Resolving Workplace Issues
Resources for Managers and Supervisors
2015
Note: This resource provides information to managers and supervisors regarding their role in managing and resolving workplace issues of inappropriate behaviour and misconduct. More information is available in:
· Resolving Workplace Issues: Overview
· Resolving Workplace Issues: Work Bullying, Harassment and Discrimination
· Resolving Workplace Issues : Misconduct and Investigations
Directorates may have additional resources and policies that apply. Refer to your local HR area for more information.
Contents
PREVENTING WORKPLACE ISSUES 3
RESOLVING WORKPLACE ISSUES 3
Level One: Employee Manages and Resolves Workplace Issues at the Local Level 4
Level Two: Employee Manages and Resolves Workplace Issues at the Local Level with Assistance 5
Level Three: Manage and Resolve Workplace Issue via ACTPS Enterprise Agreements 6
RECEIVING COMPLAINTS OF WORKPLACE ISSUES 7
CONDUCTING PRELIMINARY ASSESSMENTS 8
Outcomes of a Preliminary Assessment 10
What if the Preliminary Assessment indicates further investigation is required? 10
How is the relevant employee informed? 10
APPENDIX A: Guide for Conducting Preliminary Assessments 11
APPENDIX B: Options for Resolving Level One Workplace Issues 16
APPENDIX C: Options for Resolving Level Two Workplace Issues 18
APPENDIX D: A Note on Counselling 19
APPENDIX E: Good Practice When Managing Workplace Issues 20
PREVENTING WORKPLACE ISSUES
All ACTPS employees have a responsibility to contribute to positive work cultures and not engage in behaviour that may be inappropriate or constitute misconduct. In addition to the responsibilities outlined in Resolving Workplace Behaviour: Overview, which apply to all employees, managers and supervisors play an additional and important role in setting, monitoring and adjusting expectations regarding acceptable workplace behaviour. Managers and supervisors are expected to role model the ACTPS Values and Signature Behaviours, use the ACTPS Performance Framework to manage and educate their teams regarding performance and acceptable behaviour, and take action to address inappropriate behaviour or misconduct that they either observe directly or suspect, or that is brought to their attention by another employee or member of the public. Through these actions, managers and supervisors play a vital role in preventing workplace issues from arising and promoting positive work cultures where inappropriate behaviour or misconduct is “called out” as soon as it arises.
RESOLVING WORKPLACE ISSUES
If you receive a complaint, or witness/suspect inappropriate behaviour or misconduct has taken place, or may be taking place, there are several steps you can take to address it. In all cases it is important you take action to address the workplace issue early on to minimise the likelihood of the behaviour worsening over time or a negative culture developing within your team.
The most appropriate response will depend upon:
· the severity of the workplace issue;
· the context surrounding the workplace issue; and
· the frequency and impact of the workplace issue.
The first step in resolving workplace issues is to understand the seriousness of the issue at hand. Once this is determined, appropriate options for resolution can be identified. In the ACTPS, there are three levels at which workplace issues can generally be managed and resolved, as outlined below. This three-tier process is founded upon the ACTPS commitment to creating positive workplaces and promotes the resolution of workplace issues at the lowest possible level wherever appropriate.
A range of strategies are available at each level to support the efficient and effective resolution of the workplace issue. Any action taken should focus on positively influencing the employee’s future behaviour. The goal is for the behaviour to cease or improve and not re-occur, and it is important to start with this objective in mind.
Level One: Employee Manages and Resolves Workplace Issues at the Local Level
Resolving workplace issues that are inappropriate at Level One is a key means by which all employees can contribute to the ACTPS goal of creating positive work cultures. Early and direct resolution generally provides the best opportunity for a positive resolution in terms of maintaining and/or improving working relationships and continuity of work.
The features of a Level One workplace issue can include:
· one-off or irregular occurrence;
· not serious in nature;
· a series of low level, minor events;
· inappropriate in nature;
· does not appear to constitute misconduct as outlined in ACTPS Enterprise Agreements; or
· able to be resolved easily and quickly at the local level.
At Level One, employees can usually address the issue directly without your assistance; as the relevant manager or supervisor you may not even know that the issue has occurred. However, employees may seek your advice if they are uncertain how best to resolve the issue. If it is clear to you that it is appropriate to resolve the workplace issue at Level One, employees should be encouraged to resolve matters themselves by using some of the options outlined below:
· take no further action but monitor the situation;
· seek support and advice from a trusted and confidential source;
· seek counselling through an Employee Assistance Program (EAP) provider;
· seek personal development (e.g. training for resilience, having difficult discussions etc); or
· have a direct conversation with the individual.
See Appendix B for more information on these options.
It should be noted that the outcome of a Level Two or Three process may be that a decision is made to resolve the workplace issue through Level One at the local level.
The desired outcome at Level One is that the issue is successfully resolved in a non-disciplinary way, with ongoing monitoring to determine that the resolution is effective. If the issue is not resolved, Level Two options for resolution may need to be considered.
Level Two: Employee Manages and Resolves Workplace Issues at the Local Level with Assistance
Workplace issues of inappropriate behaviour and some instances of misconduct may be resolved at Level Two. The features of a Level Two workplace issue can include:
· the workplace issue appears to be complex;
· there may be disputed facts;
· the workplace issue involves a one off event that is more serious in nature;
· there appears to be a pattern of ongoing behaviour/s that are inappropriate;
· attempts to resolve at Level One have been made without success;
· the workplace issue requires a Preliminary Assessment to determine the best way forward; or
· an investigation at Level Three has indicated that the workplace issue can be resolved at Level Two.
Level Two workplace issues involve your direct assistance in resolving the issue. If an employee approaches you with a workplace issue that has not (or cannot) be resolved at Level One, you may decide you need more information about the workplace issue at hand. You obtain this information by conducting a Preliminary Assessment to determine the appropriate way of resolving the issue. For an issue to be managed at Level Two, the outcome of this assessment must indicate that the workplace issue can be resolved in a non-disciplinary way by using restorative processes and resolution techniques (RPRT) at the local level. It should be noted that this is not the only possible outcome of a Preliminary Assessment. Other possible outcomes include the issue being escalated to be managed at Level Three, or a decision being made that it is appropriate to resolve the workplace issue using Level One options such as personal development or a direct discussion.
RPRT are cooperative approaches that focus on resolving the workplace issue in a non-disciplinary way. RPRT are practical ways of resolving issues early and locally through communication, openness to others’ views, cooperation and reasonableness. The key advantage of RPRT is that they are educative and positive in nature, encouraging increased awareness of people’s feelings, standards of behaviour in the workplace and team dynamics. Once you have determined that RPRT are appropriate you need to develop and document a plan that specifies the steps to be taken, including the most alternative technique to be used. Your local HR team is available to assist with RPRT if required.
If the outcome of your Preliminary Assessment indicates that further investigation of the issue is required, your recommendation is forwarded to the appropriate delegate (the relevant decision-maker) who will decide the next appropriate steps.
It should be noted that the outcome of a Level Three process may also be that a decision is made to resolve the workplace issue at the local level (i.e. by using Level One or Two options).
The desired outcome at Level Two is that the issue is successfully resolved with no further action required, or the issue is resolved with ongoing monitoring to ensure the resolution is effective. If the issue is not resolved, Level Three options for resolution may need to be considered.
See Appendix C for more information on RPRT.
Level Three: Manage and Resolve Workplace Issue via ACTPS Enterprise Agreements
Workplace issues that constitute misconduct are generally managed at Level Three. The features of a Level Three workplace issue can include:
· attempts to resolve at Level One and Two have been made without success;
· repeated behavioural lapses or continuing underperformance;
· complex workplace issues where facts are not known or are contested; or
· the workplace issue appears to involve:
o a breach of Section 9 of the PSM Act;
o engaging in conduct that has or may bring the ACTPS into disrepute;
o unauthorised absence/s where no satisfactory reason is provided;
o convictions of a criminal offence, an offence where no conviction is recorded or failure to notify the ACTPS of criminal charges; or
o making vexatious or knowingly false allegations against another employee.
As with Level Two, the Level Three process commences with a Preliminary Assessment to determine the appropriate way to respond to the issue. If the outcome of this Assessment indicates that an investigation may be required, your recommendation will be forwarded to the relevant delegate for consideration and consultation with the local HR team. This may result in an investigation being undertaken in accordance with Section H (Workplace Values and Behaviours) of ACTPS Enterprise Agreements. The investigation is conducted by an independent investigator to uncover the facts relevant to the workplace issue, and may involve interviewing all relevant employees, reviewing documents and so on. The findings of the investigation are forwarded to the delegate who determines an appropriate resolution. This can include a decision to resolve the matter in a non-disciplinary way (e.g. using Level One or Two options), or to take disciplinary action against any person/s found to have conducted the alleged behaviour/s. The types of disciplinary action include:
· a written warning or admonishment;
· a financial penalty (e.g. reduction in classification level, deferment of incremental advancement, fine or removal of existing monetary benefits);
· temporary or permanent transfer to another position at level or to a lower classification; or
· termination of employment.
The desired outcome at Level Three is that the issue is successfully resolved, which may be through the use of disciplinary action or use of Level One or Two non-disciplinary options. If the issue is not resolved, or the employee adjusts behaviour appropriately but resumes behaviour of a similar nature at a later point, then further action will be taken as appropriate.
For more information on these processes, refer to Resolving Workplace Issues: Misconduct and Investigations resource.
RECEIVING COMPLAINTS OF WORKPLACE ISSUES
If you are approached by an employee with concerns about a workplace issue of inappropriate behaviour or misconduct, you should:
1. Ensure the employee is familiar with the Resolving Workplace Issues resources (if not, give them copies of the relevant material, especially the Resource for Employees).
2. Listen and acknowledge the workplace issue raised and the concerns of the employee, remaining respectful and objective during the process and maintaining appropriate confidentiality.
3. Provide advice and support, including informing the employee about your directorate’s EAP, and ensure that the health and safety of all involved staff is not at risk.
4. Discuss the issue in detail, including asking appropriate questions to collect all relevant information (and take notes to ensure you don’t miss anything).
5. Find out what outcome the employee would like.
6. If necessary, conduct a Preliminary Assessment to determine the best way forward, remembering that you might not need to conduct one if it is clear that the workplace issue can be resolved by the employee/s involved. In this case, your role is to provide support and advice so that the employee can determine how to resolve the issue directly, or offer to assist the employee if they do not wish to resolve the issue directly themselves.
7. If you aren’t sure about the correct process or need further assistance, remember to contact your local HR team for support and advice. It is important not to get this process wrong!
Feelings/Thoughts / Desired OutcomesFear of retaliation from those involved in the workplace issue / Just want the issue to stop and things to ‘return to normal’
Fear of being blamed / A desire to ensure that similar behaviour is not repeated again or towards others
Concerns about loss of privacy / Want to leave the job
Worry about being seen as a ‘trouble maker’ / For the issue to be resolved without investigation
Concerns about losing control of the process by telling someone / To find out their options for resolution
Worrying there is not enough evidence to support their claims / That no action be taken at all
Feeling scared to discuss the issue in full detail / Wanting a support person present for all related discussions
Finally, remember that depending upon the nature, severity and frequency of the issue at hand, the employee who has approached you may be experiencing a range of thoughts and emotions, and have a range of desired outcomes already in mind, as per the below table:
CONDUCTING PRELIMINARY ASSESSMENTS
The Preliminary Assessment is an objective and impartial assessment that you are required to undertake once you have been alerted to a workplace issue that may involve inappropriate behaviour or misconduct. A Preliminary Assessment is not an investigation; it is an expedient means of determining the relevant facts to decide if, and how, to proceed with the matter. The assessment should be conducted as soon as possible, be as short as is practical and should cease as soon as it becomes evident how best to handle the issue.