Resolving complaints in the workplace
When a complaint of workplace harassment is raised how it is responded to can influence how and when the issue is resolved.
The person responsible for human resources or industrial relations matters at your workplace should be able to advise you about complaint resolution policies and procedures.
Generally, complaints can be resolved either informally, or formally.
Before deciding on how to resolve the complaint the person raising the complaint should:
- clearly define their concerns and desired outcome
- assess the advantages and disadvantages of the informal versus formal process
- consider the complexity of the situation (a formal option may need careful consideration if the situation is very complex)
- be aware of support mechanisms available, for example counselling
- acknowledge the consequences of making malicious, frivolous or vexatious complaints (complaints that are deliberately harmful, spiteful, trivial or unworthy of serious attention or resources)
It is recommended that the opinion of an independent third party (for example, human resource manager, supervisor or workplace health and safety representative) be obtained to help validate experiences and make a well informed decision regarding the most appropriate resolution option.
If a workplace harassment prevention policy exists it should provide details of an appropriate person to raise workplace harassment complaints with who can help.
More on workplace harassment prevention policies
Resolving complaints informally
The objective of an informal approach is to resolve the matter with a minimum of conflict or distress for individuals.
The benefits of resolving workplace harassment informally are:
- the process is generally quick and less adversarial and cumbersome
- it does not require extensive ‘proof’ of workplace harassment to be demonstrated
- the person exhibiting harassing behaviours may wish to resolve the issue to avoid a formal process
- the process may result in improved communication between the parties
- it is easier to maintain confidentiality and ongoing working relationships
If the informal approach is unsuccessful and the harassing behaviours continue at the workplace, a formal approach should be considered.
Speaking directly with the person
Any worker who believes they are being harassed may chose to speak directly with the person/s demonstrating the harassing behaviours. Directly dealing with the person/s responsible sometimes results in the behaviour ceasing.
For this approach to be successful the information must be delivered to the respondent in a confidential, non-confrontational way with a view to resolving the issue in an informal low-key manner.
A good technique to use is to focus on the behaviours being exhibited by the other party. The aim is to communicate exactly what behaviours are harassing and distressing. This lessens the likelihood that the other party will take the comments as a personal attack.
Mediation
Resolving complaints informally through mediation is generally more effective, requires fewer resources and often prevents further escalation of the issue while in no way trivialising the issue or the effect it has on an individual.
Interpersonal conflicts are often effectively resolved through open discussion between parties. This should be encouraged as the first step in every complaint, unless otherwise requested by the complainant.
Mediators should:
- be competent, impartial, maintain confidentiality and be acceptable to all parties
- guide discussions between the parties
- encourage parties to identify the issues in dispute and explore options for agreement
- guide the parties to negotiate and implement options for agreement
- take account of real or perceived differences in power between the parties.
If a party has a significant concern about an internal resolution process it may be necessary to arrange an external mediator.
Where a complaint cannot be resolved by informal means, a formal process should be followed.
Resolving complaints formally
Where a complaint handing system or grievance procedures are in place they would be used to address the complaint. The person responsible for human resources or industrial relations matters at your workplace should be able to advise you about complaint resolution policies and procedures.
Investigating complaints
The objective of an investigation is to resolve the conflict which prompted the complaint and to effectively control the risk of workplace injury or illness from workplace harassment.
An investigation will aim to establish the facts and circumstances of the situation and usually lead to a formal report being prepared. The person responsible for human resources or industrial relations matters at your workplace should be able to offer further advice concerning the applicable formal procedure.
An effective investigation procedure should be:
- Planned to ensure the investigation process is appropriate.
- Transparent – the investigation process and timeframes be outlined for all parties.
- Objective/impartial – the investigator should be unbiased and non-judgemental. In some workplaces this may mean they need to be someone from outside the workplace.
- In line with the principles of natural justice, which are:
- the person alleged to have committed workplace harassment is presumed to be innocent until allegations are proved to be true
- all allegations of workplace harassment are investigated promptly
- the person who has allegedly committed the workplace harassment is informed of all the allegations and given an opportunity to explain his or her version of events
- should the complaint be proven to be true, then remedial action must be taken.
- Documented – information from interviews and accurate records of evidence used to establish facts should be kept. No assumptions or opinions should be included. Detailed investigation notes are essential to demonstrate fair practices associated with the investigation.
- Reviewed , so an assessment can be made as to whether or not the behaviour constitutes workplace harassment.
- Able to provide factual evidence, so appropriate remedial actions may be taken by the employer in relation to the complaint or other issues identified during the investigation.
Example investigation process
- Review background documentation – policies, procedures, evidence already taken in response to the complaint.
- Inform all parties of the process and timelines.
- Compile questions for interviews.
- Interview complainant, determine if the behaviour meets the definition of workplace harassment. Why? How?
- Interview other parties to the complaint.
- Obtain any corroborating evidence.
- Interview respondent (alleged harasser).
- Assess evidence.
- Prepare investigation report.
- Inform parties of outcomes of investigation.
- Implement actions.
What makes a good investigator?
- Has received training in investigating harassment complaints.
- Has comprehensive understanding of what constitutes workplace harassment.
- Is impartial, non judgemental and has no conflict of interest or personal association with any person involved in the complaint.
- Abides by principles of natural justice and procedural fairness.
- Parties have confidence in the appropriateness of the investigator.
- Is able to listen, interview and communicate effectively.
- Explains the investigation process to all involved parties.
- Keeps involved parties informed and is available to answer questions.
- Develops and follows an investigation plan and establishes realistic timeframes.
- Has either comprehensive knowledge of the organisation’s policy, procedures and training provided to workers, or access to this information.
- Maintains accurate documentation throughout the investigation process.
- Is able to assess the information received and make a determination regarding the allegations on the basis of the evidence collected.
An employer should always consider the merit of engaging an external specialist mediator or investigator when conducting an investigation into workplace harassment.
Guidance can generally be found in industrial instruments such as awards or Certified Agreements. Formal complaint resolution will generally involve an internal investigation of the incidents.
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