The inevitable disruption in the workplace will have also have an effect on the ability of employees to work to their maximum potential.
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RESPONSIBILITIES
The Council has a duty to create and maintain a safe and healthy working environment for employees and therefore has an obligation to ensure that any allegation of harassment of an employee by another employee is taken seriously, is properly investigated and is dealt with effectively.
The Council also recognises that its employees have the right to be treated with respect by the public they provide services to. Harassment of staff by members of the public is dealt with in a separate policy, County Council Safety Procedure number 14 "Personal Security in the Workplace".
Managers and supervisors are responsible for the discipline of the employees whom they manage and for ensuring that employees are aware of the Council's policies on equal opportunities. They are responsible therefore for the prevention of harassment at work or, if it does occur for ensuring that it is properly investigated and dealt with promptly and fairly in strict confidence. They are also responsible for ensuring that their employees know how to complain if they become victims of harassment.
Individual employees can help in preventing harassment by tackling colleagues whose behaviour appears to be causing distress to others, by reporting to management incidents which cannot be resolved informally and by providing support to individuals who are victimised. They must, of course, be careful not to become party to the harassment themselves.
NOTES:
1. Without detracting from the seriousness of harassment at work, it should be noted that a manager has a difficult job to do which sometimes involves making decisions and giving instructions in the course of managing that are not always going to be popular but which cannot of themselves be construed as harassment.
2. If a disciplinary or capability procedure is already under way, the investigation, and any disciplinary/capability procedure or action which follows it, will not normally be interrupted or delayed by the presentation of a claim of harassment.
3. It is recommended that if a manager is unsure about implementing any aspect of this procedure they seek professional HR advice from Capitadbs Ltd or, in the case of Cumbria Contract Services, their own HR section.
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COMPLAINTS PROCEDURE (See also flowchart at Appendix 1)
The Council's policy is to encourage employees who feel they are being harassed to complain about it rather than suffer the distress it can cause. However making such a complaint can itself be a distressing experience and the Council will ensure that the employee receives all necessary support. Confidentiality is a key issue and all parties should be aware of the need to maintain confidentiality throughout.
Investigating complaints into alleged cases of harassment is likely to require different responses but must always be treated in a sensitive and confidential manner. The procedure therefore contains both informal as well as formal action for dealing with such complaints. If the alleged harasser is employed by a different organisation (for example in a multi-disciplinary team) the complaint should first be made to the complainant’s own line manager. The manager is responsible for contacting the appropriate manager in the other organisation, involving HR professionals as necessary. The actual procedure followed may not be precisely as specified below but the complaint must be taken seriously and fully investigated.
INFORMAL ACTION
In many cases the employee who feels that they are being harassed or bullied simply wants the behaviour to stop. An informal approach may create the opportunity to resolve the problem more speedily and with less disruption than by using the formal procedure. If an informal approach is unsuccessful or if the employee prefers to do so then a formal complaint can be made.
1. If possible, an employee who believes that he or she has been the subject of harassment should, in the first instance, ask the person to stop the harassing or bullying behaviour. Some people are unaware that their behaviour in some circumstances is bullying or harassing. If it is clearly pointed out to them that their behaviour is unacceptable they have the opportunity to make changes. This initial approach can be made verbally or in writing. It should be understood that writing down the fact that there is a problem does not necessarily make the complaint formal. If the individual feels unable to make this approach on their own, it can be made with the assistance of a colleague, line manager, support officer or trade union representative. An employee may find it helpful to keep a note of incidents as they happen and of responses to any approach that they make to the alleged harasser. This is not an essential part of the procedure but it may prove to be useful.
2. If an employee feels the need for some assistance in making an informal approach or would simply like to discuss the situation and explore possible options, they can make an appointment with a Support Officer. Contact with a Support Officer is arranged by telephoning 07827 832279. Support Officers are trained to help employees to clarify their difficulties and to give advice on how the procedure operates. The Support Officer is
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not there to sort out the problem but to help to identify possible actions for the employee. They will also accompany an employee to any relevant meetings in a purely supportive role if required.
NB It should be emphasised that it is the employee who decides what course of action, if any, they wish to pursue.
3. The involvement of the Line Manager or a Human Resources Consultant, or both, may be helpful in reaching a solution at this informal stage. Possible courses of action may include meetings, telephone conversations and individual discussions to try to reconcile differences and resolve areas of conflict.
Employees who are accused of harassing others can also, if they wish, have the option of discussing their situation with a Support Officer who is not already involved in the case. This will provide an opportunity to discuss the situation in confidence and also to be advised about the actual procedure. The Support Officer will also accompany them to any relevant meetings, if required, in a purely supportive way.
Confidential advice from a Support Officer is also available to other employees who themselves may not be the subject of bullying but are concerned about the bullying of others.
FORMAL ACTION
If informal action does not result in the bullying behaviour ceasing, or if an employee wishes to make a formal complaint at the outset then the formal procedure below should be followed.
The key action, which will invoke the formal procedure, must be a letter to the line manager (or to the next most senior manager if the complaint is against the line manager) stating that a formal complaint is being made with details of the reason for the complaint.
Throughout this procedure, the complainant and the person against whom the complaint is made have certain rights which are detailed in the next section.
1. An employee who believes that he or she has been the subject of harassment should formally report the alleged act in writing to their line manager (as detailed above), or if the alleged perpetrator is their manager, to the next most senior manager, up to the Chief Officer if necessary, so that action is taken to address the situation at the most appropriate level of management. Where the alleged harasser is a Chief Officer or Councillor contact should be made with the Chief Executive. If the complainant wishes to have this letter delivered by a third party on their behalf they should authorise a trade union official or support officer in writing to do so.
2. Employees will be guaranteed a fair and impartial hearing. Once a complaint has been formally received the Manager will involve an Investigating Officer who is trained to deal with such issues. In the interests of impartiality it may be appropriate for the Investigating Officer
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to be recruited from outside the complainant's department. Both the complainant and the alleged perpetrator should be consulted regarding the choice of Investigating Officer. The Manager will take all reasonable objections into consideration. The Investigating Officer will be responsible for ensuring a thorough investigation of the complaint and for ensuring that there is no unnecessary delay in the process.
Where the alleged harasser is a Councillor the Chief Executive would consider the need for an investigation and appoint an appropriate investigating officer from outside of the County Council.
3. Complaints will be handled and investigated in a timely and confidential manner. All participants should be aware of the need to maintain confidentiality and should take steps, for example, to prevent unnecessary circulation of letters and statements. Investigations should only be discussed with those who are involved in the process, or with those who have to make a decision about the outcome. Confidentiality will be maintained in so far as is consistent with progressing the investigation of a complaint. However it must be understood that the Investigating Officer’s report may be used if disciplinary action is taken. Only material made accessible at the time of the investigation may be disclosed during the disciplinary process.
4. As a first stage in the investigation, the Investigating Officer will arrange to interview first the complainant, and then the person against whom the complaint has been made, with a representative if requested, in order to establish the issues, the seriousness and to see if a local resolution is possible. The Manager will keep both parties informed of the outcome.
5. If the initial interviews reveal that the complaint will require further full investigation, it may be necessary to consider possible relocation or to suspend the alleged harasser whilst the investigation is conducted. The Investigating Officer will report back to the Manager who will consider whether the alleged harassment is so serious as to merit suspension. Suspension should not be automatic and other options should be considered.
6. The Investigating Officer will then conduct a full formal investigation, interviewing the complainant, then the alleged harasser and finally anyone else who can assist with the investigation. The complainant and alleged harasser should be told at the outset how long the investigation is likely to take, and who will be communicating with them. In normal circumstances the investigation should be completed as soon as possible but normally within 4 - 6 weeks (See later section on Monitoring). All statements should be agreed and signed after typing by the person making the statement. Both the complainant and the alleged harasser should be kept informed of progress as the case continues.
7. At the conclusion of the investigation the Investigating Officer should provide a full written report to the manager who instigated the investigation. (This report should concentrate on facts, supporting evidence and other relevant background factors: any personal opinion or emotive language should be avoided.) The report should include a
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statement as to whether there is any evidence that harassment has taken place. The Investigating Officer should also provide a written summary of the findings of the report to both the complainant and the alleged harasser.
8. Having considered the final report the manager should meet separately with both parties and advise them of his/her conclusions and tell them what will happen next. (See later section on Possible Outcomes.) The manager should also confirm this in writing. The complainant and the alleged harasser have the right to be accompanied at these meetings by a colleague, trade union representative or support officer if they wish.
9. Where disciplinary action is considered necessary such action will be considered strictly in accordance with the Council's disciplinary procedure. In the case of a Councillor the Chief Executive would discuss the findings of the investigation with the appropriate party leader. Any sanctions would have to be considered by the political group and any action recommended to full Council for approval.
10. The manager who initiated the investigation must take appropriate action to protect employees from intimidation, victimisation or discrimination for filing a complaint about or assisting in an investigation. Retaliation against an employee for complaining about or assisting in an investigation of harassment is a disciplinary offence.
11. Those employees found to be knowingly making malicious, false allegations may also find themselves subject to the disciplinary procedure.
12. The complainant has the right to appeal to their Chief Officer or Unit Manager or their nominees (or Chief Executive if these managers have already been involved) if they are dissatisfied. This should be done by using the grievance procedure, clearly stating the reason for the appeal.
POSSIBLE OUTCOMES & ACTIONS
There are three possible outcomes following the conclusion of an investigation.
1. The complaint may not be upheld if there is not a reasonable belief that harassment took place. The manager should consider which of the following actions may assist in a return to normal working :-
¾ Provide counselling for both parties
¾ Arrange for mediation sessions (through the HR Team in the Policy & Performance department) to help to resolve differences
¾ Change in work environment or working practices to reduce the time the two parties have to work together.
2. Complaint may be upheld and a resolution sought subject to the agreement of the complainant. Possible actions may include :-
¾ Provide counselling for both parties
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¾ Ensure that harassers attend training to develop more appropriate interpersonal behaviour
¾ Consider coaching or mentoring for those at supervisory or management levels with particular reference to management styles
¾ Placing a note on the personal files of both employees, detailing the nature of the complaint and the actions taken to address the situation
¾ The manager should meet with the harasser and advise them that any repeat of the behaviour will be dealt with under the disciplinary procedure. This should be confirmed in writing.
¾ Offer to implement reasonable changes to the complainant’s work environment to increase their level of comfort. The possibility of moving the harasser could also be considered. The question of moving the complainant should only be considered if they ask for a move, or if moving the harasser is not feasible.
¾ Any other reasonable action to address the issue.
3. In serious cases the disciplinary procedure should be used and appropriate action taken.
RIGHTS OF THE INDIVIDUALS
The person being harassed/bullied has the right to:
ask the person to stop the harassing or bullying behaviour themselves or with support from the Support Officer/Union, line manager or colleague
take the formal action route if they wish
have the complaint taken seriously
offer suggestions for resolution. However the complainant cannot stipulate specific action to be taken or unreasonably refuse to cooperate with action to achieve a resolution
expect no unnecessary delay in the process
have the matter dealt with in a confidential manner in so far as this is consistent with progressing the investigation of the complaint
be kept informed of the progress as the case continues and to be provided with a written response at its conclusion
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expect the Council to put appropriate measures in place to prevent harassment
be given a copy of the Investigating Officer’s summary.
The alleged harasser/bully has the right to :-
respond and have their view heard and taken seriously
have the matter dealt with in a confidential manner in so far that this is consistent with progressing the investigation of the complaint
be provided with details of all allegations
have the matter dealt with in a timely manner
offer suggestions for resolution
have support from colleague/union/support officer
be kept informed of the progress as the case continues and to be provided with a written response at its conclusion.
be given a copy of the Investigating Officer’s summary
SUPPORT FOR EMPLOYEES
The Council recognises that harassment/bullying can affect job performance and lead to stress. It further recognises that confronting the situation and any formal investigation can also cause distress to all concerned and that all of this may affect both job and health. Both the complainant and the alleged harasser will therefore be encouraged to seek help from the Occupational Health Service who will discuss problems in confidence and where necessary recommend appropriate treatment or specialist advice. Trained counsellors providing confidential, caring and non judgmental support may also, if required, be accessed via the Occupational Health Service.
ROLES
THE ROLE OF THE SUPPORT OFFICER
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The main role of the Support Officer is to act as adviser and to provide sympathetic and confidential support. All persons taking up this role should be trained: i) in basic counselling skills, ii) to explain how the procedures for making a complaint operate, iii) to initiate the formal action by channelling the complaint to the appropriate manager for action, if the complainant feels unable to make this move themselves. This will only be done on the written authorisation of the complainant.
An employee who comes to a Support Officer to talk about harassment or bullying is under no obligation to take further action. The Support Officer is there to advise and assist employees in deciding what they want to do. The Support Officer will not take action on behalf of the complainant but will support them in that action by discussing possible options and by attending meetings with them if necessary.
Employees who are recipients of harassment or bullying are not obliged to refer their complaint to a Support Officer: it is entirely up to them whether they wish to do so. The role of the Support Officer is such that it is a means of ensuring that employees are not discouraged from bringing forward complaints.
You can arrange to see a Support Officer by telephoning 07827 832279 .
THE ROLE OF THE MANAGER
The manager plays a key role in the handling of possible cases of bullying and harassment. All managers should ensure that they are familiar with the procedure to be followed. It is strongly recommended that managers should attend the appropriate training course in order that they are fully aware of the complexities of dealing with occurrences of possible harassment.
The manager may initially be involved in the process of trying to resolve the problem in an informal way. This may include discussions with both parties or seeking the advice and involvement of HR professionals. In the formal process the role of the manager is to:
i. receive the complaint and confirm with the complainant that it is to be investigated under the formal procedure, ii. advise the alleged harasser, and their line manager, that a formal complaint has been made against them, iii. initiate the investigation, consulting both parties on the choice of Investigating Officer. Contact with Investigating Officers should be made via the HR Team in the Policy & Performance department tel: 01228 606344. iv. consider the need for possible relocation or suspension of the alleged harasser v. monitor progress of each case and ensure that all parties are fully informed of progress and possible delays at every stage, preferably in person vi. consider the findings of the investigation by the Investigating Officer,
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vii. decide on the formal actions as a result of the investigation, which may involve seeking appropriate advice/guidance from the local HR section or HR Consultancy Capitadbs, the Occupational Health Services and/or other agencies as necessary. This decision should be recorded in writing with timescales if applicable. viii. meet separately with the complainant and the alleged harasser to explain the findings of the report and detail what will happen next. At this stage both parties should be given the Investigating Officers summary. Both parties have the right to be accompanied, as before. ix. follow up each formal case after completion of the investigation to ensure that the situation has been effectively resolved and that no victimisation or retaliation has occurred. x. return the Harassment Monitoring Form to the HR Team in the Department of Policy & Performance. xi. Ensure that copies of the complaint and details of actions taken are placed on the personal files of both the complainant and the alleged harasser.
Managers should be provided with sufficient information and training to be able to carry out this role adequately.
THE ROLE OF THE INVESTIGATING OFFICER
The Investigating Officer should be impartial and non judgmental, and where appropriate and practicable should be recruited from outside the complainant's department or unit. The role of this Officer, who must have received appropriate training, is to:
i. conduct interviews of all associated parties to the case, starting with the complainant, ii. collect, record and analyse information, iii compile an independent report for the manager of the complainant (or more senior manager if appropriate). The report should concentrate on facts, supporting evidence and other relevant background factors: any personal opinion or emotive language should be avoided. The report should include a statement as to whether there is any evidence that harassment has taken place. iv produce a summary of the findings of the report to be given to the complainant and the alleged harasser.
Investigating Officers will be supported by the HR Team in the Policy & Performance department, who will act as the link between managers requiring an investigation and the group of Investigating Officers for monitoring & review purposes.
MONITORING
Whatever the outcome, on-going monitoring of each harassment case is essential; firstly to check the harassment has stopped, and secondly to ensure there is no victimisation.
Monitoring mechanisms will therefore include the following :-
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¾ The HR Team in the Policy & Performance department will monitor the progress of the investigation to ensure that the appropriate timescales (normally 4-6 weeks) are met as far as is practicable.
¾ Follow-up of each formal case by the Manager will take place one month after completion of the investigation to ensure that the situation has been effectively resolved and that no victimisation or retaliation has occurred.
¾ Managers to complete a harassment monitoring form (Appendix 2) to be returned to the HR Team in the department of Policy & Performance on completion of each case.
¾ Managers and/or departmental personnel staff are advised to conduct exit interviews of those leaving the organisation in order to find out generally why the individual is leaving and in particular that it is not as a result of harassment or victimisation.
REVIEW OF POLICY AND PROCEDURES
The policy will be reviewed on a regular basis at intervals of not more than 12 months, by the HR Team in the Policy & Performance department in conjunction with appropriate Managers, Support Officers and Investigating Officers involved in the process.
First Issued November 1998 Revised October 2002 Contact details only revised May 2011
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Appendix 1 Harassment Procedure Flow Chart
Individual experiences harassment
Individual asks harasser
to stop
Individual monitors the situation
Harassment continues Individual may choose to record details of alleged Individual may ask to harassment see a Support Officer and/or speak to Line Manager
Line Manager seeks appropriate advice & tries to find informal solution
Harassment continues.
Manager involves Individual registers Investigating Officer formal complaint with manager Investigation & Interviews Manager decides course of action and advises Investigating Officer both parties separately reports back to Manager & provides summary of findings for both parties
Manager puts in place appropriate actions Manager monitors depending on outcomes situation
Individual no longer Manager completes monitoring experiences harassment form & forwards to and keeps situation Performance Unit under review 15
Appendix 2
HARASSMENT MONITORING FORM (Please complete clearly)
Department/Unit
Name of Manager to whom harassment was reported Job Title of Manager
Date formal complaint of harassment received About the complainant – please circle Male Female Disabled the appropriate description(s) Ethnic origin of the complainant (See Note 1 overleaf) Please describe briefly what form the alleged harassment took
Does the complainant consider the harassment to be linked to their gender, ethnic origin or disability (if appropriate)? Please specify. Date Investigating Officer appointed Name of Investigating Officer
Date Investigation completed and report given to manager Date both parties are given written response from manager & copy of Investigating Officer’s summary (See note 2 overleaf) Brief Outcome of Investigation
Date of follow up with complainant Any further action necessary?
Do you have any observations which may help with future policy improvements?
Please return to the HR Assistant in the Policy & Performance department one month after the completion of the case. See notes overleaf for guidance on completion
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Note 1 Ethnic Origin The complainant should be asked to classify their own ethnic origin using one of the following categories.
British Irish Any Other White Background
Indian Pakistani Bangladeshi Any other Asian Background (please specify)
White & Black Caribbean White & Black African White & Asian Other Mixed Background (please specify)
Caribbean African Any other Black Background (please specify)
Chinese
Other Ethnic Group (please specify)
If the complainant declines to specify please indicate this.
Note 2 Please note that the Manager should meet individually with both parties to advise of them of the findings of the report and give them both the written response & the Investigating Officer’s summary. If this meeting does not take place please note this on the form.
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