Procedure B - Complaints of Harassment Against People Other Than Students (College employees, workers, Fellows, associate members and third parties)

1.1 The Procedure below applies in all cases where the person accused of harassment is someone other than a student (College employees, workers, Fellows, associate members and third parties).

1.2 The Bursar will usually act as the lead for complaints against staff or anyone else other than students. The Bursar will have oversight of all cases and will take the lead as appropriate in liaising with other parts of the College or collegiate University according to the specific circumstances. The Bursar may choose to delegate management of a complaint to a Case Lead who may be the HR Director or HR Manager or, for academic cases, the Senior Tutor, or another suitable person as appropriate.

1.3 Complaints by students against University staff or academics who are College members and are also University employees if the harassment occurred in a University setting will be dealt with jointly under the University and the College’s procedures.

1.4 Where the complainant is a student, support during this process will be provided by the Dean, Sub-Dean, Senior Tutor, Chaplain, or Equality and Diversity Fellow, or other suitable person identified by the Welfare team.

1.5 Where the complainant is a member of staff or an academic associate, support during the process will be provided by or arranged by the HR Director or HR Manager. The College will also facilitate access to independent support and advice from within the University, such as the OUSU Advice Centre and University Counselling Service.

1.6 In serious cases, it is likely to be appropriate to proceed directly to stages 2 and 3 of this Procedure.

2.1 In some cases, the individual who feels that they are being harassed may feel able to approach the person in question to explain what conduct they find upsetting, offensive or unacceptable, and to ask that person to refrain from that behaviour. At no time should anyone feel obliged to approach the person who is the subject of the complaint, and the College does not wish to suggest that a anyone who feels that they have been harassed is responsible for rectifying the situation. It may often be appropriate to proceed directly to stages 2 and 3 of the procedure.

2.2 If an individual who is not a student wishes to seek informal resolution, they should approach their manager, the HR team, Bursar or other suitable person to raise the problem and to ask for help in achieving a resolution.

2.3 Students can seek support from the Dean, Sub Dean, Senior Tutor or Chaplain or other suitable person such as the Bursar, Tutor for Graduates.

3.1 There are many support systems available for all parties, details of which are provided in Annexe B of the Harassment (including sexual harassment, bullying & victimisation) Policy.

3.2 Support for students who have made a complaint are outlined in Procedure A, Points 3.2 – 3.5.

3.3 Support available for all other parties making a complaint will be provided by the Bursar or HR Team.

Mediation

3.4 In some situations, it may be appropriate to ask the parties to consider entering into a mediation process. Although mediation may be attempted at any time before or after a formal investigation, it may be particularly helpful if it is considered at an early stage before the formal procedure is invoked.

3.5 In the case of a complaint involving two members of college but when neither are students, an experienced mediator acceptable to both parties will normally be nominated by the Bursar or Case Lead, who may seek advice from the University’s Director of Human Resources if appropriate, for example, in the case of a joint appointment. The Bursar or Case Lead and the mediator will meet with the parties separately and as soon as practicable to begin to seek a resolution. The normal expectation is that resolution would be achieved within 20 working days of the initial meetings with the parties (although this time limit may be extended by agreement). Any agreed outcome will normally be recorded in writing.

3.6 All those involved in the mediation process must maintain appropriate confidentiality.

4.1 If action taken at stages 1 or 2 does not resolve the situation, or would not be appropriate given the nature of the complaint, formal complaints can be raised to:

• a. The Bursar for complaints by College employees, workers, Fellows, and associate members.
• b. The Dean for complaints by students.

The complainant should set out as clearly and succinctly as possible:

• the nature of the behaviour that they are concerned about
• dates and details of any witnesses to any incidents referred to in the complaint, together with any documentary evidence
• what attempts, if any, have been made to resolve the difficulties
• the effect of this behaviour on them
• the resolution they are seeking.

4.2 In cases where it is not immediately clear to whom a complaint should be addressed, or if the complainant feels it is not appropriate to approach the Bursar, or wishes to make a complaint against the Bursar, advice may be sought from the HR team, Dean or Senior Tutor. Students and staff may also contact the Tutor for Graduates, Equality and Diversity Fellow or Chaplain.

4.3 Complainants are encouraged to bring forward a complaint as soon as possible, as a prompt investigation and early discussion of possible outcomes is usually beneficial. In some circumstances it may not be possible to bring a complaint forward quickly (for example in a controlling or abusive relationship or due to police investigation) and the College will then investigate the case as best it can. If there is a delay, the College still encourages complainants to bring forward their complaint, but if a case is brought more than six months after the events in question the College reserves the right to decide not to investigate the case if the passage of time means it is unlikely to be possible to carry out a fair and thorough investigation.

5.1 On receipt of a complaint, the Bursar will (in consultation with the Dean in the event of a student complainant), take such steps as they think appropriate to understand the nature of the complaint and the outcome sought, which may include appointing a Case Lead to act on their behalf to take the following action:

• a. inform the person against whom a complaint has been made of the allegations against them;
• b. meet separately with the complainant first and the alleged harasser (at which meetings they should be provided with the right to be accompanied);
• c. speak to other relevant people on a confidential basis; and/or
• d. obtain further relevant information.

5.2 The Bursar or Case Lead will then decide how to proceed and will inform the parties concerned. They may make such enquiries as are necessary to determine the complaint. Alternatively, they may appoint an Investigator to carry out an investigation, where circumstances preclude them from concluding the matter in a timely fashion.

5.3 The Bursar, Dean or Case Lead may also determine that immediate interim action is necessary pending the outcome of a formal process.

6.1 The purpose of an investigation is to establish the relevant factual evidence in connection with the allegation(s) made by the complainant. As a general rule, the Investigator should not have had previous involvement with the issues in the case. The investigation should be concluded as soon as is reasonably practicable. The Investigator will prepare a report and may, make recommendations on possible courses of action.

6.2 The Bursar or Case Lead may inform or arrange for another Senior Officer or manager to inform the complainant and the person who is the subject of the complaint in writing

• (i) of the conclusions they have reached having reviewed the evidence, including any investigation report;
• (ii) of the action the College intends to take; and
• (iii) of the reasons for any such action.

6.3 The Bursar or Case Lead will also inform any other parties who have been asked to participate in an investigation that the investigation has been concluded.

6.4 Investigation procedure

The procedure for an investigation will normally be as follows, but may be adapted by the Investigator to meet the needs of the case:

• a. The Investigator will meet the complainant to confirm the details of the complaint.
• b. The complaint as clarified will be forwarded to the person complained against together with any other relevant material.
• c. The Investigator will interview, where reasonably practicable, individuals identified by the complainant as having relevant evidence.
• d. The Investigator will meet the person complained against to hear their response to the complaint and any further evidence that has come to light.
• e. The Investigator will interview, where reasonably practicable, individuals identified by the person complained against as having relevant evidence.
• f. Having considered all the evidence, including any relevant documents, the Investigator will prepare a written report of their findings, in relation to which they may check relevant sections in draft with the parties before finalising.
• g. The report will be forwarded to the Bursar or Case Lead usually with a copy to other relevant college officer(s), and, if the complainant is a student, normally to the Dean. In cases involving students, consent should be sought from the complainant to inform their department if appropriate. The Dean will ensure that appropriate support is available to students following an investigation.

6.5 Every effort will be made to achieve a prompt resolution to the complaint as speedily as possible the aim usually being to conclude the complaint within a period of one month. Both the complainant and the person who is the subject of the complaint will be expected to co-operate with the College in achieving that result. If it is not possible to resolve the issue within this timeframe, for example for reasons of complexity or the absence of relevant parties from Oxford, both parties will be kept informed.

6.6 Both parties have the right to be accompanied and supported at any meetings. Employees by a trade union representative or a colleague of their choice from within the College and students by another student member of the College, a member of the College’s welfare team, or a senior member of the College. These people must maintain appropriate confidentiality.

6.7 At all meetings, and at each stage of the process the Bursar, Case Lead and other lead officers will explain to participants as clearly as possible the stage of the process, the purpose of the meeting and the role of the individuals attending, for example whether they are being asked to provide evidence, clarity a complaint or provide their point of view in response to a complaint.

6.8 There may be circumstances in which an aggrieved party is not willing, or able, to make a formal complaint but the Bursar or Dean considers that the implications for the aggrieved person or others actually or potentially affected are serious. This may include cases where other parties, but not the aggrieved party, have made a complaint. In this case, the Bursar or Dean or other senior member may initiate an investigation which may be managed by the Case Lead and would make a decision on further action on the basis of such evidence as is available.

6.9 In some circumstances, in the interests of the complainant and/or the individual complained about, it may be necessary for interim action to be taken, pending the outcome of the investigation. This may include making arrangements to limit contact between the parties concerned.

7.1 Depending on the nature of the complaint and the evidence found, including the findings of any investigation report, the Dean or Case Lead in consultation with relevant College Officer(s) and the Bursar if the complainant is not a student, may take a variety of actions including:

• a. Take no further action, other than, where appropriate, implementing or suggesting steps that would help to restore reasonable professional relationships between the parties.
• b. Make arrangements to limit contact between the parties concerned. The Bursar (and Dean where appropriate) will have responsibility for implementing and monitoring any actions.
• c. Refer either or both parties to appropriate support services.
• d. Initiate resolution of the issues in other ways (e.g. by requiring that certain individuals undergo specific training or implementing practical arrangements to improve professional relationships). If a successful resolution is achieved the case will be closed, but the situation will be monitored for an appropriate period. This approach will usually be appropriate where the evidence does not support a claim of harassment but it is clear that either party has demonstrated behaviours that are likely to lead to further issues between them if unresolved or, alternatively, that there are structural issues within the College that require attention.
• e. Institute disciplinary proceedings where the Bursar or Case Lead is comfortably satisfied that there is evidence to support allegations of harassment of a sufficiently serious nature that should be further examined through the disciplinary process. In this event, the Bursar or Case Lead will determine what intermediate measures are necessary, in consultation as appropriate with the relevant department.
• f. If justified by the specific circumstances of the case, disciplinary action may be instituted against the complainant if the Bursar or Case Lead is satisfied that the complaint of harassment is unfounded and not made in good faith.

8.1 If the complainant does not accept the outcome following the investigation of the formal written complaint, they may refer the matter to the Principal who will make a final College decision and advise the complainant on the right to seek an external review within 5 working days.

8.2 As the appeal decision by the Principal is the end of the College process, the College will issue a ‘Completion of Procedure’ Letter once the appeal process has concluded.

9.1 Information concerning allegations of harassment must so far as reasonably possible be held in confidence by those to whom it is divulged. Unnecessary disclosure of such allegations may attract disciplinary sanction. Information will be shared on a need-to-know basis, including as appropriate with the individual against whom a complaint is brought. Once a formal complaint is pursued, it is likely to be appropriate and/or necessary for certain information to be provided to others within the College, the University, or to external bodies.

9.2 The College and all those involved in this process must comply with the principles of the Data Protection Act 2018. These include ensuring that personal data is kept accurate and up-to-date, held securely, and not kept for longer than necessary.

10.1 This Procedure may not be applicable where the allegations are of behaviours that may attract criminal sanction. This would include, but would not be limited to, cases of serious assault or threat of serious assault. In the first instance such allegations will normally be a matter for police investigation and action. Further guidance on cases of sexual assault and sexual violence, including support available, is available from the University at Guidance for staff on handling cases of sexual assault or sexual violence. Issues including but not limited to those around teaching, examinations and accommodation/social activity may need to be considered.

10.2 In addition the Bursar will consider whether it is appropriate to make recommendations to appropriate bodies regarding arrangements that would have the purpose of limiting contact between those involved for so long as may be considered reasonably necessary.