Creating an internal complaint process

The value of an internal complaint process

Having an effective internal complaint process to address complaints about discrimination, harassment and bullying can help your organisation:

• identify harmful behaviour and prevent workers being harmed
• identify ways to improve workplace practices and policies
• help people feel safe while raising concerns
• improve staff morale, productivity and retention
• reduce the need for escalation of complaints to external agencies or legal action. 

Characteristics of a good internal complaint process

A good internal complaint process is:

• Fair – Both the person making the complaint (the complainant) and the person being complained about (the respondent) can present their version of events, provide supporting information and respond to any potential negative decisions that relate to them. In addition, the person investigating or making decisions is impartial and does not favour the complainant or the respondent or prejudge the complaint.
• Confidential – Information about a complaint is provided to only those people who need to know about it to action the complaint properly.
• Transparent – The complaint process and the possible outcomes of the complaint are clearly explained and those involved are kept informed about progress and the reasons for any decisions.
• Accessible – The complaint process is easy to access and understand, and everyone can participate equally. 
• Efficient – The complaint process is conducted without undue delay.
• Supported – People involved in the process are offered support options to help manage any potential distress.

A good complaint process also:

• protects people from being victimised because they have made a complaint
• protects people from vexatious and malicious complaints
• ensures appropriate confidential records are kept about complaints and that this information is stored and managed appropriately. 

Having an internal complaints system that is fair, confidential, transparent, accessible, efficient and supported is the first step in preventing and addressing workplace bullying.  

Stages in a complaint process

Stage 1. Initial contact point

The initial contact person may vary depending on the size of your organisation. It may be a harassment officer in a large organisation, or a line manager or supervisor in a small organisation. Discrimination, harassment and bullying complaints can be complex and sensitive, and may involve external agencies. Any person appointed as a contact person needs to have the appropriate expertise and training (e.g. of discrimination, harassment and bullying, and the complaints process) and ability to treat complaints with integrity and respect. 

Importantly, the contact person should not be the same person who investigates or makes decisions about complaints.

Anyone acting as a complaints contact person must have the appropriate expertise and training. 

Stage 2. Early resolution

In some situations, it may be possible and appropriate to resolve an initial complaint early. This approach may be useful when:

• the complainant wants to discuss the matter with the respondent informally and this approach seems appropriate having regard to the circumstances  
• the information available indicates that a complaint may have arisen from a misunderstanding or a miscommunication
• the behaviour being complained about is not serious and does not appear to be discrimination or harassment. 

Early resolution may involve:

• a direct private discussion between the people involved
• an impartial person conveying information between the people involved
• an impartial person helping the people involved to talk to each other and find a solution. 

Sometimes, the impartial person may be someone from outside your organisation (e.g. a professional mediator). 

Stage 3. Formal resolution

If early resolution is not possible or appropriate, the complaint moves to formal resolution. This involves:

• obtaining information from the complainant
• advising the respondent about the complaint
• assessing the information provided by the complaint. 

The Good practice guidelines for internal complaint processes explains how to complete these steps.  

Stage 4. Outcomes from the process

If the allegations are admitted or substantiated:

• Outcomes for the respondent may include disciplinary counselling (a meeting that tries to end poor performance without taking disciplinary action), an official warning, awareness training, issuing a formal apology to the complainant or disciplinary action.
• Outcomes for the complainant may include supportive counselling, a change in the work environment or recrediting of leave taken as a result of the bullying, harassment or discrimination. 

If the allegations are not admitted to or substantiated, it may still be appropriate for an organisation to take some action, such as providing refresher training for all staff about appropriate workplace behaviour or reissuing the code of conduct to all workers.  

Regardless of the outcome of a complaint you should consider whether there are ways you can prevent future occurrences and ensure worker safety. 

This content has been adapted from content created by the Australian Human Rights Commission with permission. For more information visit the Australian Human Rights Commission’s resources for employers.