Developing a Complete Complaint Resolution Process

Personal Options

Informal Resolution Process

Formal Investigation Process

A complaint resolution process is designed to remove the risks of bullying behaviour at work by implementing a planned and systematic approach to the management of this workplace hazard. It is important that all employees are made aware that a procedure exists in the event that they experience bullying behaviour at work. It is useful to provide a number of resolution options to employees that range from taking action personally, to lodging either an informal or formal complaint.

Personal Options

An employee may choose to speak to the perpetrator directly. They should be advised to keep a record of that conversation. Information and advice should be available from the following people:

• Contact Officer
• OHS Representative
• Human Resource Manager
• Union Representative
• Manager
• Professional counselor.

Informal Resolution Process

An informal resolution process aims to ensure that the bullying incident is resolved as quickly as possible. Although an employee has the right to make either a formal or an informal complaint, they should be encouraged to commence with the informal process first, as this can usually achieve a more timely and satisfactory resolution for both parties. No investigation or disciplinary action should be taken as a result of an informal complaint. Rather, a no-blame, conciliatory approach should be used to assist the individuals in reaching an outcome that will ensure appropriate conduct in the future. The main focus is to return the individuals to productive work without further interruption. No records resulting from this action should be kept after resolution of the issue.

Conciliation is a confidential process that only involves the conciliator and the affected employees. The purpose of conciliation is to provide a quick response to an incident by an impartial, suitably skilled person. A manager or another person in the workplace may conciliate the matter if they have the skills and it is appropriate for them to do so, or you may arrange for professional intervention. It is important that the employee can trust and respect the conciliator.

Sometimes an employee’s manager may not be the most appropriate person to act as the conciliator, particularly when the manager is the alleged bully or the employee has indicated that they are uncomfortable involving the manager in this process. If the informal resolution process fails to provide an agreed outcome then the employee should be told that they could pursue a formal complaint leading to investigation.

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Formal Investigation Process

It is important that employees clearly understand what to expect from making a formal complaint. For example, you may wish to inform employees that:

• The investigation procedures will adhere to natural justice principles and ensure fairness for all concerned;
• An investigation will occur as soon as possible after the complaint is received;
• An impartial person who can carry out the investigation without hindrance will conduct the investigation.

A formal process usually has the following steps:

• Lodging the Complaint Ensure that the complainant knows how and to whom they should lodge their complaint. For example, the complaint should be in writing with specific allegations including dates, times and names of any witnesses.
• Initial Response Arrange for an appropriate senior manager to meet separately with both parties as soon as possible and explain the formal process and their rights and responsibilities. For example:
  • The expected timetable for resolution of the complaint;
  • How the complaint will be investigated, for example, interviews with the complainant, the alleged bully and witnesses;
  • Who will receive copies of any statements or records of interview if obtained;
  • Who can be present at interviews;
  • Whether parties can refuse to participate;
  • What interim measure will be taken to ensure the safety and welfare of the complainant during the investigation? Interim measures may need to be actioned including suspension of the alleged bully or the assignment to alternative duties until the investigation is complete.
• Appointment of an Investigator Arrange for an independent investigator to investigate the complaint. Ensure the investigator understands their role, the rights of the alleged bully and what the expected outcomes may be. Either party should have the right to challenge the independence and impartiality of the investigator, providing they resent reasonable grounds to do so.
• The Investigation The investigator should contact the alleged bully in writing and notify them about the details of:
  • the complaint,
  • interview time,
  • process and their rights (including their right to have a representative present),
  • time frame for the investigation,
  • requirement for confidentiality and
  • the possible consequences.

  The investigator should then interview the alleged bully. If they admit to the behaviour, the matter can be referred back to the employer for appropriate action. This may include disciplinary procedures or referral to support services, for example, anger management counseling. If the alleged bully disputes the allegation, further investigation should be carried out in an attempt to determine the facts. This will include meeting with the complainant and available witnesses.

• Findings The investigator should provide the employer with a written report on the findings of the investigation. The employer should then meet with both parties individually to explain to them the findings of the investigation as well as notifying them in writing.

  If the allegation cannot be substantiated, this does not necessarily mean the bullying did not occur. Employers need to identify what can be done to assist the individuals to return to a working relationship. This may involve mediation, counseling, changed working arrangements and redressing other organisational issues that may have contributed to the circumstances of the complaint.

  This may include possible disciplinary action against the complainant if their complaint is proven to be unwarranted or vexatious. - If the allegation is substantiated, you need to determine what is appropriate action, including disciplinary action against the bully such as requiring the bully to provide an apology and assurance that the behaviour will not occur again, a formal warning, counseling, transfer to another work area, suspension from work or as a final resort, dismissal.

• Appeal Provide mechanisms to enable the parties to appeal against the decision if they consider this warranted.
• Access to Counseling and/or Rehabilitation This should be provided for:
  • The complainant, to assist him or her to find coping strategies to deal with the alleged bully whilst the matter is being resolved;
  • The alleged bully to enable him or her to recognise and change their behaviour;
  • Any affected work team member.
• Review Ensure the resolutions and continuing wellbeing are reviewed with the complainant and alleged bully for a period of time following resolution to ensure your actions to stop the bullying have been effective.