The Dignity at Work Policy and procedure suggest three distinct ways for staff to address any problems they encounter relating to the unacceptable behaviour of others: personal approach by the complainant, informal approach with support, and formal complaint. Where possible, one of the two informal approaches should be followed. However, it is recognised that there will be occasions where the alleged behaviour is deemed to be sufficiently serious to warrant a formal complaint being made as the first step.
Resolving a difficulty may involve several stages, and it is not appropriate for the same individual to manage all stages. Further, where, because of particular circumstances, it would be inappropriate for the Head of Institution to take part in the process, the matter should be referred to the Director of Human Resources who will ask the Head of the School or other appropriate senior person or, in Council Institutions, the Registrary, to initiate action.
It is important that the HR Business Manager/Adviser assigned to the complainant's institution is consulted at an early stage.
A member of staff who wishes to raise a Dignity at Work complaint, or about whom a complaint has been made, may approach his/her Manager, local HR staff or Institutional Administrator or the HR Business Manager/Adviser assigned to their School for advice on how to deal informally with the complaint. Sections 1 - 5 of the Dignity at Work Policy and the section Advice for staff.
Personal approach by the complainant
If an institution is notified of a situation that has been resolved by personal action, the management of the institution should informally keep the situation under review.
Both of the other approaches require intervention by the institution at the request of the complainant.
Informal approach with support
Many problems can be resolved at a very early stage. Sometimes people are not aware that their behaviour is unwelcome and an informal discussion can lead to greater understanding and an agreement that the behaviour will cease. It may be possible for the manager (or other individual from whom help has been requested), with the support of the HR Business Manager/Adviser, to take steps to address problems and improve relationships, for instance:
- without being intrusive, giving individuals the opportunity to raise any concerns;
- where there is a perception that an employee may be behaving unacceptably, discussing with that individual the behaviour and its likely impact on others;
- facilitating the development or restoration of good working relationships, for example, by facilitating a meeting between the parties;
This approach can be relatively unstructured, for example a facilitated meeting where the facilitator meets with each party individually to give them the opportunity to express their points of view, followed by a meeting with both parties to agree a resolution. Advice on conducting meetings about Dignity at Work complaints is given at the end of this section.
Where this is not feasible, the procedure provides for the consideration of a referral to the Mediation Service who will work with both parties towards a resolution and an agreement. This process requires the agreement of both parties; and it is understood that either party can withdraw from the process at any stage (see the section on Mediation).
In attempting to achieve an informal resolution there are a number of points which need to be borne in mind:
- Interpersonal issues should be dealt with quickly; the longer they are ignored, the more difficult it will be to resolve them.
- If not resolved, such issues may have an impact on the health, and the work, of those involved.
- The person involved in assisting an informal resolution should not make a judgment as to which party is 'right' or 'wrong'. It is important to treat both parties with respect and to acknowledge the distress that either or both parties may feel.
- It is important to seek the advice of the HR Business Manager/Adviser assigned to the institution before taking action.
As part of, or following, a reconciliation process, there may be ways in which practical arrangements can be made to reduce stress (for example changing working arrangements or revising room allocations in order to reduce friction between the parties) but without victimising anyone (see the section on Victimisation). Any such arrangements need to be discussed with the parties concerned, if possible agreed, and implemented as a supportive not a punitive process. It is important that in making arrangements there should be no inappropriate attribution of blame. It is also important to bear in mind that such arrangements may not always affect a resolution, as they may leave the underlying problem unaddressed.
The informal procedure is set out in the Informal procedure flow chart.
Formal procedure
If the situation is not resolved by the informal process or the matter is particularly serious, a complainant may make a formal written complaint. The formality of this procedure is essential in order to adequately test the evidence and to protect the interests of both the complainant and the person against whom the complaint has been made. The application of this level of formality to difficult interpersonal issues requires a sensitive approach and both parties will require support during the process. Points to be borne in mind include:
- Complaints may be made to the Head of Institution, who may delegate responsibility for appropriate action to a university colleague (who may or may not be a member of the institution concerned). Where it would be inappropriate for the Head of Institution to take part in the process, the matter should be referred to the Director of Human Resources who will ask the Head of the School or other appropriate senior person or, in Council institutions, the Registrary, to initiate action. References to the Head of Institution below will include, where relevant, references to their appointed deputy or alternative.
- On receiving the formal complaint, the Head of Institution may arrange to meet with the complainant to clarify the grounds of the complaint and how the complainant thinks it should be resolved, and explain what will happen next. Following the meeting, unless the Head of Institution finds that an informal approach is more appropriate, or if no further action is required, s/he will initiate an investigation by appointing an independent investigator.
- The Head of Institution will also meet with the person against whom the complaint has been made and will provide him/her with a copy of the complaint. The Head of Institution will explain that an investigation into the allegations will be carried out.
- There may be circumstances in which the complainant is not willing, or able, to make a formal complaint but where the Head of Institution considers that the implications for the complainant or others actually or potentially affected are so serious as to warrant an investigation being taken forward. In this case the Head of Institution, having taken advice from the Director of Human Resources, may initiate a formal investigation and make a decision on further action on the basis of such evidence as is available.
- Because of the stress which a complaint can cause to both parties, it is vital that the investigation be carried out as soon as is reasonably practicable, in line with the formal procedure.
- The Institution’s HR Business Manager/Adviser will be able to advise on the investigation process. The Head of Institution will appoint the investigator, who will normally be a senior person who has no connection with either party's institution, in order to ensure impartiality. The investigator will not make any prior assumptions about the validity or otherwise of the complaint.
- The investigator, on receiving the complaint, will need to consider what further evidence s/he will need, and how the evidence will be tested. Good preparation for interviews should ensure that questioning is adequate to gather the necessary information without being excessive or oppressive.
- The Institution’s HR Business Manager/Adviser will support the investigator during the process.
- The HR Adviser will attend each interview and provide a note of each meeting. A copy of the relevant meeting note will be provided to the interviewee.
- In the interests of confidentiality, meeting notes provided to the two parties to the complaint may be anonymised.
- At the conclusion of the investigation, the investigator will write a report for the Head of Institution, detailing the facts as established and saying whether, in their opinion, there is a case to answer. It will then be the responsibility of the Head of Institution, with the support of the Human Resources Division, to decide the matter and what action to take.
- Once the Head of Institution (see section 5.2.3 of the Dignity at Work Procedure) has reviewed the report, s/he will invite the complainant and the person about whom the complaint has been made to individual meetings. The Head of Institution will send both parties a copy of the report in advance of the meetings.
- Both the complainant and the person against whom the complaint has been made may be accompanied to any meeting by a companion, who should be either a trade union representative or a work colleague. The companion will be allowed to address the meeting, to put and sum up the member of staff’s case, respond on behalf of the member of staff to any views expressed at the meeting and confer with the member of staff during the meeting. The companion does not, however, have the right to answer questions on the member of staff’s behalf, address the hearing if the member of staff does not wish it or prevent the employer from explaining their case.
- Advice on conducting meetings about a Dignity at Work complaint is given at the end of this section.
- Having carefully considered the investigation report, the accompanying paperwork and any comments on the report provided by the complainant and the person complained about, the Head of Institution will decide what action is appropriate.
- As soon as is reasonably possible, the Head of Institution will give both parties written confirmation, including the reasons for the decision and what action s/he intends to take to resolve the issue.It may also be advisable for the Head of Institution to meet with the complainant and the person against whom the complaint has been made to detail his/her decision and explain what action s/he intends to take to resolve the issue.
- One possible action which the Head of Institution may take is to invoke the appropriate disciplinary procedure, either where the complaint is upheld and the behaviour complained of is such as to warrant disciplinary action, or where the complaint is not upheld and thought to be malicious or vexatious. Any action necessary should be taken irrespective of the status of the individuals concerned.
The formal procedure is set out in the Formal Dignity at Work procedure flow chart.