A Review of Grievances and Complaints Procedures

Jan Stuart, Senior Consultant

Human Resources

Beverley Hill, Manager

Equity and Diversity

The University of Western Australia

OMBODSHEAA Conference

The University of New England

4th December 2006

The Problem(s)

• Too many processes -- how to choose the right one

• Processes too complex and time consuming• People not always happy with the process (let

alone the outcome)• Perceptions of ‘ad hocery’ • Auditor-General demanding better

accountability on complaints from all public sector bodies

• Commonwealth legislation requiring clear and accessible processes as part of governance protocols

Scope of the Problem

• Public Complaints -- no formal system other than for parking

• Student Grievances and Complaints -- different procedures for PG and UG

• Staff Grievances and Complaints -- general policies & guidelines, industrial agreements and legislation, equity legislation, safety & health legislation, research conduct leading to confusion

Our Approach

• Establishment of a Working Party chaired by Robyn Carroll, UWA Law School

• Representation from across the University -- Legal Services, Equity & Diversity, Human Resources, Vice-Chancellery, UG Studies, PG Studies, Guild

Terms of Reference

• To identify the nature and range of complaints and/or grievances that may occur in the University

• To review the various mechanisms by which these complaints and/or grievances are currently resolved

• To advise on principles that should pertain in the resolution of these complaints and grievances

• To identify ways in which current grievance/complaint processes can be improved and/or streamlined

Methodology

• Scanning the literature• Conducting an online survey --

complainants, respondents, managers and others (eg witnesses, advocates, mediators)

• National research -- Professor Hilary Astor

• Establish three Sub Committees -- public complaints, student grievances and complaints, staff grievances and complaints

Principles to be Maintained

• To base processes on existing management structure• To resolve grievances and complaints at the lowest level

wherever possible• To reinforce that grievance and complaint resolution is an

integral part of a manager’s duties• To refer complaints to a range of dispute resolution

processes (including reference to an externally constituted body) where appropriate

• In some instances to address the issues raised by a complaint as a responsibility for duty of care even if a complaint has been withdrawn or the concerns have arisen in a context other than as a formal complaint

• To operate in accordance with procedural fairness in the resolution of grievances and complaints

Issues Raised (Staff Complaints)

• Need for clarity in interpretation of terms and processes

• Less than effective use of procedures by management at the local level leading to concerns about timeliness

• Need to comply with a complex legislative environment and to adhere to international standards

• Need for policy and operational consistency and alignment

• Lack of coordination and system reporting -- risk management concern

Designing a Procedural Framework -- Five Steps (1)

1. Identifying a ComplaintAre there grounds?

Who can help?

2. Making a ComplaintWhat are the entitlements of the parties?

3. Assessing and Managing a ComplaintWho is the right person to manage the complaint?

Who has the authority to do what is required?

Is there is role for conflict resolution process while investigation proceeds?

Designing a Procedural Framework -- Five Steps (2)

4. Complaints and Dispute Resolution (processes)

What process is best suited to resolve the complaint?

At what level should the complaint be resolved?

5. Determining and Managing OutcomesWhat will be done?

• Report?

• Recommendations?

• Agreements?

• Sanctions?

Areas of Recommendation

• A coherent policy and simplified procedures• Systemic data collection and reporting• Simplicity, coherence, alignment, and integration in

procedures• Awareness raising and information for complainants and

respondents• Skilling those charged with managing complaints

(training and support)• Careful ‘before’ and ‘after’ management• Adequate record-keeping• Using a case management approach• Providing adequate resources• Developing performance indicators

• Enforcing agreements

Some ‘Difficult’ Issues(System and Process)

• Simplification -- Yes, but how?• Responding to anonymous complaints --

whistle blowing • ‘Formal’ versus ‘Informal’ complaints• Complexity of current industrial

agreements -- one staff, one process• The authority of the Head of School• Adequate resources

Some ‘Difficult’ Issues(The Participants)

• Personal capacity and skills of the managers -- the need for training and acknowledgement of responsibility

• Perception by staff that complaints are ‘career limiting’

• Perception that some people are ‘untouchable’

• The ‘emotional intelligence’ and/or mental health of participants

• Power differentials