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What is a Grievance?
For the purposes of this policy and procedure, a “grievance” occurs when a staff member feels aggrieved about a matter associated with his or her employment conditions, or when he or she disagrees with a decision, action or behaviour in the workplace by a fellow worker, supervisor or manager that may affect the working relationship or work environment.
Handling Grievances
1. It is expected that grievances will be managed sensitively and as expeditiously as possible by the University’s responsible officers. General timeframes are indicated in this procedure as a guide only (matters will vary due to complexity and availability of parties). Similarly, it is expected that grievances will be lodged expeditiously and not after a lengthy delay or in relation to matters that would reasonably be seen as long past or historical.
2. In some instances, due to the seriousness of a grievance or some technicalities, it may be appropriate to have two people investigating a grievance collaboratively. One who is likely to be the supervisor or manager of the area – effectively authoritative on the norms and standards of a discipline or division, while a second person from HR the Legal Office or elsewhere who may be knowledgeable about administrative issues, including processes of procedural fairness. Where two people are investigating, it is likely to be one male and one female.
3. Again, in some circumstances, where the grievance is likely to be raised against a supervisor or manager, the Dean or Director will appoint someone outside the reporting line to undertake either conciliation or investigation of a grievance. The Director Human Resources is available to provide advice about the options and probity of these matters, when appropriate, and may intervene to appoint a person for this role.
4. The parties involved in grievances are expected to participate in good faith, have regard to facts, policies, procedures, and the particulars of the circumstances. Grievances will be reviewed in the spirit of achieving resolution, procedural fairness, sensitivity to the parties and confidentiality. Action will not be taken in regard to anonymous grievances unless it meets the provisions of a “protected disclosure” – see Protected Disclosures Policy.
5. Any party to a grievance may request assistance of a person, especially an observer or interpreter to attend with them if being interviewed. This person may not be a practicing barrister or solicitor.
General exclusions
1. It is important to note that grievances will not be investigated where the grounds for the grievance appear to be vexatious, frivolous, or malicious or where it is considered that they are lodged to avoid performance management, misconduct or other serious workplace matters. In addition, grievances may not be investigated if an external review process has been lodged and is underway.
2. Personal disappointment with the determination and recommendations of a Grievance Handler will not normally be sufficient reason to warrant a further review.
3. Where a matter arises that is more appropriately dealt with under the Enterprise Agreement or via criminal investigations, then these matters may be referred elsewhere rather than be managed as a grievance.
Record Keeping
Notes should be taken at all stages of the grievance resolution process, including where a staff member raises a grievance and the supervisor intervenes to resolve it without otherwise receiving a formal grievance document. Records or notes of the supervisor, local manager, Grievance Handler, Reviewer, Deputy Vice Chancellor (DVC) or Director, Human Resources (DHR) and copies of relevant communication during the grievance resolution process should be stored on a confidential University file.
For statistical purposes and trend analysis, persons facilitating grievance resolution should keep data on the number and type of grievances and report on this, as and when required to the Director Human Resources or the Senior Advisor, Equity.
Training for effective Grievance Resolution and a healthy workplace
1. ANU will schedule training for supervisors and mangers in grievance handling, including the underlying legal framework. In addition, it is expected that grievance reviewers will not only undertake the initial training in grievance handling but may have access to supplementary training in procedural fairness and review of decision making.
2. All human resources staff, supervisors and managers are encouraged to seek and undertake training in effective grievance resolution, and a good working knowledge of the issues in relation to workplace bullying, sexual harassment and related issues of cultural and gender sensitivity.
3. All staff members are encouraged to access appropriate training so that they may participate in, encourage and respect the diversity of colleagues and students at the ANU.
Conciliation and Early Resolution
1. It is acknowledged that from time to time, staff will have concerns about the behaviour or decisions taken by others within the workplace. Normally, these matters will be resolved directly or locally by staff discussing these matters in an open, candid and constructive manner. Where this informal approach does not resolve the concerns and a staff member speaks to a supervisor, manager or lodges a formal grievance, then it is expected that any person lodging a grievance in good faith will not be disadvantaged or victimised in raising the grievance.
2. Supervisors’ and managers’ general responsibilities include identifying, preventing and responding to inappropriate situations in the workplace so as to create productive work environments. The University may decline a staff member’s grievance if it is satisfied that the submission is vexatious, frivolous, misconceived, lacking in substance or another University procedure should be pursued.
3. Where a staff member brings an issue to the notice of a supervisor or manager, even if not lodging a formal grievance, it is incumbent upon the supervisor or manager to clarify the issue and follow up, as appropriate, to resolve the matter effectively. It is not necessary for a staff member to formally lodge a grievance, to prompt a supervisor or manager to act, where he or she considers that a serious concern warrants intervention.
4. Supervisors and managers are advised to seek advice from Human Resources staff or the Legal Office where there are allegations of sexual harassment, discrimination, workplace bullying as these issues may have technical components under particular Employment Equity, OH&S and/or workplace Relations legislation. Supervisors and managers are to be cognisant of potential inequalities arising from positional power, cultural and gender sensitivities and their overall need to maintain confidentiality and discretion in resolving grievances.
5. The underlying premise of these procedures is that in most cases it is more effective and relevant to clarify (and sometimes investigate) and resolve grievances as close to their source as possible, i.e. at the college, school or administrative unit level.
6. Staff members may also seek advice from their local management (including College General Manager or School Executive Officers, local or central HR practitioners or the Advisor to Staff, if appropriate). These people will assist but not advocate in relation to staff grievances. The University also retains the services of an Employee Assistance Program Provider which can be contacted by phone and which is separate and confidential. –see ANU Employee Assistance Program.
7. Where a staff member is also an enrolled student and a grievance may be dealt with under either the staff or student grievance policy, the University will determine which policy to apply, in consultation with the staff member lodging the grievance. It is not intended that both policies be used in regard to the one grievance. In addition, this procedure is not to be used where a complaint has an existing separate appeal mechanism.
8. It is anticipated that effective local action focussed around conciliation will prevent the need for more investigative or formal processes to resolve grievances. It is acknowledged that in some cases the lack of effective conciliation may itself be the prompt for formal investigation rather than the original grievance and this circumstance should be avoided.
Stages of Formal Grievance Resolution
Stage One – Formal Grievance
1. Usually, a staff member will attempt to resolve a grievance directly, but where he/she has not achieved a satisfactory resolution then that staff member may formally request that the supervisor or local manager (hereafter called the Grievance Handler) take action to investigate and resolve the grievance often through conciliation.
2. In cases where the supervisor or manager is the focus of the concern, the staff member may seek advice from the Executive Officer of the School, General Manager of the College, or the local HR Manager on how best to proceed. In some cases it may even be necessary for a university officer be appointed by the HR Director from another area of the University as Grievance Handler, to investigate a grievance for the sake of perceived fairness and impartiality.
3. The staff member must state in writing what the grievance is, identifying the facts and issues together with an indication of what resolution is being sought e.g. discontinuing certain behaviour, review of decision, apology from a staff member.
4. Within two working days, the Grievance Handler will have clarified the details of the grievance with the staff member and subsequently advised any other persons of the particulars of the grievance.
5. In some circumstances, however, where a supervisor or manager is untrained, inexperienced or where the matter is technical, difficult or sensitive, particularly in the areas of bullying, discrimination or harassment, then supervisors, managers and Grievance Handlers are to seek advice or guidance from local or central Human Resources staff.
6. Within a further ten working days, the Grievance Handler will ascertain the nature and merits of the grievance, providing all relevant parties with information and the opportunity for input, maintaining an open mind in an effort to understand the issues as seen by the various parties. The Grievance Handler will gather any documentation or supporting material and take such notes as necessary to fairly represent the issues.
7. The Grievance Handler will attempt grievance resolution, often through conciliation, at which time the matter will be deemed resolved. Where conciliation does not provide grievance resolution, the Grievance Handler is likely to make a determination in relation to the grievance raised.
8. The Grievance Handler will make a determination based upon the material gathered as to the merits of the grievance and make recommendations on options to resolve the grievance. Options can include:
- affirming the decisions and actions that prompted a grievance (effectively dismissing the grievance);
- recommending one or more parties apologise;
- requesting parties seek mediation;
- recommending performance discussions occur; and
- initiating training in certain issues or behaviours.
9. In some cases discipline action or criminal investigations may be warranted and the grievance referred for further action.
10. The decision and recommendations of the Grievance Handler are to be communicated in writing to the staff member who lodged a grievance and other parties, if appropriate.
Stage Two – Review of Formal Grievance Resolution
1. Subject to Stage One being completed, and where a staff member is not satisfied with the determination of the grievance made by the Grievance Handler, the staff member may seek a review of the grievance outcome or process with the Dean of a College, Director of a Division or Head of Hall (hereafter called the Reviewer). Such a review must be lodged within five working days of the written advice provided by the Grievance Handler.
2. As with Stage One, the staff member must lodge the request for a review in writing, stating how or why the process at Stage One did not resolve the grievance and what remedy the staff member seeks.
3. Within two working days, the Reviewer will have clarified the details of the dissatisfaction with the initial grievance determination and subsequently advise any other persons of the particulars of the review.
4. In some circumstances, however, where a Reviewer may be untrained, inexperienced or where the matter is technical, difficult or sensitive, particularly in the areas of discrimination or harassment, then Reviewers are to seek advice or guidance from local or central Human Resources staff, the Senior Equity Advisor or the Legal Office.
5. Within ten working days, the Reviewer will assess the process that occurred to determine the merits of the initial (Stage One) grievance, providing the opportunity for any additional input, and maintaining an open mind. The Reviewer will re-assess any documentation or supporting material and seek further material, as required.
6. Having regard to the original facts, issues and any additional information discovered, the Reviewer will decide if the initial determination of grievance was valid or should be set aside. It is not intended, however, that the Reviewer intervene to overturn a finding of the Grievance Handler unless the Reviewer has found that there has been a flaw in process or other serious error at Stage One. In some cases, the Reviewer may require the Grievance Handler to conduct the process at Stage One again, giving guidance on the process. Alternatively, the Reviewer may request that someone else conduct the process again at Stage One for the sake of inspiring confidence in the grievance resolution process.
7. The Reviewer will write to the staff member to advise the determination and the outcomes of the review of the grievance.
Stage Three – Final Review
1. In cases where a grievance is against a senior member of the University’s staff or where a staff member remains dissatisfied with the process after Stage Two, a grievance may be lodged with the Deputy Vice Chancellor (DVC) or Director, Human Resources (DHR).
2. Stage Three grievances must be lodged in writing stating the facts and issues, outlining the remedy sought. In the case of review of previous Stages, this document must state how and why the previous Stages have failed to address the grievance and be lodged within five working days of the Reviewer’s written advice of the outcomes of their review.
3. Within two working days, the DVC or DHR will clarify the details of the grievance against a senior staff member or the dissatisfaction with the earlier Stages and subsequently advise any other persons of the particulars of the Stage Three grievance.
4. Within ten working days, the DVC or DHR will assess the details or process that occurred to determine the merits of the grievance, providing the opportunity for any additional input, and maintaining an open mind. The DVC or DHR will assess/re-assess any documentation or supporting material and seek further material, as required.
5. Having regard to the facts, issues and any additional information discovered, the DVC or DHR will make a determination on the grievance or review of the earlier Stages. Although the DVC or DHR will determine an original grievance involving a senior member of staff, it is not intended that the DVC or DHR will overturn a finding from Stage One or Stage Two unless the he/she has found that there has been a flaw in process or other serious error. In some cases, the DVC or DHR may require a supervisor or local manager (Grievance Handler), Dean of a College, Director of a Division or Head of Hall (Reviewer) to conduct their part of the grievance resolution process again, giving guidance if appropriate. Alternatively, the DVC or DHR may request that someone else conduct the process and this may include referring the matter to an external mediator or consultant. The DVC or DHR will write to the staff member to advise the determination of the outcomes of the final review of the grievance.
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