University of York

Code of Practice on Harassment

The University is currently reviewing this Code of Practice in the light of the new legislation, the Equality Act 2010, which comes into force on 1st October.

(Covering Sexual, Racial, Disability, and other forms of Harassment and Bullying)

1.0      Statement of Principles. 2

2.0      What is Harassment?. 4

3.0      Sexual and Gender Harassment 5

4.0      Racial Harassment 6

5.0      Harassment on the Grounds of Religion or Belief 6

6.0      Harassment on Grounds of Sexual Orientation. 7

7.0      Harassment on Grounds of Disability. 7

8.0      Other Forms of Harassment 8

9.0      Effects of Harassment 8

10.0    The Role of Senior Members of Staff, the Trades Unions, the Students' Union, the Graduate Students' Association and others. 9

11.0    Procedure for Staff (informal) 9

12.0    Procedure for Students (informal) 12

13.0    Formal Complaints (Staff and Students) 14

14.0    Complaints against Harassment Advisers. 17

15.0    Cases of Physical Assault 18

16.0    Rehabilitation. 18

Appendix 1 - Current list of Harassment Advisers

Appendix 2 - Sources of further advice and information. 22

Appendix 3 - Guidance for Investigators when dealing with formal complaints of harassment 25

Appendix 4 - Guidance for witnesses involved in the investigation of formal complaints of harassment 31

Appendix 5 - Making a Complaint after leaving the University. 33

Appendix 6 - Harassment Procedure (Formal) - Staff and Students. 34

1.0    Statement of Principles

1.1             The University aims to provide a working and learning environment which will enable staff and students to fulfil their personal potential. In order to achieve this, the University is committed to the creation of a stimulating and supportive environment. The University supports the free exploration, discussion and critique of knowledge and ideas as activities which underpin its core purposes of promoting teaching, learning and research. It expects staff and students to undertake such activities in ways which acknowledge and respect all forms of belief or non-belief. Staff and students also have an important role to play in creating an environment where harassment is unacceptable. Tackling harassment is a contribution to achieving equal opportunities.

1.2             The University accepts that such an environment cannot be created or sustained if, individually or collectively, staff and students are subject to harassment, intimidation, victimisation or bullying. Staff and students who feel persecuted, vulnerable and powerless will not be able to work or study successfully.

1.3             People in positions of trust and authority, and those with a pastoral role, have a particular obligation to ensure that they do not use their power to harass other staff or students of the University. Such people should be aware that genuine authority is based on respect and commitment and that demeaning and devaluing people is not an effective leadership style. This obligation is particularly important for members of academic staff in their relationship of trust and care of students and for staff managing others.

1.4             There is a range of options for resolving complaints involving allegations of harassment, from informal approaches (see sections 11.3 and 12.3) through semi-formal including mediation (see 11.4 and 12.4) to use of the formal complaints procedure (involving an investigation based on evidence gathered from all parties, see section 13). Wherever possible the route taken should be the complainant's choice, but the University also has a duty of care as employer and service provider and will take action to fulfil this where necessary. Complainants are encouraged to consider carefully the likely consequences of different routes. In many cases, an informal or semi-formal approach may be more effective in putting a stop to harassment and facilitating a continued working relationship (where this is possible and appropriate) than invoking formal procedures.

1.5             An employee who is found to have been harassed by a staff member or student of the University while at work, or as a result of being an employee, will have the support both of senior staff and the trade unions in putting a stop to the harassment. Acts of harassment which occur off campus may fall within this procedure.

1.6             Similarly a student who is found to have been harassed by a staff member or student of the University, while studying, or as a result of being a student, will have the support of both senior staff, the Students' Union and the Graduate Students' Association in putting a stop to the harassment. Acts of harassment which occur off campus may fall within this procedure.

1.7     Allegations of harassment will be dealt with sensitively. Confidentiality will be maintained between the complainant and the person he/she contacts informally about any allegation (e.g. a Harassment Adviser), and also during investigation of formal complaints, unless the person contacted (or investigator) judges that there is an unacceptable risk to the complainant, another person, or to the University itself. Harassment Advisers may find it necessary to discuss a particular case with another Harassment Adviser and, in those circumstances, the names of individuals involved will not be revealed.

1.8     The University regards harassment as a serious matter. Where serious allegations of harassment are proved by a formal investigation, disciplinary action (including dismissal or expulsion) may be taken against the harasser. In addition to any penalty imposed by the University, those responsible for harassing others may be subject to criminal and/or civil proceedings.

1.9     It is especially important that a person in authority who is, or has been, the subject of a complaint under these procedures does not use his/her legitimate authority to victimise a complainant. Such victimisation will be treated as further harassment. If a person in authority initiates grievance or disciplinary proceedings against an individual who has made a complaint against him/her under this Code, he/she will be required to show that the action being taken is not victimisation. The onus of proof will be on the person in authority to show (to those considering the disciplinary or grievance case) that the action taken is reasonable in the circumstances of the case. As long as that can be established, the disciplinary or grievance proceedings may proceed in the normal manner.

1.10         Where a formal complaint is found on investigation to be based on allegation(s) made maliciously and/or on knowingly false information, the complainant may be subject to the relevant disciplinary procedure.

1.11         Nothing in this Code will prevent any member of the University community from exercising their legal rights.

1.12         Scope of the Policy. This Code applies to all members of the University community, i.e.

• All employees irrespective of contract

• All students including visiting students

• All visitors including persons using the University's premises

• All contractors working at the University

• All persons working or acting on the University's behalf.

Staff and students on placement may also be covered in the scope of the harassment policy of the organisation in which they are working/studying.

The University will consider the most appropriate course of action in cases involving individuals who are not staff or students of the University.

1.13    Former members of the University, no longer registered or employed, may have recourse to criminal and/or civil proceedings where appropriate (see Appendix 5). If those leaving the University wish to initiate a complaint under the Code they must do so within a month of leaving.

1.14    Assistance will be given to staff or students who need language support or support for a disability under any part of this policy - as complainant, alleged harasser or witness.  Members of the University requiring such assistance should contact the Equal Opportunities Office or Disability Services as appropriate.

2.0    What is Harassment?

2.1             Harassment may be a single event, sporadic events or a continuing process. It can take many forms. Harassment involves a range of behaviour which is unacceptable to the recipient and which creates an intimidating, hostile, degrading or offensive environment for employment, study or social life. The defining feature is that the behaviour is unwanted by the recipient and unwarranted by the working or study/social relationship and also would be regarded as such by any similarly-situated reasonable person.

2.2             The range of unacceptable behaviour stretches from violence and bullying, to more subtle behaviour, such as ignoring an individual. Harassment of any kind is morally wrong.

2.3             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.

2.4             Harassment may involve an actual or perceived unequal power relationship. Individual harassment tends to reflect wider social inequalities. Those who are in authority are less likely to experience harassment than other members of society.

2.5             Harassment, victimisation and bullying may include:

1. Derogatory name-calling
2. Derisory remarks, verbal abuse, insults and threats
3. Ridicule or belittling of an individual
4. Repeated gibes in reference to personal traits or appearance
5. Offensive verbal or practical jokes
6. Exclusion from normal workplace conversation or social events
7. Unfair allocation of work and responsibilities
8. Offensive graffiti or insignia
9. Display or electronic transmission of offensive material
10. Physical attack
11. Incitement of others to commit any of the above

3.0    Sexual and Gender Harassment

3.1             Sexual harassment is any behaviour, deliberate or otherwise, that makes the recipient feel that he/she is being viewed as a sexual object. Sexual harassment involves unwanted attention of a sexual nature, which creates an intimidating, hostile, degrading or offensive environment for employment, study or social life.

3.2             Sexual harassment may occur between members of the same sex or of the      opposite sex. It may be directed at an individual or a group.

3.3             In addition to the behaviour referred to in 2.5 above, sexual harassment may include:

1. Suggestive comments, sexual innuendo and foul language or expletives of a sexual nature 
2. Unwelcome advances, attention, invitations or demands for sex
3. Unnecessary and unwanted physical contact*
4. Indecent assault and rape*

* It should be noted that behaviour under (d) represents a criminal act. Behaviour under (c) may also do so (see also section 15, Cases of Physical Assault).

3.4             Gender harassment is any behaviour, deliberate or otherwise, pertaining to gender, which is unwanted by the recipient and creates an intimidating, hostile, degrading or offensive environment for employment, study or social life. It may be directed at an individual or group.

3.5             In addition to the behaviour referred to in 2.5 above, gender harassment may include abusive comments/jokes about an individual's gender e.g. comments/jokes about capability, based on assumptions relating to gender.

3.6             Complaints regarding the behaviour of men and women, directed towards   members of the same or other sex, will be taken equally seriously.

4.0    Racial Harassment

4.1             Racial harassment is any behaviour, deliberate or otherwise, pertaining to race, colour, ethnic or national origin, which is unwanted by the recipient and creates an intimidating, hostile, degrading or offensive environment for employment, study or social life. It may be directed at an individual or group.[1]          

4.2             In addition to the behaviour referred to in 2.5 above, racial harassment may include abusive comments about racial origins and skin colour, racist insults, jokes and comments about capability, based on assumptions relating to race.

5.0    Harassment on the Grounds of Religion or Belief or non-belief

5.1             Harassment on the grounds of religion or belief is any behaviour deliberate or otherwise, pertaining to a person's religion or similarly held belief or non-belief which is unwanted by the recipient and creates an intimidating, hostile, degrading or offensive environment for employment, study or social life.

5.2      In addition to the behaviour referred to in 2.5 above, harassment on these grounds may include:

1. Refusal to work/study alongside a person because of their religion/belief or non-belief

2. Excluding a person from social events or meetings on the grounds of their religion/belief or non-belief

3. Prejudging an individual's capability on assumptions relating to their religion/belief or non-belief

4. Making offensive comments or jokes about a person's religion/belief or non-belief

6.0    Harassment on Grounds of Sexual Orientation

6.1             Harassment on grounds of sexual orientation is any behaviour, deliberate or otherwise, pertaining to sexual orientation which is unwanted by the recipient and creates an intimidating, hostile, degrading or offensive environment for employment, study or social life.

6.2             Harassment on grounds of sexual orientation may be experienced by, for example, bisexual men and women, lesbian women and homosexual men. It may be directed at an individual or a group.

6.3             In addition to the behaviour referred to in 2.5 above, harassment on grounds of sexual orientation may include:

1. Failure to accept that same-sex partners should be given the same recognition as heterosexual partners

2. Threats of, or actual unwanted disclosure of sexuality (sometimes referred to as 'outing' someone

3. Expressing or acting on stereotypical assumptions

7.0        Harassment on Grounds of Disability

7.1             Harassment on grounds of disability is any behaviour, deliberate or otherwise, pertaining to a person's disability, which is unwanted by the recipient and creates an intimidating, hostile, degrading or offensive environment for employment, study or social life. It may be directed at an individual or a group. Disabilities may be visible or hidden, and include physical disabilities, learning difficulties and mental illness.

7.2             In addition to the behaviour referred to in 2.5 above, harassment on grounds of disability may include:

1. Unwelcome discussion of the effects of a disability on an individual's personal life

2. Refusal to work/study alongside a person with a disability

3. Communicating with a person with a disability via a third party

4. Excluding a person with a disability from social events or meetings

5. Uninvited, patronising or unnecessary assistance with work/study

6. Prejudging an individual's capabilities without reference to him/her

7. Mischievous interference with personal aids or equipment

8.0        Other Forms of Harassment

8.1             In addition to the specific forms of harassment referred to in paragraphs 3.0, 4.0, 5.0, 6.0 and 7.0 above, harassment can take a variety of other forms, including the following:

1. Ageist harassment - see 2.5 above

2. Harassment of other minorities e.g. transsexual and trans-gendered individuals - see 2.5 above

9.0    Effects of Harassment

9.1             People may be afraid of reprisals if they report harassment, victimisation and bullying, or they may be concerned about their future employment/job prospects.

9.2             Reporting harassment, victimisation and bullying requires courage and determination. Those who have suffered harassment, victimisation and/or bullying may feel:

1. A lack of confidence
2. Unable to deal with the situation
3. Isolated and stressed
4. Traumatised and/or may unreasonably blame themselves
5. Depressed and/or physically ill

9.3             Harassment affects people's ability to undertake their studies, or the duties of their job. It can also affect their performance, health and the quality of their life. The feeling of being unable to deal with the situation may be made worse when the harasser is, or is perceived to be, in a position of power in relation to the person who feels harassed. People experiencing harassment may also fear that their own particular vulnerabilities, e.g. a history of mental illness, may undermine their case. All complaints should be taken equally seriously.

9.4             It is also recognised that, where allegations of harassment are made maliciously against someone, or they are made on knowingly false information, the alleged harasser may also be affected in the manner described above.

10.0  The Role of Senior Members of Staff, the Trades Unions, the Students' Union, the Graduate Students' Association and others

10.1         A supervisor, senior staff member, Head of Department [2], Provost, trade union representative, Students' Union officer, Graduate Students' Association officer, or someone else in a position of authority, who is approached informally by a complainant will:

1. Respond sensitively and reasonably to the complaint;

2. Respect the complainant's wish to have their complaint treated confidentially except where the person who is approached judges that there is an unacceptable risk to the complainant, another person, or to the institution itself (see 1.7 and Appendix 2: Useful contacts which provide confidential advice and help);

3. Discuss with the complainant the range of options available e.g. referring a complaint anonymously to the person against whom the complaint has been made (the alleged harasser) or arranging, if appropriate, a meeting between the complainant and the alleged harasser (see 11.3 and 11.4 for staff and 12.3 and 12.4 for students);

4. Advise, if appropriate, that the matter is so serious, or implies a pattern of harassment that cannot be dealt with informally and, accordingly, should be dealt with formally (see section 13, Formal Complaints). If this is the case, he/she will provide advice including information about the procedure for making a formal complaint. If the complainant is unable or unwilling to accept this advice the informal procedures detailed below (see section 11 for staff and 12 for students) will, so far as reasonably practicable, be followed;

5. Take such steps as are open to him/her to see that the university meets its obligation to ensure that a person who brings a reasonable complaint suffers no detriment;

6. Maintain appropriate written records.

11.0  Procedure for Staff (informal)

11.1         There is a range of measures which an individual can take to deal with harassment, from simply indicating that the behaviour is unacceptable, through to making a formal complaint, as set out in Section 13. Acts of harassment which occur off campus may fall within this procedure.

11.2         If you feel you might be the victim of harassment you should keep a written record of all relevant incidents, including dates and times, and the names of any witnesses.

11.3      Step One (Staff)

1. Act promptly: don't wait until working conditions reach an intolerable level or your personal well-being is put in jeopardy. In some case, the person against whom you have a complaint may be unaware that his/her behaviour is inappropriate or objectionable, or it may be that his/her words or actions have been misinterpreted. In such cases, the misunderstanding may be cleared up speedily.

   If you feel able:

   • talk to the person who you feel is harassing you (the alleged harasser)

   • inform him/her that his/her behaviour is unacceptable

   • ask him/her to stop the unacceptable behaviour

   Whether the behaviour was intentional or not, a swift and clear indication that it is unacceptable may well prove sufficient.

2. If you do not wish to confront the alleged harasser face to face by yourself, you have the following options:

   1. Asking a trade union representative or work colleague to:

      • accompany you when you speak to the alleged harasser

      • accompany you and speak to the alleged harasser on your behalf

      • go in your place and speak to the alleged harasser on your behalf preserving anonymity if you wish, where this is practicable

      It is suggested that the alleged harasser should be contacted in advance and given the opportunity to be accompanied at this informal meeting.

   2. Seeking advice from one of the Harassment Advisers listed in Appendix 1. The Harassment Adviser will explain the range of options available to you. For example an option might be to write to the alleged harasser, being specific about what behaviour you find unacceptable. You must keep a copy of any relevant correspondence and notes of conversations, in case follow-up action becomes necessary. Further action will not be taken without your express permission - see 1.7 regarding confidentiality.

3. Some Harassment Advisers have other roles in the University (e.g. As a trade union representative, senior manager, Provost etc). When you approach a Harassment Adviser for advice, you should both clarify the role that person is taking and whether he/she is responding to you as a Harassment Adviser.

11.4     Step Two (Staff)  

1. If your concern continues (or if the harassment is of a more serious nature than can be dealt with by methods in Step One), then you are advised to seek a confidential meeting with your immediate supervisor or, if you prefer, a more senior member of your Department, the University's Equal Opportunities Director or Adviser, Manager of Disability Services, or someone on the Harassment Advisers list (see Appendix 1), if you have not already done so. That person will suggest options as to how you might proceed and will seek to arrange, if appropriate, an informal meeting between you and the alleged harasser. The alleged harasser will be advised of the nature of the complaint and be given the opportunity to respond. Both you and the alleged harasser may wish to be accompanied at such a meeting by a work colleague and this wish will be respected. A trained mediator may also be used to facilitate this meeting - the Personnel and Equal Opportunities Offices have details of mediation services and guidance on their use in harassment cases.

2. The purpose of the informal meeting will be to discuss the nature of the complaint and to arrive at a solution without recourse to the appropriate formal procedures (see Section 13). The expectation is that the matter normally will be resolved by the alleged harasser giving an undertaking to cease any behaviour which causes distress.

11.5        Step Three (Staff)

If there has been no resolution to the situation, or for example, the harassment has continued:

Arrange to have a meeting with the Director of the Equal Opportunities Office or the Equal Opportunities Adviser. The purpose of this meeting is to ensure that all options for dealing with the harassment have been fully considered and appropriate action to seek resolution has been taken. The Office will clarify with the Complainant whether all aspects of the informal policy have been explored and will communicate this in the form of a report to the Chair in the case of a formal complaint being made.

An appropiate time period to allow possible resolution resulting from any actions agreed in the informal meetings outlined above should be allowed before proceeding further.

The informal procedure must be completed before invoking the formal procedure.

12.0  Procedure for Students (informal)

12.1         There are a range of measures which an individual can take to deal with harassment, from simply indicating that the behaviour is unacceptable, through to making a formal complaint, as set out in the following section. Acts of harassment which occur off campus may fall within this procedure.

12.2         If you feel you might be the victim of harassment you should keep a written record of all relevant incidents, including dates and times, and the names of any witnesses.

12.3Step One (Students)

1. Act promptly: don't wait until your situation reaches an intolerable level or your personal well-being is put in jeopardy. In some cases, the person against whom you have a complaint may be unaware that his/her behaviour is inappropriate or objectionable, or it may be that his/her words or actions have been misinterpreted. In such cases, the misunderstanding may be cleared up speedily.

   If you feel able:

   • talk to the person who you feel is harassing you (the alleged harasser)

   • inform him/her that his/her behaviour is unacceptable

   • ask him/her to stop the unacceptable behaviour.

   Whether the behaviour was intentional or not, a swift and clear indication that it is unacceptable may well prove sufficient.

2. If you do not wish to confront the alleged harasser face to face by yourself, you have the following options:

   1. Asking a representative from the Students' Union or the Graduate Students' Association, or a member of the University (staff or student) to:

      • accompany you when you speak to the alleged harasser or
      • accompany you and speak to the alleged harasser on your behalf or
      • go in your place and speak to the alleged harasser on your behalf, preserving anonymity if you wish, where this is practicable

      It is suggested that the alleged harasser should be contacted in advance and given the opportunity to be accompanied at this informal meeting.

   2. Talking about the problem with your friends, the Students' Union Education and Welfare Officer, the Students' Union Liberation Officers, the Graduate Students' Association Officers, your academic supervisor, your Provost, Nightline, the Student Counselling Service, a University Chaplain or any of the people whose names are on the Harassment Advisers list (see Appendix 1) - all of whom are willing to discuss incidents or problems however large or small they may seem.

3. Do not hesitate to contact someone even when an incident occurs only once, if you are concerned about it.They will explain the range of options available to you and may suggest a way of resolving the problem which you have not thought of. For example an option might be to write to the alleged harasser, being specific about what behaviour you find unacceptable. You must keep a copy of any relevant correspondence and notes of conversations, in case follow-up action becomes necessary. Further action will not be taken without your express permission - see 1.7 regarding confidentiality.

4. Some members of the Harassment Advisers have other roles in the University (e.g. as a senior manager, Provost etc). When you approach a Network member for advice, you and the Network member should clarify what role that person is taking and whether he/she is responding to you as a member of the Network.

12.4        Step Two (Students)

1. If your concern continues (or if the harassment is of a more serious nature than can be dealt with by methods in Step One), then you are advised to seek a confidential meeting with your academic supervisor or other member of staff, your Provost, the Students' Union Education and Welfare Officer, a Graduate Students' Association officer, the University's Equal Opportunities Director or Adviser, Manager of Disability Services or someone on the Harassment Advisers list ( see Appendix 1) if you have not already done so. That person will seek to arrange, if appropriate, an informal meeting between you and the alleged harasser. The alleged harasser will be advised of the nature of the complaint and be given the opportunity to respond. Both you and the alleged harasser may wish to be accompanied at such an informal meeting by an Officer of the Students' Union, Graduate Students' Association, as appropriate, or a member of the University (staff or student) and this wish to be accompanied will be respected. (The Students' Union Education and Welfare Officer routinely represents students throughout various appeals, complaints and problems, although it should be noted that he/she can not represent both parties in a case involving allegations of harassment.) A trained mediator may also be used to facilitate this meeting - the Personnel and Equal Opportunities Offices have details of mediation services and guidance on their use in harassment cases.

2. The purpose of the informal meeting will be to discuss the nature of the complaint and to arrive at a solution without recourse to the appropriate formal procedures.

3. The expectation is that the matter normally will be resolved by the alleged harasser giving an undertaking to cease any behaviour which causes distress.

12.5   Step Three (Students)

If there has been no resolution to the situation, or for example, the harassment has continued

Arrange to have a meeting with the Director of the Equal Opportunities Office or the Equal Opportunities Adviser. The purpose of this meeting is to ensure that all options for dealing with the harassment have been fully considered and appropriate action to seek resolution has been taken. The EO Office will clarify with the Complainant whether all aspects of the informal policy have been explored and will communicate this in the form of a report to the Chair in the case of a formal complaint being made.

An appropriate time period to allow possible resolution resulting from any actions agreed in the informal meetings outlined above should be allowed before proceeding further.

The informal procedure must be completed before invoking the formal procedure.

13.0  Formal Complaints (Staff and Students)

A summary of this procedure is located at Appendix 6. 

13.1         If informal attempts to resolve a complaint of harassment have not been successful, it may be appropriate for the matter to be pursued through the following formal complaints procedure. At any stage of the formal procedure you should seek advice from a Harassment Adviser if you are an employee/worker at the University, a trade union representative or, if you are a student, an officer of the Students' Union or Graduate Students' Association, as appropriate. If you wish you may be accompanied to relevant meetings (see 13.6 and 13.7).

13.2         If you wish to make a formal complaint you should write a letter giving details of your allegations of harassment and, as appropriate, include details of incidents, including dates and times and the names of witnesses if any. If you require assistance to write this letter, you may seek help from a Harassment Adviser, trade union representative or an officer of the Students' Union or the Graduate Students' Association. If you require language assistance or support for a disability in writing this letter you should contact the Equal Opportunities Office/Disability Services.

Your letter should be sent:

1. If you are an employee/worker at the University, to your Head of Department or, if you prefer, to the Director of Personnel Services, or one of the Personnel Managers;

2. If you are a student, to the Academic Registrar. If the complaint involves another student, the Academic Registrar will discuss the matter with the students concerned, before any further action is taken.

3. If you are a visitor, conference attendee or a contractor to the Director of the Equal Opportunities Office.

13.3 In response to your letter, the Chair of the Harassment Committee (CHC) will be notified of the complaint.  The CHC will request confirmation from the Equal Opportunities Office that the meeting (as detailed in Step 3 of the Informal Procedure) has been carried out and will request a report on the outcome of the meeting including options explored and action taken. The CHC will make an assessment as to whether there are sufficient grounds to proceed to a formal complaint after consideration of the report and consultation with the EO Office.

13.4         If in the Chair's assessment there are insufficient grounds for a formal complaint, the Complainant will be asked to reconsider informal options.

13.5         If the case is to proceed to a formal complaint, the CHC will appoint a Lead Investigator, chosen from a list of people trained to conduct such investigations. Support Investigator(s) may be appointed (from the same list) to assist and support if the Lead Investigator wishes. The Investigator(s) should not (a) have been involved in any informal consideration of the case, or (b) be from the same department as the complainant or the alleged harasser. S/he would be available to conduct the investigation over the ensuing 6-8 weeks. In cases involving a complaint against a member of staff a Personnel Manager will be nominated for the Lead Investigator to consult over procedure, outcome and recommendations. In the case of a complaint being made against a student, the Academic Registrar will fulfil this role.

13.6 The CHC will also identify and appoint the appropriate senior staff member (SSM) to receive the Lead Investigator(s) report and recommendations and ensure the recommendations are implemented.[4]

13.7  The Investigator(s) will meet and interview (separately) the complainant, the alleged harasser and any other people thought appropriate (the details of the procedure, including the requirement for written statements, notice to be given of interview date(s), and time scales, can be found in Appendices 3 and 4). The alleged harasser (AH) will be interviewed last in order to ensure all evidence has been gathered beforehand. A note taker will be present to record the meetings (see Appendix 3 – 1.9). If required, language assistance should be sought from the Equal Opportunities Office and disability support from Disability Services.

13.8          If the complainant or the AH is an employee/worker at the University s/he has the right to be accompanied at their interview by a single companion[3] who will be another employee/worker at the University, or a full-time officer employed by a trade union, or a lay trade union officer/workplace representative.

13.9         If the complainant or the alleged harasser is a student, s/he has the right to be accompanied at their interview by a staff member or student of the University, or an officer of the Students’ Union, or Graduate Students’ Association. (The Students’ Union Education and Welfare Officer routinely represents students throughout various appeals, complaints and problems, although it should be noted that s/he can not represent both parties in a case involving allegations of harassment.)

13.10     When the Lead Investigator has completed their investigation, they will write a report outlining their conclusion as to whether harassment has occurred, and the basis on which they have reached it, and, if harassment is deemed to have occurred, making recommendations to ensure it stops. The report will be sent first to the CHC and second to the SSM for comment on the recommendations. The role of the CHC is to draw on the experience of other cases to suggest options which may not have been considered and to aim for an appropriate balance between a flexible response to individual circumstances and consistency across cases. The role of the SSM at this stage is to draw on their knowledge of the particular context to consider the feasibility of recommendations, and to suggest alternatives if necessary before making a commitment to implementing them. It is not the role of either to question the conclusions of the Lead Investigator as to whether harassment has occurred.

13.11     Confidentiality will be maintained by the Investigator(s) throughout the process except as specified above (see 1.8 regarding unacceptable risk, 13.3 regarding consultation with Support Investigator(s) and with the appointed Personnel Manager/ Academic Registrar, and 13.8 regarding consultation over the report and notification of the outcome). All parties involved (complainant, AH and witnesses) are required also to give a commitment to confidentiality regarding the details of the case and the investigation.

13.12     In serious cases of harassment, the SSM may decide to recommend that the complaint should be subject to the appropriate disciplinary procedure:

1. If the alleged harasser is an employee/worker of the University, such a recommendation would be made in writing to the Director of Personnel Services or the Chair of Staff Committee, who will initiate the relevant disciplinary procedure (normally within 2 weeks).

2. If the alleged harasser is a student, such a recommendation would be made in writing to the Registrar and Secretary (or a nominee who previously has not been involved with the case), who will initiate the relevant disciplinary procedure (normally within 2 weeks).

If the complaint leads to a disciplinary procedure, the Lead Investigator’s report, notes of interviews conducted, and any written evidence presented will be made available to the disciplinary panel to avoid further investigation unless necessary. As part of the disciplinary procedure, the person subject to the disciplinary procedure will have access to this evidence.

13.13     A confidential record of the complaint (including both parties' statements, the Lead Investigator's report and details of action taken and follow-up monitoring) will be kept by

1. The Personnel Office (if the complainant or the alleged harasser is an employee/worker at the University). If the complainant or the alleged harasser are members of the Personnel Office, by the Registrar and Secretary;

2. The office of the Academic Registrar (if the complainant or the alleged harasser is a student).

13.14 The outcome of the investigation and/or disciplinary hearing might be to relocate or transfer one party (see Rehabilitation below). Where allegations of gross misconduct are considered founded, a disciplinary hearing may decide that dismissal/expulsion of the harasser is appropriate.

13.15 Unless a formal complaint can be shown to be based on knowingly false information, or was made maliciously, the complainant will suffer no loss, so far as is reasonably practicable.

14.0  Complaints against Harassment Advisers

14.1 If your complaint is against one of the Harassment Advisers either about harassment from them or about an unhelpful response to a concern raised with them about harassment from someone else, you are advised to bring the matter to the attention of the Chair of the Equality and Diversity Committee, the Director of Personnel Services or an appropriate senior staff member.

15.0  Cases of Physical Assault

15.1      If you have been attacked, seek help immediately. Any one of the suggested contacts named in this Code will give you support and explain the range of options available to you, including sources of other support.

15.2         For your own protection and for the protection of others it is important that the offender is stopped from causing further harm. Cases of physical assault will almost certainly mean you have suffered a crime and accordingly you are advised to report the matter to the police as soon as possible. Depending on the nature of the assault you may wish to be accompanied by a Harassment Adviser or a member of the Harassment Adviser's Support Network or someone of your choice when you contact the police.

15.3         Details of useful contacts which provide confidential advice are included in Appendix 2.

16.0  Rehabilitation

16.1         In some cases it may be sufficient for the harasser to promise not to re-offend, and to be warned as to his/her future conduct. In others it will not be appropriate for the harasser and the complainant to continue working/studying/living in close proximity, and it may be necessary to relocate or transfer one party. In such cases, it will, wherever possible, be the University's practice to relocate the harasser rather than the complainant. The complainant's preferences should be considered first however and the option of a transfer/relocation given to them, where this is practicable.

16.2         Decisions about relocation or transfer of staff or students will be taken in consultation with the Personnel Office and/or the office of the Academic Registrar (as appropriate).

16.3         Arrangements will be made (by the Personnel Office and/or the office of the Academic Registrar, as appropriate) to offer counselling from the appropriate services for all those involved in harassment cases who indicate that they would find it helpful.

Current list of Harassment Advisers

The Harassment Advisers list consists of members of the University who are willing to provide confidential assistance to anybody concerned about harassment. The Harassment Advisers Support Network exists to support and advise Harassment Advisers. Further information can be obtained from the Students' Union, Graduate Students Association, Human Resources, your Departmental Administrator, trade union representatives or the Equality and Diversity Office .

Members of the University experiencing harassment can contact any Harassment Adviser directly. It does not have to be a person within your area or department. Some Harassment Advisers have provided a profile about themselves intended to help those needing advice to decide who to contact. Please hover over names until a link appears.

Current List of Harassment Advisers section updated October 2011

Harassment Adviser Support Network

The Harassment Adviser Support network consists of a small group of members who have specialist interests or experience in relation to the issues of harassment and who aim to build up the 'practice wisdom' of the network as a whole over time. They are available to act as back-up or mentors for HARASSMENT ADVISERS, who may draw on their experience when needed.

Appendix 2 - Sources of further advice and information

Appendix 2 - Sources of further advice and information

 University of York

Equality and Diversity Office

Contact List updated September 2010

Appendix 3 - Guidance for Investigators when dealing with formal complaints of harassment

1.        General Points [you are also advised to refer to the full Code of Practice on Harassment and, in particular, Section 13: Formal Complaints (Staff and Students)]

1.1             Whilst there is no time limit between an alleged incident having taken place and the lodging of a complaint, it should be noted that the longer the lapse of time, the more difficult it may be to conduct a fair investigation.

1.2      Investigations of formal complaints of harassment should be fair to both parties and need to be handled with care and sensitivity. As stated in paragraph 13.3 of the Code of Practice on Harassment, the Lead Investigator and any Supporting Investigator(s) should not (a) have been involved in any informal consideration of the case, or (b) be from the same department as the complainant or the alleged harasser. The Investigator(s) will have recognised equal opportunities expertise and be trained in matters relating to harassment and the conduct of investigations.

1.3             Investigations should be carried out objectively, avoiding prejudice and assumptions. The previous performance or behaviour of the complainant and/or the alleged harasser should not influence objectivity. Confidentiality should be maintained as far as is possible. Cases should not be discussed with individuals who are not directly involved and all paperwork should be kept secure. A breach of confidentiality by any of the parties, or those undertaking the investigation, may itself be considered to be a disciplinary offence.

1.4             The Lead Investigator will be appointed to investigate the complaint as soon as reasonably practicable and no later than 14 days after the Chair of the Standing Committee on Harassment has been notified of the complaint. Support Investigator(s) may be appointed to assist and support the Lead Investigator in whatever ways the Investigators agree between them.

1.5             In the case of complaints against staff, a Personnel Manager will be nominated for consultation by the Lead Investigator. The Academic Registrar will provide consultation for cases involving complaints against students. The Personnel Manager or Academic Registrar will be available to advise on all matters relating to the investigation throughout the process.

1.6             The complainant and alleged harasser will be notified of the name of the Investigator(s) in advance of the interviews and will be given the opportunity to raise a written objection. Such objections will be accepted only in exceptional circumstances, but in such circumstances a substitute may be sought within an agreed timescale.

1.7             The investigation should, if possible, be completed no later than 8 weeks after the formal complaint has been received and both the complainant and the alleged harasser should be kept informed of progress. The Investigator informs the alleged harasser in writing of the complaint as soon as possible and, from that point, contact between the complainant and the alleged harasser should, wherever possible, be minimised.

1.8             At any stage, in certain circumstances, the University may find it necessary to transfer or suspend (on full pay) one or both parties to the complaint, so that an objective investigation can be completed.

1.9             The Investigator(s) will usually carry out investigatory interviews in the following order: the complainant, any witnesses and then the alleged harasser. A note taker will be available to make a record of the interviews to be agreed within 3 days of receipt. See Appendix 6 for summary of procedure/timetable.

2.                 Details of procedure

2.1      Where the Lead Investigator judges it appropriate he/she will meet with the complainant to discuss the procedure and to ensure the complainant's decision is fully informed before proceeding further.

2.2      The alleged harasser should be given a written summary by the Investigator (not passing on the original letter of complaint). He/she should be informed of the procedure to be followed and appropriate sources of support and be asked to identify any potential witnesses within 7 days. The alleged harasser should not discuss the matter with, or disclose the documentation to any colleagues except his/her companion (See 13.6 and 13.7).

2.3      The complainant should be informed of the procedure to be followed and appropriate sources of support, and be asked to identify any potential witnesses within 7 days.

2.4      When witnesses have been identified, a day or days for the interviews should be agreed between the Lead Investigator, the complainant and the alleged harasser which allows 4 weeks notice to be given to witnesses. If all parties are available, an earlier date may be set.

2.5      2 weeks before the interviews the complainant should present to the Lead Investigator a full written statement detailing all events contributing to the complaint

2.6      The Lead Investigator will pass on full details of the allegations to the alleged harasser for reply within 1 week. The alleged harasser's reply should then be reported to the complainant. Further witnesses may be identified at this stage.

3.      Interview with the complainant

3.1             It is advisable for the complainant to be accompanied at the interview with the Investigator(s).  A Harassment Adviser or a companion should accompany the complainant if s/he so wishes (see section 13.6 and 13.7). The interview should be conducted sympathetically and objectively by the Investigator(s); facts should be clarified and evidence/witnesses identified. The procedure and possible outcomes of the investigation should also be clarified by the Investigator(s).

3.2             A complainant may feel embarrassed and distressed and the Investigator(s) should make every effort to put him/her at ease and should not blame him/her.

3.3      Open questions will encourage dialogue, for example:

• Can you tell us what happened?

• How did you feel about what happened?

• Are there any other similar things that have happened?

• How have you felt since this happened?

• Has this had any effect on your work/your personal life?

Questions which seem to blame the complainant should be avoided, for example:

• What were you wearing at the time?

• What were you doing there at that time of night?

• Do you think s/he was only joking?

• Do you think you might be overreacting?

• Do you think you might be over-sensitive about your disability/ethnicity/sexuality?

• Do you think you may have been giving out the wrong signals?

4.        Interviews with witnesses

4.1      It is legitimate for the Investigator(s) to interview any witnesses to the alleged harassment, but the Lead Investigator should determine who to interview and ensure, where practicable, that a reasonable balance is maintained between the parties in terms of the number of witnesses interviewed. If there are a large number of witnesses the Investigator may make the decision not to interview all. The Investigator(s) should confirm to witnesses that they must maintain confidentiality (see Appendix 3, 1.3). The Investigator(s) should confine him/herself to seeking factual information from witnesses in relation to only the formal complaint that has been made, for example:

• Can you tell us what you witnessed?

• When/where did you witness this happen?

• Did you witness similar things on other occasions? If so, what/when/where?

4.2      Confidential matters such as the personal and/or medical circumstances of the complainant or the alleged harasser should not be divulged to witnesses in the course of an investigation.

4.3      Investigators should reassure witnesses that any possible victimisation as a result of their involvement in the investigation will be treated as harassment. It may be helpful to get support for witnesses from individuals such as members of the Harassment Advisers, who may accompany them to meetings.

4.4      The alleged harasser may wish the Investigator(s) to interview witnesses on his/her side. Witnesses should be restricted to supplying factual information rather than acting as character witnesses (see Appendix 3, 4.1).

4.5      It should be clarified to witnesses that they may be needed as witnesses at possible disciplinary hearings and that they will be given support (for example, by the Harassment Advisers) if this is the case. A signed record of their interview will be made available to the disciplinary panel and to the person at the centre of the allegations at that stage.

4.6      Witnesses may offer a written statement if they are unable to attend or would prefer not to attend an interview.

5.        Interview with the alleged harasser

5.1             It is advisable for the alleged harasser to be accompanied at the interview with the Investigator(s). The alleged harasser may be accompanied to any meeting by a companion (see sections 13.6 and 13.7).

5.2             The Investigator(s) should assure the alleged harasser that s/he is not being prejudged and that the University will deal firmly with any malicious, vexatious or spurious complaints.

5.3             The Investigator(s) should confine his/herself to seeking factual information from the alleged harasser in relation to only the formal complaint that has been made, for example:

• Can you tell us what happened?

• When/where did it happen?

• Can you tell us about anyone who might have witnessed what happened?

• Have there been other occasions when similar things have happened? If so,
  what/when/where?

6.        Wider Recommendations

6.1      If appropriate, the Lead Investigator may make recommendations on institutional action as well as on the particular case. The Lead Investigator may wish to seek evidence of the culture and values that the behaviour reflected, so that s/he can recommend action(s) to improve the institutional culture or procedures.

7.        The Lead Investigator's final report & follow up action

7.1             Once the interview records have been agreed, the Lead Investigator's final report should be produced within 7 days. It should be confidential and written to a specified format. It should clarify the nature of the complaint, list the evidence and provide a summary of the investigation procedure, findings, conclusion and recommendations. Separate reports should be made in cases where there is more than one alleged harasser. The Lead Investigator may also identify institutional issues raised during the investigation, with recommendations for action to address these issues.

7.2             The report of the Lead Investigator (together with copies of both parties' statements) should initially be sent to the Chair of the Standing Committee on Harassment for consultation and to ensure an appropriate balance between consistency and a flexible response to individual circumstances.

7.3      The Report should then be sent to the Senior Staff Member for consultation on the recommendations and to ensure commitment to implementing them. The Senior Staff Member may decide to recommend that the complaint should be subject to the appropriate disciplinary procedure; (see paragraph 13.10 of the Code for details as to whom such a recommendation would be made).

7.4             After consideration by the Chair of the Standing Committee on Harassment and the Senior Staff Member, the agreed report, or edited as appropriate, will be sent to the complainant and alleged harasser.

7.5             If the Lead Investigator decides that the complaint is not well-founded, the Chair of the Standing Committee on Harassment and/or the Senior Staff Member may ask the Lead Investigator to investigate whether the complainant's allegation(s) was (were) made maliciously and/or made on knowingly false information and, if that is found to be the case, whether further action is recommended to be taken in the circumstances.

7.6             The Equal Opportunities Office will receive a full copy of the report.

Appendix 4 - Guidance for witnesses involved in the investigation of formal complaints of harassment

1.        General Points [you are also advised to refer to the full Code of Practice on Harassment and, in particular, Section 13: Formal Complaints (Staff and Students)].

Investigations of formal complaints of harassment should be fair to both parties and need to be handled with care and sensitivity. As stated in paragraph 13.3 of this Code, the Lead Investigator and any Support Investigator(s) should not (a) have been involved in any informal consideration of the case, or (b) be from the same department as the complainant or the alleged harasser. They will have recognised equal opportunities expertise, be trained in matters relating to harassment and the conduct of investigations.

1.1             Investigations should be carried out objectively, avoiding prejudice and assumptions. The previous performance or behaviour of the complainant and/or the alleged harasser should not influence objectivity. Confidentiality should be maintained as far as is possible. Cases should not be discussed with individuals who are not directly involved and all paperwork should be kept secure. A breach of confidentiality by any of the parties, or those undertaking the investigation, may itself be considered to be a disciplinary offence.

1.2             The investigation by the Investigator(s) should be completed as soon as possible (within 8 weeks) after the formal complaint has been received and both the complainant and the alleged harasser should be kept informed of progress by the Lead Investigator.

1.3             The Investigator(s) should carry out investigatory interviews in the following order: the complainant, any witnesses and then the alleged harasser.

2.        Interviews with witnesses

2.1             As part of its investigation of the formal complaint of harassment, the Investigator(s) will want to interview any witnesses to the alleged harassment.

2.2             Witnesses will not be victimised or suffer detriment as a result of contributing to an investigation of a formal complaint of harassment. Witnesses may find it helpful to get support from individuals such as members of the Harassment Advisers, who may accompany them to meetings with the Investigator(s) (see Appendix 1 for a list of members of the Network).

2.3             The Investigator(s) should confine him/herself to seeking factual information from witnesses in relation to only the formal complaint that has been made, for example:

• Can you tell us what you witnessed?
• When/where did you witness this happen?
• Did you witness similar things on other occasions? If so, what/when/where?  

2.4             The alleged harasser may wish the Investigator(s) to interview witnesses. In these circumstances, the Investigator(s) will ask such witnesses to supply factual information rather than acting as character witnesses.

2.5             Witnesses must maintain confidentiality about the details of the case which is being investigated (see Appendix 3, 1.3). In the course of an investigation, witnesses or anyone else involved in the case should not divulge any information relating to confidential matters such as the personal and/or medical circumstances of the complainant or the alleged harasser. They should provide factual information to the Investigator(s) in relation to the formal complaint that has been made, in response to the sorts of questions indicated in Appendix 4, 2.3 above.

2.6             In serious cases of harassment, a decision may be taken to recommend that the complaint should be subject to the appropriate disciplinary procedure. The Lead Investigator will inform witnesses that they may be needed as witnesses at possible disciplinary hearings and, if this is the case, that they will be given support (for example, by the Harassment Advisers). A signed record of their interview will be made available to the disciplinary panel and to the person at the centre of the allegations at that stage.

Appendix 5 - Making a Complaint after leaving the University

1.1      The policy covers students and staff who are current members of the University (including individuals who were students/employees at the time they raise their complaint, albeit that their complaints were not concluded by the time they left the University).  If anyone who is leaving the University wishes to initiate a complaint under the Code they must do so within a month of leaving. In circumstances where a former student or staff member waits until this month has passed to raise a complaint they are not able to use the University's internal procedures. 

1.2      Once this month has expired, former members of the University may have a claim at law, for example, breach of contract, breach of common law duty of care or breach of statutory duty.  As a general rule, individuals have 6 years from the incident about which they are complaining to bring a claim for breach of contract or breach of common law duty of care where no personal injury is involved; where a claim is for personal injury the time limit is three years.

Appendix 6 - Harassment Procedure (Formal) - Staff and Students

References:
Guidelines on harassment for universities and colleges in higher education:  The Commission on University Career Opportunity (CUCO) April 1999.

University of York Equal Opportunities Employment Policy
University of York Equality & Diversity Policy for Students
University of York Equality and Diversity Committee
Human Resources Welcome Page
University of York Welcome Page

Updated in 2007 by

Equal Opportunities Adviser, Lois Gregory

Chair of Standing Committee on Harassment, Prof. Maria Goddard