Resolution Process Policy

Purpose

The resolution process outlines the steps that will be taken in the event a complaint is made.

Scope

All employees.

Policy Statement

Employees, contractors and temporary staff. This scope may be expanded to include other workers, visitors or the public depending on the complaint.

Policy Owner and Effective Date

Human Resource Manager

Effective Date 1 May 2018

Policy Updated 1 May 2018

Policy statement

TEG aims to achieve a reasonable resolution for all parties in the event a complaint or grievance is raised.

What is a complaint/ grievance?

A grievance is any type of problem, concern or complaint related to an employee’s work or the work environment. A grievance can be about any act, behaviour, omission, situation or decision impacting on an employee, which the employee believes is unfair or unjustified.

A grievance can relate to almost any aspect of employment, for example:

a) safety in the workplace; or
b) an act of discrimination, harassment or bullying.

Characteristics of the resolution process

TEG will reasonably endeavour to make sure the grievance process is fair, confidential, transparent, accessible and efficient.

Fair – Both the person complaining (the complainant) and the person being complained about (the respondent) will have the opportunity to present their version of events, provide supporting information and respond to any potential negative decisions. In addition, the person investigating and/or making decisions about the complaint will be impartial; that is, he or she should not favour the complainant or the respondent or prejudge the complaint in any way.

Confidential – This means that information about a complaint is only provided to those people who need to know about it, for a resolution to be actioned properly. It may be necessary to speak with other employees or workplace participants to determine what happened so as to afford fairness to those against whom the complaint has been made, and to resolve the grievance/ complaint. Breaches of confidentiality will be treated seriously and may result in disciplinary action, including termination of employment/ contract.

Transparent – The resolution process and the possible outcomes of the complaint will be clearly explained and those involved will be kept informed of the progress of the complaint and the reasons for any decisions.

Accessible – The resolution process is easy to access and understand, and everyone can participate equally. For example, an employee may require a language interpreter to understand and participate or a person with a disability may need information provided in a specific format.

Efficient – The resolution process will be conducted without undue delay. As time passes, information relevant to the complaint may deteriorate or be lost, which will impact on the fairness of the process. In addition, unresolved complaints can have a negative and ongoing impact on a workplace.

TEG will act to ensure that employees are protected from being victimised (if making a complaint) and/or protected from vexatious or malicious complaints (the person a complaint is being made against). Where either of the above occur, action will be taken that may involve disciplinary action, including termination of employment/ contract.

Accurate and appropriate confidential records will be kept by the person/s responsible during the resolution process. These records will be kept in secure filing by the Human Resources team.

The process of resolving a grievance

Process 1: Attempt to resolve the grievance yourself

In some situations, where an employee feels comfortable to do so, they should attempt to address the issue directly with the person(s) involved. The employee may discover that the other person was not aware of their concern/s and the matter may be able to be resolved directly.

This approach may be useful where:

the complainant indicates a desire to sit down and discuss the matter with the respondent informally and this seems appropriate in the circumstances.
the information on hand supports a view that the complaint has arisen from a misunderstanding or miscommunication.
the behaviour being complained about is not serious and does not appear to be discrimination or harassment, as defined by TEG’s EEO, Discrimination and Harassment Policy.

Early resolution may involve, but is not limited to:

a direct private discussion between the complainant and the respondent
an impartial third person conveying information between those involved
an impartial third person helping those involved to talk to each other and find a solution.

If the employee does not feel comfortable talking to the person(s) involved, or they have attempted to and it was ineffective in reaching a resolution, the employee should report the grievance to their direct Manager and/or their HR Representative.

After reporting a grievance, the Manager or HR Representative will conduct an initial meeting with the employee to:

Obtain information about the employee’s complaint/ grievance and possible resolutions.
Explain how the resolution process works.
Decide on the most appropriate person to manage the process.
- This includes considering whether they have the necessary authority and can deal with the grievance in an impartial manner. If the HR Representative / Manager feels they cannot effectively handle the employee’s grievance they will refer the matter to another person more appropriate.

Where it is not practical to conduct such a meeting, the HR Representative / Manager may carry out these steps by telephone or via written correspondence.

Process 2: Informal resolution

In instances where an employee does not feel comfortable to address the issue directly, the informal resolution process can be initiated by the employee contacting their HR Representative / Manager who will then act on the employee’s behalf. The action taken will depend on the individual circumstances of the grievance and could include but is not limited to:

Discussing the issue with the person against whom the complaint is made; and/or
Facilitating a meeting between the parties in an attempt to resolve the issue and move forward.

Many grievances can be resolved through the informal resolution process. In circumstances where the Manager or HR Representative considers the informal process is not appropriate (i.e. if the grievance is serious) the grievance may be escalated to the formal process.

Process 3: Submit a formal complaint

If the grievance cannot be resolved through the informal procedure or the informal procedure is not appropriate, the formal process may be commenced.

The formal resolution process involves a formal investigation of the grievance/ concern and a decision about appropriate actions and outcomes for all involved.

The investigation generally involves collecting information and then making a finding based on the available information. Once a finding is made, the manager and/or HR representative or an external investigator will make recommendations.

The employee can seek advice from their manager, HR representative or a support person at any stage during the resolution process. The employee can bring a support person to any meeting if they provide prior notice of the name of the employee they intend to invite.

Examples of recommendations might be a/an:

Apology (verbal or written).
Agreement to change or stop behaviour.
Agreement to amend or develop policies.
Requirement to undertake human resources and equal opportunity training.
Job reinstatement or reference.
Access to a previously denied job opportunity or service.

If TEG considers it appropriate for the safe and efficient conduct of an investigation, employees may be required not to report for work during the period of an investigation.

TEG may also provide alternative duties or work during the investigation period. Generally, employees will be paid their normal pay during any such period.

Determining an outcome

TEG will in its sole discretion determine whether any outcomes (disciplinary or otherwise) are appropriate. The outcomes will depend on the nature of the grievance and the procedure followed to address the grievance.

Where an investigation results in a finding that a person has engaged in conduct in breach of a TEG Policy or process, that person may face disciplinary action. The type and severity of disciplinary action will depend on the nature of the complaint/ grievance and other relevant factors.

Where the investigation results in a finding that the person complained against has engaged in serious misconduct, this may result in disciplinary action up to and including termination of employment.

Responsibilities

During the resolution process, it is very important that all parties:

Act in good faith (i.e. are not misleading or deceptive).
Raise concerns or issues as soon as possible.
Provide relevant information ahead of when it is needed and as soon as possible so that all information can be carefully considered.
Are responsive and communicative.
Keep an open mind, listen to each other and be prepared to change opinion about a situation or behaviour.
Maintain confidentiality.
Treat each other with respect.

Review process

If the employee is dissatisfied with the outcome of the formal investigation, they may request for the decision to be reviewed by an external mediator, the General Manager – Operations and HR, CFO, CEO or another contact person as determined by TEG at the time.

TEG’s goal is to resolve issues quickly and fairly, wherever possible. Employees can seek the assistance of an outside agency if they feel that their complaint has not been adequately addressed. An example of an external mediator might be the Fair Work Commission (Australia), or the Employment Relations Authority (New Zealand).