Policy Corporate Governance Bullying, Discrimination and Harassment Complaint Procedure for Staff and Affiliates

Bullying, Discrimination and Harassment Complaint Procedure for Staff and Affiliates

Intent

This Procedure details how Staff Members and Affiliates raise a Report or Complaint with James Cook University (JCU; the University) alleging bullying, discrimination and/or harassment under the Bullying, Discrimination, Harassment and Sexual Misconduct Policy (the Policy).

Scope

This Procedure applies in any incident of Bullying, Discrimination, and/or Harassment involving members of the University regardless of where (University premises or elsewhere) or when the incident occurred. It also directs members of the University Community to the appropriate policies and procedures to make a Complaint.

This Procedure does not apply to Reports or Complaints regarding Sexual Misconduct including Sexual Harassment and Sexual Assault. Staff Members and Affiliates should refer to the Sexual Misconduct Procedure.

Definitions

The meaning of terms used in this procedure are as per the Bullying, Discrimination, Harassment and Sexual Misconduct Policy and the University’s Human Resources Policy Glossary.

Responsibilities

Role	Responsibility
Staff Members and Affiliates	Participate in processes enacted under this procedure while maintaining confidentiality at all times regarding issues or complaints being resolved. Complying with any controls put in place. Be active bystanders where possible to prevent and address behaviours which are bullying, discrimination of harassment.
Managers and Supervisors	Create and foster an environment which promotes dignity, mutual respect, acceptance, cooperation, collaboration and productivity. Be alert to the possibility of bullying, discrimination and/or harassment by monitoring key indicators such as workplace culture, complaints data, absenteeism and staff turnover, and take appropriate action if they become aware of any alleged bullying, discrimination and/or harassment. Fulfil their duty of care to Staff Members and Affiliates by seeking to prevent bullying, discrimination and/or harassment from occurring by actively managing behaviour or conduct at the earliest opportunity where they become aware of behaviour or conduct that is inappropriate. Work with Staff Members to informally resolve issues as they arise and, where possible, address matters before they escalate. Respond promptly, sensitively and in a timely manner to complaints ensuring impartiality. Ensure confidentiality with respect to all issues and complaints brought to their attention. Liaise with Human Resources to seek process advice. Treat all issues and complaints seriously and take appropriate action in a timely manner. Undertake the Mandatory Bullying and Harassment for Supervisors training and ‘refresher’ training and ensure that Staff Members in their teams/Work Units have completed their training and ‘refresher’ training.
Director, Human Resources	Facilitate the provision of education and information to proactively discourage Bullying, Discrimination and Harassment for Staff Members and Affiliates. Monitor the effectiveness of this Procedure.
Human Resources	Liaise with Managers and Supervisors to provide support for addressing issues that are reported, and for Complaint handling. Provide information and advice to Staff Members. Engage with third party facilitators where required. Ensure Reports and Complaints of bullying, discrimination and harassment are dealt with in accordance with this procedure, including to: Clarify whether or not the alleged behaviour may constitute a breach of the policy (or whether it should be dealt with under an alternative policy/procedure); Provide information about the policy and procedure; and Provide advice on complaint resolution options and support programs available to both the Complainant and Respondent.
Equity Contact Officers (ECOs)	Provide support, reporting and referral information to Staff Members and Affiliates. Provide support to a Staff Member or Affiliate to report their concerns to the University utilising the appropriate reporting mechanism and procedure, including to: Clarify whether the alleged behaviour should be dealt with under an alternative policy/procedure; and Provide information about the relevant policy and procedure. Serve as the first point of contact for Staff Members and Affiliates who have concerns or questions about bullying, discrimination and/or harassment.

Procedure

1. General

1.1 Any Staff Member or Affiliate who believes they have experienced, witnessed or been advised of behaviour or conduct which constitutes bullying, discrimination and/or harassment as defined by the Bullying, Discrimination, Harassment and Sexual Misconduct Policy should make a Report or Complaint under this procedure.

1.2 Where a Staff Member submits a bullying, discrimination and/or harassment-related incident report via Riskware, the Work, Health and Safety team will ensure that it is also reported in the University’s reporting portal. The relevant Head of Work Unit and Human Resources will work with the Staff Member to identify the relevant stage of the process to be followed.

1.3 When a Report or Complaint concerns the conduct of a contractor associated with the University, the University will document the complaint and refer it to the contractor's employer for resolution.

1.4 The University will respect an individual's decision on whether they wish to make a Complaint to the University, subject to clause 1.6.

1.5 A Staff Member may seek the assistance and support of a Support Person/Representative at any stage during this process.

1.6 Reports and Complaints are kept strictly confidential except in exceptional and very limited circumstances, where required by law, or where there is an immediate and serious risk to any individual's health and safety. In such circumstances, the University may do one or both of the following:

a. Elevate the Report to a Complaint, in which case the individual who has been subjected to the incident has the right not to participate in any subsequent Investigation provided that this action would not result in a denial of natural justice to the Respondent; and/or

b. notify relevant third parties, including but not limited to the Queensland Police Service.

1.7 If a Delegate as part of this process is unable to exercise their decision-making authority for any reason, including but not limited to an apprehension of bias or a potential or real conflict of interest, in the first instance, the Delegate’s Supervisor or a more senior Manager in the line of authority will be required to exercise the delegated authority.

1.8 Staff Members or Affiliates may seek support from the University’s Employee Assistance Program at any time.

1.9 Nothing in this procedure prevents a Staff Member, and in some circumstances an Affiliate, from seeking advice from and/or lodging a complaint within relevant external bodies such as the Human Rights Commission, Queensland Police Service, Fair Work Commission, Fair Work Ombudsman and Workplace Health and Safety Queensland at any time.

2. Resolution Options

2.1 A Staff Member or Affiliate can at any time provide information to the University that an incident of bullying, discrimination and/or harassment has occurred. This can be done by lodging a Report or a Complaint. A Report or Complaint lets the University know that an incident has happened and enables support to be provided to the person affected.

2.2 Reports can be made anonymously, noting that the actions that are possible in response to an anonymous report are limited.

2.3 Complaints cannot be made anonymously, as the complainant will need to be involved in the resolution process.

3. Making a Report

3.1 Where a Report is received and the person has also provided their name, a HR Staff Member will be appointed to manage the case and will make direct contact with the Staff Member or Affiliate. Making a Report does not start an investigation. The HR Staff Member will:

a. advise the person of the support options available;

b. advise the person of their option to make a Complaint; and

c. be the person’s primary point of contact through the process.

3.2 Human Resources will assess the Report and consider if there are any risk mitigations activities that are possible and/or required. This may include escalation to the relevant Head of Work Unit or Deputy Vice Chancellor (DVC).

3.3 The University will act in line with the wishes of the person who made the Report. The options could include:

a. taking no immediate action;

b. resetting expectations about the offending behaviour or conduct with the other person/people;

c. the requirement for the other person/people to undertake internally provided training;

d. a Complaint being made.

4. Resolving a Complaint

4.1 Resolving a Complaint relating to bullying, discrimination or harassment under this procedure may include one or more of the following Stages, depending on the nature of the Complaint:

a. Stage One: Local-Level Resolution;

b. Stage Two: Assisted Resolution;

c. Stage Three: Alternate Dispute Resolution;

d. Stage Four: Formal Complaint Process; and

e. Stage Five: Investigation Process.

4.2 Resolving a Complaint under this procedure may involve multiple Stages, or may only involve one Stage, and may not occur sequentially.

4.3 Stages One to Three may not be appropriate to enact in some circumstances, and escalation to Stage Four: Formal Complaint Process may be deemed the appropriate stage to commence at. That is, formal action at Stage Four may be commenced by the University without informal attempts at resolution being exhausted. Managers and Supervisors are required to consult with Human Resources prior to commencing formal action. Examples where this may be appropriate includes:

a. Informal attempts at resolution have failed; and/or

b. The alleged inappropriate behaviour or conduct being complained about is assessed by Human Resources as victimisation or reprisal action as the result of an earlier Complaint; and/or

c. In the case of a Respondent who is a Staff Member, the Complaint involves allegations which could constitute serious misconduct within the meaning of the Enterprise Agreement.

4.4 There may be circumstances in which a Head of Work Unit or Supervisor a decide following consultation with Human Resources to take no further action. This may be appropriate where:

a. The person who made the Complaint has provided insufficient detail or evidence of the alleged bullying, harassment and/or discrimination to warrant the complaint progressing or to enable the matter to be properly investigated under this procedure; or

b. The Complaint is frivolous, vexatious or malicious (see section 7 below); or

c. The Complaint relates to alleged conduct that occurred more than 12 months before making the Complaint and no further occurrence has happened within the 12 months following the alleged conduct.

The Supervisor, Head of Work Unit or the Supervisor of the Head of Work Unit will write to the person who made the Complaint (and Respondent where appropriate) setting out the reasons for the determination to take no further action.

4.5 If at any time during the process outlined in this procedure the alleged behaviour or conduct is assessed as misconduct/serious misconduct it may be referred to Human Resources to manage under the misconduct/serious misconduct provision in the Enterprise Agreement.

4.6 A work, health and safety risk mitigation plan or assessment may be conducted at any stage of the process as appropriate or following the request of a Supervisor or Human Resources.

Stage One: Local-Level Resolution

Staff Members or Affiliates are encouraged to attempt to resolve an issue through informal resolution at the earliest possible opportunity and before the issue escalates, depending on the nature of the issue as referred to in clause 4.3.

Focus should be on the alleged inappropriate behaviour or conduct rather than on Staff Members involved or any history of interpersonal issues unrelated to the alleged inappropriate behaviour or conduct.

Step	Action
1.	A Staff Member/Affiliate must initially attempt to resolve the matter informally themselves at the workplace level by raising their concern with the other party or parties involved in the complaint if they feel able to do so. Staff Members/Affiliates can seek assistance from their Supervisor or a support person and/or representative, as well as seeking advice from Human Resources.
2.	If a Staff Member/Affiliate does not feel able to raise concerns with the other party or parties involved in a complaint, the Staff Member/Affiliate should raise their concerns with their Supervisor or consider making a Complaint through the University’s Reporting and Complaints Portal. Where a Complaint is made a HR Staff Member will be appointed to manage the case and will make direct contact with the Staff Member or Affiliate. Where the Staff Member/Affiliate’s concerns relate to the behaviour or conduct of their Supervisor, the Staff Member/Affiliate should instead raise their concerns with their Supervisor’s Supervisor.
3.	The parties should arrange a discussion to informally resolve the Complaint within 10 working days of the concern being raised. Potential outcomes may include but are not limited to: an agreement between the parties on acceptable behaviour or conduct; resetting expectations of behaviour and conduct for all parties by a Supervisor or the Supervisor’s Supervisor; an apology; and/or undertaking internally provided training programs or participation in facilitated discussions. Human Resources will assist in arranging facilitated discussions if requested by the parties involved.
4.	If the matter is informally resolved, the resolution reached between the parties should be recorded in writing and provided to Human Resources for filing on the case file.

Stage Two: Assisted Resolution

If the Complaint is not resolved at the first stage, the Staff Member/Affiliate (or their Representative) may choose to escalate the matter to Stage Two by notifying Human Resources and their Supervisor, if appropriate, or their Supervisor’s Supervisor of the unresolved Complaint. This written notification must be provided, where practicable, no later than 20 working days following failure to resolve at Stage One.

Step	Action
1.	Requests for Assisted Resolution will be sent to Human Resources and the Staff Member’s Supervisor, where appropriate, or the Supervisor’s Supervisor and should include the following information: The details of the Complaint and any supporting documentation; The attempts made to resolve the Complaint informally; Any response that was provided during or following the attempts at informal resolution, if applicable; Any solutions or remedies discussed; and The preferred remedy to resolve the Complaint and any alternative remedies that may be acceptable.
2.	Within 20 working days of receipt of a request for Assisted Resolution, Human Resources and the Supervisor or the Supervisor’s Supervisor, if involved, will attempt to resolve the Complaint. Resolution may be achieved as a result of : further enquiries into the Complaint; Conducting a facilitated discussion; and/or Recommending particular strategies for resolution.
3.	If a resolution is agreed to by the parties, the Supervisor, or the Supervisor’s Supervisor, in consultation with Human Resources will record the resolution in writing and provide to Human Resources for filing on the case file. If a resolution is not agreed to by the parties, the Supervisor, or the Supervisor’s Supervisor will notify the parties in writing of: any resolution that is recommended to the parties for acceptance; or any further recommendations which may be made to the Head of Work Unit or DVC (as applicable) which may include but are not limited to recommending formal ADR under Stage Three or referral directly to Stage Four; or the intention to take no further action in relation to the allegations, which must include the reasons for taking no further action.

Stage 3: Alternate Dispute Resolution

Alternative Dispute Resolution (ADR) in the workplace refers to various methods used to resolve conflicts between Staff Members without resorting to formal workplace processes. Common ADR techniques include mediation and facilitated discussions. ADR may help the parties resolve a Complaint and can occur at any stage of the complaint resolution process on an informal basis as a facilitated discussion.

Step	Action
1.	If the Complaint remains unresolved, and/or where it is considered appropriate in the circumstances given the nature of the Complaint, the parties may be directed by the Head of Work Unit in consultation with Human Resources to participate in a form of ADR. The ADR will occur within 20 working days, where reasonably practicable.
2.	The Head of Work Unit will ensure that appropriate arrangements and processes are put in place for the ADR.
3.	Mediation will be conducted by an independent and neutral person who may be internal or external to the University. Potential outcomes of the mediation process may include but are not limited to: An agreement between the parties on expectations of appropriate workplace behaviour and conduct, and communication protocols in the event future concerns arise; and/or Resetting expectations of behaviour and conduct for all parties by the Supervisor or the Supervisor’s Supervisor; and/or Undertaking recommended training programs; and/or Other remedial action/s as agreed between the parties, including an apology.
4.	Any agreed resolution of the Complaint must be recorded in an ADR outcome agreement and adhered to by the parties. The outcome agreement must be provided to Human Resources for confidential filing on the parties’ personnel files.

Stage 4: Formal Complaint Process

Where the Complaint is unable to be resolved through the above steps, or if the nature of the complaint warrants, a formal process may be commenced as appropriate. The Formal Complaint Process is a more structured approach used by the University to systematically resolve the Complaint.

Step

Action

A Staff Member or Affiliate can initiate a formal Complaint relating to a breach of the Policy by lodging a Complaint on the Staff Reporting and Complaints Portal.

Upon receipt of a formal Complaint, the Supervisor or the Supervisor’s Supervisor will seek advice from Human Resources on an appropriate approach to respond. Human Resources will conduct an assessment to determine the appropriate course of action and response to the Complaint.

The response to a formal Complaint may include:

A method of Alternative Dispute Resolution (Stage 3); or
Investigation (Stage 5); or
Referral to an external jurisdiction as per clause 1.12; or
No further action be taken as per clause 1.8.

Stage 5: Investigation Process

Where the Complaint is unable to be resolved through the above steps, or it is inappropriate to do so, an investigation occurs.

Step	Action
1.	If it is determined a formal investigation is necessary, an appropriate investigator will be appointed by the relevant Head of Work Unit or next level Manager in consultation with Human Resources.
2.	While the investigation process is being undertaken, Human Resources and the Head of Work Unit or next level Manager may give directives aimed at safeguarding the health and safety of the Complainant and Respondent. These actions may include: A requirement to participate in a risk mitigation plan or assessment process; and/or Directives that all communication between the parties is to cease, or be confined to specified matters and/or communication methods, or be overseen by a designated individual; and/or Temporary relocation of the Complainant and/or Respondent to limit interactions; and/or Agreement that particular activities do not need to be undertaken during the investigation period (for example, attendance at workplace meetings).
3.	To ensure natural justice and procedural fairness are afforded to both the Complainant and Respondent, the investigator will ensure that: The Complainant and Respondent receive information about the standard of conduct expected during an investigation process, including confidentiality; The Respondent is informed of the details of the Complaints against them; All participants in the investigation are informed of information relevant only to their role in the investigation; The Complainant and the Respondent have the right to be heard and be treated impartially; The Complainant, Respondent and any interviewees are afforded the right to a support person/representative at throughout the process; and The investigation report remains confidential and will not be released to any parties, unless required under law, but may be used to form allegations as part of any disciplinary processes.
4.	The investigator will make a finding about Complaint particular/s which are found to be in breach of the Policy, in which case the Complainant and the Respondent will be notified in writing whether the Complaint particular/s is/are substantiated and the reason for this determination.
5.	Other parties involved in the investigation will receive communication to confirm their involvement has concluded or the investigation process has concluded.
6.	On completion of an investigation, the relevant Head of Work Unit will determine appropriate actions, which may include but are not limited to: a requirement that the Complainant and the Respondent participate in ADR; Training; Adjustment to work arrangements, teams or task distribution; A direction that processes be altered or systems of work reviewed; Resetting expectations of behaviour and conduct by the Supervisor; Further monitoring; Where allegations are substantiated, a decision to deal with the matter as a disciplinary process under the Misconduct/Serious Misconduct provisions of the Enterprise Agreement; or Referral of the matter to an external body which may include the Queensland Police Service, the Fair Work Commission, Queensland Anti-Discrimination Commission and Workplace Health and Safety Queensland.
7.	The Head of Work Unit will be responsible for communicating the outcome of the investigation and providing updates to the respondent and complainant during this process.

5. Records

5.1 Records relating to Bullying, Discrimination and Harassment are confidentially managed, stored and archived in accordance with this Policy, Records Management and Information Privacy Policies. Records are kept strictly confidential except in exceptional and very limited circumstances, where there is an immediate and serious risk to any individual’s health or safety, or where disclosure is required by legislation.

6. Confidentiality

6.1 Information provided will be treated as confidential and will be provided only to those who have a need for the information for the purposes of managing the Complaint in the course of their employment with the University or when it is required in the course of investigating or resolving the Report or Complaint.

6.2 Any party involved in a matter relating to the Policy and this Procedure, including Complainant, Respondent, witnesses, interviewees and support people/representatives must treat a Complaint and all associated information and processes as confidential.

6.3 Investigations and outcomes of Complaints and any disciplinary proceedings are confidential and private to the parties involved.

6.4 A breach of privacy or confidentiality directions in relation to Complaints processes set out in this Procedure are considered a breach of the Code of Conduct.

6.5 The University will use de-identified information about the incidences of bullying, discrimination and harassment for reporting purposes.

7. Vexatious, Frivolous or Malicious Complaints

7.1 While the majority of Complaints are motivated by genuine concern about perceived or real inappropriate or unfair behaviour or conduct, on some occasions a Complaint may be vexatious or frivolous. A vexatious or frivolous Complaint is one which has the intent to harass or annoy, to cause delay or detriment, or is for any other improper purpose.

7.2 Any Complaint that is found to be vexatious or frivolous may constitute grounds for the Staff Member being issued allegations of misconduct/serious misconduct.

8. Pattern of Behaviour

8.1 Where a Complaint is received which involves a Respondent who has, within the last two years, had previous allegations of bullying, discrimination or harassment substantiated, the matter will be dealt with at the Stage Four: Formal Complaint Process section of this procedure.

9. Victimisation

9.1 Staff Members and Affiliates must not threaten or undertake retaliatory action towards a Staff Member/s or Affiliate/s who make a Complaint or are involved in the processes outlined in this procedure or who the Staff Member believes may have been involved in making a Complaint.

9.2 Where a Staff Member or Affiliate is subjected to threatening or retaliatory behaviour because they made a Complaint or are involved in the processes outlined in this procedure they should contact Human Resources.

9.3 Where a Staff Member or Affiliate threatens or undertakes retaliatory behaviour towards another Staff Member or Affiliate who has made a Complaint or is involved in the processes outlined in this procedure, this will be considered Misconduct/Serious Misconduct under the Enterprise Agreement.

Related policy instruments

Related policy instruments include but are not limited to the following documents. Further related instruments can be found at the JCU Human Resources website.

James Cook University Enterprise Agreement

Staff Code of Conduct

Bullying, Discrimination, Harassment and Sexual Misconduct Policy

Public Interest Disclosure Procedure

Student Code of Conduct

Student General Misconduct Procedures

Sexual Misconduct Procedure

Social Media Policy

Digital Technologies Acceptable Use Policy

Records Management Policy

Information Management Policy

Schedules/Appendices

Staff Reporting and Complaints Portal

Administration

NOTE: Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.

Approval Details

Policy Domain	Corporate Governance
Policy Sub-domain	Culture
Policy Custodian	Vice Chancellor
Approval Authority	Council
Date for next review	25/10/2029

Revision History

Version	Approval date	Implementation date	Details	Author
24-1	25/10/2024	29/10/2024	Major review and amendment of the procedure following release of an updated policy.	Senior Industrial Relations Specialist
NA	NA	24/11/2023	Administrative amendments to update references and links to the new JCU Enterprise Agreement.	Policy Officer
18-2	02/08/2018	03/08/2018	Administrative amendments to correct grammar and correct language.	Chief of Staff
18-1	05/07/2018	09/07/2018	Major review and amendment of the procedure as part of the response to the Broderick Review. Procedure implements the Bullying, Discrimination, Harassment and Sexual Misconduct Policy.	Chief of Staff
17-3	13/11/2017	14/11/2017	Administrative amendment to correct reference to incorrect clause number and correct approval authority	Deputy Director, Human Resources
17-2	27/10/2017	2/11/2017	Changes to clause 3.1.2 as advised by the Chief of Staff	Chief of Staff
17-1	26/10/2017	27/10/2017	Procedure for staff and affiliates relating to the Discrimination, Bullying and Harassment Policy.	Deputy Director, Human Resources

Keywords	Complaint, Complainant, Respondent, Victimisation, Code of Conduct, Breach, Misconduct, Serious misconduct, Discrimination, Harassment, Bullying, Intimidation, Sexual Harassment, Sexual Assault.
Contact person	Director, Human Resources