COMPLAINTS AND GRIEVANCE POLICY

Transcription

1 1. POLICY STATEMENT Red Cross is committed to maintaining a workplace that encourages collaboration, cooperation and communication. It is recognised, however, that on occasions inappropriate behaviours or matters may occur and that a complaints and grievance process may be required in order to resolve complaints or concerns about these matters. This policy aims to ensure that complaints and grievances are handled and resolved in an appropriate, fair, transparent and timely manner, and in accordance with the principles of natural justice. The Red Cross Code of Conduct, relevant Human Resources policies and applicable enterprise agreements or modern awards may also apply when considering complaints and grievances. 2. SCOPE This policy applies to all members of the Red Cross workforce that is, both staff and volunteers. 3. DEFINITIONS allegation complainant complaint Equal Opportunity complaints officer Equal Opportunity contact officer finding a statement by a complainant describing the alleged incident an individual who makes a complaint an expression by a complainant of concern, dissatisfaction or frustration with an aspect of the complainant s participation as a member of the Red Cross workforce, concerning matters such as the quality or delivery of a service, a policy or procedure, a decision, or the conduct of another person which arises from a grievance a trained person nominated by Red Cross to assist with handling, investigating and resolving Equal Opportunity related complaints a trained person nominated by Red Cross to be available to listen to complaints and provide support, information and advice to a complainant a conclusion reached after an allegation has been investigated Date: 23 December 2010 page 1 of 10

2 grievance an alleged wrong or hardship suffered, which is the grounds of a complaint it may arise, for example, from any action or inaction, behaviour, situation or decision impacting on a workforce member that he / she thinks is unfair or unjustified can relate to almost any aspect of employment or volunteer engagement and can include but is not limited to: workforce development or training; rostered hours; leave allocation; supervision; general work environment; interpersonal conflicts or difficulties; safety in the workplace; misuse of Red Cross resources; and unethical behaviour interviewee principles of natural justice a complainant, respondent, witness or other person who provides information in relation to a complaint the principles which underpin procedures used when making a decision often the term procedural fairness is used interchangeably with the term principles of natural justice in practice it includes: the respondent is to be treated as innocent until such time as the complaint is established any complaint should be investigated promptly the substance of the complaint must be put to the respondent the respondent must be given the opportunity to provide a response to the complaint respondent response the individual/s against whom the complaint is made and who must be provided with an opportunity to respond to the complaint a statement by the respondent in relation to the complaint as put to him or her Date: 23 December 2010 page 2 of 10

3 support person person who, being reasonably available for the purpose, is selected by a complainant (or a respondent) to provide support to him or her during an investigation meeting other than in exceptional circumstances, a support person cannot act as an advocate during the meeting the support person cannot answer questions on behalf of the complainant (or the respondent) terms of reference a statement of the scope and process of an investigation, including proposed timeframes and who will undertake the investigation should be factual and not contain any subjective information so as to avoid bias in the investigation or decision making process there should be no reference to an outcome vexatious complaint / grievance complaint or grievance which Red Cross considers is: instituted or pursued without reasonable ground initiated to harass or annoy, to cause delay or detriment, or for any other inappropriate purpose an abuse of process victimisation occurs when an individual who has made a complaint in good faith suffers a negative consequence from Red Cross or any person on behalf of Red Cross as a result of raising that complaint may also be referred to as detrimental action witness workplace an individual who provides information relating to the complaint (other than the complainant or the respondent) any premises where Red Cross conducts its business/operations includes premises where a member of staff or a volunteer attends functions, conferences, training sessions as a representative of Red Cross, as well as any premises where core work is undertaken, for example in clients homes Date: 23 December 2010 page 3 of 10

4 4. RESPONSIBILITIES 4.1 Compliance with this policy All people referred to in the scope are required to comply with this policy. 4.2 CEO sub delegations 5. PROCEDURE The CEO Sub-delegations provide delegated authority from the CEO to a Red Cross staff member who occupies an identified position to undertake certain activities on behalf of Red Cross. The CEO Sub-Delegations document includes specific delegations in relation to Human Resources. In most situations, the steps below should be followed in sequential order. Where the issue is not related to another workforce member, start at 5.3. At any point in time, if a resolution is achieved then no further steps will be required. Equal Opportunity Contact Officers are able to provide advice and information about this procedure. If you are a third party witness to a perceived breach of this policy, please contact Human Resources (HR) to raise your concern Address the issue directly yourself If the complainant feels comfortable doing so, she / he should attempt to resolve the issue by discussing it confidentially with the other person (the respondent) as soon as practicable after it arises. If assistance is required, please contact HR Refer the matter to the Equal Opportunity Complaints Officer for cases of discrimination or harassment Within the scope of the Equal Opportunity Complaints Officer s role, the Complaints Officer will assist a complainant with the handling, investigating and resolving of equal opportunity complaints Refer the issue to your line manager The complainant should refer the complaint, either verbally or in writing, to the line manager if the complainant: does not feel comfortable discussing the matter with the other person directly, and/or Date: 23 December 2010 page 4 of 10

5 has unsuccessfully attempted to resolve the problem, and/or is experiencing a work-related issue that does not involve another person The complainant may be asked to provide further information or a written outline of the complaint. The line manager may make notes of any discussions about the matter Refer the issue to HR The complainant should refer the matter to HR, if the complainant: is with a workforce member and the complainant doesn t feel comfortable discussing the matter with the person directly, and/or has tried addressing the problem but is dissatisfied with the result, and/or is experiencing a work-related issue that does not involve another person, and/or has already raised the complaint with a line manager but the complaint remains unresolved 5.5. Investigation The investigation process is two tiered. While the steps are similar, the level of formality differs. Red Cross may determine whether to follow a less formal or a more formal process in relation to a complaint Less formal process A line manager will initially investigate the complaint and determine whether a more formal investigation is required. If the line manager is the subject of the complaint, or cannot be objective in an investigation, the matter must be referred to HR. The objective of the line manager s investigation is to resolve the complaint in an appropriate, fair, transparent and timely manner and in accordance with the principles of natural justice. This may result in reporting the complaint to a more senior manager or to HR. It may also include speaking to other workforce members who may be able to assist in resolving the complaint. If the complaint relates to the conduct of another workforce member, that person will be provided with details of the complaint and given an opportunity to respond More formal process HR will conduct the investigation or arrange for another Red Cross manager(s) to conduct it or appoint an external investigator(s). Typical steps in an investigation include: Date: 23 December 2010 page 5 of 10

6 Red Cross will develop a terms of reference interview the complainant notify the respondent interview the respondent interview other people who may be directly involved in the complaint / grievance interview any witnesses re-interview any person if necessary to clarify any details gather and collate information to establish a timeline of the events (based on the balance of probabilities) make findings determine next steps (as appropriate) and management actions; such as training, or action in line with the Disciplinary Action Policy (HR SUP 15) monitor the workplace and take action as required conduct a formal review or follow up The investigator will provide at least 24 hours notice of any scheduled meetings to the complainant and respondent. Under exceptional circumstances, the meeting notice period may be reduced; for example, if the person being interviewed freely consents to a shorter notice period Support person The complainant and the respondent may each have a support person present during their interview Resolution After the investigation is complete, and findings have been made (where required) a resolution of the matter will be determined by Red Cross. Details of the resolution must be recorded in writing and a copy provided to the complainant and the respondent. There are many possible options for resolution, including one or more of the following: ongoing monitoring of the situation by a line manager Date: 23 December 2010 page 6 of 10

7 counselling or training/education, which may be provided by the line manager, HR or another appropriate person or organisation a formal apology mediation between the complainant and respondent, facilitated by an independent person, where both parties agree to participate in the mediation process formal disciplinary action in line with the Disciplinary Action Policy (HR SUP 15) 5.8 Escalation of complaint If a workforce member is dissatisfied with their line manager s resolution of the complaint, they should discuss the complaint with the relevant member of HR. If a workforce member continues to be dissatisfied, the complaint should be referred to the Director, Human Resources who will review the findings and the resolution. The Director, Human Resources may confirm or amend the resolution. The Director, Human Resources will inform the Chief Executive Officer (CEO) accordingly. In his or her discretion, the Director, Human Resources may decide that any remaining concerns are to be referred for decision to the CEO. If the workforce member is dissatisfied with the decision of the Director, Human Resources or the CEO, refer to Section 7.3 of this policy, but otherwise that decision is final. 5.9 Grievance with a member of the National Management Team (NMT) If a complaint involves a member of the NMT, the workforce member should raise this in the first instance directly with that person, if he / she is comfortable to do so. If he / she is not comfortable, then HR should be contacted. If the complaint remains unresolved it may be referred in writing to the CEO who will determine an objective process to resolve the grievance in accordance with this policy. Any decision made by the CEO is final. If the workforce member is dissatisfied with the decision of the CEO, refer to Section 7.3 of this policy, but otherwise the decision of the CEO is final Grievance with the CEO If a complaint is made against the CEO, it must be referred in writing to the President of the Society in a sealed envelope provided to the General Manager, Legal and Policy. The President will determine an objective process to resolve the grievance in accordance with this policy. Date: 23 December 2010 page 7 of 10

8 If the workforce member is dissatisfied with the decision of the President, refer to Section 7.3 of this policy Confidentiality The complainant, respondent, witnesses and any other interviewee must keep all aspects of their participation in the investigation confidential. The Red Cross decision maker may disclose information as may be required to obtain any legal or other assistance or advice which may be relevant for the purposes of conducting and determining the investigation EAP support Red Cross provides a free, confidential and independent Employee Assistance Program (EAP) to all staff and volunteers. Refer to the Workforce Access to EAP Policy (HR SUP 18). Workforce members may use the confidential EAP to seek professional counselling on any work related or non-work related matter. EAP services are provided by PPC Worldwide. They can be contacted on No victimisation / detrimental action A complainant, witness, individual providing information, or support person will not be disadvantaged in their role with Red Cross for making a complaint or being involved in an investigation. Examples of victimisation or detrimental action include ostracising, demoting or dismissing a person. It is unacceptable to victimise a complainant, witness, individual providing information, or support person who has given information on behalf of a complainant, where the complaint has been made in good faith. Victimisation / detrimental action may be regarded as serious misconduct and will be treated in line with the Disciplinary Action Policy (HR SUP 15) and may result in termination of employment. It may also have external legal implications for the person committing the victimisation / detrimental action Vexatious complaints Disciplinary action may be taken against any person who makes a complaint which is vexatious (see definition) Such a complaint may also have external legal implications for the complainant. Date: 23 December 2010 page 8 of 10

9 6. RELATED DOCUMENTS HR PLA 01 Human Resources Framework HR PLA 02 Human Resources Policies Overview HR SUP 13 - Equal Opportunity Policy HR SUP 15 - Disciplinary Action Policy HR SUP 18 - Workforce Access to EAP Policy HR TRA 01 - Termination Policy Code of Conduct Work Health and Safety Policy Whistleblower Policy 7. REFERENCES Further information regarding industrial instruments Some Red Cross staff are covered by industrial instruments (that is, a modern award or enterprise agreement) which may provide further information regarding entitlements and processes. Refer to the list below for further information, or alternatively contact HR if you have any questions. Where there is an inconsistency between a modern award or enterprise agreement and the Red Cross policy, the modern award or enterprise agreement will take precedence specifically in relation to staff who are covered by that industrial instrument. 7.1 Awards applicable to some Red Cross staff include: Clerks Private Sector Award 2010 General Retail Industry Award 2010 Labour Market Assistance Industry Award 2010 Social, Community, Home Care and Disability Services Industry Award 2010 Storage Services and Wholesale Award Enterprise agreements applicable to some Red Cross staff: ARC Society (WA Division) Inc Certified Agreement Nov 2009 Australian Nursing Federation Registered Nurses Workplace Agreement 2007 Date: 23 December 2010 page 9 of 10

10 Lady Lawley Cottage Enrolled Nurses & Residential Care Workers Certified Agreement 2007 SA Division Enterprise Agreement 1 July External agencies This policy is designed to resolve complaints and grievances within Red Cross. However, nothing in this policy is intended to affect the right of a person to approach an external agency in relation to their complaint. Refer to for more information. Date: 23 December 2010 page 10 of 10