Respect:
Promoting a culture free from harassment and bullying in the APS

Commissioner's Foreword

Employers and employees have a shared obligation to create respectful and courteous workplaces. Employers want a productive workforce that manages its performance and achieves results.

Fostering a positive workplace environment makes good business sense. A positive workplace is characterised by respect that supports employee engagement and motivates everyone to do their very best. It also creates a high performance culture that encourages innovation and creativity.

Effective leaders model their organisation’s values and set the tone for ‘how things are done around here’. They promote the kind of culture that inspires people to achieve.

The Public Service Act 1999 (the Act) sets out the Values and Code of Conduct that apply to all APS employees. The Act highlights the responsibility of agency heads to promote and uphold the Values, and asks all employees to treat others with respect and courtesy. SES employees have a particular responsibility under section 35 of the Act to promote the Values and compliance with the Code of Conduct within their own agencies, by personal example and other appropriate means.

Employee surveys carried out for the annual State of the Service Report to Parliament show that the APS does well in providing positive workplace environments. The surveys also indicate high job satisfaction levels and awareness of the Values.

However, workplace harassment remains a challenge. The 2009-10 State of the Service Report noted that 17% of employees reported being harassed or bullied in the past 12 months.  Harassment and bullying are complex issues, and difficult to measure—but on any measure, this is a disturbing finding.

We need to foster a deeper understanding of respect across the APS. We all have a responsibility to develop the human capital of the APS. This includes the responsibility to sustain a positive workplace culture.

This guide is intended to provide our people with support and strategies to develop a culture of respect. The guide sets out:

• the benefits of building a positive work environment
• federal legislation that relates to workplace harassment and discrimination
• descriptions of harassment and bullying
• guidance on what is and is not appropriate workplace behaviour
• strategic approaches to building a respectful workplace
• the role of leaders in promoting positive work environments
• examples of management policies and systems that prevent and manage harassment and bullying
• assurance mechanisms to monitor and evaluate the ‘health’ of an organisation.

I strongly commend this guide to all managers across the APS.

Further information about the guide may be obtained from the Ethics Advisory Service on 02 6202 3737 or at ethics@apsc.gov.au.

 

Stephen Sedgwick
Public Service Commissioner

Building a positive work environment

The culture of an APS agency can lift its performance or inhibit it. People’s values, attitudes and behaviours are strong influences on achieving business outcomes.

Effective leaders model their organisation's values and set the tone for the ‘how things are done around here’. They promote the kind of culture that inspires people to do their best.

Fostering a positive workplace environment makes good business sense. A positive workplace is characterised by respect that supports employee engagement. It also creates a high performance culture that encourages innovation and creativity.

Organisations seen as positive places to work will always have a competitive edge because they attract and retain highly skilled staff. This is an important consideration in today's tight labour market.

A positive workplace environment is likely to result in less absenteeism and employee turnover, fewer cases of fraud, better safety practices, and improved staff wellbeing.

Positive work environments can also lead to reduced workers’ compensation costs and premiums. People who are harassed or bullied may suffer a range of adverse affects, from distress and anxiety to serious psychological problems. Compensation for psychological injury accounted for 7% of total Australian Government workers' compensation claims, though nearly 27% of all claim costs in 2003–04.¹ (For more information go to www.comcare.gov.au.)

Employers and employees have shared obligations for creating respectful and courteous workplaces. Employers want a productive workforce that manages its performance and achieves results. Employees want to work in a place where:

• they know what is expected of them
• the workplace is safe and they are treated fairly
• their skills and contribution are recognised and valued
• training and development support career progression
• they can work harmoniously with others.

Relevant legislation

Agencies must have systems that help to prevent and address workplace harassment and bullying. This includes recognising it when it happens, and then doing something to stop it. All employees should know that inappropriate workplace behaviour is a breach of the APS Values and Code of Conduct and is not tolerated in the APS.

Under various federal, state and territory legislation, every agency must take all reasonable steps to prevent discrimination and harassment and bullying in the workplace.³ Failing to take reasonable steps can have serious consequences for all levels of the organisation, including for individuals, teams and work groups, agencies as a whole, and for the perpetrators.

To comply with its legal obligations and to avoid liability arising, the Australian Government needs to show that it has effective systems to prevent harassment or discrimination. Several federal Acts include requirements to promote positive workplace cultures.

Public Service Act 1999⁴

• ‘the APS provides a workplace that is free from discrimination and recognises and utilises the diversity of the Australian community it serves’ (s. 10(1)(c))
• ‘the APS provides a fair, flexible, safe and rewarding workplace’ (s. 10(1)(j))
• ‘agency heads have a specific obligation under the Act to uphold and promote the APS Values’ (s. 12)
• ‘Senior Executive Service employees have a specific obligation under the Act to promote the APS Values and uphold the Code of Conduct’ (s. 35(2))
• ‘an APS employee, when acting in the course of APS employment must treat everyone with respect and courtesy, and without harassment’ (s. 13(3))
• ‘an APS employee must at all times behave in a way that upholds the APS Values and the integrity and good reputation of the APS’ (s. 13(11)).

Occupational Health and Safety Act 1991⁵

• ‘an employer must take all reasonably practicable steps to protect the health and safety at work of the employer’s employees’ (s. 16 (1)).

Safety, Rehabilitation and Compensation Act 1988⁶

• imposes responsibilities on agency heads in relation to employees who are suffering from injuries ‘arising out of or in the course of employment’ (s. 6).

The Australian Human Rights Commission provides useful guidance on how employers can meet their legal obligations under anti-discrimination legislation to prevent harassment and bullying. (Go to www.humanrights.gov.au/info_for_employers/employer_respons/)

Comcare provides useful guidance to employers on how to prevent and manage workplace bullying in order to meet legal obligations under occupational and health legislation. (Go to www.comcare.gov.au)

Survey results on harassment and bullying in the APS

Surveys show that, in general, employees think of the APS and its agencies as good places to work.

APS employees are familiar with the APS Values and Code of Conduct. Surveys conducted from 2004-05 to 2006-07 show that around 90% of employees are familiar with the Values and Code.⁷

Surveys conducted for the State of the Service Report 2007-08 found, for example, that most employees:

• have positive levels of job satisfaction
• agree that their managers acted consistently with the APS Values and Code
• are satisfied with workplace support for a good work/life balance.

However, the State of the Service Report 2007-08 also shows that 19% of employees believed they had experienced harassment or bullying in the past twelve months. The survey also showed that the harassing and bullying behaviour was reported as coming from customers, as well as co-workers, managers or supervisors.

Descriptions of ‘respect’ and ‘harassment’

Federal legislation includes a number of concepts—respect, courtesy, harassment and diversity—that all relate to the nature of working relationships and workplace culture.

The PS Act and its associated instruments do not define these terms. However, the terms have commonly accepted meanings. Interpretations in judgements and relevant case law continue to reflect specific circumstances.

Some state jurisdictions describe respect and courtesy as:

• ‘treating others fairly and objectively and ensuring freedom from discrimination, harassment and bullying’ (Victoria)⁸
• ‘being honest and treating people courteously, so that they maintain their dignity and their rights are upheld’ (Western Australia)⁹
• ‘treat[ing] members of the public and their colleagues fairly and consistently, in a non-discriminatory manner with proper regard for rights and obligations’ (New South Wales)¹⁰
• ‘showing respect for our clients and colleagues, by dealing with them fairly and courteously and by respecting their rights as citizens and members of our community’ (Queensland).¹¹

Maintaining courteous workplace behaviour is not meant to impose rigid rules on workplace styles, or on workplace relationships and social activities. Rather, courteous behaviour recognises that people with different backgrounds, interests and friends need to get along with each other in the workplace.

Examples of failing to show respect and courtesy include:

• promoting or expressing political, religious or social views at the workplace that offend other staff
• questioning a supervisor in a raised voice, accusing them of bias, or claiming they are unprincipled
• yelling and/or speaking all the time and not allowing others to be heard
• ignoring and working around some one who should be involved in the process
• displaying a contemptuous attitude towards staff, particularly junior staff
• attempting humour by diminishing the dignity of a co-worker
• making belittling or derogatory remarks that diminish the dignity of other staff
• leaning toward or standing over a person so that they feel uncomfortable or threatened.

Workplace diversity

Workplace diversity is about recognising the value of individual differences and managing these in the workplace.

The concept of workplace diversity includes the principle of equal employment opportunity and policies aimed at addressing disadvantage based on sex, Indigenous status, disability, and race or ethnicity.

Diversity also relates to other differences (for example, working styles, socio-economic background, educational level, family responsibilities).

Examples of valuing workplace diversity include:

• developing employees’ work skills and abilities, to help them reach their full potential
• recognising and valuing diverse skills, cultural values and backgrounds of people in the workplace
• encouraging employees to celebrate diversity
• implementing workplace structures, systems and procedures to balance work and personal responsibilities.

Federal legislation includes a range of responsibilities that agencies must undertake to promote diversity and take steps to address employment disadvantage.

Provisions of the Commonwealth Disability Strategy, and equal employment opportunity and other legal requirements, relate to workplace diversity and anti-discrimination. Section 18 of the PS Act requires an agency head to establish a workplace diversity plan to give effect to the APS Values. For more information see Guidelines on Workplace Diversity—Working Together No. 2.¹²

Workplace harassment and bullying

Workplace harassment and bullying is unacceptable and is not tolerated in the APS.

Workplace harassment includes offensive, belittling or threatening behaviour towards an individual or group of employees. The behaviour is unwelcome, unsolicited, usually unreciprocated, and often repeated.

Even if the behaviour is not meant deliberately, it can still be harassment where a reasonable person would conclude that it would humiliate, offend, intimidate or cause a person unnecessary hurt or distress. It can also be unlawful under anti-discrimination legislation (such as sexual harassment or racial vilification).

Bullying is a form of harassment and does not show respect and courtesy.

While there is no standard definition of workplace bullying, this term is generally used to describe repeated workplace behaviour that could reasonably be considered to be humiliating, intimidating, threatening or demeaning to an individual or group of individuals. It can be overt or covert, inflicted by one person or groups. Abusive group behaviour or ‘ganging up’ against one or more individuals is a form of bullying that is sometimes called workplace ‘mobbing’.

Workplace harassment and bullying can be:

• intended: where actions were intended to humiliate, offend, intimidate or distress, whether or not the behaviour did in fact have that effect or
• unintended: which although not intended to humiliate, offend, intimidate or distress, did cause and should reasonably have been expected to cause that effect.

Examples of workplace harassment or bullying include:

• physical behaviour—assault, intimidating or aggressive body language
• verbal abuse—offensive language or derogatory remarks about lifestyle choices, physical or mental abilities, or racial or ethnic background
• behaviour or language that threatens, frightens, humiliates or degrades—shouting and screaming, tone of voice, sarcasm and insults, whether face-to-face, in emails, or in graffiti
• ‘initiations’ and pranks
• interfering with a person’s personal property or work equipment
• inappropriate and unfair application of work policies and rules—involving, for example, performance management or access to leave.

Some subtle patterns of behaviour are also seen as harassment or bullying, for example:

• ostracism—physical or social isolation; exclusion from work-related activities; not acknowledging or responding to an individual’s presence or comments; leaving the room when a person enters
• undermining—persistent and baseless criticism; unwarranted removal of responsibility; ridicule; taunts; hectoring; spreading gossip and rumours (either verbally or by email); including inappropriate remarks in emails about a person sent to and/or copied to others; belittling or derogatory remarks or actions that diminish a person’s dignity (such as eye-rolling responses)
• sabotage—giving meaningless tasks, confusing and/or contradictory instructions; inappropriately and frequently changing targets and work deadlines; unnecessary disruptions; deliberately withholding important information; deliberately failing to complete tasks or missing deadlines; insisting on petty work requirements.

Workplace harassment or bullying can occur:

• between employees at the same or different classifications—it can be directed sideways, upwards at supervisors or managers as well as downwards
• between employees of the same or opposite sex
• between employees in the same or a different work area or agency
• between employees and contractors and/or labour hire staff
• during work-organised events or possibly even outside work hours
• while off-site, for example external meetings, on regional or interstate visits, or on overseas postings.

Behaviours that are not workplace harassment

Examples of behaviours that are not harassment include:

• expressing differences of opinion
• providing constructive and courteous feedback, counselling or advice about work- related behaviour and performance
• carrying out legitimate or reasonable management decisions or actions, undertaken in a reasonable way and with respect and courtesy, for example:
  • taking action to transfer an employee
  • allocating work to an employee, and setting reasonable goals, standards and deadlines
  • making a decision not to select an employee for promotion
  • warning employees about unsatisfactory performance
  • transferring or terminating excess employees
• making a complaint about a manager’s or other employee’s conduct, if the complaint is made in a proper and reasonable way.

Under pressure, an assertive management style may give way to bullying behaviour. Managers should be sensitive about how they are perceived by others and to know the best ways to communicate difficult or sensitive matters. In some situations, behaviour that is not intended to be humiliating, threatening or demeaning may cause distress and be perceived as bullying.

Taking a strategic approach

Agencies need to take a comprehensive, strategic approach to preventing harassment and bullying by aligning organisational, business and individual planning and performance. In particular, agencies should have clear behavioural expectations and standards; supportive management systems and processes; relevant management and leadership skills; and established processes for handling any concerns or issues.

The Australian Public Service Commission’s guidance on embedding APS Values as a whole is based on the Values framework.¹⁴ Using the framework’s elements of ‘Commitment’, ‘Management’ and ‘Assurance’ together, agencies can develop and review strategies that reinforce a business sense and promote agency health, including a positive workplace environment and a culture of trust.

The APS Values framework

Building a fair and robust environment to inspire public trust, give APS employees confidence and improve organisational performance

 

Commitment

Promoting a positive work environment based on respect requires commitment from the top. Agencies should make clear the expected standards of behaviour and demonstrate a strong and consistent commitment to them throughout the organisation.

Integrating a values-based culture with broader people management strategies and aligning them with business planning and expected outcomes helps to reinforce that commitment.

Leadership and values-based management

Leaders are more likely to build a positive work environment if they demonstrate their commitment to the APS Values. Senior staff who model the Values and the Code send a message to others that they work in a place that values all employees, where people can perform at their best.

Staff take their cues from their managers and immediate environment. They interpret the behaviour of others as acceptable conduct. If the leadership group actively models and champions the Values, other staff in the agency tend to do the same.

Values-based management means sustaining a culture of trust in employee relationships, based on a clear understanding of professional roles and responsibilities. Being professional means understanding and applying the Values and Code, and using them to guide behaviours and decision-making.

A good example is the values-based leadership model developed by the Department of Immigration and Citizenship.

Capabilities	Individual behaviours – as leaders we:
Provide vision and meaningful direction	understand how our role contributes to The DIAC Plan, and help colleagues to understand their role provide and create opportunities to participate in decision-making and planning clarify our priorities and inspire others to achieve them make sure we understand what is expected of us and how to achieve this.
Operate consistently with our values	understand our values behave in accordance with our values address behaviour that is inconsistent with our values.
Communicate constantly and meaningfully	communicate regularly in a clear, timely and effective manner listen actively find ways to communicate with colleagues at all levels welcome and respond to feedback.
Create the environment for success	understand the role that we play in the department’s success, and help colleagues to understand their role do our job well and develop our skills, and support colleagues to do the same provide regular and constructive feedback on progress and performance recognise and reward good work.
Function as team players	constructively interact and work with colleagues at all levels encourage colleagues to express their opinions and views, and use appropriate opportunities to express our own actively support and encourage teamwork across and beyond the organisation actively seek and provide constructive feedback from and to our team.
Persist to achieve good outcomes	focus on following our plan work to achieve our goals and support colleagues to achieve their goals are resilient and optimistic when resolving barriers to good outcomes effectively address underperformance.

Modelling of expected behaviours by leaders also needs to be supported by other activities to encourage employees to behave with courtesy and respect. Activities like workplace discussions and mentoring, supported by training, also motivate employees to apply the Values and Code in their daily work.

Developing a policy on appropriate behaviour

Written agency policies on a commitment to the APS Values and cultural and behavioural expectations are useful. However, they need regular reinforcement through consistent communication and training strategies. Suggestions for written policy content include:

• the agency’s commitment to the Values and Code and to promoting a positive culture in a workplace that is free from harassment and bullying
• a statement by the agency head that harassment and bullying is a breach of the Values and Code and will not be tolerated
• a clear view of expected standards of workplace behaviour, that clearly describes what is and what is not workplace harassment
• the responsibility of agency heads, the Senior Executive Service, managers and employees to create a workplace culture in which harassment and bullying are unacceptable
• strategies to promote a workplace culture, which address the issues of harassment and bullying
• examples of unacceptable behaviour and the consequences of breaching the policy
• processes for reporting or raising issues or complaints about harassment; where to go for advice; the review mechanisms; and information about support and protection for employees.

The best written policy however is only part of the framework. It needs to be followed through with action and regular reinforcement.

Agencies can also support their managers and staff to promote a positive workplace culture, for example by:

• providing high quality learning and development programmes on leadership and people management, which include practical tips for encouraging a culture of mutual respect
• establishing clear statements and guidelines on appropriate workplace conduct
• involving employees in the processes that promote a positive workplace culture
• giving employees the opportunity to participate in workplace surveys, consultations, team meetings and focus groups.

Taking care in selection

In selecting managers, it is important to make sure they can work within the APS Values environment and foster a positive and productive environment. The core Senior Executive Service criteria of cultivating productive working relationships, included in the Senior Executive Leadership Capability framework,¹⁵ reflects the need for this capability.

Reinforcing through induction

All new staff need to be aware of behavioural expectations, and provided with consistent information through, for example:

• a management policy statement on supporting positive working relationships and preventing workplace harassment
• orientation training and awareness raising programmes
• a first-day meeting with a supervisor or manager, when expectations and standards are made clear
• regular discussions with a mentor.

Raising awareness through training

Information could be integrated into learning and development activities for all staff on the agency’s policies and procedures and their own responsibilities in relation to appropriate workplace behaviours, occupational health and safety, and the APS Values and Code.

Training for supervisors and managers should cover their responsibilities for maintaining a workplace free of harassment and reinforce the skills they need to fulfil their responsibilities. They should also receive information about management liability and the costs of dealing with workplace harassment, and about conflict resolution, including workplace harassment case studies.

The Being Professional in the APS—Values Resources for Facilitators¹⁶ kit is designed to help agencies build their own training programmes on the Values and Code.

Commitment checklist

Ensure that: leaders

• demonstrate visible and strong commitment to the APS Values and Code of Conduct
• senior leaders communicate to all employees that they have a responsibility to ensure their behaviour is consistent with the Values and Code of Conduct
• senior leaders communicate to employees that inappropriate behaviour, including harassment and bullying, is not tolerated
• employees have mechanisms to protect them from victimisation for reporting inappropriate behaviour
• strategic directions incorporate values-based decision-making, and that this is integrated at all levels of planning and performance
• learning and development programmes for leaders and managers include how to model the Values, and training in coaching and mentoring for values-based management
• induction programmes for all employees include information about behavioural standards and expectations, and the Values and Code
• all employees know about and conform with expected standards of conduct and behaviour
• management selection policies assess whether candidates are capable of fostering a positive and productive work environment
• all employees have training and supporting material that cover their responsibilities under the Values and Code.

 

Management

Management policies, instructions and guidance play a key role in emphasising the importance of appropriate behaviours.

Reflecting the APS Values and Code of Conduct in an agency’s management framework and corporate documents helps to demonstrate that an agency takes them seriously.

Performance management

An organisation’s effectiveness depends on the strength of its performance management system. The system needs to both reinforce and reward delivery of outcomes (the ‘what’) and expected values and behaviour (the ‘how’). As well as measuring business outcomes, many agencies use performance agreements and assessment to improve the quality of leadership and people management skills.

The following performance assessment extract from an Australian Customs and Border Protection Service performance agreement is a good example of expected behaviour against leadership, teams and integrity responsibilities.

Customs Officer Level 5 (Executive Level 2 equivalent)

	Leadership/Teams and Integrity	Mid-cycle C,S,R*	End-cycle C,S,R*
* C = Consistently; S = Sometimes; R = Rarely
Performance Measures	facilitates a cooperative and collegiate environment, encouraging team based approaches
	embodies the APS Values and Code of Conduct and consistently behaves in an honest, ethical and professional way and expects the same standards from staff
	lets colleagues know they are valued and makes a point of acknowledging good performance
	delivers all feedback in a way that neither demoralises nor dilutes the message; is open in discussion; gives coaching; provides guidance; supports training and development as appropriate and follows up to monitor progress
	uses leave provisions for their intended purpose only

While performance management arrangements may differ between agencies, common elements that relate to workplace environments (and issues of respect and harassment) should ensure that:

• expectations of performance and behaviour are clear and agreed
• the criteria for assessment are well understood and consistently applied
• feedback is given regularly
• staff are well equipped and trained to give and receive feedback.

Sometimes employees perceive feedback that is critical as harassment. This is less likely to happen if the feedback is regular, fair and delivered courteously, as part of an open and objective performance management system.

Dealing with underperformance is easier if managers take a preventative approach, by giving staff clear goals and direction and focusing on people’s performance and development. To do this, managers need highly developed people management skills, including the ability to deliver timely and effective feedback.

For more information about performance management systems, see Performance Management in the APS: A Strategic Framework¹⁷ and Sharpening the focus: Managing Performance in the APS¹⁸

Managing the service delivery environment

Agencies have a responsibility to take all reasonably practicable steps to protect the health and safety of employees. This includes preventing harassment, verbal abuse or physical threat to employees who work in direct service delivery to the public.

An effective prevention programme involves implementing appropriate safeguards. It also means staff training on complying with procedures, reporting incidents, supporting risk control arrangements, and responding to inappropriate behaviour.

For more information see Bullying in the workplace: a guide to prevention for managers and supervisors (available on the Comcare website at www.comcare.gov.au). Further information is also available on the Australian Institute of Criminology website at www.aic.gov.au.

Managing complaints about harassment and bullying

Agencies need to ensure they have well known, accessible and confidential processes for employees concerned about workplace harassment and bullying. Concerns must be taken seriously.

The first step is usually to try and resolve issues informally through a supervisor or manager. However, agencies may also need to start formal complaint processes to examine alleged breaches of the Code of Conduct, especially when the complaint relates to acting without respect and courtesy or being harassed or bullied.

Because of the sensitivity of many harassment and bullying incidents, wherever possible proceedings should be confidential and designed to minimise conflict and stress. People also need easy access to information, advice and assistance about the options for raising concerns and the processes involved, including confidentiality, disclosure of information and record keeping obligations.

Agencies should support staff when dealing with harassment and bullying incidents, for example, by giving them access to:

• an employee assistance programme for counselling
• management advisory programmes, often offered by the employee assistance programme
• mentoring or buddy systems
• employees who are points of contact (such as diversity or harassment contact officers)
• human resource specialists.

Agencies need to deal with frivolous or vexatious claims of harassment and bullying quickly, firmly and fairly. Frivolous claims are those that are ‘obviously unsustainable’. Vexatious claims are those that are brought for ‘a collateral purpose, as a means of obtaining some advantage for which the proceedings were not designed’. However, agencies need to take great care when dismissing a claim on these grounds, undertaking at least sufficient inquiries to establish that the complaint is either frivolous or vexatious.

Managers’ responsibilities

Managers have a responsibility to deal seriously and sensitively with complaints about harassment and bullying. Whenever possible, they should assist the parties to resolve their differences and agree on ways of working together. They should respond with care to all concerns or complaints by individuals or groups who perceive behaviour as harassment or bullying, even if it is found not to breach the Code of Conduct.

Complaints processes

In most agencies, employees will have a range of options (both informal and formal) to report harassment or bullying, for example to:

• a manager or supervisor
• a trained contact officer
• an adviser in the human resources area of the agency
• the employee assistance programme.

Informal resolution

Timeliness and a low key approach can be crucial factors in resolving workplace issues. Wherever possible, employees should be encouraged to use a process that resolves a concern or complaint through an informal or self-resolution process, which may involve a simple discussion through to a facilitated or mediated meeting. The outcome could be a clearer understanding of the person’s concerns, an apology, an agreement about future behaviour, or improved work practices. Keeping records of the processes and resolutions is important.

Formal resolution

Depending on the circumstances, employees may choose to follow through with a formal complaint by, for example:

• using formal mechanisms included in the agency collective agreement
• reporting the behaviour to workplace diversity or harassment contact officers
• reporting the behaviour to the human resources area
• approaching the Australian Human Rights Commission.

Employees may also be able to seek a review of the outcome of the resolution process, for example by making a review application to their agency head or to the Merit Protection Commissioner.

An agency may decide—at any stage and without consulting an employee who makes a complaint—that a formal investigation is needed, due to the nature and seriousness of the behaviour being alleged.

Details about procedures for investigating breaches of the Code of Conduct are provided in the Australian Public Service Commission publication Handling Misconduct: A human resources practitioners guide to the reporting and handling of suspected and determined breaches of the APS Code of Conduct²⁰.

Importance of keeping records

Proper records of every complaint and any action taken are vital, especially because any decisions might lead to further processes or misconduct action. Each record must include a summary of the complaint, the finding, and action taken.

Records may also be helpful in establishing grounds for a frivolous or vexatious case if a number of unsubstantiated cases are raised in a period of time. Alternatively, records may highlight there may be a more systemic issue with either the work area, individual(s) or a manager, if several incidents of a similar type are raised over a period of time.

Agencies should not place records on an employee’s personal file that relate to misconduct action following a breach of the Code of Conduct. Instead, create a separate misconduct or investigation file classified as ‘In Confidence’ with restricted access. Access should be allowed only on a strict ‘need to know’ basis.

The National Archives of Australia Administrative Functions Disposal Authority (February 2000) sets out minimum requirements for the retention of records in misconduct cases. Where the misconduct has been proven, if there are no new breaches of the Code within 5 years, the records should be destroyed and the cross–reference in their personal file removed. Where there has been a finding of no misconduct, records should be destroyed 18 months after the investigation is completed.

Records must be handled in line with the Information Privacy Principles under the Privacy Act 1988.²¹

For more information about records relating to claims, counselling and misconduct see the Administrative Functions Disposal Authority.²²

Contact officers

Specialist contact officers, sometimes called harassment or diversity contact officers, do not resolve complaints. Instead, they provide information to employees, managers and supervisors about:

• processes and options for resolving complaints
• what is harassment or bullying behaviour
• sources of support—for example, line managers, human resources staff, employee assistance programmes.

Contact officers cannot always guarantee confidentiality, especially if there is a risk to employee health and safety. As a general rule, a contact officer should not give advice to both the complainant and the person against whom the complaint is made.

Contact officers should have specific training, support and assistance in understanding the nature of harassment and bullying, in responding to the needs of diverse employees, and in dealing with complaints in line with agency processes and the law.

Management checklist

Ensure that:

• management policies and practices reflect the APS Values, Code of Conduct and agency standards and expected behaviours
• all instructions and guidance to employees—for example, chief executive instructions, people management rules—while creating latitude for decision-making, are consistent with the Values and Code
• a commitment to appropriate behaviour and the Values and Code is set out in key corporate documents—for example, the corporate plan, service/client charters and collective agreements or other workplace agreements
• appropriate behaviour and related people management skills are integrated in the performance management framework, which actively encourages employee engagement with the Values and Code
• instructions, advice and guidance aimed at all employees are easy to access, with good cross-referencing and, if available electronically, good key word search facilities.

Assurance

Assurance approaches will vary, depending on an agency’s size, location and its business. Workable assurance mechanisms contribute to the prevention of misconduct and inappropriate behaviour. Agencies also need to monitor their control mechanisms to ensure they are effective in practice.

Monitoring and evaluating organisational health

As part of overall agency monitoring and evaluation, agencies should monitor their organisation’s ‘health’²³. This includes looking regularly at work environment and harassment and bullying policies, as well as communication and prevention strategies.

Data collection and analysis—broken down by business unit, classification, location and diversity groups—help to highlight any weaknesses in procedures and processes, and point to trends or difficulties with workplace issues in specific work areas.

Indicators of likely problems with harassment and bullying include:

• staff retention/turnover rates
• unusual patterns of internal staff transfers
• rates of sick leave and unscheduled absences
• information from exit surveys that include questions about experiencing or witnessing harassment and bullying
• the number, type and cost of compensation claims
• results of 360 degree feedback arrangements
• available reports from counselling or employee assistance programme providers.

The Australian Public Service Commission publication, Agency Health: Monitoring agency health and improving performance²⁴, provides useful guidance and a checklist for agencies to ‘take their temperature’. The checklist at Attachment A includes key signs to look for in assessing key contributors to good or poor agency health, including leadership, relationships and integrity, and organisational culture.

Using both qualitative and quantitative data ensures more comprehensive monitoring and evaluation. For example, when quantitative data on the number of complaints is used as an indicator, qualitative information can show the reasons behind any rises or falls, such as the effect of a campaign to improve employee awareness about complaints systems.

Linking evaluation and communications strategies ensures ongoing awareness and education. Evaluation results can also keep the issues of harassment and bullying on the agenda.

Communicating to staff the successes or responses to identified problems, signals a commitment by leaders to a values-based approach, behavioural standards and expectations, and open communication.

Some agencies assign responsibility for reviewing and distributing harassment and bullying policies to a particular position or area. Allocating this as a specific responsibility helps to ensure that procedures take account of:

• recent developments in the field, including new policy, case law or good practice
• the need to reshape information and training programs in response to changes in the agency’s profile
• feedback from managers and staff.

Staff surveys

Staff surveys test organisational culture, including views about respect, harassment and bullying. Staff surveys can be used to measure:

• staff familiarity with the APS Values, Code of Conduct and related agency policies
• how staff feel about reporting inappropriate behaviour
• staff satisfaction with the speed, manner and the level at which complaints are resolved.

To compare performance, agencies can benchmark their survey results against APS-wide data included in annual State of the Service Reports.

Work teams should get the staff survey results so they can contribute to developing appropriate responses or programmes.

Assurance checklist

Ensure that:

• procedures for determining whether an employee has breached the Code of Conduct are effective, that sanctions for breaches of the Code are legal and reasonable, and that decision-making about sanctions is consistent across the agency
• employees are encouraged to expose wrongdoing without fear of victimisation and are aware of complaints handling and whistleblowing procedures
• decision-making review systems (both internal and external) are used to provide systematic feedback on agency systems and procedures and that they consistently support the APS Values
• employees are aware of the agency’s review scheme, their review rights, and how to seek a review
• staff surveys are used to assess if the agency is meeting its obligations under the Values and Code of Conduct
• records meet accountability requirements (including compliance with legislation), business needs and community expectations
• adherence to the Values and Code is monitored within standard corporate reporting and management information systems.