NHS FORTH VALLEY. Dignity and Respect at Work Policy

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1 NHS FORTH VALLEY Dignity and Respect at Work Policy Date of First Issue 28 / 07 / 2006 Approved 18 / 03 / 2014 Current Issue Date 19 / 02 / 2016 Review Date 16 / 04 / 2017 Version V3.04 EQIA Yes 15 / 04 / 2010 Author / Contact Staff Governance Team, Group Committee Area Partnership Forum Final Approval This document can, on request, be made available in alternative formats Version th February 2016 Page 1 of 34

2 Management of Policies Procedure control sheet (Non clinical documents only) Name of document to be loaded Area to be added to Dignity and Respect at Work Policy NHSFV Intranet Type of document Priority Policy Guidance Protocol Other (specify) X Immediate 2 days 7 days 30 days X Questions Understanding Yes No X Options Where to be published External and Internal Internal only X Target audience NHSFV wide X Specific Area / service Consultation and Change Record for ALL documents Contributing Authors: Consultation Process: Distribution: Area Policy Steering Group NHSFV Partnership Fora NHSFV Intranet Change Record Date Author Change Version 16/02/2010 VM Firm but Fair Management changed to Reasonable/Unreasonable Behaviours. Also expanded examples in Appendix F 12/04/2010 VM Red text changed to black in areas mentioned above that are now agreed. Other minor changes. Final Draft 2 V /05/2010 LF Martial changed to Marital in Section 1 V /05/2010 LF Contract information in Appendix D updated V /11/2011 EH APF agreed Policy extended to 1/4/2012 V2.03 Version th February 2016 Page 2 of 34

3 1/04/2012 APSG Policy extended to 1/4/2013 as agreed V /03/2014 APSG Policy reviewed following release of the Preventing and Dealing with Bulling and Harassment in NHS Scotland PIN Policy. 16/04/2014 LS NHS Forth Valley Values and Behaviours added to Appendix D. 03/06/2014 LS Contact details for Dignity and Respect at Work Advisers Updated 19/06/2014 LS The following updates were made: Dignity at Work Adviser title has been changed to Dignity and Respect at Work Adviser. Gender reassignment added as one of the protected characteristics. IR1 reporting option added to Appendix G. V3.00 V3.01 V3.02 V /02/2016 LF Staff Governance telephone number updated V3.04 Version th February 2016 Page 3 of 34

4 CONTENTS 1. POLICY STATEMENT 2. SCOPE 3. AIMS OF THE POLICY 4. DEFINITIONS a. Bullying b. Harassment c. Mobbing 5. ROLES AND RESPONSIBILITES 6. REASONABLE/UNREASONABLE BEHAVIOUR 7. PROCEDURE FOR DEALING WITH COMPLAINTS 7.1 ACCESSING A DIGNITY AND RESPECT AT WORK ADVISER 7.2 STAGE STAGE ALTERNATIVES TO DISCIPLINARY ACTION REVIEW 8. BULLYING AND/OR HARASSMENT FROM PATIENTS OR PUBLIC WITHIN THE WORKPLACE 9. BULLYING AND/OR HARASSMENT FROM CONTRACTORS/STAFF FROM OTHER AGENCIES 10. BULLYING AND/OR HARASSMENT OUTWITH THE WORKPLACE 11. REVIEW OF THE POLICY APPENDICES Appendix A DIGNITY AND RESPECT AT WORK NOTIFICATION FORM Appendix B STAGE 1 Appendix C FAIR AND CONSISTENT MANAGEMENT Appendix D VALUES AND BEHAVIOURS Appendix E DIGNITY CODE Appendix F DIGNITY AND RESPECT AT WORK ADVISER ROLE Appendix G LIST OF DESIGNATED DIGNITY AT WORK ADVISERS Appendix H LEGAL FRAMEWORK AND RELEVANT LEGISLATION Appendix I PARTNERSHIP AGREEMENT CROSS BOUNDARY BULLYING AND/OR HARASSMENT Appendix J STAFF AND PATIENT CHARTER Appendix K DIGNITY AND RESPECT AT WORK PROCEDURE FLOWCHART Version th February 2016 Page 4 of 34

5 1. POLICY STATEMENT NHS Forth Valley is committed to providing a culture and working environment that is free from bullying and/or harassment and in which the dignity and respect of the employee is paramount. We recognise that bullying and/or harassment at work is contrary to this as it can seriously affect the morale, work effectiveness, individual dignity and respect, safety and well-being of employees. The Staff Governance Standard which is applicable to all staff employed in NHSScotland, sets out what each Board must achieve in order to improve continuously, in relation to the fair and effective management of staff. The Standard requires that all NHS Boards must demonstrate that staff are: well informed appropriately trained and developed involved in decisions treated fairly and consistently, with dignity and respect, in an environment where diversity is valued and provided with a continuously improving and safe working environment, promoting the health and wellbeing of staff, patients and the wider community The Staff Governance Standard is therefore key to the effective and efficient delivery of services by providing an environment that is inclusive and conducive to employees giving their best. This has been reinforced by the underpinning of the National Health Service Reform Act (2004), which ensures parity with the other two governance pillars of Clinical and Financial Governance. NHS Forth Valley Organisational Values are: Be Person Centred- We will acknowledge and accept that every person is different and we will adapt our approach to meet the needs of others Be Respectful- We will treat each other, our partners and people who access our services, fairly, as individuals, as equals, with humanity, dignity and respect Be Supportive- We will be supportive, valuing each other s role and contribution and demonstrating care and compassion in all our actions and communications Be Ambitious- We will deliver high quality, safe, consistent and effective healthcare Have Integrity- We will be open and honest in all our actions and communication Be a Committed Team Member- We will include managers and the wider multidisciplinary team in our communication and decision making These values were jointly identified by staff and managers and NHS Forth Valley is committed to embedding these in practice to promote a healthy, modern culture. NHS Forth Valley promotes Equality and values Diversity and therefore all employees have the right to be treated with consideration and respect, regardless of their personal or professional characteristics such as; pay band or role within the organisation gender or sexual orientation gender reassignment Version th February 2016 Page 5 of 34

6 nationality, race or ethnic origin disability or health status, including real or suspected infection with blood borne viruses age, or perceived age religion or belief marital status, civil partnership pregnancy, maternity body image political conviction, or membership or non-membership of a Staff Side or Professional Organisation Every employee is responsible for their own behaviour and should understand NHS Forth Valley s clear view that bullying and/or harassment will not be condoned or tolerated. Where bullying and/or harassment is found to occur, action will be taken. This may include disciplinary action up to and including dismissal for serious offences and applies to all employees. All staff, patients and visitors have a responsibility for their own behaviour and to ensure their actions, attitudes or behaviours do not cause distress or upset to others. In addition, Managers and Supervisors have a specific responsibility to be vigilant with respect to the identification and elimination of bullying and/or harassment to ensure implementation of, and adherence to, this policy. This policy and procedure is endorsed by the Board, Senior Management and the recognised Staff Side/Professional Organisations and will be communicated to all those who require to be made aware of its contents. It reflects the best practice identified in the guidance on Preventing and Dealing with Bullying and Harassment in NHSScotland PIN Policy produced by the Partnership Information Network (PIN) Review Group in SCOPE This policy applies to all directly employed staff, including bank/temporary staff, and NHS Forth Valley staff on secondment. It applies to all employed medical and dental staff in cases of personal misconduct. However, it does not apply to matters concerning the professional conduct of medical and dental staff. 3. AIMS OF THE POLICY The aim of this policy is to ensure that a constructive process is in place to enable dignity and respect at work issues to be dealt with in a fair and consistent manner, to develop a working environment in which bullying and/or harassment is known to be unacceptable and where individuals can be confident in raising concerns or complaints without fear of ridicule or reprisal. The policy provides assistance to employees in addressing bullying and/or harassment issues and a fair and consistent means of resolving bullying and/or harassment issues In order to achieve these aims, the following principles and values apply: Version th February 2016 Page 6 of 34

7 This policy will be appropriately communicated to all employees and will be made readily accessible to them All employees will be made aware of the expected standards of behaviour, and of the need to adhere to such standards Good standards of behaviour reflecting organisational values, and special effort by individuals and teams, will be acknowledged, encouraged and reinforced Issues of bullying, harassment, dignity and/or respect at work will be addressed at the earliest opportunity and (except in more serious cases) on an informal basis in the first instance before resorting to the formal procedure Issues of bullying, harassment, dignity and/or respect at work will be addressed fairly, consistently and confidentially, irrespective of the position/level within NHS Forth Valley of employees with whom such matters arise Issues of behaviour will be addressed in a supportive manner, with every opportunity to improve being offered Joint training on the policy will be provided for managers and trade union/professional organisation representatives using a partnership model, in order to ensure that relevant staff are sufficiently skilled and competent in implementing the process Human Resources (HR) advice will be available to managers involved in implementing the process At all stages of the formal procedure, an employee will be entitled to be accompanied by a trade union/professional organisation representative or work colleague 4. DEFINITIONS a. Bullying Bullying has been defined as persistent offensive, abusive, intimidating, malicious or insulting behaviour, abuse of power or unfair sanctions, which make the recipient feel upset, threatened, humiliated or vulnerable, which undermines their self confidence and may cause them to suffer distress or anxiety. Bullying is commonly associated with an abuse of power and can involve not just one person but also a group. Some examples which often constitute bullying behaviours include:- Insulting someone or spreading malicious rumours by word or behaviour (particularly on the grounds of a protected characteristic such as age, race, sex, disability, sexual orientation and religion or belief, nationality, marital status) Overbearing supervision or other misuse of power or position Deliberately undermining a competent worker by overloading them with work or constantly criticising them Copying information that is critical about someone to others who do not need to know Ridiculing or demeaning someone, picking on them or setting them up to fail; Excluding someone Treating someone differently without due cause Version th February 2016 Page 7 of 34

8 Unwelcome sexual advances touching, standing too close, the display of offensive materials, asking for sexual favours, making decisions on the basis of sexual advances being accepted or rejected Making threats or comments about job security without foundation Preventing individuals progressing by intentionally blocking promotion or training opportunities b. Harassment Harassment can be difficult to define but this should not deter an employee from complaining of behaviour that causes distress. Differences of attitude or culture and the misinterpretation of social signals can mean that what is perceived as harassment by one person may not seem so to another. In general it can be distinguished from acceptable behaviour in that it involves unreciprocated and unwelcome actions, attention or conduct. Harassment can take many forms including that relating to a protected characteristic such as race, gender, sexual orientation, religion or belief, age or on the grounds of a disability, nationality, or marital status. The defining features are that the behaviour is unwanted and would be regarded as inappropriate by any reasonable person. The most important consideration to be borne in mind is how the person being harassed is affected by the action, not the intent of the alleged Harasser. Harassment will normally be as a result of repeated behaviour, but one incident on its own may also constitute harassment if it is sufficiently serious. Harassment can lead to individuals losing belief in themselves and their dignity and result in that individual suffering physical ill health and/or mental distress. Examples of what might constitute harassment are listed below though the list is not intended to be exhaustive - the essential point being that the behaviour is unwanted and regarded as offensive:- Verbal or physical threats or abuse, which may include racially or sexually derogatory remarks or statements In the case of disability, mimicking the effect of a disability or speech impairment Innuendo, mockery, lewd, racist, ageist or religious jokes or remarks; gossip, slander, sectarian songs In the case of sexual harassment an offensive manner of communication e.g. leering and lewd gestures, touching, groping or brushing up against others Display or circulation of for example sexual, racial or religiously offensive material e.g. pornographic images, graffiti or degrading pictures or objects anywhere on NHS Forth Valley property, using any available technologies, including the use of the intranet, internet, including social media sources, s or mobile phones whilst involved in NHS Forth Valley business. For more information on social media please view NHS Forth Valley s Personal Use of Social Media Policy Unwarranted, intrusive or persistent questioning about marital status, sexual interests or orientation, or similar questioning about an individual s race or ethnic origin, culture, religion or belief Actions which on their own are not criminal but together, and with intent to instil fear and injury, may constitute stalking. Further information and advice can also be found in the Gender Based Violence Policy Version th February 2016 Page 8 of 34

9 c. Mobbing Mobbing is a particular form of bullying and/or harassment in that it is regarded as emotional abuse in the workplace such as ganging up by co-workers, subordinates or superiors, to force someone out of the workplace through rumour, innuendo, intimidation, humiliation, discrediting and isolation. It is also referred to as malicious, nonsexual, nonracial, general harassment. It is an emotional assault that begins when an individual becomes the target of disrespectful and harmful behaviour. This creates a hostile environment which one individual gathers others to willingly, or unwillingly, participate in continuous malevolent actions such as: Spreading untrue gossip about the member of staff Spreading rumour and unfounded accusations Humiliating the person privately or in front of colleagues Psychological and emotional abuse and/or terror 5. ROLES AND RESPONSIBILITES It is of vital importance to the success of this policy that all those who have responsibilities within it, in particular senior staff, must lead by example and show commitment and support for the policy by proactively working to develop a culture where the organisational values are lived and the policy is genuinely adopted within the organisation. The Organisation: Has a legal (see Appendix H) and ethical responsibility to their employees As a reasonable employer to ensure that staff are not subjected to inappropriate behaviour which may not only affect their performance but more importantly their health and well-being Support the ongoing training and development of Dignity and Respect at Work Advisers To ensure Managers are appropriately trained Managers have a Responsibility: To provide a safe working environment for staff, assessing any potential risks to their health and well-being To take any complaint seriously and document all relevant details To keep the matter strictly confidential, advising both the Complainant and the alleged Bully and/or Harasser to do the same To investigate allegations thoroughly, fairly and in a sensitive manner To be responsible for eliminating any form of bullying and/or harassment of which they are aware To treat everyone fairly, consistently and without discrimination Employees have the responsibility: To be prepared to be actively involved in addressing any complaint they raise To act in a professional manner at all times Version th February 2016 Page 9 of 34

10 Ensure their own behaviour within the organisation helps create a culture free from bullying and/or harassment To be supportive towards individuals who state they have been bullied and/or harassed and take full account of their feelings and perceptions of the situation Encourage such individuals to seek help from an appropriate source Refrain from participating in, encouraging or condoning gossip related to cases of alleged or actual bullying and/or harassment Take appropriate steps to prevent or stop gossip To report any form of bullying and/or harassment from patients, relatives or colleagues, without any fear of reprisal or discrimination To treat all information disclosed during any investigation process as strictly confidential Attend training sessions which may be arranged to increase the awareness and appreciation of the issues involved in bullying and/or harassment To treat colleagues and managers with consideration and respect at all times in line with NHS Forth Valley s Values and Behaviours (Appendix D). Dignity and Respect at Work Advisers have a responsibility to: Understand the nature of bullying and/or harassment and/or mobbing Understand the Dignity and Respect at Work Policy and procedures which accompany the policy Listen in strict confidence, where appropriate, to any employees who believe that they have not been treated with dignity and/or respect whilst at work Discuss options with the Complainant and letting them choose what action, if any, to take Accompany the Complainant to talk to the alleged Bully and/or Harasser or support the Complainant to write to the alleged Bully and/or Harasser, if required and at the Complainant s request Accompany the Complainant to meet with their Manager, HR Adviser or HR Manager and to any subsequent meeting, if requested To assist the Complainant to provide a written statement for lodging a formal complaint if requested To continue to support the Complainant through the procedures Attend ongoing training programmes for Dignity and Respect at Work Advisers To provide support as appropriate to the alleged Bully and/or Harasser Staff Side Representatives have a responsibility to: Participate in the informal stages of the procedure where agreed Support their members, including providing representation throughout the formal stages of the procedure Ensure that their members are aware of their rights and responsibilities under this and any other relevant policies Participate in partnership with the monitoring and review of this policy Version th February 2016 Page 10 of 34

11 6. REASONABLE/UNREASONABLE BEHAVIOUR Within organisations it is necessary for Managers to be able to manage their staff. This will involve: Issuing reasonable instructions and expecting them to be carried out Following a fair and reasonable investigation, disciplining staff for misconduct, where appropriate Implementing action in respect of the Attendance Management Policy Setting and publicising expected standards of performance supported by the Personal Development Planning and Review process It is reasonable to expect the Manager to carry out these functions in a fair and consistent manner. Carrying out these functions does not constitute an act of bullying and/or harassment, although some staff may feel anxious while the procedures are ongoing. It is important to differentiate between fair and consistent management and bullying and harassment - some useful comparisons have been drawn up and are listed in Appendix C. It is reasonable to expect all members of staff, regardless of level to carry out their work within the parameters of the accepted values and behaviours and abusing these guidelines may constitute bullying and/or harassing behaviour. The accepted values and behaviours are listed in Appendix D. Behaviours that are unacceptable and should be challenged are also listed. NHS Forth Valley s Dignity Code can be found at Appendix E. Version th February 2016 Page 11 of 34

12 7. PROCEDURE FOR DEALING WITH COMPLAINTS NHS Forth Valley will ensure that all complaints of bullying and/or harassment will be treated seriously, fairly and with sensitivity, having due respect for the rights of both the Complainant and the alleged Bully and/or Harasser. It is recognised that certain complaints may be made with mischievous or malicious intent and these will be viewed by NHS Forth Valley seriously with the prospect that disciplinary action may be taken against the Complainant. Where a complainant believes they have been bullied or harassed, there are a number of options available to them dependant upon the circumstances of their own particular situation (see attached flowchart at Appendix K). These options are listed below: 7.1 ACCESSING A DIGNITY AND RESPECT AT WORK ADVISER NHS Forth Valley has designated Dignity and Respect at Work Advisers who are knowledgeable about the Dignity and Respect at Work Policy (Appendix F). They are available for staff to contact independently in order to discuss their situation (Appendix G or Intranet). They are NHS Forth Valley employees from a variety of disciplines who are volunteers. They are not legal experts but rather they will provide a confidential advisory and support service. Dignity and Respect at Work Advisers are carefully selected by NHS Forth Valley to undertake this role for which they receive specific training and ongoing support. It is acknowledged that this can be a very difficult time for an alleged Bully and/or Harasser, who can also ask for support and advice from the Dignity and Respect at Work Adviser. However, should that Adviser already be providing support to the Complainant they will, in discussion with the alleged Bully and/or Harasser refer them to another Adviser. It is also worth noting that the Dignity and Respect at Work Advisers have no formal role within NHS Forth Valley s Management of Employee Conduct Policy (see section 13) and is not expected or trained to fulfil a professional counselling role. There is no requirement for an individual to access a Dignity and Respect at Work Adviser as part of the policy and if they prefer they may wish to approach a Colleague or Staff Side Representative. 7.2 STAGE 1 There are two options of procedure available to staff at stage 1 of the process. As a general rule at least one of these must have been attempted before proceeding to stage 2 of the process. In cases of persistent bullying and/or harassment or where the bullying and/or harassment is so serious or where the behaviour is extremely offensive, in discussion with an appropriate manager or HR practitioner, then the Complainant has the option to proceed directly to stage 2. It is however anticipated that this will only be necessary in a very small amount of cases. Appendix B provides information on a number of options that the complainant is encouraged to pursue in the first instance, including 1:1 meetings, facilitated meetings and mediation. This option may involve the complainant approaching the alleged bully/harasser in order to tell them that their behaviour is found to be offence, why this is the case, and to ask them Version th February 2016 Page 12 of 34

13 to stop. The complainant may ask a colleague or a staff-side representative to be present for moral support. If the complainant would find this approach too difficult, but wishes to pursue the matter, they can ask their line manager/hr for support in speaking to the person concerned. Alternatively, the complainant can write directly to the alleged bully/harasser detailing the offensive behaviour and confirming the requirement to stop any further bullying or harassment. The complainant should keep a record of any action taken, along with a note of the date and what was said by those involved. This is necessary should information be required at a later date if the bullying or harassment continues or subsequently recurs. It has to be emphasised that in order to maintain working relationships, matters should be dealt with at the earliest opportunity. The ACAS Code actively encourages all organisations to utilise dialogue as the main tool in dispute resolution. This may involve facilitated discussion between the parties involved. Even so, this does not remove the right of the complainant to pursue the matter under stage 2. Should this approach prove unsuccessful, or the complainant has chosen to go straight to the stage 2 of the procedure, the following arrangements will apply. 7.3 STAGE 2 Although there is no requirement for the Complainant to proceed through the options in a staged order, normally at least one of these options must have been attempted before progressing to this stage. In a very small number of cases the Complainant may wish to proceed directly to stage 2. A complaint should be made, to the next level of management using the Dignity and Respect at Work Notification Form (Appendix A). The complaint should detail the basis upon which the alleged bullying and/or harassment has taken place. Staff are advised to take advice from any of the sources of support noted in Appendix B before proceeding. On receipt of the complaint the manager will appoint an investigating officer, where possible with no previous involvement in the case. The Investigating officer supported by Human Resources will conduct an investigation in accordance with the provisions of NHS Forth Valley s Management of Employee Conduct Policy. Please refer to the Section on Investigations contained within the Employee Conduct Policy. Should the outcome of the investigation establish that further consideration is required at a Disciplinary Hearing the Conduct Policy will be utilised through to and including the relevant appeal process ALTERNATIVES TO DISCIPLINARY ACTION If no disciplinary action is taken following the investigation, the alleged bully/harasser will be notified of the outcome in writing (with due regard for the confidentiality of both parties). If a claim is found to be malicious in nature, then the complainant may find themselves subject to disciplinary action. Version th February 2016 Page 13 of 34

14 It may be the case that whilst no action is taken, some interventions may be appropriate. In these situations, both the complainant and the alleged bully/harasser will be notified of the outcome in writing, again with due regard for the confidentially of both parties REVIEW If a decision to take no further action is made an employee or their representative may request a formal review. This request should be made to the next senior management level or other individual as agreed within 2 weeks from receipt of the written feedback. It will be for this individual to decide once they have reviewed the investigative material as to whether further interviews or hearings are required. It is recommended that further interviews or hearing are kept to a minimum to protect those involved. The review should be carried out and a decision given to the individual, where possible, within 2 weeks. If it is not possible to meet this timescale the individual and their representative should be notified as soon as this becomes apparent and advised of the revised timescale. This will be the final stage of the procedure and there is no further right of review. A copy of the initial and subsequent reports will be retained in line with the Data Protection Act (1998) requirements. 8. BULLYING AND/OR HARASSMENT FROM PATIENTS OR THE PUBLIC WITHIN THE WORK PLACE Should any member of staff who considers that they have been bullied and/or harassed during the course of their duties by a patient or a member of the public then this should be reported to the individual s line Manager at the earliest possible opportunity. An Incident Record (Form IR1) should be completed in line with NHS Forth Valley Procedures. Staff and Managers should refer to the Staff Charter, within the Violence and Aggression Policy. Where there is found to be unacceptable behaviour on the part of the patient or member of the public then the Manager will consider the complaint and where appropriate address the issue with the offender. In serious offences, police assistance may be requested. NHS Forth Valley will support any of its staff who are subject to bullying and/or harassment of this nature. 9. BULLYING AND/OR HARASSMENT FROM CONTRACTORS AND STAFF FROM OTHER AGENCIES In cases where the bullying and/or harassment involves Contractors or Staff from other agencies the Complainant may wish to make an informal approach as detailed in section 7.2 in the first instance. To assist in this process the Complainant may also wish to approach a Dignity and Respect at Work Adviser, Colleague or Staff Side Representative for advice and support. If approaching the individual is not appropriate in that there are fears of reprisal from the alleged Bully and/or Harasser or where such an approach has failed to stop the bullying and/or harassing behaviour, they should advise their immediate line manager. Version th February 2016 Page 14 of 34

15 The Manager will contact the appropriate senior Manager within the organisation concerned to advise of the situation and seek to resolve the matter. Should this not be resolved informally through this route then the Manager will write to the senior Manager concerned to advise them of the situation seeking a formal investigation. Partnership agreements currently exist with Stirling, Falkirk and Clackmannanshire Councils and can be found in Appendix I. 10. BULLYING AND/OR HARASSMENT OUTWITH THE WORKPLACE Any form of bullying and/or harassment between members of NHS staff from within their own organisation or from within partner agencies which continues outwith working hours and has a detrimental effect on the welfare, health and/or well being of another member of staff will be dealt with in accordance with this policy. Staff should also be aware of NHS Forth Valley s Policy on the Personal use of Social Media. 11. REVIEW OF THE POLICY This policy will be subject to ongoing monitoring and evaluation to ensure that it is being implemented effectively and in line with the policy s stated principles and values. The policy will be subject to regular review, in partnership, to ensure that any new standards are incorporated when necessary and that it remains fit for purpose. Version th February 2016 Page 15 of 34

16 NHS FORTH VALLEY Appendix A DIGNITY AND RESPECT AT WORK NOTIFICATION FORM This form gives guidance to an employee(s) in setting out a dignity and respect at work complaint and may be used with or in place of a letter. Employees who have difficulty expressing themselves on paper, or, for example, whose first language is not English, are encouraged to seek help from a Colleague, Trade Union or Professional Organisation Representative or a member of the Human Resources Department in setting out their complaint. Use of this form, or a letter, will be used as notification of the complaint and as a record of subsequent discussion(s) and decision(s) during the formal stages of the Dignity and Respect at Work Procedure. For completion by the employee making the complaint: Name of employee(s) raising the complaint: Post: Department: Contact Number: Name of employee s representative and contact number: Details of the complaint being made: Detail how the complaint could be resolved: Signed: Date: On completion, this form should be sent to the relevant member of management who will be responsible for the complaint Version th February 2016 Page 16 of 34

17 STAGE 1 Appendix B a. Early Interventions Wherever possible, interventions to informally resolve a bullying and/or harassment issue will be offered and encouraged as a way forward. All parties involved should remember that the alleged bully and/or harasser also has rights and that premature conclusions should not be made until the due process has been completed. Timely action is essential to ensure the impact for both alleged victim and alleged perpetrator is minimised. Early action by management Managers have a duty to proactively manage their environment to prevent bullying and/or harassment developing in their area. They are also expected to act promptly and to intervene early when behaviours that could indicate bullying and/or harassment are suspected. In many cases, it will be clear what action needs to be taken. However, managers should also, where appropriate, take time to reflect on the behaviours identified and question whether it is indeed bullying and/or harassment, rather than for example a personality clash between members of staff, a performance management issue relating to a lack of knowledge or skills or an inappropriate response to a reasonable request or comment. An employee may perceive any of these situations as bullying and/or harassment and managers should therefore reflect upon what situation caused the allegation before acting on it. In particular Managers should; Deal with the situation as soon as is practical, i.e. not six months after the behaviour was observed or reported Meet with the member of staff to discuss the issue or meet with the members of staff if there is more than one person involved separately, to discuss the issue Agree any actions such as apologies, training to be undertaken or advice regarding the requirements of their job Provide timely feedback to staff as appropriate Monitor the situation Make a note of the incident, actions and conclusions Appropriate Challenges by Employees An employee who believes that they have been or is currently being subjected to bullying and/or harassment and not performance management or a clash of personalities for example, should initially inform the person responsible that their behaviour is both offensive and unwelcome and that they wish it to stop. By appropriately challenging the behaviour, the employee can create the possibility of mutual understanding and change. The employee also shows that they are acting with dignity and respect and that they are respecting the dignity of the other person. Version th February 2016 Page 17 of 34

18 Appropriately challenging is an option available to individuals as a form of personal action. However, it may not be possible to use it in all situations (e.g. if there are safety issues and/or other risks). When appropriately challenging behaviour, it is important for the employee to remain calm and: Describe the behaviour in neutral terms (e.g. There have been occasions like the one this afternoon and last Tuesday when your voice was raised/very loud when you spoke to me in front of the others ) Describe the effect on their performance (e.g. This makes it difficult to concentrate on what s being said/difficult to take part in things/difficult to do my job ) and Describe how they would like the behaviour to be different (e.g. I would like/prefer to hear about feedback/have problems highlighted in a less public setting/in a less forceful way/in a quieter tone ) It is also appropriate that colleagues or other third parties appropriately challenge any inappropriate behaviours that they witness, in the same way. In many cases, the offence may have been unintended and it may be sufficient for the individual to explain to the person causing the offence that their behaviour is unwelcome and unacceptable. It is helpful for the Complainant to record details of the incident(s) and of any approach to the alleged Bully and/or Harasser. To assist in this process the Complainant may also wish to approach a Dignity and Respect at Work Adviser or Staff Side Representative who will be willing to discuss the problem on a confidential basis. Seeking Support A Complainant who believes that they are the victim of bullying and/or harassment can seek support at any point from a number of sources, in addition to their direct line manager who can listen to their concerns and describe the options available to them without making any judgements about the issues. This also applies to the alleged Bully and/or Harasser and anyone else who has for example witnessed an incident and/or is involved in the procedures within this policy. Dignity and Respect at Work Advisers can provide an initial point of contact for a private discussion and will primarily act as a signposting service for employees. Human Resources (HR) can provide advice and support, helping to clarify employee expectations regarding the process and outcomes and discuss possible options. Depending on how each incident develops, HR personnel will also take up other roles (e.g. facilitating meetings, taking part in hearings etc). Occupational Health Service (OHS) can provide confidential advice and support all issues that may cause difficulties within the workplace either following a management referral or self-referral. Employee Counselling Service can provide and independent, confidential service from trained counsellors to discuss their concerns and can be reached on (for a face to face referral) or (24 hours, 7 days a week helpline). Version th February 2016 Page 18 of 34

19 Trade Union and/or Professional Organisation Representatives can discuss the situation to help identify the problem and look at options for resolution. Depending on how things develop, they may take up roles (e.g. accompanying or representing parties at meetings, presenting cases at hearings etc.). Self Help information and advice on mental health and wellbeing issues is also available through Moodjuice Forth Valley. This can be accessed on National Confidential Alert Line for NHS Scotland can offer independent, confidential advice from a legally trained expert staff on whether and how to raise a concern and can be contacted on b. Alternative Interventions Where early interventions by management have been unsuccessful, the Complainant may feel the need to pursue alternative interventions. There are a number of options available: Mediation Mediation can be used as an alternative intervention or later on (i.e. before or after, but not during, a formal disciplinary process). Mediation is a confidential, off-the-record method in which the parties are brought together in a neutral setting for up to a day, to try to achieve a mutually acceptable outcome, with the help of trained mediators, who have no previous involvement in a case. Mediation is helpful where conflict involves relationship issues and/or misunderstandings between people. Mediation follows a set of practices and values that include impartiality, independence, neutrality, equality, collaboration and respect for the ability of the parties to make decisions. It is always a voluntary process. What is said in mediation is privileged and cannot be disclosed or used in any subsequent procedure. Please note that there is no need to have facilitation before mediation and that some cases may need both interventions. Meetings facilitated by HR If the parties agree that a resolution can be reached through a discussion rather than through mediation, they may decide to conduct a facilitated meeting. Facilitated meetings can be offered by HR, to provide an opportunity to explore options and develop a way forward towards resolving an issue. The purpose of a particular facilitated meeting, as well as setting ground-rules for the meeting, will be stated at the outset, but within these parameters a facilitated meeting can involve a broad range of issues and methods. For example, negotiation and/or compromise can be used and representatives can participate (i.e. a trade union and/or professional organisation representative or a work colleague). Meetings facilitated by other third parties Sometimes a manager or other third party may be called in to facilitate an informal discussion between two or more individuals. It is essential that this is conducted in a fair and consistent manner to facilitate equal participation by the parties. The third party invited Version th February 2016 Page 19 of 34

20 to facilitate must not have any stake in the issue or have any relationship to the situation that could cause any of the parties to feel disadvantaged. In all of the processes above, the role of the facilitator or mediator must be made clear and ground rules agreed for the discussion before it begins. It is also essential that it is established that the parties are both willing to continue before proceeding. Should the matter remain unresolved or the bullying and/or harassment continue the employee should consider proceeding to Stage 2. Version th February 2016 Page 20 of 34

21 Appendix C FAIR AND CONSISTENT MANAGEMENT Useful comparisons of a Fair and Consistent Manager versus a Bullying/Harassing Manager are: Fair and Consistent Manager Applies the same parameters/expectations to everyone they manage. Determined to achieve the best results, but reasonable and flexible in their approach. Knows their own mind and is clear about their own ideas, but willing to consult with Colleagues and staff before drawing up proposals. Insists upon high standards of service and quality of behaviour within the team and does not apportion blame on others when things go wrong. Will discuss, in private, any perceived deterioration in behaviour before forming any views or taking action. Asks for others views, listens and provides feedback. Bullying and/or Harassing Manager Applies unfair practices by placing unreasonable and unachievable parameters/expectations onto specific members of staff. AND/OR Shows clear preferences to particular staff. Expresses unreasonable expectations by setting parameters/expectations too high. Not flexible by insisting on applying what has not worked before. AND/OR Inconsistent with instructions or guidance. Believes that they are always right, has fixed ideas, believe that they know best and is not prepared to acknowledge AND/OR Does not value other opinions. May insist upon high standards of service and behaviours but blames others when things do not go as expected. AND/OR Not prepared to take responsibility for their own actions. Loses temper regularly AND/OR degrades staff in front of others, AND/OR threatens official warnings AND/OR is not prepared to listen to explanations. Tells people what will be happening and does not tolerate ideas from others. AND/OR Determined to apply only their own ideas regardless of how they may affect others. Version th February 2016 Page 21 of 34

22 NHS Forth Valley Values and Behaviours Appendix D How we work together is important. In 2013, staff from across the organisation, were involved in creating and defining new NHS Forth Valley values and translating them into behaviours that would contribute to our success as an organisation as well as identifying behaviours that staff did not want to see. The identified values incorporate those of NHSScotland. The six values are: Be person centred- What we will do: We will acknowledge and accept that every person is different and we will adapt our approach to meet the needs of others We will convey a friendly, positive attitude by being approachable, speaking directly to others, smiling and actively listening We will take time to explain things and check that what we have said has been understood What we won't do: We will not make decisions about a person without their involvement, if they are able to do so We will not speak over or about a person when they are present without involving them in the conversation. We will not discriminate against anyone raising a concern We will help each person make informed choices We will show kindness, compassion and sensitivity by asking and listening to what is important to a person We will involve patients and their families in decisions about their care Version th February 2016 Page 22 of 34

23 Be respectful- What we will do: We will treat each other, our partners and people who access our services, fairly, as individuals and as equals, with humanity, dignity and respect We will respect and maintain colleagues and patients needs for privacy and confidentiality We will value and encourage all staff to contribute their thoughts and ideas We will acknowledge, accept and celebrate difference in ourselves and others We will be tolerant and nonjudgemental of others We will be respectful of anyone who has special needs and requirements What we won't do: We will not use, nor tolerate intimidating or aggressive behaviour towards ourselves or others We will not use personal status to intimidate others We will not disrespect a person s personal values and beliefs We will not talk to others in a disrespectful or derogatory way We will not be dismissive of anyone s views Be supportive What we will do: We will be supportive, valuing each other s role and contribution and demonstrating care and compassion in all our actions and communications We will understand and value the roles and responsibilities of other staff and volunteers What we won't do: We will not tolerate a bullying culture where staff aren t listened to and concerns are dismissed We will not be inconsistent in our approach to others We will be approachable as leaders and managers and allow others to make decisions We will make staff aware of who to talk to regarding issues or concerns We will continue to develop a culture of caring for each other, Version th February 2016 Page 23 of 34

24 our partners and people who access our service We will deal with issues and problems as they arise and not ignore them Be ambitious What we will do: We will deliver high quality, safe, consistent and effective healthcare We will strive to create a culture where everyone contributes their ideas for improvement and innovation What we won't do: We will not cut corners to achieve something that is unsafe We will not work on our own agenda to the detriment of others We will not discourage staff from developing in their role We will use feedback and complaints to make improvements We will take pride in the work we do and celebrate our successes We will support implementation and maintenance of change We will invest in staff and make learning and development a priority Have integrity- What we will do: We will be open and honest in all our actions and communication We will say sorry and apologise when needed in a sincere way We will tell a person the truth with sensitivity and respect We will be willing to learn from mistakes and make changes for improvement We will take responsibility and be What we won't do: We will not blame others when things go wrong We will not fail to report when we have made a mistake We will not tolerate poor standards We will not say one thing and do another Version th February 2016 Page 24 of 34

25 accountable for our decisions and actions We will meet all relevant standards and regulations Be a committed team member What we will do: We will include managers and the wider multidisciplinary team in our communication and decision making We will encourage open and honest communication within our teams What we won't do: We will not knowingly withhold information from team members We will not intentionally isolate or exclude team members or treat them differently We will not speak about other members of staff behind their backs or in a derogatory way We will speak up if we see unsafe practice that may cause harm We will commit to share information to ensure that team members are adequately informed We will recognise and acknowledge potential and praise people for doing a good job We will recognise our own abilities and be realistic about what we can do and ask for help when we need to We will be open to feedback on our performance and acknowledge what is working well and what areas require further development We will not undermine colleagues by criticising or disagreeing with them in front of others We will not make promises about other services that they will be unable to fulfil We will not leave things to others but will take responsibility for our contribution to our team More information is available at Version th February 2016 Page 25 of 34

26 Appendix E NHS FORTH VALLEY DIGNITY CODE What you can expect from this organisation: A right to go about your work, as far as possible, free from verbal abuse. A right to go about your work, as far as possible, safe from violence or the threat of violence. A right to express concerns of a professional, private or health & safety nature without fear of victimisation. A right to fair and consistent treatment including accessing opportunities. A right to say no to unreasonable requests without fear of repercussions. A right to know that any complaints or allegations made are fairly and thoroughly investigated. A right of access to information required to carry out your role to the best of your abilities. What the organisation can expect from you: A right for you to respect the contribution of all staff groups working within NHS Forth Valley. A right for you to use the correct policy for making concerns known. A right to expect you to familiarise yourself with new policy or practices. A right to expect you to behave appropriately and professionally. A right for you to treat patients, clients, colleagues and visitors with respect, care and dignity. A right for you to work in a co-operative and supportive manner for the benefit of patient care. NHS Scotland s Dignity at Work Toolkit, including DVD, is available from the following link: Staff Governance Dignity at Work Project. Version th February 2016 Page 26 of 34

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