1. Introduction
All staff and those who work for or on behalf of the University should be aware of “How We Work”: a document which sets out our expectations on ways of working for all staff and governors at the University of Derby (UoD) including our key principles around dignity at work and respect for equality and diversity.
2. Scope
2.1 This policy applies to all staff and governors including those who are not directly employed by us but carry out work or provide services for us or on our behalf e.g., contractors, volunteers, agency workers, visiting professors, emeritus professors etc.
2.2 This policy applies in the following contexts:
- Anywhere on our premises;
- Anywhere off our premises, during work-related business or social events or business trips;
- Online on email, chat, intranet, and internet systems
2.3 As noted in “How We Work”, there are occasions where actions that take place outside of work, can have an impact on colleagues, students, or the reputation of UoD where there is a close connection between the outside of work action and your employment. Because of this, in some circumstances, this policy might also apply to interactions between or concerning work colleagues outside of work via text, phone and social media platforms, whether or not while using a university-owned device. This could include not only direct interactions between work colleagues, but also situations where actions or communications are targeted at or about a work colleague, even if not directly addressed to them.
2.4 If you are an employee, this policy does not form part of your contract of employment, and we may update it at any time.
2.5 The University is committed to fostering an environment where freedom of speech and academic freedom are respected and upheld, in accordance with the Higher Education (Freedom of Speech) Act 2023 and Article 10 of the ECHR. While the University does not tolerate harassment, bullying, or unlawful discrimination in any form, it also recognises that the lawful expression of views, including those that may be controversial or unpopular, is protected under these legal frameworks.
2.6 In assessing allegations of harassment or bullying, the institution will carefully consider whether the conduct in question constitutes unlawful behaviour or falls within the scope of protected speech. The policy does not seek to inhibit lawful academic debate or the respectful exchange of ideas, even where such discussions may cause offence. The institution will ensure that any action taken under this policy strikes a fair balance between protecting individuals from harm and safeguarding the right to freedom of expression within the law.
2.7 The University reserves the right to redirect formal reports into alternative procedures, as it deems appropriate.
3. Definitions
Harassment
3.1 There is no universal definition of harassment, and the word can have different meanings in different contexts. For the purposes of this policy, we primarily apply the definition of harassment set out in the Equality Act 2010 (EA2010) (1). Under this definition, harassment is where a person is subject to unwanted conduct that — as an intended or unintended consequence — violates their dignity, in connection with a protected characteristic i.e., age, disability, gender reassignment, race, religion or belief, sex and sexual orientation. Additionally, this policy recognises that in exceptional cases, harassment may fall outside the EA2010 definition but may be covered by the Protection from Harassment Act 1997 (PHA). The PHA defines harassment in terms of a 'course of conduct', which a person knows or ought to know amounts to harassment of the other.
(1) Equality Act 2010, section 26 – Harassment
3.2 In accordance with the EA2010, harassment is also defined as behaviour that creates a hostile, humiliating, degrading or offensive environment in relation to a protected characteristic. The context and circumstances are always relevant, but some examples might include unwanted name-calling, lewd/sexually suggestive comments, deliberately excluding colleagues, making insensitive jokes, and displaying pornographic material.
3.3 Physical, verbal, and non-verbal conduct can all amount to harassment. So can things you say or do via email or online, such as on social media.
3.4 The EA2010 also recognises sexual harassment as something separate to sex (i.e. female or male) harassment. Sexual harassment occurs when someone is subjected to unwanted conduct of a sexual nature or when a person is treated less favourably because they have accepted or rejected unwanted conduct of a sexual nature.
3.5 The impact on the victim is very important. A person’s behaviour can amount to bullying or harassment even if that person had no idea, it would be perceived that way.
3.6 Harassment could be carried out by a colleague or by a third party e.g., a visitor, contractor, or a student. You are encouraged to report any third-party harassment you are a victim of, or witness, in accordance with this Policy.
Further examples can be found in our accompanying guidance.
Bullying
3.7 There is no universal definition of workplace bullying but as with harassment, bullying is behaviour that can leave the victim feeling threatened, intimidated, or humiliated. Unlike harassment, it does not need to be connected to a protected characteristic. Bullying can be experienced by anyone regardless of their seniority.
3.8 As with harassment, physical, verbal, and non-verbal conduct can all amount to bullying. It can take various forms, from behaviour involving violence and intimidation, abuse, or misuse of power, through to actions such as deliberate exclusion, or deliberately ignoring someone. It can also take place online (cyberbullying).
3.9 Constructive and fair feedback about an individual’s behaviour or performance from their manager or from a colleague is not bullying. It is part of normal employment and management routine and should not be interpreted as anything different.
4. Policy Statement
4.1 We want to provide a working and learning environment that is free from unlawful discrimination, harassment, bullying or intimidation. We will not tolerate bullying or harassment by anyone working for us or towards anyone working for us. We expect everyone to treat people with respect and dignity in all communications, whether face-to-face, over the phone or in writing, including on MS Teams. Any allegation of harassment or bullying will be taken seriously.
4.2 We train our managers to recognise behaviours which may amount to bullying and harassment and to intervene appropriately.
4.3 We will train our student body to raise awareness of preventing harassment between students and staff.
4.4 While we take all concerns seriously, we also encourage informal approaches to resolving issues whenever feasible, such as mediation.
4.5 As an academic institution, it is important (as well as a legal requirement) that we promote and preserve freedom of speech and academic freedom within the law. We strongly believe in the courteous exchange and debate of ideas, which may mean hearing or becoming aware of the views of individuals that you might find offensive or contrary to your own views, beliefs, or values. For more information, see our Freedom of Speech Code of Practice.
5. How we deal with harassment and bullying
5.1 Informal resolution
5.1.1 We realise that bullying and harassment are sensitive topics. We want to make sure that you have options available so that you feel able to come forward and report any issue you are having in confidence. For this reason, we have set up an anonymous reporting option for cases of bullying and harassment. These systems allow you to report concerns anonymously should you feel that you need to. They are accessible here.
5.1.2 Many issues can be resolved informally. It is sometimes a good idea to speak with the person you believe is engaging in harassment or bullying (the perpetrator) and explain the effect their behaviour is having. Sometimes people are not aware of the impact of their behaviour or think of it as harmless 'banter'. Raising it with the person directly gives them an opportunity to understand the effect it is having, provide their perspective where appropriate, and amend the way they interact with you or others in future.
5.1.3 You do not need to be the victim or the target of the behaviour to raise it with the perpetrator if you observe or are made aware of behaviour that concerns you. We would expect leaders in particular to be proactive in challenging behaviour that they become aware of where it could lead to others suffering harassment or bullying if it is not tackled. (See also How We Work. This might also avoid matters escalating or reaching formal grievance or disciplinary stages; it is therefore good management practice.
5.1.4 If you notice behaviour of others which may be in breach of this Policy, then you should first consider whether it is appropriate to challenge the behaviour yourself. Only do so if you feel comfortable. If you don’t feel comfortable, or a direct approach has not worked, then please report the matter to your manager or your HR Business Partner for further guidance. You also have the anonymous reporting channels available to you (see above) in sensitive cases.
5.1.5 Sometimes it is difficult to speak with the perpetrator directly. If that is the case, you could talk to your manager informally to seek advice. If the issue is with your manager, or there is another reason you would prefer not to discuss it with them, you could instead speak to their line manager or your HR Business Partner.
5.1.6 Mediation is also available where both parties are willing.
5.2 Formal complaints
5.2.1 It is not always possible or appropriate to deal with issues of this nature informally. If you find yourself in that situation, you should follow our Grievance Procedure. We will treat your complaint in confidence, as far as is possible, and if we find that you have been the victim of harassment or bullying, we will take steps to stop it continuing or recurring.
5.2.2 We may, if we think it necessary, separate you from the person you are complaining about while we investigate. This is not a prejudgment of your complaint. It is simply a way to stop things from getting worse during any investigation.
5.2.3 If we decide that your complaint is not upheld, we will always tell you why in accordance with our Grievance Procedure. Regardless of the formal outcome, if your complaint relates to a colleague, we will consider ways of improving your relationship with your colleague(s) and may, for example, suggest mediation or offer training.
5.2.4 We have a duty to protect all employees, workers, and job applicants. That means that if you change your mind after having raised a complaint of harassment or bullying (even where you complained informally or in confidence), we may choose to investigate anyway. We will always talk to you about that first and take your views into account.
5.2.5 If you complain about harassment or bullying in good faith, you should not be victimised as a result i.e., you should not be badly treated because you have made a genuine complaint or supported someone else to do so. If you believe that has happened to you, you must tell your manager as soon as possible. If your manager is the person victimising you, you should tell their manager, or alternatively, you can seek support from an appropriate member of HR, e.g., your HR Business Partner. Individuals who are victimised also have recourse under the EA2010 (2).
(2) Equality Act 2010, section 27 – Victimisation
5.3 If you are accused of harassment or bullying
5.3.1 An individual may approach you informally to talk to you about how they perceive your behaviour towards them or others and how that makes them feel. If that happens, then you should listen to what they are saying and be prepared to be challenged over your behaviour, even if you don’t agree with what they are saying. We encourage informal resolution of potential conflict situations between individuals where possible and appropriate, and engaging with the individual’s concerns in a genuine attempt to resolve the situation may help avoid an escalation or a formal grievance. Mediation is also available, and encouraged, where both parties are willing.
5.3.2 If someone raises a formal grievance about your behaviour in good faith, a short initial fact-finding exercise will be undertaken to establish further context. If required, the University will follow its Grievance Procedure in investigating and hearing the complaint. In some cases, where the University believes misconduct may have occurred, the Disciplinary Procedure may be followed. If an allegation of harassment/bullying is upheld, this may lead to disciplinary action under the Disciplinary Procedure up to and including dismissal.
5.3.3 There may be additional implications or sanctions if you are subject to disciplinary proceedings arising out of a complaint of harassment or bullying. There may be implications in respect of any professional body registration if your conduct breaches any professional or regulatory code relevant to your occupation. For some staff, it may affect whether you are a ‘fit and proper person’ (3) in respect of the Office for Students’ (OfS) regulatory framework. For research-active staff, there may be implications from any research body from which you receive grant funding to undertake research. This may include having funding withdrawn by the funding organisation or being barred from acting as a PhD supervisor for research students funded by that funding organisation. See also 4.
(3) Applies to members of the Governing Council, those with senior management responsibilities, and individuals exercising control or significant influence over the institution.
5.3.4 While rare, there are situations where your behaviour might give rise to the possibility of a civil claim against you or even criminal proceedings. Any such proceedings would be unrelated to any internal procedure, and you may be personally liable to the complainant if a successful claim is brought against you.
5.3.5 Whether the matter proceeds via an informal or a formal route, you should not retaliate against any individual who has acted in good faith in raising a concern about your behaviour towards them or others, as this may amount to victimisation: a form of unlawful harassment. This applies even if their complaint is not upheld.
6. Sanctions
6.1 You may be subject to disciplinary action (up to and including dismissal) or other sanction as outlined in this policy and in How We Work, if it is found, following investigation, that you have taken part in any of the following:
- Harassing or bullying anyone else (see definitions above);
- Threatening or retaliating against anyone who raises a complaint of harassment or bullying;
- Making allegations about others maliciously or in bad faith; and/or
- Giving intentionally false or misleading information during any investigation.
See also 5.3 and 7 below.
7. Protecting confidentiality
7.1 To protect the interests of the person complained about, the person who has raised the complaint and any others who may be involved as witnesses or otherwise, confidentiality will be maintained during any investigation process as far as is possible and in any subsequent formal hearings or appeals.
7.2 If you fail to maintain confidentiality when you are involved in some way in a bullying and harassment complaint, then you may face action under our Disciplinary Procedure.
7.3 Maintaining confidentiality does not limit or prevent individuals from accessing support services, including access to external support resources or advice as needed, without fear of breaching confidentiality.
7.4 Our ability to share the outcome or detail of an investigation will be considered on a case-by-case basis. We recognise that will leave you feeling dissatisfied and would only do so if there was a good reason not to keep you informed.
7.5 Where applicable, we may need to notify an external organisation about any investigation into allegations of harassment or bullying made against you, e.g., if there is a duty to notify a professional or regulatory body (including the OfS) in which case that external body may carry out their own investigations independent of any internal proceedings. As an institution carrying out externally grant-funded research, it may be necessary for the University to confidentially notify an external organisation if we instigate an investigation into allegations of harassment or bullying against a researcher whose research is funded by that external organisation. We may also need to inform the organisation of any sanctions taken against a researcher applying for or in receipt of funding. We will only disclose such information on a confidential and need-to-know basis in line with the legitimate requirements of the external body, any applicable contractual restrictions, and data protection legislation.
7.6 We may place information and documents about a complaint raised by or about you on your personal file. These will be processed in accordance with our Data Protection Policy.
For more information about confidentiality and information sharing in such cases, please see our Comprehensive Source of Information.
8. Related Documentation and Useful Links
See also:
Equality Analysis
This policy and associated guidance reflect the provisions of the Equality Act 2010 and the Equality and Human Rights Commission Employment Statutory Code of Practice. It will be kept under review.