Staff dignity at work policy

Staff are encouraged, where possible, to resolve concerns informally. In many cases, the issue may be resolved by approaching the other person face-to-face, on an informal basis, and explaining to them the behaviour that is causing distress, and why. The behaviour may not have been intended to harm, and/or the person may not have realised the consequences of their actions or behaviour. Therefore, approaching them in a calm, open and honest manner may be enough to resolve any misunderstanding and give them the opportunity to change their behaviour. Such an approach is not required if the member of staff does not feel safe and comfortable to do so (for example, in relation to allegations of sexual harassment).

As mentioned above, support may be sought from a D@W Contact or line manager. This applies to both complainant and respondent.

Wherever it is appropriate, which may depend upon the seriousness of the case, the College will support and advocate informal attempts at resolution in the first instance.

Where informal action is not appropriate due to the nature/seriousness of the incident, or has been attempted but has not been effective, individual complaints or concerns may be addressed through the relevant grievance procedure. The College reserves the right to insist that the formal resolution procedure is applied where the seriousness of the incident could amount to gross misconduct.

Once a formal complaint has been received, the steps outlined in the relevant procedure will usually be followed to deal with the complaint.

If the outcome of any investigation were to find that there is a disciplinary case to answer, this would be treated in accordance with the College Disciplinary and Dismissal Procedure, and the Statutes for academic staff.

The College recognises its equal duty of care both to the complainant(s) and respondent(s). Any formal allegation of bullying or harassment made cannot be considered anonymously and must be properly investigated using the appropriate process outlined. In investigating reports, the College will be mindful of the rights of both the person (or people) making the allegation(s), and the person (or people) about whom the allegation(s) are made. The College can act against anyone making a vexatious or malicious allegation.

Upon receipt of a formal allegation of inappropriate behaviour raised by a staff member, the College reserves the right to reclassify allegations concerning student discipline as a student complaint, or an academic appeal, if the submission has been made to the incorrect procedure, or the submission falls properly within the remit of one procedure rather than the other.

As well as or instead of raising issues for resolution informally or formally, staff may report any type of inappropriate behaviour anonymously using the College’s staff anonymous reporting form. The form will not ask for any personal identifiable details.

Anonymised data will be kept for reporting purposes and used to identify trends to see if there are similar reports and patterns of behaviour that should be addressed and to improve support services.

Anonymous reports received by the College are likely to be insufficient to advance a fair and thorough investigation. However, there may be circumstances, including if a potential respondent has been named anonymously on more than one occasion, where it will be necessary for the College to assess whether further action can be taken. Further action may include one or more of the following: risk assessment, advising a member of staff where a concern has been raised about their behaviour, and/or assessing the matters raised under formal procedures.

Complete the online form to submit an anonymous report.

As a general principle, the College will maintain confidentiality for all parties to the complaint. Information about the allegations made will only be given to those who strictly need to know about the issues raised. In seeking a formal resolution, those investigating the allegations will need to discuss them with the person or people about whom they are made.

The College will fulfil its obligations in reporting incidents to external parties (such as relevant research funders and, or professional bodies), as appropriate. Individual confidentiality will be balanced with the nature of any risks arising from any circumstances of inappropriate behaviour. Where unacceptable risks to health, safety or property are perceived, the College reserves the right to act under this procedure, whether or not the person making the allegation agrees. If such action is necessary, the staff member will be notified.

Breach of confidentiality in either an informal or formal resolution process may give rise to disciplinary action under the relevant disciplinary procedure.

Information about a complaint will be placed on the Human Resources case management file , along with a record of the outcome and any notes or other documents compiled during the process. Notes and records will be treated as confidential and be kept no longer than necessary in accordance with the data protection principles set out in the relevant data protection legislation.

At any point during either informal or formal attempts to resolve claims of inappropriate behaviour, mediation may if appropriate, be considered as a means of resolving the problem.

Mediation involves the use of a third party who is independent and neutral, to facilitate the parties involved towards a mutually acceptable agreement. The mediator will be a person who has undertaken training and achieved formal accreditation; they will be selected and appointed by Human Resources. Mediation is voluntary and can only be undertaken with the agreement and willingness of all parties.

In cases where mediation is agreed and where formal grievance procedures have been instigated, the formal procedure will be adjourned whilst the mediation takes place. If no mutually acceptable solution is reached through mediation, the procedure will be reconvened at the point of adjournment.

Mediation will not always be the most appropriate means of resolving a claim of inappropriate behaviour, particularly in the case of a complaint that, if upheld, could amount to gross misconduct. The College will need to take a view as to the seriousness of each allegation both in relation to its duty of care, and in the context of unlawful discrimination legislation. Where a claim is of a level of seriousness amounting to gross misconduct, the College has the right to insist that formal routes to resolution are undertaken.

Where behaviour has been alleged that would potentially amount to a criminal offence, e.g. physical or sexual assault, the staff member is encouraged to report the matter to the police, and also inform the Director of Human Resources, in order that support may be provided, and any appropriate action taken, including commissioning an investigation even if the person has not raised a formal grievance. The College is unable to make a report to the police on the individual’s behalf.

The College is not required to use a criminal standard of proof in its own internal investigations. Any judgements reached as part of an investigation do not constitute a legal ruling on whether or not criminal activity has taken place.

If the College believes on the balance of probability that gross misconduct may have occurred, it reserves the right to follow its own disciplinary procedures, even if there are ongoing criminal proceedings. Suspension may be considered, if necessary.

Third parties include but are not limited to students, external contractors and agency workers. Emerita/us Professors and Honorary Research Fellows are third parties under this policy. Inappropriate behaviour of a third-party against a member of staff will not be tolerated and staff are encouraged to report it.

College employees or workers who have a complaint under this policy against a student should contact their line manager in the first instance who will liaise with the Student Complaints Team within Student Services to agree an appropriate course of action.

Staff who have a complaint under this policy against any other third party should speak with their line manager and, where relevant, the member of Birkbeck staff responsible for engaging the third-party (engaging manager) whose responsibility it will be to notify the external agency/company of the complaint. The complainant’s line manager should then ensure appropriate support is provided to the employee who has disclosed the matter. Where relevant, it will be the responsibility of that agency/contractor to investigate and conclude matters as appropriate in line with their existing policies. Depending on the outcome, the College reserves the right not to engage the services of that person or company again.

Concerns raised by a third party, such as an external worker or visitor to the College, to a potential breach of this policy should be directed to the engaging manager. Any member of staff who receives a complaint under this policy from a member of the public, should contact their line manager.

Any member staff who witnesses any inappropriate behaviour against another member of staff or a third-party is encouraged to lodge their concern with their own line manager.