Behavioural complaint resolution guidelines
1.
PURPOSE
The aim is to provide a step by step guide to GOTAFE’s Behavioural Complaint Resolution process.
This guideline must be read in conjunction with GOTAFE’s Behavioural Policy and Behavioural
Procedure.
2.
DEFINITIONS
Term
Definition
Appropriate Person
This person may differ depending on the circumstances and
seriousness of the conduct and the balance of power.

Student on Student (Teacher)

Teacher on Teacher (Team Leader/Manager)

Teacher on Student (Team Leader or Manager of Teacher)

Student on Teacher (Team Leader/Manager)

Manager on Teacher (Divisional Manager/Contact
Officer/People and Performance)
Under ALL of the situations above, you may ALWAYS refer to the
GOTAFE Contact Officer to seek guidance.
Charter of Human Rights
The Charter of Human Rights and Responsibilities Act 2006 (the
Charter) is a Victorian law that sets out the basic rights, freedoms
and responsibilities of all people in Victoria.
Contact Officer
Means a GOTAFE designated Contact Officer whose role is to
provide advice and guidance on the operation of this Procedure.
Delegated Person
Means a GOTAFE staff member who may be approached by the
initiator to act informally on their behalf to raise any alleged conduct
and resolutions with the respondent(s). This person may be, for
instance, a teacher or other staff member, a Team Leader or a
member of the People and Performance team.
Employee Assistance
Program (EAP)
All employees are able to access free and confidential counselling
and support services through EAP. Employees are encouraged to
use the services available to help them with any issues (whether in
their work or personal life).
Initiator
The person making the complaint, this may be any member of
GOTAFE including managers and team leaders; board members,
full-time, part-time or casual, temporary or permanent staff, job
candidates, student placements, apprentices, contractors, subcontractors and volunteers.
Investigative Panel
A Panel formed at the discretion of the Executive Manager, People
and Performance or delegate, and is of suitably knowledgeable
individuals within GOTAFE authorised to undertake investigations
on its behalf.
The Panel shall consist of a minimum of 2 individuals, who must be
of mixed gender. No member of the Panel who has been involved in
any part of the process leading up to Investigation, or who has a
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potential conflict of interest, will form part of the Panel. The
Executive Manager, People and Performance reserves the right at
any Stage of this procedure to engage the services of an external
third party for mediation or other related purposes.
Mediation
A settlement of a dispute or controversy by setting up an
independent person between two contending parties in order to aid
them in the settlement of their disagreement.
Natural Justice
In the management of complaints, misconduct and unsatisfactory
performance matters, the principles of natural justice must be
observed. The Guidelines incorporate these principles and include
the following;
• The right of an individual to know the allegation(s) being
made against him or her;
• The right of each party to be heard in respect to the
allegations;
• The right of each party to be treated fairly;
• The right of the employee to have a support person or
representative present during formal interviews as part of
these Guidelines (the role of the support
person/representative is detailed below in the Guidelines);
• The right of each party to an investigator and a decision
maker who acts fairly and in good faith; and
• The right that a decision is based on evidence.
Respondent
An individual in which a complaint has been made against.
Serious Misconduct
Serious misconduct is a serious breach of the contract of
employment and includes misconduct which, in GOTAFE’s opinion,
is: likely to cause serious risk or prejudice to the business or its
reputation, viability or profitability or the health and safety of any
person; or wilful or deliberate behaviour by an employee that is
inconsistent with the continuation of the contract of employment.
Serious misconduct will normally lead to dismissal without notice or
pay in lieu of notice (summary dismissal).
Support Manager
Would normally be a Team Leader or similar.
Support Person
Any person that an individual wishes to have present during formal
or informal discussions for support purposes by providing emotional
support and reassurance, taking notes or giving advice to the
employee, explaining or clarifying questions asked and/or
processes, assisting in clarifying a response if the employee has
difficulty communicating a response to the interviewer, seeking
breaks to assist employees. The Support Person may include
family and friends but is not to be legal counsel.
Victimisation
Victimisation means punishing or threatening to punish someone. It
is against the law to punish or threaten to punish someone because
they have asserted their rights under equal opportunity law, made a
complaint, helped someone else make a complaint, refused to do
something because it would be discrimination, sexual harassment
or victimisation.
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3.
GUIDELINES
Stage 1 – Informal Resolution
Item
Action/Comment
Responsibility
1.
If possible, the initiator should discuss the matter directly with the
respondent, informing them of how they feel about the issue, and
attempt to resolve the matter at Stage 1 without any further
intervention.
Initiator
If it is not possible to initiate direct communication as described in this
step, then proceed to the next steps accordingly.
2.
3.
The initiator(s) may approach either their Manager, or an appropriate
GOTAFE staff member (the Manager or other appropriate GOTAFE
staff member will be referred to as “the delegated person” in the
following steps) and ask them to speak informally on their behalf to the
respondent(s). An appropriate person at this stage could be:
o
Appropriate person as defined;
o
a teacher or other staff member of GOTAFE;
o
a Team Leader;
o
a member of staff from the People and Performance Division.
The delegated person will commence action in relation to the issue
within 5 working days of the initiator first reporting it.
Initiator
Delegated Person
Where possible, this stage should be finalised within 10 days of the
initial reporting of the issue.
4.
The delegated person must discuss possible informal resolution
strategies with the initiator. These strategies could include;
Delegated Person
o
Suggestions about actions / behaviours that the initiator may
utilise to resolve the issue
o
An offer that the delegated person act on behalf of the initiator
by:
o
Approaching the respondent directly
o
Approaching a third party (for example a teacher or
department Manager) who may be able to monitor the
situation and provide assistance if required.
Note that the delegated person must ensure that the initiator fully
understands that if they give the delegated person consent to
approach the respondent or other third party about the issue, the
initiator’s identity will be revealed. This is necessary to comply with
the Principles of Natural Justice (see definitions) in that a person who
is the subject of a complaint or allegation must be fully informed about
the complaint and must know who has lodged the complaint.
5.
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Where the delegated person approaches the respondent(s) or a third
party as part of the informal resolution process, care must be taken not
to attribute blame to any party in relation to the issue.
Delegated Person
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Item
Action/Comment
Responsibility
6.
Where the delegated person believes that a resolution is likely at this
stage, they may follow up with further discussions with the initiator and
respondent. The delegated person may provide advice and/or
guidance as appropriate.
Delegated Person
At no time may the delegated person speak with any other person in
relation to the issue without the consent of the initiator.
7.
Where the delegated person believes the issue highlights serious
misconduct (as defined) on the part of any party, they will refer the
issue to the appropriate Commercial or Executive Manager. It is
possible that relevant disciplinary procedures may be implemented.
Delegated Person
8.
If the issue is resolved at this stage, there is no need for any further
action in relation to this procedure.
Initiator,
Respondent,
Delegated Person
The delegated person will not retain any documentation other than that
required for statistical purposes under Stage 1 of GOTAFE’s
Behavioural complaint resolution form - Stage 1 – Informal Resolution.
9.
If the issue is not satisfactorily resolved at this stage then the initiator
must decide whether they wish to proceed to the next stage of this
procedure.
Initiator
The formal resolution stage will only be commenced when the initiator
has put their concerns in writing and given this to an appropriate
Institute staff member. The delegated person from the previous stage
would be suitable for this purpose.
Stage 2 – Formal Resolution
Item
Action/Comment
Responsibility
10.
The delegated person from the previous stage must inform Human
Resources that the initiator wishes to instigate the formal stage of this
procedure.
Delegated Person
11.
Human Resources will be responsible for overseeing this stage of the
resolution process, generally in consultation with the relevant
Commercial or Support Manager, if appropriate under the
circumstances.
Human
Resources and/or
Manager
If the initiator does not believe that Management involvement be
appropriate under the circumstances, this is to be noted on GOTAFE’s
Behavioural complaint resolution form - Stage 2 – Formal Resolution
and the matter referred to Stage 3.
12.
13.
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Note that if the Human Resources contact is party to the complaint,
another staff member appointed by the Executive Manager, People
and Performance will take on this responsibility. If the Executive
Manager, People and Performance is party to the complaint, the CEO
will take on this responsibility. If the CEO is party to the complaint, the
initiator is to refer the matter to an external body for further action.
Where the matter is referred to an external body, all proceedings by
GOTAFE shall cease.
Executive
Manager, People
and Performance
Where the respondent is an Institute staff member, the staff member’s
Manager is to be notified and kept informed at all stages of the formal
resolution process.
Human
Resources and/or
Manager
CEO
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Item
Action/Comment
Responsibility
14.
Human Resources and/or Manager will initiate GOTAFE’s Behavioural
complaint resolution form - Stage 2 – Formal Resolution. The
initiator(s) written, signed and dated statement must be attached. The
history of the issue and any steps taken in the informal resolution stage
in trying to resolve the issue must be recorded on the form, and
confirmed by the delegated person.
Human
Resources and/or
Manager
Note: At any time on request, a copy of GOTAFE’s Behavioural
complaint resolution form - Stage 2 – Formal Resolution must be
provided to the initiator(s) or respondent(s) to comply with the
principles of ‘natural justice’.
15.
Human Resources will then interview all relevant parties to:
Human
Resources
o clarify the issue so that a clear understanding of the alleged
behaviour is understood
o check the accuracy and currency of the information provided on
GOTAFE’s Behavioural complaint resolution form - Stage 2 –
Formal Resolution, especially in relation to the steps taken so far in
attempts to resolve the issue
o gain an understanding of the reasons why the matter was not
resolved at Stage 1
o ensure that the all parties fully understand the impact of any
alleged offending behaviour on others
o reinforce the need for confidentiality and ensure that all the
potential consequences of breaching confidentially are understood
o ensure that all relevant parties understand the resolution process
as outlined in this procedure
o explore options for resolution before the resolution panel is
convened
o discuss the option of the initiator or respondent to utilise the
independent Employee Assistance Program (if a member of staff)
or Student Services (if a Student) to provide guidance on coping
mechanisms to deal with the issue or its consequences.
o confirm that the persons identified as witnessing the behaviour
have agreed to be a witness in the dispute. Behavioural complaint
resolution form - Witness Statement is to be completed.
Any notes made in these discussions are to be recorded on GOTAFE’s
Behavioural complaint resolution form - Stage 2 – Formal Resolution.
16.
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Human Resources may also meet with (or request written statements
from) other people who may be able to provide additional information in
relation to the issue. For example, people who have been identified by
either the initiator or respondent as having witnessed the behaviour or
incident, or experienced similar behaviour etc. GOTAFE’s Behavioural
complaint resolution form - Witness Statement is to be completed in
this instance.
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Item
Action/Comment
Responsibility
17.
If the issue is resolved after these discussions then this will be noted
on GOTAFE’s Behavioural complaint resolution form - Stage 2 –
Formal Resolution, which would then be signed by both the initiator
and respondent.
Human
Resources
Copies of GOTAFE’s Behavioural complaint resolution form - Stage 2 –
Formal Resolution must then be provided to both the initiator and the
respondent. The original is to be retained by Human Resources.
18.
Where Human Resources believe that the issue highlights serious
misbehaviour on the part of any party, they will refer the issue to the
appropriate Commercial or Executive Manager. In this instance, the
relevant disciplinary procedures may be implemented.
Human
Resources
Appropriate notes to reflect this referral will be made on GOTAFE’s
Behavioural complaint resolution form - Stage 2 – Formal Resolution
and further action under this procedure will conclude. All relevant
parties will be informed as soon as practicable about any such referral.
19.
If the issue remains unresolved at this stage then it should be
progressed immediately to Stage 3. This should be noted on
GOTAFE’s Behavioural complaint resolution form - Stage 2 – Formal
Resolution.
Human
Resources
Stage 3 – Investigation or Mediation
Item
Action/Comment)
Responsibility
20.
If the issue remains unresolved after seeking remedy through Stage 1
and 2 of this Procedure, within 5 working days after the end of Stage 2,
Human Resources will consult with the relevant Manager and forward
to them GOTAFE’s Behavioural complaint resolution form – Stage 3 –
Investigation or Mediation.
Human
Resources
Where the respondent in the issue is a GOTAFE staff member, the
Executive Manager, People and Performance should also be notified.
21.
The relevant Manager, in consultation with the Executive Manager,
People and Performance, will make a determination on the most
appropriate, independent person to provide investigation and/or
mediation services in relation to the issue.
If mediation is agreed to by both parties of the complaint, and there is
agreement between the Commercial or Support Manager, and the
Executive Manager, People and Performance, these undertakings are
to be noted on GOTAFE’s Behavioural complaint resolution form –
Stage 3 – Investigation or Mediation.
22.
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The relevant Manager will notify the choice of investigators, or discuss
the choice of mediator, with both the initiator and the respondent and
seek their participation in proceeding with investigation or mediation,
including documentation of this on GOTAFE’s Behavioural complaint
resolution form – Stage 3 – Investigation or Mediation.
Commercial or
Support Manager
Executive
Manager, People
and Performance
Commercial or
Support Manager
Initiator
Respondent
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Item
Action/Comment)
Responsibility
23.
The relevant Manager is to advise both parties to the complaint of
timelines for the investigation or mediation to occur. Confidentiality is to
be maintained at all times to avoid victimisation. Only those named as
being involved are to be privy to the details, as per the principles of
natural justice.
Commercial or
Support Manager
By signing GOTAFE’s Behavioural complaint resolution form – Stage 3
– Investigation or Mediation, all parties confirm that there is no conflict
of interest between them or any other party involved in the process.
Managers are to consider whether it is appropriate that a Complainant
and/or Respondent be allowed to interact as required by their roles, or
whether an alternative arrangement such as Temporary Transfer be
considered. They are to discuss this with the Executive Manager,
People and Performance if they have any concerns.
24.
All necessary information, including copies of GOTAFE’s Behavioural
complaint resolution form – Stage 3 – Investigation or Mediation and
any other documents or statements must be made available to the
Investigative Panel or mediator. In addition, any Institute resources
required by the Investigative Panel or mediator must also be made
available as appropriate. This process is to take no longer than 10
days. Both the initiator and respondent will be advised in writing if the
process is to take longer for whatever reason.
Commercial or
Support Manager
25.
Within five (5) days of the receipt of the final report from the
Investigative Panel or mediator, the relevant Manager (and/or
Executive Manager, People and Performance, if appropriate) shall
communicate the findings to both the initiator and respondent.
Commercial or
Support Manager
26.
The Commercial or Support Manager, in consultation with other
relevant staff who have been involved in the process (Human
Resources, Commercial and/or Support Managers) if appropriate, will
determine and communicate the final resolution strategy to the initiator
and the respondent including:
Commercial or
Support Manager
o a summary (or a copy) of the findings of the Investigative Panel or
mediator;
o details of the final resolution strategy.
o timeframes for outcomes
27.
The final resolution strategy is to be documented on GOTAFE’s
Behavioural complaint resolution form – Stage 3 – Investigation or
Mediation.
Commercial or
Support Manager
28.
The initiator and the respondent will both be required to sign
GOTAFE’s Behavioural complaint resolution form – Stage 3 –
Investigation or Mediation, thus signifying their agreement with and
commitment to the final resolution strategy.
Initiator,
Respondent
29.
If the issue is resolved at this stage, (that is if both the initiator and
respondent have signed GOTAFE’s Behavioural complaint resolution
form – Stage 3 – Investigation or Mediation to confirm their agreement
with the proposed resolution strategy), then the initiator and
respondent will both be provided with a copy of the form, and the
original will be returned to Human Resources, where it will be retained.
Commercial or
Support Manager
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Item
Action/Comment)
Responsibility
30.
If either (or both) the initiator or the respondent does not agree with the
final resolution strategy, this should be noted on GOTAFE’s
Behavioural complaint resolution form – Stage 3 – Investigation or
Mediation and the issue escalated to Stage 4. All relevant parties must
be informed as soon as practicable of the escalation.
Initiator,
Respondent,
Commercial or
Support Manager
Stage 4 – Internal Appeal
Item
Action/Comment
Responsibility
31.
If either party to this process is dissatisfied with the outcome of the
process, that is, the individual believes the outcome proposed is too
harsh, too lenient, or believes any part of the procedure was not
adhered to, they were incorrectly advised by a GOTAFE Contact
Officer relating to process, or processes were not carried out within a
reasonable timeframe, they may wish to Appeal the decision, in writing,
to the Executive Manager, People and Performance.
Initiator or
Respondent
32.
The dissatisfied party is to put their concerns, in relation to point 31, in
writing, outlining why they believe the proposed outcome is too harsh,
too lenient, procedurally flawed or that unreasonable timeframes were
applied. This is to be specified on GOTAFE’s Behavioural complaint
resolution form – Stage 4 – Internal Appeal.
Initiator or
Respondent
33.
The Executive Manager, People and Performance will review all
relevant material in relation to issues raised in writing at point 31, and
advise the parties of their decision in writing within 10 days.
Executive
Manager, People
and Performance
34.
If either party is dissatisfied with the decision of the Executive
Manager, People and Performance, they may wish to raise the matter
with an External Agency.
Initiator or
Respondent
Stage 5 – External Appeal
Item
Action/Comment
Responsibility
35.
If either party is dissatisfied with the decision of the Executive
Manager, People and Performance, they may wish to raise the
matter with an External Body, such as Victorian Equal Opportunity
and Human Rights Commission or the Human Rights and Equal
Opportunity Commission (Federal).
Initiator or
Respondent
If this right is exercised, GOTAFE will cease all action under this
procedure immediately.
4.
DOCUMENTATION

Behavioural Policy – POHR10

Behavioural Procedure – PRHR-171

Employee Code of Conduct procedure – CS19-P53

Student Conduct Procedure – E6-P27

Discipline Procedure for Employees Other than PAACT Staff – CS11-P45

Discipline Procedure for PAACT Staff – CS34- 94
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