University Calendar

Respect at Work and Study: Policy, Code of Practice and Procedures for Staff and Students to make a Complaint about Harassment

1)             Policy

We are fully committed to eliminating discrimination and actively promoting equality of opportunity for our staff and students in line with our University Strategy.  We believe that where equality of opportunity exists all staff and students work in a more rewarding and less stressful environment, one where discrimination, prejudice and harassment are not accepted, and one more likely to enhance performance and achievement.

We will seek to promote and maintain an inclusive and supportive work and study environment that respects the dignity of staff and students and assists all members of our University community to achieve their full potential.  This policy has been written in support of developing and encouraging a work and study environment in which personal harassment of any kind is known to be unacceptable, and one in which individuals have the confidence to complain without fear of reprisals.  No-one in our University community is expected to endure offensive, intimidating or bullying behaviour and the University will not tolerate the harassment of one member of our community by another.

We are fully committed to investigating complaints and taking appropriate action.  This policy and code of practice relates to allegations of harassment by staff v staff, staff v students, students v students and students v staff.

It is the responsibility of every member of our University community to help achieve this inclusive and supportive environment, and to promote good relations between groups by being tolerant and having respect for diversity.  You can do so by making sure that your own conduct does not cause offence or misunderstanding. Managers have the responsibility to take complaints seriously and carry out investigations in line with University procedures.  Individuals have a responsibility to bring forward issues in a timely manner in order that any investigation is carried out at the earliest opportunity.

Where there are instances of activity on campus which may undermine good campus relations, and to assist staff and students in maintaining a balance between individual freedoms and expectations of conduct, the University has policies in place to address such matters.  The Code of Practice on Freedom of Speech Relating to Meetings or Other Activities on University Premises and the Code of Practice on Notification of Misconduct to the Police and Internal Action can both be found in the University Calendar Volume 1.

Guidance on maintaining professional relationships and the principles of public life are included on the University's website at www.durham.ac.uk.


2)             Code of Practice

This Code of Practice is intended to:

  • Facilitate the development of a study, learning and working environment in which harassment is known to be unacceptable and where students and staff can be confident enough to bring complaints, made in good faith, without fear of ridicule or reprisal.
  • Explain the procedure for making a complaint about harassment, discrimination or bullying by or towards a member of staff of a registered student of Durham University.

a)             Guiding Principles

Appropriate members of the University community will receive training in dealing with cases of harassment, and will be available to any student or member of staff to offer advice or information in confidence, help to resolve issues if the complainant wishes, and act as a channel for complaints.  (Individual or collective complaints about terms and conditions of employment which do not involve harassment are dealt with under the established grievance procedures for academic and support staff.)  We will aim to recruit Harassment contacts from a diverse range of people.

Where an individual wishes to make a complaint against his\her Manager, then the complaint should be addressed to a more senior manager, eg a Head of Faculty.

When reported, complaints of harassment will be dealt with as quickly as possible.  Though some forms of harassment may be resolved informally, there may be occasions when a formal approach is required from the onset.  It is important that individuals bring forward complaints at the earliest opportunity and within a reasonable time frame in order that a thorough appreciation of all the circumstances can be gained. 

The possibility that complaints might be brought with vexatious or malicious intent is also recognised by the University and may provide grounds for disciplinary action.

All records concerning allegations or complaints of harassment will be treated as confidential and in line with the provisions of the Data Protection Act.

Cases of alleged harassment will be investigated impartially by the University, which will ensure that the alleged harasser has the opportunity to be represented and to be given a clear account of the allegation so that he/she may state his/her case.

Unless incidents of harassment are notified in a timely manner, the University may find itself unable adequately to take steps to prevent or eliminate harassment.  It is therefore important that staff and students use the channels provided (see 'sources of help' at the end of this document) as set out in this document.  We will monitor reported cases of harassment and report the results of our monitoring in the Diversity Annual Report on an annual basis.  This monitoring will be carried out anonymously, and the statistical data collected will be used to inform policy reviews.


b)             Harassment Definitions

Personal harassment is difficult to define in terms of acceptable or unacceptable behaviour.  It is important to understand that even behaviour which is not intended to cause offence or distress may do so.  Differences of attitude or culture and the misinterpretation of social signals can mean that what seems like harassment to one person may not seem so to another.  The defining features, however, are that the behaviour is offensive, hostile or intimidating to the recipient and would be regarded as harassment by any reasonable person.  It may consist of behaviour taking place over a period of time or a single incident, but in all cases it involves an unwanted, unwelcome or uninvited act which makes the recipient feel uncomfortable, embarrassed, humiliated, unsafe or frightened.

It should be noted that incidents outside of normal hours, and not on University premises might still require investigation and action where incidents involve members of the University community.

Any difficulty in defining personal harassment should not deter a member of staff or a student from seeking support or complaining of behaviour which causes them distress.  They should also not be deterred because of embarrassment or fear of intimidation or publicity.  The University will respect the particular sensitivity of harassment complaints and their consequences, and will treat any complaint with the utmost confidentiality.  Complaints will not normally be taken further than the complainant wishes.

(i)             Sexual Harassment involves unwanted sexual attention which emphasises sexual status over status as an individual, colleague or student, or unwanted conduct on the grounds of a persons sex which violates their dignity, or creates an intimidating, hostile, degrading, humiliating or offensive environment.  We tend to think first of women being harassed by men, but it may also occur between members of the same sex or of men by women.  Harassment is especially serious when the alleged harasser is in a position of power to the person complaining of the harassment.

            Harassment on the grounds of a person's sexual orientation is unwanted conduct that violates a person's dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment.  Such conduct may be aimed at heterosexuals, particularly, but not exclusively, when individuals are perceived to be gay men and lesbians, transgender or bisexual (LGBT), but is more usually experienced by LGBT people.  The European Commission code of practice on sexual harassment points out that lesbians and gay men often encounter disproportionate levels of harassment relating to their sexuality.  The response of LGBT people to harassment may also be complicated by the fact that in order to complain about it or confront it, they may have to be open about their sexuality or gender identity with colleagues (perhaps for the first time).


(ii)           Racial and Religious Harassment occurs when someone's actions or words, based on race, religion, colour, ethnic or national origins, are unwelcome and violate another person's dignity or create an environment that is intimidating, hostile, degrading, humiliating or offensive.  (Note: the MacPherson report which followed the Stephen Lawrence Inquiry defined a racist incident as "any incident which is perceived to be racist by the victim or any other person".)


(iii)          Disability Harassment may be defined as behaviour, deliberate or otherwise, relating to a person's disability, which violates a disabled person's dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment for the individual.  Disability harassment can occur in situations such as undue pressure or intimidation, impractical work expectations or offensive language or jokes.


(iv)         Age harassment may be described as treating a person differently because of his/her perceived youth or mature age, which violates a person's dignity, or creates an intimidating, hostile, degrading, humiliating or offensive environment.  For example, in applying age limits in recruitment and selection, training and promotion opportunities.  The University has for some time removed age bias in employment, by removing age requirements and 'age for wage' salary scales (except for Government sponsored Modern Apprenticeships).


(v)           Bullying may be defined as offensive, abusive, intimidating, malicious or insulting behaviour and abuse of power which makes the recipient feel upset, threatened, humiliated or vulnerable.  As with all forms of harassment, it is the impact on the individual and not the intention of the perpetrator which determines whether bullying has occurred.

Bullying is most commonly associated with an abuse of power, most typically by a manager in an employment relationship or Lecturer/tutor in a staff/student relationship (see also guidelines on consensual relationships).  However, other power relationships may equally lead to bullying by colleagues or a group of people who target an individual.


c)             Firm, Fair Management

Effective leadership and management is based on respect, trust, support and encouragement.  Managers are responsible for ensuring that staff who report to them perform to an acceptable standard.  Legitimate monitoring of an employee's behaviour or job performance does not, therefore, constitute bullying.

It is reasonable to expect a manager to carry out these functions in a fair, firm and consistent manner. Carrying out these functions does not constitute an act of bullying or harassment, although some staff may feel anxious whilst the procedures are ongoing.

It is important to differentiate between firm, fair management and bullying behaviour.  It is in the interests of the University that managers should be able to carry out their duties without threat of ill-intentioned, malicious, vexatious or unreasonable complaints.

It is not always easy to differentiate between firm, fair management and bullying and harassment, but some examples of what is considered firm/fair management are as follows:

  • Consistent and fair.
  • Determined to achieve the best results, but reasonable and flexible.
  • Knows own mind and is clear about own ideas, but willing to consult with colleagues before drawing up proposals.
  • Insists upon high standards of service in quality of and behaviour within the team.
  • Will discuss in private any perceived deterioration before forming any views or taking action, and does not apportion blame on others when things go wrong.
  • Asks for people's views, listens and assimilates feedback.
  • Consistently demonstrates sensitivity to the behaviour of others and adapts own behaviour to get the optimum work outputs.
  • Consistently demonstrates behaviour irrespective of where work takes place and regardless of numbers of staff present.


d)             Policy on Maintaining Professional Relationships

Members of staff may be faced with situations where personal interest may conflict with their duties and might be uncertain about how to deal with them. This guidance sets out some principles to help staff avoid conferring unfair advantage or disadvantage on students, staff or other individuals because of personal relationships, i.e. friendships of different types where one party may be in a position to secure advantage for the other in areas of employment and academic life.

The underlying principle of maintaining professional relationships is that all members of staff should adhere to the "Seven Principles of Public Life" drawn up under the Nolan (now Neill) committee to which this guidance relates.

(i)                              Relationships between Staff and Students

The University values good professional relationships between staff and students.

The University is committed to an environment for staff and undergraduate and postgraduate students where decisions about assessment, selection and access to resources are based on merit.

Members of staff should recognize a professional and ethical responsibility to protect the interests of students, to respect the trust involved in the staff/student relationship and to accept the constraints and obligations inherent in that responsibility.

Students who are, or who have been, involved in an intimate relationship with a member of staff, and who do not consider their involvement to be truly consensual have the right of complaint under the University's harassment procedure.

The establishment of an academic relationship with family members or with friends or associates who become students may also raise ethical and professional issues.

Professional responsibilities of staff towards students may be academic (including assessment), administrative or advisory. If there are concerns about the nature of a relationship, a member of staff must inform his/her head of department without undue delay and ensure that there is a clear separation from such responsibilities. Failure to do so may lead to complaints of bias and possible disciplinary action.

(ii)                            Relationships between members of staff

Where intimate relationships occur between members of staff, it is the responsibility of both individuals to deal appropriately with any potential conflicts of interest. For example, it may be necessary to review the relevant reporting structure if the relationship is between a line manager and a member of staff.

Staff should take care that financial, family or personal relationships are entered into on a consensual basis and do not advantage or unfairly disadvantage any member of staff, or other individuals, eg in dealing with applications for jobs.

Where relevant, the Head of Department should be immediately informed if a relationship is causing concern at work.  The matter will be treated in absolute confidence and, in consultation with the member(s) of staff, ways sought to avoid conflicts of interest.

Members of staff who have close personal or familial relationships with an applicant for employment must declare their interest and avoid any involvement in the appointment process, either as a member of an appointment panel or in the short listing process.  It is acceptable to act as a referee for an applicant in this situation provided the interest is made clear in the letter of support.

A member of staff who is, or who has been, involved in an intimate relationship with another member of staff, who does not consider their involvement to be truly consensual and where the relationship is causing problems at work, will have the right of complaint under the University's Respect at Work and Study Policy and Code of Practice procedure.


e)             Sources of Help:

 Help and advice, including guidance leaflets, is available from:

Students

  • DSU Welfare Department Staff
  • College Tutors
  • University Counselling Service
  • Heads of Houses
  • Harassment Network contacts *
  • Nightline
  • LGBT Association
  • Chaplains

Staff

  • Director of Human Resources
  • Staff Trade Union Representatives
  • Heads of Sections
  • Occupational Health Adviser
  • Harassment Network contacts *
  • Chaplains

*Names of Departmental Harassment Network contacts will be displayed on notice boards. We recognise that you may prefer to speak to a network member from outside of your own department. The Diversity Office (j.m.chatterton@durham.ac.uk) will maintain a full list of internal network members and will advise you in total confidence of alternative members of the network.


If you are the victim of rape or other physical assault, seek help immediately.  The attack should be reported to the police as soon as possible, and you will be able to choose to see a female or a male officer.  Any of the

Named contacts in annex 3 will willingly give support and help you decide what to do.  You will be given advice but what further action is to be taken, if any, will be your decision.  For your own protection and the protection of others, it is important that the offender is dealt with.  If you decide to go to the police, you will not be left to go alone, unless you so wish.


Other advice and help centres are:

Tyneside Rape Crisis Centre (sexual assault counselling & information service): www.tynesidercc.org.uk

Women's Support Network and Jigsaw (Middlesbrough based counselling, advisory & support service for sexual abuse and rape): www.wsnsupport.org

MESMAC NE (gay & bisexual men's support service): www.mesmacnortheast.com

Samaritans:  www.samaritans.org


3)             Procedures for making a complaint about harassment

a)             General principles

If you feel that you are being subjected to personal harassment in any form, do not feel that it is your fault or that you have to tolerate it.  In order to maintain normal relationships matters should be dealt with by an informal intervention wherever possible.


b)             Procedures for Staff to make a complaint about harassment

Informal Action for Members of Staff

1.1    Discuss the matter with a trusted colleague, harassment contact or Trade Union representative.  You should be aware that the alleged harasser may raise a counter-accusation, and so it may be wise to alert someone else to your concern.  (It may be helpful for you to keep a note of the details of any relevant incidents which cause offence, including the names of any witnesses.)

1.2    Speak to the person concerned or write a letter to the person causing offence to let them him\her know that his\her behaviour is unacceptable to you.  "I think your behaviour\remark is offensive and I want you to stop".  In some circumstances this may be sufficient.

1.3    Speak to your Manager or offending person's Manager and ask that they speak to the person concerned.  Alternatively, write an explanatory letter to your Manager.

1.4    If you are not satisfied, you may request an informal investigation to be carried out by your Manager who will be supported by a representative from the Human Resources Department.  The outcome of this investigation may be:

  • Complaint not founded.
  • Situation mutually resolved.
  • Complaint founded in which case action short of disciplinary action may be taken which could include:

-         The offending person offering a written apology and agreeing to undertake a training course or receive personal counselling by an appropriate body (i.e. Race Equality Council).

-         Both parties agreeing to work with a conciliator who may be internal or external to the University.


Formal stage for staff

1.5    Where the informal approach is unsuccessful, or you wish to move straight to a formal stage, and the complaint is against another member of staff, the appropriate Grievance/Complaint Procedure will be followed.  Staff should contact the nominated Faculty/Division representative in Human Resources for information about the correct Grievance Procedure to be followed.  (Your Human Resources contact can be found at http://www.dur.ac.uk/hr/contacts/). If the complaint is about a student the Formal Stage for Students should be followed and is initiated through a formal complaint to the Deputy Academic Registrar.


c)             Procedure for Students to make complaint about harassment

 Informal Action for Students of the University

1.1    You, as the complainant should discuss the matter with a fellow student, your College Tutor, harassment contact or a DSU representative.  You should be aware that the alleged harasser may raise a counter-accusation, and so it may be wise to alert someone else to your concern.  (It may be helpful for you to keep a note of the details of any relevant incidents which cause offence, including the names of any witnesses.)

1.2    Speak to the person concerned or write a letter to the person causing offence to let him\her know that his\her behaviour is unacceptable to you.  "I think your behaviour\remark is offensive and I want you to stop".  In some circumstances this may be sufficient.

1.3    Speak to the Principal or Master of your College or your Senior Tutor and ask that they speak to the Head of House or Manager of the person concerned.  Alternatively, write an explanatory letter to the Principal, Master or Senior Tutor of your College.

1.4    If you are not satisfied, you may request an informal investigation to be carried out by the Principal, Master or Senior Tutor of your College who will be supported by a representative from the Academic Office.  The outcome of this investigation may be:

  • Complaint not founded.
  • Situation mutually resolved.
  • Complaint founded in which case action short of disciplinary action may be taken which could include:

-         The offending person offering a written apology and agreeing to undertake a training course or receive personal counselling by an appropriate body (i.e. Race Equality Council).

-         Both parties agreeing to work with a conciliator who may be internal or external to the University.


Formal stage for students
Introduction

1.5    If it has not been possible to resolve the matter informally, or it was not appropriate, or you did not feel able to try to come to an informal resolution, you as the complainant have the right to seek redress through the formal procedure.

1.6    Information and advice is available from any of the following:

  • The Senior Tutor of your College
  • The DSU Advice Centre
  • The harassment contact in your academic department
  • The office of the Deputy Academic Registrar or the Office of the Deputy Warden
  • A Trade Union representative
  • The Human Resources Departmental Contact
Procedure

 1.7    To initiate a formal complaint of harassment, bullying or discrimination you should write to the Deputy Academic Registrar within one month of the events complained of, or one month after the end of the informal process, providing as much information as possible of the events complained of, and clear indication of the outcome you seek.

1.8    The Deputy Academic Registrar will acknowledge receipt of the complaint and will determine who should conduct the investigation.  The Investigating Officer will be a senior member of the University and may be drawn from the following:

                                                               i.                        A Pro-Vice Chancellor (Head of Faculty)

                                                              ii.                        A Deputy Head of Faculty

                                                            iii.                        A Head of an Academic Department

                                                            iv.                        The Registrar or their nominee

                                                             v.                        A Head of College

                                                             vi.                       A Senior Tutor

1.9    Anyone dealing with the formal complaint must be independent of the source of the complaint.  In any situation where the complaint is against a member of staff, the Investigating Officer will consult the appropriate HR Departmental Contact to discuss how the case should proceed.  It is expected that in these circumstances the Directorate of Human Resources would be involved in the investigation from the outset.

1.10 Investigations will be undertaken as quickly as possible, in confidence and will normally begin within 5 working days of receipt of the complaint.

1.11 Before the investigation begins you as the complainant will be asked to attend a meeting during which the procedure will be explained and discussed, and the details of the allegation will be confirmed.  You, and any potential witnesses of the alleged offence will be required to attend an interview as part of the investigation. You and anyone else asked to attend a meeting may be accompanied by a friend who is a member of the Durham University community.  The alleged harasser(s) will then be asked to attend a meeting during which the procedure will be explained and discussed, and the details of the allegation against them will be confirmed. He or she will then have the opportunity to respond. If you (as the complainant) are unwilling for the alleged harasser to be informed of the substance of the complaint against them, the investigation cannot proceed. Similarly, evidence from a witness can only be used with the witness’ consent.  Notes of any interviews will be made and will be signed by the interviewee as accurate and reflecting the discussion.  The interviewee may make any written comments about any section of the notes that they do not agree with.  Copies of the signed notes, with any comments, will be retained by both the interviewee and the investigators.

1.12 Any student involved in interviews under this procedure may be accompanied at all stages by a member of staff, DSU Students' Union representative or a fellow student. Members of staff may be accompanied by a trade union representative or a work colleague.

1.13 On the basis of interviews and statements received, the Investigating Officer will decide wither or not further action should be taken.

1.14 It is expected that the formal procedure should normally be completed and a written response provided within twenty working days of the receipt of a formal complaint received within the University's term time.  Where, for reasons of complexity, it is not possible to complete the formal procedure within this time scale the parties will be kept informed.

Outcomes

1.15Each party involved in the complaint about harassment, discrimination or bullying will be informed individually in writing of the outcome.  If no further action is to be taken, you will be given reasons for this decision.

1.16If the Investigating Officer concludes that the conduct of the student or member of staff against whom the complaint was made does constitute misconduct, then the matter will be referred for consideration under the appropriate disciplinary procedures.


1.17Where the harasser is a student and the Investigating Officer considers the misconduct is of so serious a nature that the penalty of expulsion from the University should be considered, he or she may refer the matter to the Chair or Deputy Chair of Senate Discipline Committee as an alleged breach of the University's General Regulation IV Discipline.

1.18Where the Investigating Officer considers that the student's misconduct does not amount to a major offence as defined in the University's General Regulation IV Discipline, the Investigating Officer may impose one or more sanctions from the list:

an order of exclusion from College or restricting access to the University or College or part thereof or restriction on contact with a named person(s).

a requirement to make and attend an appointment for counselling or medical treatment;

a requirement to undertake community service;

a reprimand;

any or all of these sanctions or any punishment (other than expulsion) as deemed reasonable by the Investigating Officer;

a requirementto change College membership (with consent of the relevant Heads of College and the Deputy Warden)

[Failure to comply with any of the above sanctions put in place by an appropriately would constitute a major offence and the matter could therefore by referred to Senate Discipline Committee.]


1.19 Where the harasser is a member of staff, further action may be taken in accordance with the appropriate staff training or discipline procedure.

1.20 Victimisation or retaliation which occurs as a result of the application of this procedure is unacceptable and may lead to disciplinary action being taken under the appropriate disciplinary procedures.

Request for a Review

 1.21 If, once a final decision on a complaint of harassment, discrimination or bullying has been given, you believe that the matter has not been handled fairly or properly in accordance with these procedures, you can request a review by writing to the Registrar and Secretary within 10 working days of receipt of the outcome.  The request should include details of why you are dissatisfied and what resolution is sought, and should include copies of correspondence exchanged during the preceding stages, and any other relevant papers. In cases in which the matter is referred to a Senate Discipline Committee hearing, the review procedure may not be used. Instead, you have the right to appeal to Council Student Appeals Committee under General Regulation IV 8, after receiving notification of the outcome of a Senate Discipline Committee hearing. 

 1.22 Receipt of the request for Review will be acknowledged in writing within 5 working days.  The Registrar and Secretary  or his or her delegated nominee, (hereafter called "the Reviewer") will then review the case on the basis of the documentation you provide and that made availably by those who dealt with the formal complaint.  The Reviewer may decide to seek further information from you and/or others concerned.  If the Reviewer concludes that the case has not been handled fairly or properly, he/she will decide on an appropriate course of action, which may include:

  • specific action to resolve the matter
  • referral for a new investigation.

 1.23 If the Reviewer concludes that the case has been handled fairly and properly the appeal will be dismissed and reasons given in writing.  If the Reviewer dismisses the complaint there shall be no further opportunity for you to pursue this within the University.

 1.24 You will be notified of the Reviewer's decision within 20 working days of receipt of the request for review.


[Note: if you are a student and you believe that your case has not been dealt with properly by the University or that the outcome is unreasonable, you can make a complaint to the Office of the Independent Adjudicator for Higher Education (OIA), if the complaint is eligible under its rules and once all internal procedures have been concluded.  Information about the role of the OIA and the procedure for submitting complaints can be obtained from the Office of Student Support and Services, from the Students' Union Advice Centre, or from the OIA website:  www.oiahe.org.uk.]

1.25 The number and nature of formal harassment, discrimination and bullying cases and any subsequent reviews shall be included in the Annual Report to Learning & Teaching Committee and Senate on Student Complaints, Appeals and Discipline cases.