A Review of Grievances and Complaints Procedures

1
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

2
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

3
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

4
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

5
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

6
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

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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 managers
  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

8
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

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Designing a Procedural Framework -- Five Steps (1)

• Identifying a Complaint
• Are there grounds?
• Who can help?
• Making a Complaint
• What are the entitlements of the parties?
• Assessing and Managing a Complaint
• Who 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?

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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?
• Determining and Managing Outcomes
• What will be done?
• Report?
• Recommendations?
• Agreements?
• Sanctions?

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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

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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

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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