Harassment: Guidelines for Managers

These are guidelines for managers in what was then called London Transport, published in 2000. If you are involved in a harassment case, you may find it useful to look through this document to check that management are following their own guidelines.


Version 2 (24th October 2000) London Transport Harassment Procedure Guidance for Accredited Managers


1 - Role of the Accredited Manager 2 - Allocation of cases 3 - Time commitment 4 - Administrative/clerical support and advice 5&6 - Standing down the alleged perpetrator 7 - Role of the Employing Manager 8 - Support to the complainant 9 - Keeping the complainant informed 10 - Multiple victims and/or perpetrators 11 - Withdrawal of complaint mid-investigation 12 - Deciding if harassment occurred 13 - Informal action 14 - Arranging a disciplinary hearing 15 - Disciplinary penalties 16&17 - Behaviour Change Programme (BCP) 18 - Handling victimisation 19&20 - Keeping case files 21 - Harassment Monitoring System 22 - Success Measures 23 - Accreditation

Appendices Appendix 1 BCP - Guidance Notes Appendix 2 BCP - Referral Form Appendix 3 BCP - Employing Managers Referral Memo Appendix 4 BCP - Sample Disciplinary Penalties Appendix 5 BCP - Sample Disciplinary Hearing Brief Appendix 6 Monitoring Harassment Proposals19 23 25 26 28 30

Version 2 (24th October 2000)

1. Your role as an Accredited Manager

You may be asked to play any one of 4 different roles within the Workplace Harassment Procedure:

Investigation of formal complaints and possibly subsequent preparation of charge and brief for disciplinary hearing - AM1 Determine appeal against outcome of investigation (level senior to the AM1) - AM4 Chair disciplinary hearing (Manager grade or equivalent and above) - AM2 Chair disciplinary appeal (Business Manager or above) - AM3

You will not be able to chair disciplinary hearings or appeals whatever your level) unless you have previously undertaken a Disciplinary Procedures training course approved by London Underground, London Buses or Transitional London Transport.

2. How will a case be allocated to me?

Formal harassment complaints will be submitted in writing to the appropriate HR Manager/Head of HR (see overleaf for details). He or she will then telephone to ask you to take on a case (having chosen you in the light of your being of the appropriate grade and your current and previous caseload).

You are unlikely to be asked to play a role outside of your own Company (i.e. InfraCo BCV AMs will deal with all cases in InfraCo BCV; LT Buses AMs will deal with all cases in LT Buses, etc.) However, this is possible in exceptional circumstances.

You will not normally be asked to play a role in respect of a case in your own area of work. It is essential that you not only are objective and completely impartial, but that you are perceived to be so by everyone concerned.

In accepting a role in a case you will need to take into account: . the number of previous cases you have dealt with that year and the time they required of you; . your ability to act quickly and see the case through. Speed is essential in acting effectively against harassment; . your ability to clear time to see the case through.

To state the obvious: you can't play a proper role as an Accredited Manager and do all of your normal job as well! Although it may initially seem hard to achieve, it will be far better for the business if, in all but the most simple cases, you are given full-time release to deal quickly and effectively with the harassment case. Experience shows that failure to devote adequate time to early investigation, and the consequent failure to take early action to stop the harassment, almost inevitably lead to escalation of the harassment and victimisation, increased sickness periods for many involved, and potentially lengthy tribunal claims - all of which costs the business far more overall in management time and in hard cash.

[Names of relevant HR Managers have been removed as many are now out-of-date]

3. What time commitment am I being asked to make?

It is impossible to answer that question with any accuracy, as cases will vary so much, from the most simple to the most complex - and then everything in between.

. A simple, straightforward case might only take 3-4 hours to interview, fact find, write up, make your decision, communicate it to the relevant people and fill in the Harassment Monitoring Form.

. The worst case scenario might involve as many as a 50 people at a depot; multiple victims and/or perpetrators; heavy victimisation of complainants and those who have stood up for the victims. Such a case could take as much as a month's full time work to sort out. (We hope and intend that the strong message of zero tolerance of harassment which will be communicated from senior management, and the extensive communications exercise planned for the new policy and procedure, will eliminate this type of worst case scenario.)

You should not be asked to play a role in more than 2 cases a year - although even this is hard to predict with accuracy.

The current situation regarding harassment is believed to be a "tip of the iceberg" phenomenon. We know that at the moment the majority of employees who experience harassment do not report it because they fear: . they will not be believed . they will be seen as having a chip on their shoulder . they will be accused of having invited the harassment . they will be told they are over sensitive or have no sense of humour . they will be ostracised by colleagues . they will be victimised by management and branded as a trouble­ maker . the issue will be taken out of their hands and handled in a way which makes their situation worse.

We are, therefore, expecting that the launch of the new policy and procedure will lead to a substantial increase in the number of reported cases.

4. Where do I go for advice and administrative/clerical support?

The local Employee Relations Manager (or equivalent) will provide you with support and guidance in carrying out your role.

Administrative and clerical support will normally be provided by the local HR Office - you should make these arrangements at the time of accepting a case.

Should you require it, advice on the law regarding harassment (which is an offence under the Sex Discrimination Act, Race Relations Act and Disability Discrimination Act) can be obtained from the legal section.

5. Should I stand the alleged perpetrator down?

In any case where the complaint is of serious or persistent harassment you must stand the alleged perpetrator down from their duties. They should be told to remain at home reporting in by phone as necessary until a decision is made on what action will be taken. Should a subsequent disciplinary charge be brought, they will remain stood down until the disciplinary process is concluded.

It may often be necessary to stand someone down even when the allegations are perhaps less serious and unlikely to lead to gross misconduct charges leading to dismissal. You have to weigh up the impact on the complainant of having to continue to work with the perpetrator. It is a question of your judgement. The Employee Relations Manager (or equivalent) will support and advise you in this.

Another option in such cases is to consider whether the alleged perpetrator could be transferred to another workplace where there is no possibility of them meeting the complainant, pending the outcome of your investigation. The local HR Manager or Head of HR (in InfraCos and TLT) can advise on this.

6. How do I stand someone down or have them moved pending the outcome?

As soon as you receive details of the complaint, if you feel it is necessary to stand them down or moved, you should contact the alleged perpetrator's Employing Manager, and make immediate arrangements to see the alleged perpetrator with them. The decision to stand down rests with you. You have the power to override the Employing Manager should they disagree, although obviously your aim is to work in co-operation with them.

At the meeting you will inform the alleged perpetrator of the complaint against them and the Employing Manager will send them home forthwith, instructing them not to return to their place of work, or instruct them to report to another workplace. The Employing Manager will confirm this in writing, sending you a copy of the letter.

If the alleged perpetrator is absent from work (e.g. on leave or off sick) you will need to ask their Employing Manager to arrange the meeting immediately on their return to work; or if on long term sick you may have to visit them at home or inform them of the allegation by letter.

7. What is the Employing Manager's role?

The Employing Manager has a key role to play in: . ensuring that no victimisation of the complainant occurs . reassuring the complainant that they will not be branded a troublemaker or seen as having a chip on their shoulder . reassuring the complainant that their complaint will be taken seriously and investigated fully . supervising a perpetrator who has been disciplined and required to attend the behaviour change programme run by Employee Assistance, in order to ensure no re-occurrence of harassment.

The Employing Manager will issue the letter to stand someone down, but the ultimate decision on this is yours.

It is vital that the Employing Manager is kept informed of progress and likely timescales - this is not your responsibility - it is the responsibility of the Employee Relations Manager (or equivalent).

8. Who provides support to the complainant?

Support to the complainant can come from a number of sources: . at the earliest stage, from a Harassment Advisor (or Trade Union Harassment Representative or fellow employee if the complainant goes direct to them) . during the course of the investigation and any subsequent disciplinary, from a Trade Union Harassment Representative, who will have been specially trained, or from a fellow employee. During any interviews with the complainant you must make it clear that they are welcome to bring with them a Trade Union representative or a fellow employee. . at all stages from their Employing Manager . from AM1 at a number of key points in terms of information as to what is happening and what they should expect.

9. Who keeps the complainant informed?

One of the biggest issues raised by people who have suffered harassment and made complaints in the past concerns lack of information.

AM1 must meet with and/or write to the complainant at the following points:

. At the start of the investigation. You will want to interview the complainant as part of your fact-finding exercise. You should also take the time to reassure them that the complaint will be taken seriously, explain what steps have been taken to prevent contact with the alleged perpetrator, explain what will happen next and how they will be kept informed.

Most investigations will be concluded within 4 weeks. There may be exceptional circumstances for this being prolonged. If this is the case you must write to the complainant every 4 weeks to inform them of the reasons for the extension.

If the outcome of the investigation is that harassment is found not to have occurred (e.g. that the complaint was malicious or mischievous): . AM1 must inform the complainant in writing (and their TU Harassment Representative if appropj|ate) . AM1 will inform the alleged perpetrator and their Employing Manager in writing. In such cases the Employing Manager will need to manage the return to work (where the alleged perpetrator has been stood down) with great sensitivity.

. If at the end of the investigation informal action to end the harassment is appropriate (see below, page 11)

. If the case leads to a disciplinary . as soon as the alleged perpetrator has been given an instruction to attend a disciplinary hearing, you should contact the complainant in person (by phone or by meeting) to tell them what is happening. . if the disciplinary process is prolonged you should make regular contact with the complainant to offer support and to check no victimisation is occurring . at the conclusion of the whole disciplinary process you should meet with the complainant in person to inform them of the outcome, and identify any outstanding anxieties or problems arising from victimisation. You should then inform them (and their TU Harassment Representative if appropriate) of the outcome in writing.

AM4 must meet with and/or write to the complainant in the following circumstances: . at the start of the appeal review you will want to interview the complainant (with their TU Harassment Representative or a fellow employee) . at the conclusion of the appeal review you must inform the complainant (and their TU Harassment Representative if appropriate) in writing of your decision (which is final) and may or may not wish to meet with them in person to inform them.

10. What do I do if, during the course of the investigation I identify further people who have been harassed, or additional perpetrators?

You may well find, during the course of your investigation, that you discover additional people who have been harassed - either by the same alleged perpetrator, or by other people. Similarly, you may discover additional perpetrators of harassment, either against the original complainant or new people.

In such cases you should continue to record and investigate all new allegations as part of your current investigation.

In a case of multiple perpetrators, the charges against each individual and briefs will need to be prepared separately. However, it may well be appropriate for a single disciplinary panel to consider all the charges. The HR Manager/Head of HR will advise.

11. What do I do if the complainant withdraws their complaint half way through the investigation?

In the rare instance that the complainant withdraws their complaint before your investigation is complete, it is essential that you complete the investigation and continue to follow the procedure. Where harassment has been reported the Company is under a legal obligation to investigate fully and take appropriate action.

12. How do I decide whether harassment occurred?

At the conclusion of your investigation you have to decide firstly whether or not harassment occurred. Harassment cases offer many sensitive issues: . the definition depends on the perception of the recipient, not on the intentions of the perpetrator . the majority of harassment occurs in one-to-one situations, without independent witnesses . many harassers will, when faced with the allegation, simply deny it . many harassers will try to turn the tables and blame their victim, accusing them of making trouble or of making a malicious complaint.

Thus, in many cases you will be faced with one person's word against another's. This doesn't mean you should just drop the case due to insufficient evidence - you would end up dropping as many as half of all cases if you did this.

You have to use your judgement as to the likely probabilities and the credibility of the people you have interviewed. Malicious complaints may occur - but only in a tiny proportion of cases.

13. What about informal action? When might it be appropriate? What might it look like?

If you decide harassment has occurred, your next decision is: what is the most appropriate next step? Can the harassment be stopped by informal action, or do you believe disciplinary action is necessary. If the latter, you need to make arrangements for a disciplinary hearing. Any case of serious or persistent harassment must go to a disciplinary and a charge of gross misconduct made.

Informal action in a Route C case may be appropriate if: . the harassment was mild . you believe there is a good likelihood of the perpetrator being helped to genuinely acknowledge what they did was not acceptable, being willing to make a genuine apology . you believe the harassment will stop immediately . the complainant is happy for this approach to be tried. You must meet with the person who has been harassed to explore what the most appropriate form of informal action is. You may want to involve the Employing Manager and/or Employee Relations Manager in this as well.

Following investigation of a formal complaint, where the perpetrator has been informed of the complaint against them, informal action will often consist of a coaching-type interview with the perpetrator. However, discussion at a team meeting may also be an option.

You have a choice as to who takes the action. It could be you, or you may ask the Employee Relations Manager or the Employing Manager to carry it out, after being fully briefed by you.

After the informal action has been taken, it is your responsibility to meet with the person who has been harassed to find out if the informal action has been successful in stopping the harassment (see page 17 of the procedure).

14. How do I make arrangements for a disciplinary hearing?

You will prepare the charge and the brief for the disciplinary hearing. The charge will be gross misconduct in cases of serious or persistent harassment, and misconduct in all other cases.

The charge should normally include: . where . when . what . offensive to whom

and make reference to being contrary to the London Transport/London Underground/London Transport Buses Workplace Harassment Policy.

You should consult your Employee Relations Manager (or equivalent) regarding the charge.

You should follow the guidance contained in the Disciplinary Procedures handbook regarding preparing the charge and brief. You will issue the 'instruction to attend' letter, informing the alleged perpetrator of the charge against them and calling them to the hearing and ensure a copy is sent to the Employing Manager. HR (in InfraCos and TfL) will identify who is the panel.

The Employee Relations Manager (or equivalent) will make the practical arrangements of time and venue.

15. What options for penalties do I have if I'm chairing the disciplinary panel?

The options for penalties are detailed below. . oral warning or advice (confirmed in writing) . caution . final caution . regrading or transfer to other work, either of which may involve a transfer of location, reduction in pay and/or a prohibition on applying for transfer, promotion and associated skills training for a future period . dismissal with due notice . dismissal paid up in lieu of notice . summary dismissal

In determining the penalty you need to have due regard to the Company's legal obligation to take all reasonable steps to prevent harassment.

16. Behaviour Change Programme

It is important to note that: . it is mandatory that the Perpetrator attend the Behaviour Change Programme (BCP) provided by Employee Assistance in cases where the penalty is a final caution (or suspended dismissal) or where the employee is demoted; . If a caution is given then the Hearing must consider whether referral to the BCP would be appropriate given the circumstances. . Referral to the BCP cannot be made if the penalty is an oral warning or advice (confirmed in writing)

If the Perpetrator appeals against the decision made by the disciplinary hearing then the referral to the BCP will be delayed until the Appeal has taken place.

A Sample Disciplinary Penalty which includes the requirement to complete the BCP is attached at Appendix 4.

Detailed guidance notes on what the BCP is and how to refer perpetrators to the Programme are attached at Appendix 1.

A sample form for referring people to the BCP is attached at Appendix 2.

A sample memo to inform the person's Employing Manager of referral of one of their staff to the BCP is attached at Appendix 3.

17. Failure to attend or satisfactorily complete the Behaviour Change Programme

If the perpetrator fails to attend the BCP, the provider will contact the Employing Manager in the first instance, to ascertain if the reason for non-attendance is a reasonable one (and to inform them if the person has not already reported in).

Where unreasonable failure to attend or failure to satisfactorily complete the programme occurs, the perpetrator shall be referred for interview by the Accredited Manager who first investigated the case i.e. the AM1. This referral will be by a standard BCP memo issued by the LUOH Counselling and Trauma Service. The AM1 will, if possible, ascertain the reasons for the failure to attend and/or satisfactorily complete the BCP.

The AM1 will then refer the employee back to the Disciplinary Hearing that first heard the case and issued the decision to attend the BCP. The AM1 will issue the 'Instruction to Attend' a Disciplinary Hearing and prepare the 'brief. The charge will be Gross Misconduct where the perpetrator has been demoted or given a final caution or suspended dismissal. A Sample Brief is attached at Appendix 5.

The Disciplinary Hearing shall consider the evidence before them namely: . The original Disciplinary Hearing Decision . Copies of the BCP memo confirming non-attendance / unsatisfactory attendance of perpetrator. . Any explanation submitted by the perpetrator to explain their non-attendance / unsatisfactory attendance.

Where the explanation submitted by the perpetrator is found to be inadequate dismissal will be considered where the previous decision was a final Caution or demotion or suspended dismissal. If the decision was a 'Caution' then a 'Final Caution1 will now normally be given.

18. How do I handle victimisation of the complainant if I find it is happening?

Victimisation may occur of the complainant and/or of anyone who takes a stance in support of the complainant or against the harassment. It can be very nasty and deeply intimidating. It may be subtle and invidious, but still deeply distressing to those on the receiving end.

Where victimisation occurs it is often a sign of a wider culture which is tolerant of or condones harassment. The action taken will, therefore, need to be on two levels: . action to identify and deal with individuals and their acts . action to challenge the prevailing culture and reaffirm the Company's policy and requirements in terms of behaviour.

If you believe victimisation is occurring - either during the course of your investigation, or during the course of any subsequent disciplinary - you must: . arrange immediately with the Employing Manager for the alleged perpetrators, where they have been identified, to be stood down ormoved . include the instances of victimisation within your investigation or, if your investigation has been concluded, ensure another formal investigation is initiated immediately, preferably by you . report it to the relevant senior manager (Business Manager or above) who will take immediate action to challenge the prevailing culture and forcefully communicate the Company's policy and requirements.

19. Where will case files be kept?

A single file with all relevant paperwork must be built up and kept. The local HR Manager or Head of HR (in InfraCos and TLT) will open the file and pass it to AM1 once the case has been allocated for investigation.

. AM1 must ensure that a full record of the investigation is retained including: . all witness statements . records of all telephone calls . records of all meetings . copies of all e-rnail exchanges . copies of all correspondence.

. AM1 will pass the file back to the local HR Manager/Head of HR on conclusion of the investigation and the preparation of the disciplinary charge or satisfactory completion of informal action where appropriate.

. The local HR Manager/Head of HR will then pass the file on to AM2/3/4 as appropriate - each of whom will return the file to the local HR Manager/Head of HR once their role in the case is concluded.

You will be supported and guided in this by the local Employee Relations Manager or equivalent.

These records are vital: . to ensure that if disciplinary action leading to dismissal is taken the case against the perpetrator is fully documented and not open to challenge on procedural grounds; . to ensure that the Company has a full record of the case if the person being harassed makes a Tribunal claim under the Sex Discrimination Act or the Race Relations Act or the Disability Discrimination Act. Where the Company can demonstrate that it took all reasonable steps to prevent harassment the liability for any compensation claim may fall to the individual perpetrator, not the Company.

20. Is the core file in the name of the person being harassed or perpetrator? How long should files be kept?

The core file should be in the name of the perpetrator - in order to make it easy to identify multiple actions of harassment by one person against a number of different people - or subsequent actions of harassment by the same person. Files should be kept for 4 years.

In cases of multiple perpetrators one file should be kept during the course of the investigation, then duplicated for each perpetrator.

The local HR Manager/Head of HR will also open a file in the name of every person being harassed - which will simply contain a record of the original complaint and the outcome of that complaint. This will allow tracking of the extent of harassment against any one individual, should that person have to make more than one complaint. It will also altow easy access to full case records should a Tribunal claim be submitted.

21. What about the Harassment Monitoring Form?

. You will be supplied with stocks of forms by your local HR Office.

. AM1 will fill one in either at the conclusion of a disciplinary hearing against the perpetrator (page 13 of procedure); or 3 days after informing the complainant that they have found harassment didn't occur when no appeal is submitted (page 15 of procedure); or at the successful conclusion of informal action to end the harassment (page 19 of the procedure).

. AM4 (hearing an appeal against the outcome of an investigation - page 15) will fill one in at the conclusion of the appeal or at the successful conclusion of informal action to end the harassment or at the end of any disciplinary process taken.

. AM2 (chairing the disciplinary hearing - page13) and AM3 (chairing any disciplinary appeal - page 13) do not have to fill one in. During the course of any disciplinary hearing/appeal process it is AM1's responsibility (or AM4 if the disciplinary arises as a result of appeal against the outcome of an investigation) to stay in touch with what is happening - which can be done via the Employee Relations Manager or equivalent - and fill one in at the very end of the process.

. However, the form requires an estimate of the time spent on the case by all the AMs - AM1 or AM4 will need to phone AM2 and/or AM3 to get an estimate of time they spent on the case. This may seem like an extra hassle, but one of the success measures for the new policy and procedure is a reduction in the management time being devoted to harassment over 5 years. We also need this measure in order to assess whether or not we have got the right number of Accredited Managers in place.

You will find it easier to fill in the first page of the Harassment Monitoring Form at the start of the case, and the rest at the end of the case.

The Harassment Monitoring Form should NOT record names of individuals, apart from of the Accredited Managers involved in the case.

All Harassment Monitoring Forms - including those for InfraCos, TLT and LT Buses - should be sent to: Employee Relations Manager, 7th Floor, Telstar House, Eastbourne Terrace Paddington, London W2 6LG Auto: 40596

He will produce separate reports for all Companies.

The Harassment Monitoring system, which has been specially commissioned, will be made available to InfraCos to take with them once the PPP is fully implemented.

22. How will we measure success?

Appendix 1 shows the success measures to be used in the short, medium and long term.

23. How long will my accreditation last?

Your accreditation will last 2 years - after which you can apply for re-accreditation.


Appendices 1

Behaviour Change Programme Guidance Notes for Accredited Managers


To inform Accredited Managers about the Behaviour Change Programme. The Behaviour Change Programme has been introduced as part of the action London Underground Ltd is taking to eradicate harassment. Successful completion of the Programme will form part of a disciplinary penalty awarded by a Disciplinary Hearing.

Who is it for?

The Programme is for people who have been found responsible at a Disciplinary Hearing for misconduct in that they have harassed others. Referral to the Programme will be mandatory where the penalty is Final Caution, Demotion or Suspended Dismissal, and optional where the penalty is a Caution. Successful completion of the programme will be a condition of the disciplinary penalty.

The person will be referred by the Accredited Manager who chairs the Disciplinary Hearing (DH). Referrals to this Programme cannot be made outside the DH process.

What is it?

Where an individual is found by a disciplinary panel to have perpetrated harassment, and continues working for the company, it is essential that the company take action to prevent that individual from committing further acts of harassment.

The Behaviour Change Programme is designed to assist the individuals concerned to address those behaviours identified as harassment.

It is designed as a supportive learning package that recognises that people may resort to harassment behaviours for a number of reasons: * Because of racist, sexist or other forms of stereotyping which devalue and encourage mistreatment of others or * Because of their own experiences of bullying in life

They may lack training in managing interpersonal conflict. They may simply feel isolated and unable to gain support in complex people-management situations

The Programme will involve the challenge of reflecting on and taking responsibility for behaviour that has been inappropriate, but it is not about blaming and shaming people.

The BCP Programme providers are external to London Underground and have extensive experience of this type of work. The LUOH Counselling and Trauma Service has commissioned this work and will monitor its quality.

Who is providing it?

An external provider has been chosen to prevent conflicts of interest in the LUOH Counselling and Trauma Service.

How it will work

Successful completion of the Programme will be a condition of the disciplinary penalty. To ensure a successful outcome, this Programme should be presented as a supportive 'second chance' whilst simultaneously recognising the gravity of the offence.

The Accredited Manager chairing the Disciplinary Hearing (AM2) should complete the referral form (see appendix 2), including a short description of the events of the harassment.

AM2 will make three copies of the referral form: . Two copies will be sent to the LUOH Counselling & Trauma Unit who in turn will send one copy to the Programme provider. LUOH CTS is not involved in any way in the disciplinary procedure and will not be carrying out the work but it is involved to ensure good standards of non-judgemental practice are applied throughout the process. . The third copy of the referral form will be sent to the AM1 i.e. the Accredited Manager who first investigated the case. The reason for this is that the AM1 will have to take action should the perpetrator fail to attend or satisfactorily complete the programme.

AM2 should inform the employing manager using the standard memo (see Appendix 3), that they will need to release staff.

The person referred will be asked to attend for an appointment with the Programme provider, to help determine what kind of support would best suit them. The person themselves will help outline what they want to achieve in acquiring improved interpersonal skills and also what they imagine will be the outcome of joining the Programme. They will also be asked to give their consent to allow access to the records of the disciplinary process. These records will only be accessed with the individual's knowledge and permission and that of the person who was harassed.

They will then join in: * Coaching * Interpersonal skills training * Groupwork Or a combination of all these

The Programme aims to ensure real behaviour change and to do this, feedback is sought from the person's manager, colleagues and supporters throughout the process.

On completion of the Programme a completion meeting will be held which will give a final report on the person's progress. This will be a meeting between the person, their manager, their Employee Relations Manager and LUOH CTS representative. It will be a time to propose any on-going support / supervision which needs to be in place for the person to ensure the least likelihood of a re­occurrence of harassment by them.

How the Programme will impact on service operation

Successful completion of the programme will be a condition of the disciplinary penalty. It will, therefore, be necessary for employing managers to release staff to attend this Programme. The full Programme requires release for one hour per week for 12 weeks. These sessions will be structured around the employee's shifts where possible.

What happens if the employee fails to attend the Programme

If the person referred fails to attend a session, the Programme provider should ring the employing manager to inform him / her of the non-attendance of the employee. The employing manager shall ascertain the reason for the non-attendance of the employee and shall take action as appropriate. If the Programme provider (through Employee Assistance) decides that the situation should be referred to an Accredited Manager i.e. the AM1 they should complete the BCP report / memo and send it to the AM1.

The AM1 shall interview the employee and refer the person back to the DH Panel that first heard the case using the sample form in Appendix 5. The person shall then be called to appear before the Disciplinary Hearing.

I am still unclear

If you have any questions or queries relating to the release or management of individuals while on the Programme please contact your local HR Manager: HR Manager Trains - 42166 HR Manager Stations - 40460 HR Manager Central Services - 43661 / 44972

If you have any queries regarding the content of the Programme please call the Counselling and Trauma Service on Auto 41698 or 020 7918 1698.


Behaviour Change Programme Referral Form


Please note: Return two copies of completed form to Thorn Spiers - Counselling & Trauma Unit Manager, 4th floor, Griffith House Return one copy to the investigating Accredited Manager (AMI)

Name: Home Address: Tel.No. (H) (W) Gender: M F

Date of Referral: Grade: Area of Work: Business Unit (i.e. line): Employee No.: D.O.B.: D.E.S.:

Referred by (Accredited Manager):

Auto No.:

Previous Contact:

Referral taken by:

Details of disciplinary penalty (Attach copy of Disciplinary Hearing Chair's Summary)

Brief summary of incidence(s) of harassment

Chair of Disciplinary Hearing: Time:


Additional Notes or Comments:


To: From: Date: Re:

Attendance at Behaviour Change Programme



This memo is to inform you that the above employee has been to a Disciplinary Hearing and has been found responsible for harassing another member of staff. As part of ensuring this behaviour ends, the panel has decided that this person should attend the Behaviour Change Programme.

Since the company requires that the person attends and participates fully in the Behaviour Change Programme, it will be necessary to release this employee to attend the programme. The full programme requires release for one hour per week for 12 weeks. Please be assured that sessions will be structured around employee shifts where possible. Where this is not possible your on-going support is appreciated.

Yours sincerely, Accredited Manager


Behaviour Change Programme - Sample Disciplinary Penalties

Where dismissal is not appropriate and the employee is to be referred to the Behaviour Change Programme


You are to attend and successfully complete the Behaviour Change Programme. If you fail to do this or there is any further instance of a similar nature in the next 12 months then you will return to a further disciplinary hearing when your continued employment with London Underground may be considered.

Final Caution

You are to attend and successfully complete the Behaviour Change Programme. If you fail to do this or there is any further instance of a similar nature in the next 2 years then you will return to a further disciplinary hearing when your continued employment with London Underground will be considered.


With a Final Caution it may, in exceptional circumstances also be necessary to add, to avoid contact with the person who was harassed: "In addition you will not be allowed to work at_______ (place) during the next 2 years and will therefore be transferred to_____ (place). At the end of the 2 years, subject to no similar incidents occurring, you may apply for a transfer in accordance with the normal arrangements"

This wording will need to be adjusted according to the grade and circumstances.


According to the circumstances it may be appropriate to consider demotion if the employee who committed the harassment was the Manager or Supervisor of the person harassed - has he/she demonstrated that they are not suitable to be a Manager or Supervisor? In such a case a sample decision would be: To reduce you to the grade of___________ at_______________ for a period of 6/12/18/24 months. During this period you are not to be stepped up to cover any duties. After 6/12/18/24 months, subject to satisfactory performance you can apply for promotion. In addition you are required to attend and satisfactorily complete the Behaviour Change Programme. If you fail to do this or there is a further instance of a similar nature in the next 2 years then you will return to a further disciplinary hearing where your continued employment with London Underground will be considered.


Sample Disciplinary Hearing Brief - Behaviour Change


In circumstances where the employee was given a Final Caution or demoted by a Disciplinary Hearing and required to attend the Behaviour Change Programme but has failed to attend or satisfactorily complete the Behaviour Change Programme.

(Note if the employee only received a caution but was still required to attend the Programme then the Charge below would not include Gross).

To: The Chair of the Disciplinary Hearing From: Ref: Date:

Employee's Name:__________________ Employee No: Grade:___________________________ Location:____

The above employee appears before you in connection with the under mentioned matter: Gross misconduct in that you have failed to successfully complete (OR failed to attend) the Behaviour Change Programme despite being required to do so by a disciplinary hearing held on____________ (date)

The facts of the case are as follows:

On_________ (date) Mr / Ms X attended a disciplinary hearing charged with: "Misconduct / Gross misconduct in that you did____________________

The decision of the disciplinary hearing was _____________See Appendix A (copy of decision)

Since the hearing Mr / Ms X has attended the Behaviour Change Programme but failed to successfully complete the programme. See Appendix B (copy of Programme report)

The undersigned interviewed Mr / Ms X on________ and asked him / her why he/she considered that they had not successfully completed the Programme.

He / she said........ see Appendix C (statement from Mr / Ms X).

(OR Since the hearing Mr/MsX has failed to attend the Behaviour Change Programme despite the arrangements for attendance being made). The undersigned interviewed Mr / Ms X on_________ (date) and asked him/her why he / she did not attend. He/she said_______________________ See Appendix B (memo confirming non attendance and Appendix C statement from Mr / Ms X explaining why they did not attend).

Mr / Ms X was informed that as he/she had failed to adhere to the requirement of the disciplinary hearing penalty, he/she would be referred to a further disciplinary hearing.

If the Charge is to be Gross Misconduct then state: Until the hearing takes place Mr / Ms X was advised that he/she would be stood down from normal duties but will continue to receive their normal contracted salary (see Appendix D ).

Mr / Ms X was advised of his/her right to representation and was given his/her notice to attend efbore you ( see Appendix E )

Mr / Ms X (include personal details e.g. age / length of service etc. and any relevant domestic information).


List of Appendices attached:

"A" Copy of previous Disciplinary Hearing decision dated____________

"B" Copy of Behaviour Change Programme report or memo confirming non attendance.

"C" Statement from Mr / Ms X stating why they had not successfully completed the Programme or why they did not attend.

"D" Memorandum dated________ to Mr /Ms X (if appropriate)

"E" Notice to attend disciplinary hearing



Why monitor harassment?

1. Show commitment to bringing about real change in the long term

2. Measure effectiveness of new procedure

3. Identify trends in location etc, leading to corrective action

How will we know if the new procedure has been effective?

1. In the short-term (12 months)

We anticipate:

=> Increase in number of-reported cases (measure of growing confidence in the new procedure)

=> Increase in number of perpetrators disciplined (measure of growing confidence of Accredited Managers and change in culture from one where harassment is tolerated or condoned);

=> Increase in number of cases being seen by Harassment Advisors (measure of extent to which they are perceived as helpful and supportive)

2. In the medium term (2-3 years)

We anticipate:

=> Trend toward increasing use of routes A & B (measure of extent to which de-escalation away from formal routes has occurred and measure of level of confidence staff have in manager's competence to handle harassment

=> Increasing belief among ethnic minority staff and women staff that the company does implement equality (via Employee Satisfaction Index)

=> Decrease in overall number of counselling hours for victims

=> Shift in ratio of number of counselling hours devoted to victims : number of counselling hours devoted to perpetrators

3. In the long Term (5 years)

=> Decrease in overall number of cases

=> Decrease in number of Tribunals

=> Decrease in number of hours spent resolving harassment cases.