An Organisation-wide Document for the Management of Harassment and Bullying
NHS Trust
An Organisation-wide Document for the Management
of Harassment and Bullying
Version:
Ratified by:
Date ratified:
Name of originator/author:
Name of responsible committee/individual:
Name of executive lead:
Date issued:
Review date:
Target audience:
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An Organisation-wide Document for the Management of Harassment and Bullying
Contents
1
Introduction ............................................................................................................. 4
2
Purpose .................................................................................................................... 4
3
Explanation of Terms ............................................................................................... 4
4
Duties ....................................................................................................................... 5
4.1
4.2
4.3
4.4
5
Affected or Involved Staff Member ........................................................................................ 5
Duties within the Organisation ............................................................................................... 7
Committees and Groups with Overarching Responsibilities .................................................. 8
Duties of External Stakeholders .............................................................................................. 9
Informal Procedure .................................................................................................. 9
5.1
5.2
Affected or Involved Staff Member ...................................................................................... 10
Mediation .............................................................................................................................. 10
6
Formal Procedure .................................................................................................. 10
7
Confidentiality........................................................................................................ 11
8
Training Requirements .......................................................................................... 11
9
Equality Impact Assessment .................................................................................. 11
10
10.1
10.2
11
11.1
11.2
12
Monitoring Compliance with the Document ..................................................... 12
Process for Monitoring Compliance ..................................................................................... 12
Standards/Key Performance Indicators ................................................................................ 12
References .......................................................................................................... 12
Legislation ............................................................................................................................. 13
Guidance from Other Organisations ..................................................................................... 13
Associated Documentation ................................................................................ 13
Appendix A - Examples of Unacceptable Behaviour .................................................... 14
Appendix B - Template Document for the Management of Harassment and Bullying
...................................................................................................................................... 15
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Review and Amendment Log
Version No
Type of Change
Date
Description of change
V.3
Annual review
Mar 2011
Update to section 11 ‘References’
V.3
Amendment
Mar 2011
Addition of amendment log
Addition of example of definition
Addition of examples of associated documents
V.4
Amendment
Feb 2012
Change to format including automated
contents page
Please Note the Intention of this Document
This document has been developed with the aim of providing a model document template.
However, any documentation subsequently produced must follow its own rules and include details
of all the requirements set out in sections 1-12, where relevant. The organisation may use this
template and adapt it to reflect procedures within the organisation or alternatively use a document
already in existence. Whichever approach is used the organisation must ensure it is compliant with
the minimum requirements of the relevant National Health Service Litigation Authority (NHSLA) Risk
Management Standards.
a
To assist the organisation, areas have been identified in the margins where the section
within the template document relates to the minimum requirements for the criterion in the
relevant NHSLA Risk Management Standards.
It is important that the document should follow any pre-existing guidance within the organisation in
relation to style and format of documentation. Please note that a template document entitled An
Organisation-wide Document for the Development and Management of Procedural Documents can
be found on the NHSLA website which may provide the organisation with additional guidance.
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1
Introduction
This section could illustrate the organisation’s commitment to tackling the issues of
harassment and bullying.
As an equal opportunities employer, the organisation should support a working environment
for individuals in which their dignity at work is paramount. The purpose of this document is
to support a working environment and culture in which harassment and bullying is
unacceptable.
This document applies to all staff working within the organisation, employees, contractors
and staff from other organisations working on the organisation’s premises.
2
Purpose
This section should ensure that the purpose of the document is clearly defined and
documented. For example:
b
The organisation recognises that all employees have the right to be treated with
consideration, dignity and respect. The organisation seeks to support all staff in their
professional development and aims to provide a happy and fulfilling environment in which
to work. This document promotes the respectful treatment of staff within the organisation
and their protection from harassment and bullying at work. Harassment and bullying will
not be tolerated by the organisation in any form.
Each member of staff carries personal responsibility for their own behaviour in relation to
this document and is responsible for ensuring that their conduct is in line with the standards
set out in this document. Staff should report to the appropriate manager, trade union
representative, human resources manager, or harassment and bullying advisor, any
incidents of harassment and bullying which come to their attention.
Allegations raised regarding harassment and bullying will be taken seriously and treated
confidentially. The organisation gives an assurance that there will be no victimisation
against an employee making a complaint under this document or against employees who
assist or support a colleague in making a complaint.
Harassment and bullying may be treated as a disciplinary offence and, where allegations are
founded, may lead to summary dismissal. Disciplinary action may also be taken if a
complaint is found to have been submitted maliciously or in bad faith.
3
Explanation of Terms
This section should list and describe the meaning of the terms used in the context of the
document if considered necessary. For example:

Harassment
In general terms harassment is unwanted conduct affecting the dignity of men and
women in the workplace. It may be related to age, sex, 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.
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
Bullying
Bullying may be characterised as offensive, intimidating, malicious or insulting
behaviour; an abuse or misuse of power through means intended to undermine,
humiliate, denigrate or injure the recipient.
Harassment and bullying may be by an individual against an individual (perhaps by
someone in a position of authority such as a manager or supervisor) or involve
groups of people. It may be obvious or it may be insidious. Whatever form it takes,
it is unwarranted and unwelcome to the individual.
Appendix A - Examples of Unacceptable Behaviour gives examples of unacceptable
behaviour that can be considered to constitute harassment and bullying.
The following list is a guide only and is not exhaustive:
a
4

Independent mediators

Occupational health

Support workers/specialist advisors
Duties
Give a brief overview of the roles, responsibilities and accountabilities for the
implementation of the organisation’s process. This section should be a brief overview only
and the details of the process for managing this should be incorporated within later sections
of the document. The following list is a guide only and is not exhaustive:
4.1
Affected or Involved Staff Member
This section could include the organisation’s expectations of the affected/involved
staff member.
All staff have a personal responsibility for their own behaviour and for ensuring that
they comply with this document. There are a number of things that staff can do to
help prevent harassment, such as:

set a positive example by treating others with respect;

be aware of the organisation’s document and comply with it;

do not make personal comments;

do not accept behaviour that may be offensive when directed against you or
others, and take positive action to ensure that it is challenged and/or
reported; and

be supportive of colleagues who may be subject to harassment and bullying.
If employees are subject to harassment and bullying but do not feel able to talk
about it yet, they should make notes including dates and details which will help
them recall events clearly at a later date. Staff can also contact their human
resources manager, union representative or a trained support worker for advice and
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support.
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4.2
Duties within the Organisation
Some example responsibilities have been identified below; however, these should
be considered within the context of the individual organisational structure.
Chief Executive
This section should state that the chief executive is ultimately accountable for the
implementation of this organisation-wide process.
Line Manager
This section could include the organisation’s expectations of the line manager.
All managers have a responsibility to implement this document and to bring it to the
attention of staff in their work area. In order to establish and maintain a work
environment free of harassment they must:

treat a complaint seriously and deal with it 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;

tackle, and where possible, resolve incidents of harassment; and

consult with the human resources manager as required for advice and
support.
Human Resources
This section could include the organisation’s expectations of the Human
Resources/Personnel Department. They have a responsibility to ensure that the
document is followed, fairly and consistently. Their duties could involve:
V.4

advising managers on the application of the harassment and bullying
document;

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 harassment and bullying
document;

monitoring incidence of harassment and bullying and initiating appropriate
action; and

reviewing and amending the harassment and bullying document as
necessary.
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Occupational Health
This section could include the organisation’s expectations of occupational health.
Any member of staff who is involved in a claim of harassment and bullying may find
it helpful to talk to the occupational health service. All employees have a right to
self-refer to occupational health.
The organisation may provide a confidential external service for its staff, e.g.
telephone support with the option of confidential face to face counselling sessions.
If this is available the information for staff could be included here.
Trained Support Workers
If the organisation utilises support workers/specialist advisors their role could be
described here.
Support workers could be drawn from a wide range of jobs across the organisation
and be provided with specialist training. They could be an independent and
confidential resource. As part of their role they could provide empathetic assistance
to staff with complaints of harassment and bullying; explain how the procedures for
making a complaint operate both informally and formally; and help establish and
provide support for both alleged harassers and complainants throughout the
process.
4.3
Committees and Groups with Overarching Responsibilities
Trust Board
For effective implementation of the Organisation-wide Document for the
Management of Harassment and Bullying there must be active support from the
most senior members of the organisation. Organisations should detail how the chief
executive and the nominated directors are to gain assurance that this document is
being implemented within the organisation. There must be effective cooperation at
all levels of the organisation in order for this process to be successful.
Committees/Groups
This section should identify the committee/group which will have overall
responsibility for the management of harassment and bullying. The section should
include:
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
how this committee/group links with all the other relevant risk management
committees;

the role this committee/group has with ensuring continuous development of
this document;

the role the committee/group has in the analysis of the management of
harassment and bullying;

how this committee/group communicates both up to board level, and down
to the local management levels; and
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
how the committee/group facilitates organisational learning and
improvement as a result of monitoring the management of harassment and
bullying.
It would be considered good practice if the organisation developed terms of
reference for this committee/group including: accountability, responsibility,
authority, membership (including identified co-opted members and deputies),
meeting schedule and quorum, etc. In addition the terms of reference should be
dated and signed.
4.4
Duties of External Stakeholders
Independent Mediators
If the organisation utilise independent mediators their role could be described here.
Mediators could be specially trained to facilitate informal outcomes where possible
between those who have raised concerns and the people that they have concerns
about. Mediators could be drawn from human resources and trade unions, but
would operate independently of these roles for the purposes of mediation.
c
5
Informal Procedure
Organisations usually have both an informal and formal method for managing harassment
and bullying; both approaches should be described within the harassment and bullying
document.
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5.1
Affected or Involved Staff Member
Employees are encouraged to discuss any concerns about harassment and bullying
with a trained support worker, Human Resources, a trade union representative or
Occupational Health.
Actions employees could take themselves:

keep a diary of all incidents; record dates, times, any witnesses, feelings,
etc.;

keep copies of any correspondence that may be relevant, for example:
reports, letters, memos, notes of any meetings that relate to the case;

in many instances it is possible for the complaint to be resolved quickly by
explaining directly to the harasser the effect their behaviour is having and
that the employee wants it to stop;

the employee should always make it clear that if it continues a formal
complaint will be made; and

if the behaviour of a person is aggressive it may be necessary to walk away
making it clear that it is unacceptable.
If the employee does not feel able to raise their concerns with the person directly,
they could write to them stating that they feel harassed, state where and when this
occurred and how they wish to be treated. Always keep a copy of the
correspondence. Alternatively, the employee could speak to a harassment advisor,
human resources manager, a trade union representative or occupational health.
5.2
Mediation
If the organisation has arrangements in place to offer mediation, these
arrangements could be explained within this section of the document.
If the employee feels unable to deal directly with the alleged harasser, then as part
of the informal procedure they may contact one of the organisation’s mediators.
The mediator will discuss and agree with the employee the steps to be taken to
assist in resolving the difficulties.
The mediator will normally meet with both parties individually before advising on
the next steps of the mediation process. A possible option would include a further
meeting between both parties, facilitated by the mediator. At this meeting the
complainant would be given the opportunity to explain to the individual the reasons
why they consider their behaviour to constitute harassment. Where possible the
matter will be resolved through informal discussion and agreement about future
behaviour.
d
6
Formal Procedure
The organisation should include the more formal procedure to be followed when the
informal route is unsuccessful.
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If informal attempts to resolve the situation have not been successful, or if the complainant
feels that the complaint raised may not be resolved informally, this may be raised with a
manager, trade union representative, or a human resources manager, who will advise on the
next steps, for example, formal investigation.
The organisation could document how a decision to conduct a formal investigation should
be made, and by whom; for example the investigation could be undertaken jointly by a
senior manager and the human resources manager.
Where investigations are deemed appropriate, organisations could specify how they should
be conducted. For example, the investigation could be done independently by a manager
and a human resources manager and allow the appropriate involvement of trade union
representation of the individual(s) involved. The organisation should clearly state that this
investigation and any action arising from it will be carried out in line with the organisation’s
disciplinary procedure.
The organisation could document within this section that if, following investigation, it
appears that harassment or misconduct has occurred certain management action should be
taken. For example, the investigating human resources manager and manager could
recommend the appropriate course of action in line with the organisation’s disciplinary
procedure. The organisation could stipulate here that a detailed response could be given to
both parties outlining the results of the investigation and what action, if any, is being taken
in respect of the complaint. This may result in a meeting under the organisational
‘disciplinary’ document being convened and the behaviour being viewed as serious
misconduct. This may also apply in cases where the complainant's behaviour is deemed to
be malicious.
The organisation should set a target of two months for completing formal investigations.
However, given the complexities of some issues, this may not always be achievable. Any
timescales decided upon should be clearly documented.
7
Confidentiality
The organisation should include a statement noting that all employees involved with the
investigation and any subsequent process are required to respect the need for
confidentiality.
All complaints, associated correspondence and interviews will be treated in strict
confidence. Breaches in confidentiality will be subject to disciplinary action.
e
8
Training Requirements
The organisation should consider making the following training provisions:
9
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
new staff to be made aware of the harassment and bullying document during
induction programmes;

existing staff to receive harassment and bullying awareness training;

management to be trained to handle complaints effectively; and

training to be provided for mediators and support workers.
Equality Impact Assessment
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The organisation should identify who will undertake the Equality Impact Assessment which is
required to consider the needs and assess the impact of this document in accordance with
the Organisation-wide Document for the Development and Management of Procedural
Documents. The Equality Impact Assessment Tool found at Appendix E of the Organisationwide Document for the Development and Management of Procedural Documents could be
completed and form part of the body of the document, but as a minimum a statement
should be included within the document to demonstrate that an Equality Impact Assessment
has been carried out and that the document does not discriminate, highlighting any areas of
good practice or risk areas requiring attention.
f
10
Monitoring Compliance with the Document
This section should describe the organisation’s expectations in relation to monitoring the
implementation of the Organisation-wide Document for the Management of Harassment
and Bullying. This could be via measurable standards, key performance indicators, etc.
By setting specific timescales throughout the approved document, for example, the
expected time from initial complaint to mediation; timescales upon which to act following
the commencement of the formal procedure, timescales by which correspondence should
be drafted etc, the organisation will introduce ‘measureable’ parameters to this
management process.
10.1
Process for Monitoring Compliance
This section should identify how the organisation plans to monitor compliance with
the Organisation-wide Document for the Management of Harassment and Bullying.
As a minimum it should include the review/monitoring of all the minimum
requirements within the NHSLA Risk Management Standards. The following list is a
guide to issues which could be considered within this section and should be added
to where appropriate:
10.2

Who will perform the monitoring?

When will the monitoring be performed?

How are you going to monitor?

What will happen if any shortfalls are identified?

Where will the results of the monitoring be reported?

How will the resulting action plan be progressed and monitored?

How will learning take place?
Standards/Key Performance Indicators
This section could contain auditable standards and/or key performance indicators
(KPIs) which may assist the organisation in the process for monitoring compliance.
11
References
This section should contain the details of any reference materials reviewed in the
development of the procedural document.
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Listed below are some useful sources of reference material:
12
11.1
Legislation

The Health and Safety at Work etc, Act 1974

The Workplace (Health, Safety and Welfare Regulations)1992 SI 1992/3004

The Protection from Harassment Act 1997
11.2
Guidance from Other Organisations

British Medical Association (BMA) (2006) Bullying and Harassment of Doctors in the
Workplace

Charted Institute of Personnel and Development (CIPD) (2005) Bullying at Work:
Beyond Policies to a Culture of Respect

Department of Health (2000) Improving Working Lives Standard

Department of Health (2002) Code of Conduct for NHS Managers

Department of Health (2010) The NHS Constitution: The NHS belongs to us all.
London: Department of Health

NHS Employers website provides further information and resources on harassment
and bullying: www.nhsemployers.org

NHS Employers (2010) ‘Health and safety essential guide’ NHS Employers website
pages

Royal College of Nursing (2005) Bullying & Harassment at Work: A Good Practice
Guide for RCN Negotiators and Healthcare Managers
Associated Documentation
This section should provide a cross reference to any other related organisational procedural
document(s).
The following list is a guide only and is not exhaustive:
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
Health and well being

Stress management

Sickness absence

Health and safety

Risk assessment

Disciplinary and grievance procedure
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Appendix A - Examples of Unacceptable Behaviour
Examples of unacceptable behaviour that can be considered to constitute harassment and bullying
(this list is not exhaustive):

bullying by exclusion - this may take the form of social isolation and/or exclusion from
meetings;

the deliberate withholding of information with the intention of affecting a colleague’s
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; or

copying memos that are critical about someone to others that do not need to know.
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Appendix B - Template Document for the Management of Harassment and Bullying
NHS Trust
An Organisation-wide Document for the Management
of Harassment and Bullying
Version:
Ratified by:
Date ratified:
Name of originator/author:
Name of responsible committee/individual:
Name of executive lead:
Date issued:
Review date:
Target audience:
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Contents
1
Introduction ........................................................................................................... 19
2
Purpose .................................................................................................................. 19
3
Explanation of Terms ............................................................................................. 19
4
Duties ..................................................................................................................... 19
4.1
4.2
4.3
4.4
5
Affected or Involved Staff Member....................................................................................... 19
Duties within the Organisation ............................................................................................. 19
Committees and Groups with Overarching Responsibilities ................................................. 19
Duties of External Stakeholders ............................................................................................ 19
Informal Procedure ................................................................................................ 19
5.1
5.2
Affected or Involved Staff Member....................................................................................... 19
Mediation .............................................................................................................................. 19
6
Formal Procedure ................................................................................................... 19
7
Confidentiality ........................................................................................................ 19
8
Training Requirements ........................................................................................... 19
9
Equality Impact Assessment .................................................................................. 19
10
10.1
10.2
11
11.1
11.2
12
Monitoring Compliance with the Document ...................................................... 20
Process for Monitoring Compliance ...................................................................................... 20
Standards/Key Performance Indicators ................................................................................ 20
References .......................................................................................................... 20
Legislation.............................................................................................................................. 20
Guidance from Other Organisations ..................................................................................... 20
Associated Documentation................................................................................. 20
Appendix A
Checklist for the Review and Approval of Procedural Document ........ 20
Appendix B
Version Control Sheet ........................................................................... 20
Appendix C
Plan for Dissemination .......................................................................... 20
Appendix D
Equality Impact Assessment Tool ......................................................... 20
Examples of the Checklist for the Review and Approval of Procedural Documents, Version Control
Sheet, Plan for Dissemination and the Equality Impact Assessment Tool can all be found within the
Organisation-wide Document for the Development and Management of Procedural Documents on
the NHSLA website.
Appendix B in the Organisation-wide Document for the Development and Management of Procedural
Documents contains a flowchart to assist with the process for the creation and implementation of
procedural documents.
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Review and Amendment Log
Version No
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Type of Change
Date
March 2012
Description of change
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1
Introduction
2
Purpose
3
Explanation of Terms
4
Duties
5
4.1
Affected or Involved Staff Member
4.2
Duties within the Organisation
4.3
Committees and Groups with Overarching Responsibilities
4.4
Duties of External Stakeholders
Informal Procedure
5.1
Affected or Involved Staff Member
5.2
Mediation
6
Formal Procedure
7
Confidentiality
8
Training Requirements
9
Equality Impact Assessment
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10
11
12
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Monitoring Compliance with the Document
10.1
Process for Monitoring Compliance
10.2
Standards/Key Performance Indicators
References
11.1
Legislation
11.2
Guidance from Other Organisations
Associated Documentation
Appendix A
Checklist for the Review and Approval of Procedural Document
Appendix B
Version Control Sheet
Appendix C
Plan for Dissemination
Appendix D
Equality Impact Assessment Tool
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