April News Staff complaints

In the past 6 months we have had a large increase in the number of communications about staff complaining about other staff members. This month we look at the process for dealing with this type of complaint.

Receiving a complaint from a staff member against another member of staff is difficult, especially in a small team. It is important that you follow a correct process that respects everyone involved and that you maintain confidentiality. Your response should be timely as a delay in responding to issues like this can have a negative impact on a team and its culture. 

It is easier to deal with complaints when they are formalised in writing. Remember, if a complaint has been received, the information contained in the complaint may only be disclosed with the complainant’s agreement. In serious circumstances you can act on a complaint without revealing the identity of the complainant.

This can sometimes make it difficult to act on a complaint and find a solution, however breaching the complainant’s privacy could potentially create further issues. The employee who the complaint is against cannot be part of the investigation process.

If you receive a formal complaint an investigation is required, an example process is outlined below. Each situation is different and therefore the process may need to be different depending on the circumstances. If the allegations are serious, you should take advice before commencing any process.

1. Interview the staff member who has made the complaint, take notes and confirm with them that they are happy for their name and complaint to be shared with the employee the complaint is against.
2. Interview any other people who are involved or who have witnessed the alleged incident. Again, take thorough notes.
3. Review all the information collected and decide if the complaint is justified and if so, what action is required. Remember to thank the complainant and witnesses, if no action is going to be taken advise them of this. If you are proceeding to an employment process, advise them that you are following up their complaint, but you are unable to share specifics.
4. If you decide the complaint is justified and the actions of the employee are unacceptable, then you need to advise the employee that a complaint has been made against them. Invite them to a meeting in writing. The letter must include a copy of the complaint, along with all other relevant information you have, and advise the possible disciplinary outcomes if the allegations are substantiated.
5. The meeting is for the employee to provide their responses to the complaint allegations, prior to you making any decision. Hold the meeting at a venue and time that suits both you and the employee. They should be encouraged to bring a support person or representative, especially if there is the possibility of a disciplinary outcome like a warning. Full meeting minutes should be taken or if agreed the meeting discussion can be recorded.
6. At the end of the meeting advise the employee when your preliminary decision will be given. You may want to allow a few days to give you the time to fully evaluate their responses and consider any history of similar occurrences, relevant agreement clauses, and practice policies, before making your decision.
7. Your decision should be given as a proposed outcome to give the employee a final opportunity to respond to this (a few days) before you confirm your decision, or change it based on the final responses you receive from them.

To summarise, the guiding principles when undertaking a disciplinary process are:

• investigate the allegations
• fully inform the employee of the allegations
• give the employee an opportunity to respond to the allegations with representation, and for you to consider their explanations, before giving your proposed decision
• allow time for the employee to add to their responses before presenting your final decision.

You can read our content on HealthyPractice once logged on at  Staff Complaints (healthypractice.co.nz)