Guidelines for managing victimisation

Background

Introduction

Uppsala University is to have a healthy and sustainable work environment. This is achieved by working preventively to counteract conditions in the work environment that can lead to social health risks, but also by investigating and addressing incidents that have occurred. The employer is responsible for planning, organising, implementing measures where necessary, documenting and following up on work environment management. This must be carried out in accordance with the University's division of responsibilities within systematic work environment management, the University’s order of delegation and the requirements that apply to systematic work environment management. [1] All employees have a responsibility to participate in work environment management, comply with the existing guidelines, report any risks and incidents and strive together to continuously improve and develop the work environment. [2] By doing so, everyone can help to prevent and counteract victimisation.

Uppsala University does not tolerate victimisation. [3] If the employer becomes aware that an employee feels victimised, the University must act promptly. This document provides guidelines for the University’s management of suspicions and reports of victimisation against one or more employees at the University. [4] The guidelines describe the manager's responsibility for managing cases of victimisation in accordance with the Swedish Work Environment Authority's provisions on Organisational and social work environment (AFS 2015:4). The University's internal website provides more information on preventive efforts to counteract victimisation.

The guidelines are based on the Work Environment Act (1977:1160), the Swedish Work

Environment Authority’s provisions on systematic work environment management (AFS 2001:1) and provisions on organisational and social work environment (AFS 2015:4) and the Work environment and equal opportunities policy for Uppsala University, UFV 2021/1473.

Limitations

The Swedish Work Environment Authority’s provisions on Organisational and social work environment (AFS 2015:4Eng), which regulate the employer’s responsibilities concerning victimisation, do not apply to students. [5] These guidelines are therefore limited to describing the University's management of victimisation among employees.

However, the guidelines do apply to students who are also employed at Uppsala University. [6]

However, according to the Work Environment Act (1977:1160) and the provisions on systematic work environment management (AFS 2001:1), Uppsala University has an obligation to conduct work environment management to prevent social health risks in the work/study environment, including for students, and to investigate and remedy any incidents. The University's internal website provides information on systematic work environment management.

Work environment legislation

The purpose of the Working Environment Act (1977:1160) is to prevent ill health at work and to achieve a good working environment in general.

In accordance with the Swedish Work Environment Authority's provisions on systematic work environment management (AFS 2001:1), the employer must regularly examine working conditions and assess the risks of individuals suffering ill health. [7] If an employee suffers an occupational health problem or if a serious incident occurs at work, the employer must investigate the causes in order to prevent future health risks. [8] The employer must take the necessary measures to prevent ill health at work immediately or as soon as practicable. Measures that are not implemented immediately should be recorded in a written action plan. Once measures have been implemented, the employer should check the results to ensure that the risks have been addressed. If the measures have proved insufficient, they may need to be supplemented. [9] Work environment management must be carried out in collaboration between employers and employees. [10] The employee representative for work environment issues – the safety representative – plays an important role in this process.

The Swedish Work Environment Authority’s provisions on Organisational and social work environment (AFS 2015:4Eng) regulate the employer’s responsibilities concerning aspects including victimisation. Victimisation is included in systematic work environment management. [11]

Definition of victimisation

Victimisation is defined as actions that are directed against one or more employees in an offensive manner and that can result in ill health or in those employees being excluded from the workplace community. [12]

Preventive measures against victimisation

Preventive measures against victimisation involve ensuring there is functioning systematic work environment management. Deficiencies in the organisational and social work environment are often at the root of victimisation in a workplace. To prevent and counteract victimisation, it is therefore important to investigate whether there are risks in the organisational and social work environment and, if necessary, to address these risks. Examples of conditions in the work environment that are important to be aware of and regularly examine are workload, division of duties, conflicts and conditions for collaboration. The University’s organisational and social work environment review can be used for this purpose. There are also other ways to investigate the working environment, such as regular staff meetings, coordination meetings and performance and development conversations. Joint efforts concerning behaviour can also help to prevent and counteract victimisation. The University’s Staff Policy can be used for this. In accordance with the University's division of tasks within systematic work environment management and the University's order of delegation, the head of department/equivalent is responsible for the implementation of preventive work environment management at the department/equivalent.

Investigation of circumstances

If an employer becomes aware that one or more employees considers that they have been subjected in connection with work to victimisation by someone performing work, the employer is obliged to investigate the circumstances surrounding the alleged incident. [13] The obligation to investigate also applies with respect to a person carrying out a traineeship or performing work as temporary or borrowed labour.

The head of department/equivalent has an obligation to investigate the incident as soon as possible if there is a suspicion or report of victimisation. In addition to finding out what happened, the aim of the investigation is to stop the unwanted behaviour, prevent ill health and create a good work environment. The aim is thus to investigate the circumstances, not to settle issues of compensation and guilt. [14] The University is therefore not obliged to find out whether victimisation has occurred. However, in some cases it may be relevant to investigate that question, and this should be decided on a case-by-case basis.

Employees at the University have an obligation to participate in an investigation into victimisation within the framework of their employment. [15]

Report

An employee who feels that they have been subjected to victimisation should in the first instance contact their line manager. In a situation where an employee feels subjected to victimisation by their line manager, the employee should contact the manager’s superior.

There are no formal requirements regarding the format of a report. To facilitate the investigation, it is desirable for the report to contain the names of the parties involved, a description of the course of events and to specify that someone considers themselves to be subjected to victimisation. The description should clarify when, in what connection, in what way and by whom the victimisation has taken place, and whether or not the events are work-related.

An employee who becomes aware of victimisation of one or more employees should, after consultation with the victim(s), inform the head of department/equivalent at the employee's department/equivalent.

Anonymous report

An anonymous report means that the employer has been made aware of the incident, without knowing the identity of the complainant. Upon becoming aware of victimisation, there is an obligation to investigate and, where appropriate, take action, regardless of whether the complainant is known or anonymous. An anonymous report often means that the possibility of carrying out a full investigation is limited. It also affects the measures that can be taken. Normally, an anonymous report cannot lead to an investigation that results in sanctions against the person reported.

Note that where the identity of the person making the report is known to the University, the report cannot be regarded as anonymous.

Initial assessment

A head of department/equivalent who becomes aware of a possible case of victimisation in their area of responsibility must initiate an investigation without delay through an initial assessment. The purpose of the initial assessment is to enable the head of department/equivalent to decide what measures may need to be taken to manage the situation, stop the unwanted behaviour and prevent future social health risks in the work environment. The aim is also to examine the need to investigate the case further. The initial assessment is usually conducted through interviews with those concerned. The conversation should include information about the University's guidelines and procedures in relation to victimisation.

In connection with an investigation, the head of department/equivalent should normally also ensure that the following questions are answered:

• Has the head of department/equivalent made it clear that victimisation is not accepted at the department/equivalent?
• Do managers and supervisors at the department/equivalent have sufficient knowledge about how to prevent and handle victimisation?
• Does the department/equivalent have clear procedures regarding who should receive the information, how the information is handled and what support is available for people subjected to victimisation?
• Does the department/equivalent have a functioning systematic work environment management that also covers organisational and social work environment conditions?

The head of department/equivalent may only refrain from taking action and further investigation and close a case after the initial assessment if it is clear that victimisation has not occurred or has been of a less serious nature.

In-depth investigation

If the measures taken after the initial assessment are not deemed sufficient or if there is a need to investigate the matter further, the head of department/equivalent is responsible for this. There are no formal requirements for how an in-depth investigation should be carried out. The circumstances must be investigated to the extent necessary to enable the head of department/equivalent to form an opinion on what has taken place. In the same way as the initial assessment, the purpose of the in-depth investigation is to enable the head of department/equivalent to decide what measures may need to be taken to manage the situation, stop the unwanted behaviour and prevent future social health risks in the work environment.

Less serious and isolated incidents can be further investigated at department/equivalent level if the situation permits. In more serious and complex cases, investigations may need to be carried out by someone outside the workplace with sufficient expertise to ensure independence and a factual and systematic investigation.

Protective work environment measures during an ongoing investigation

To make things easier for the parties concerned, the head of department/equivalent should consider the need for protective measures during the ongoing investigation of victimisation. The protective measures must be temporary, limited and relevant in order to reduce the risk of situations in which victimisation could occur. Examples of protective measures may include doing as much as possible, within the framework of the applicable regulations, to temporarily separate people in certain situations, or to avoid individual meetings between those concerned.

Risk assessment and measures

Where appropriate, the employer is obliged to take measures that can reasonably be required to ensure that the victimisation ceases and that risks of ill health can be prevented in the future. [16]

The head of department/equivalent is responsible for ensuring that any work environment or other measures resulting from the incident or incidents in question are taken. This also applies when a decision has been made to close an investigation because it is clear that victimisation has not occurred. Important points of departure are the information obtained in the initial assessment and possibly the in-depth investigation, as well as the answers to the questions posed under the heading “Initial assessment”.

Measures may need to be taken at individual, group and organisational level.

Measures at individual level

An individual action plan should be drawn up if necessary.

Individual measures must be handled confidentially and must not be communicated to the parties concerned.

In certain cases, the appropriate action may be to refer the matter of individual measures against an employee to the Staff Disciplinary Board. This is done by decision of the Vice-Chancellor.

Measures at group and organisational level

If an investigation (initial assessment or in-depth investigation) shows that there are risks in the organisational and social work environment, a risk assessment needs to be carried out in order to decide upon appropriate work environment measures. Measures that cannot be taken urgently should be included in an action plan. A risk assessment with an action plan must be developed in collaboration with the safety representative.

Measures at group and organisational level must be communicated to the parties concerned.

Follow-up

The head of department/equivalent should normally plan to follow up on cases of victimisation. This applies regardless of whether the case has resulted in any action. If the case has resulted in measures, these should be followed up to ensure that they have had the intended effect. If the measures have been insufficient, the head of department/equivalent needs to consider further measures to remedy the situation and prevent future ill health.

The follow-up must be time-limited and include:

• Individual follow-up with the parties involved.
• Identified risks and approved measures regarding the organisational and social work environment at group and organisational level in line with the action plan for measures to improve the work environment.

Documentation, official documents and registration

A written report received by a government agency is an official document. An official note must be drawn up on an oral report and that note then becomes an official document. Official documents must be registered.

Internal documents that add factual information to the case must also be registered. The head of department/equivalent must document, for example in an official note, what has emerged in the initial assessment and – if it has been carried out – the in-depth investigation, what measures have been taken and whether the measures are deemed sufficient to close the case. If a risk assessment has been carried out, it must be registered together with the action plan for improving the work environment.

When the case is closed, the file should be reviewed and documents that do not add factual information to the issue should be removed. Documents received by the authority and managed as part of the case may not be deleted. Information in official documents may be public or classified as secret. If anyone requests access to the document, a secrecy assessment must be made.

Support

It is important that the parties involved can be supported and assisted where necessary. This applies both to the person who feels victimised and the person who has been accused. The head of department/equivalent is responsible for providing information and, if requested by the employee, offering support through the occupational health service, for example. An employee can also contact the department/equivalent’s safety representative or union representative for support.

The head of department/equivalent is primarily supported by the department/equivalent’s local HR and can, if necessary, obtain advice from the HR department.

The Legal Affairs Division and the registrar help with questions of public access and secrecy.

Footnotes

[1] In these regulations, the term “head of department/equivalent” is used. Depending on how work environment tasks within the systematic work environment management have been allocated, this may refer to a manager at another organisational level.

[2] Work environment and equal opportunities policy for Uppsala University, UFV 2021/1473

[3] Work environment and equal opportunities policy for Uppsala University, UFV 2021/1473

[4] Also see Guidelines for dealing with cases of harassment under the Discrimination Act, UFV-PA 2020/2325.

[5] Swedish Work Environment Authority’s Organisational and social work environment provisions, AFS 2015:4Eng, Section 3

[6] Employed doctoral students are covered by the guidelines.

[7] Swedish Work Environment Authority’s provisions on Systematic work environment management, AFS 2001:1, Section 8

[8] Swedish Work Environment Authority’s provisions on Systematic work environment management, AFS 2001:1, Section 9

[9] Swedish Work Environment Authority’s provisions on Systematic work environment management, AFS 2001:1, Section 10

[10] Work Environment Act (1977:1160), Chapter 3, Section 1a and Chapter 6 and the Swedish Work Environment Authority's provisions on Systematic work environment management (AFS 2001:1), Section 4

[11] Swedish Work Environment Authority’s Organisational and social work environment provisions, AFS 2015:4Eng, Section 5

[12] Swedish Work Environment Authority’s Organisational and social work environment provisions, AFS 2015:4Eng, Section 4

[13] Swedish Work Environment Authority’s systematic work environment management provisions, AFS 2001:1, Section 9 and the Swedish Work Environment Authority’s Organisational and social work environment provisions, AFS 2015:4Eng, Section 14

[14] Swedish Work Environment Authority’s Organisational and social work environment provisions, AFS 2015:4Eng, Section 14

[15] Work Environment Act (1977:1160), Chapter 3, Section 4 and the Swedish Work Environment Authority's provisions on Systematic work environment management (AFS 2001:1), Section 4

[16] Swedish Work Environment Authority’s Organisational and social work environment provisions, AFS 2001:1, Section 9 och 10 and the Swedish Work Environment Authority’s Organisational and social work environment provisions (AFS 2015:4Eng, Section 13 and 14