Internal Complaints and Feedback Policy
Original version: | October 2023 |
Updated / amended on: | May 2024 (due to Safeguarding Focal Point changeover) |
Next review: | October 2026 |
Background
At Catalpa, we aim to provide a safe and healthy work environment to support the achievement of our vision, mission and strategic objectives. Catalpa is committed to providing a work environment which values diversity, safety and equality by providing staff with the right to access this internal complaints policy with no victimisation.
Catalpa aims to foster a positive culture and strong relationships amongst our people. We also acknowledge that sometimes problems can arise that cause staff to feel aggrieved. These problems often arise from the behaviour or decisions of other staff.
This internal complaints policy and detailed procedures aims to provide a mechanism for internal complaints to be voiced and resolved in a fair and transparent manner.
Catalpa will take internal complaints seriously and attempt to resolve matters promptly and in good faith. Internal complaints may arise in a range of different circumstances.
1.2 The Principles we follow
Every effort will be made to treat internal complaints with sensitivity and resolve internal complaints informally.
At any time in the internal complaints process, the People & Culture Manager may be involved in the discussions.
At any or all stages of the process a staff member can request a support person be present at discussions.
If the complaint is against another person at Catalpa, that person will have the opportunity to respond to the details of the complaint.
Catalpa expects that all those involved in procedures under this policy maintain confidentiality of the identity the person(s) and the incident(s) alleges to have occurred.
Only people involved in making, investigating, or resolving the complaint will have access to the information.
Appropriate measures may be taken to diffuse the issue and ensure the health and welfare of concerned parties.
In resolving an internal complaint, it may lead to a range of outcomes from an agreed action such as performance management to an apology. In serious breaches or misconduct, appropriate disciplinary action may be taken up to and including termination of contract (possible disciplinary actions are outlined in Annex One of the External Complaints and Feedback Policy).
Depending on the nature of the complaint, Catalpa may deem it appropriate for staff to be stood down with pay during an investigation or commence a disciplinary procedure if the alleged conduct of the staff member is substantiated.
Anyone involved in the complaint has access to counselling through Mandala Staff Support.
During the resolution of a complaint, work will continue as usual. Exceptions may be made, say for example where a health and safety matter means continuation of normal work may place at risk someone's health.
The person who made the complaint is free of discrimination, repercussions, and victimisation.
On a regular basis, Catalpa will monitor and review complaints for any systemic or procedural issues as a part of Catalpa’s commitment to continuous improvement.
Scope
This policy covers all Catalpa staff (full time and part time), permanent or fixed term, contractors, consultants, board members and unpaid staff. Any staff at Catalpa can access this internal complaints process. This policy only relates to complaints about matters experienced by people who work within Catalpa.
What is not in scope through this policy:
Any board member, staff, contractors or volunteer who wishes to report issues of serious misconduct through the Whistleblower Policy.
If the complaint relates to an issue where a child is involved, or sexual exploitation, abuse and/or harassment, please refer to the reporting section of Catalpa’s Child Safeguarding Policy (for issues regarding children) or the Prevention of Sexual Exploitation, Abuse or Harassment Policy (for issues regarding adults).
Complaints received from the general public or from external partners and/or stakeholders are dealt with in accordance with the External Complaints and Feedback Policy
Definitions
What is an internal complaint?
An internal complaint is an alleged wrongdoing or hardship suffered, which is the ground for a complaint.
A complaint can be about anything done or not done, by a manager or another staff member which someone feels affects them unfairly or unjustly. A complaint can also be about discrimination, harassment, bullying or any other employment related decision or behaviour staff think is unfair, unjust or upsetting.
Examples might be:
Disagreement about something in the workplace
Conflict with someone in the workplace due to challenging personality types or clashing work styles
They have been victims of workplace harassment or discrimination
They've witnessed poor supervisor and/or management behaviour
Their health and safety have been compromised
Policy guidelines are violated.
Bad (corrupt or fraudulent) intentions.
Reporting and Resolution Procedure
At Catalpa, complaints may be resolved through an informal and/or formal process and all parties are encouraged to genuinely resolve the complaint.
This procedure outlines both informal and formal processes for dealing with a complaint. Both approaches are described in more detail below. Staff may wish to discuss their options with the People & Culture Manager, who can provide them with both support and resolution options.
4.1 Making an Informal complaint:
This process is intended to give people the opportunity to air their concerns, to be heard and understood, and to hopefully resolve the matter in a personal and informal manner; and give people the opportunity to reflect on their conduct and how it may be perceived by others, be heard and understood, and where appropriate to self- correct in relation to their conduct.
You should:
Speak to the person involved directly
Explain to them that their behaviour, decision, actions, etc. was unfair, offensive, discriminatory, etc., and why the staff believes this to be so.
If the staff is not comfortable to speak to the person directly, consider raising the issue with your direct manager or another manager in Catalpa.
The aim for the manager is to assist the parties to agree on a mutually acceptable outcome to the situation.
Resolve through feedback, discussion and informal mediation and conciliation. If all parties agree on a reasonable way of resolving the concern, which the person who raised the issue is comfortable with, that will be the end of the matter.
In cases where there is a mandatory reporting requirement including child safeguarding, or counter-terrorism, it is essential that no informal process is followed and that a formal complaints process is commenced immediately as per guidance below.
4.2 Formal Complainst Handling including Investigations
If a dispute or complaint cannot be resolved informally, the employee can initiate a formal complaint.
4.2.2 Who to make a report to
Concerns or reports can be provided via email to:
Your manager, or another manager at Catalpa
The People & culture Manager
Further information about different kinds of complaints is provided below:
Child safeguarding concerns, and/or Prevention of sexual exploitation, abuse and harassment: Email safeguarding@catalpa.io or phone the Safeguarding Focal Point on WhatsApp +17547027426
As per the Whistleblowing Policy, if an eligible whistleblower (someone connected to Catalpa) reports a ‘disclosable matter’ to a Catalpa ‘protection officer’ (including the COO, or the People and Culture Manager) then they will be protected under the Whistleblowing Policy - please see the Whistleblowing Policy for more information including for definitions.
Reports can be made to Catalpa via Stopline, an independent third party platform which allows anonymous reporting and provides support to people trying to report including translation / interpretation services if needed. You can reach Stopline on:
Telephone: 1300 30 45 50 (Australia Only) Email: makeareport@stopline.com.au On-line: https://catalpa.stoplinereport.com Mail: Catalpa International, c/o Stopline, PO Box 403, Diamond Creek, VIC 3089
4.2.3. Recording the incident in the Complaints Log and notifying the Confidential Reporting and Investigations Committee
If the complaint is made directly to the Chief Operating Officer, they will immediately fill in an incident reporting form in the Stopline database “complaints log” (if an Incident Reporting Form has not already been filled by the reporter). An email should be sent the same day the complaint was received to notify the core members of the Confidential Reporting and Investigation Committee that a complaint was received and the broad nature of the complaint; although any members of this Committee involved in alleged wrongdoing should not be notified.
If the report is made to someone other than the COO that person will notify the COO and then maintain confidentiality by not sharing the report further.
4.2.4. Preliminary steps to assess whether or not an investigation is needed and if so, what type
At this stage, an investigation is not launched, as preliminary steps are to be taken first by the COO (or their qualified delegate ) as outlined below.
Subsequent steps are determined by which policy the Complaint falls under and more details are available in each Policy, summarised in the flowchart at Annex Two.
For all complaints, as preliminary steps the COO or their qualified delegate will:
gather more information about the complaint to establish whether the issue is within the scope of this Policy; if it is not within the scope of this Policy (i.e. it is a safeguarding issue, the COO will refer the matter for handling under the applicable policy.
identify immediate and potential risks to any victim / survivor (if the nature of the complaint means there is a victim / survivor in this instance) and if so, to develop and implement an action plan focused on:
ensuring the safety of the victim / survivor and – if different – of the complainant
identify referrals or support for the victim / survivor with the consent of the victim / survivor and based on their preference for how support is provided
4.3 Investigations
4.3.1 Determining whether or not an investigation is warranted
The COO (or their qualified delegate) should use the information collected above (see section 4.2) in regard to the nature and scale of the complaint, risks to persons involved and any alleged criminality to make a recommendation as to whether an investigation is required or not.
In the event that the COO or their qualified delegate determines that an investigation is required, the Committee should convene / meet to decide on the same day whether an internal or external investigation is needed - see section 7.3.2 - and who on the Committee should be responsible for the investigation process - see section 7.3.3.
4.3.2. Determining whether a complaint warrants an Internal and external investigations
In the event that the COO or their qualified delegate determines that an investigation is required, the Committee should convene / meet to decide the same day whether an internal or external investigation is needed.
A threshold criteria for determining how to proceed is below:
(i) Type of complaints that could be referred to external investigation by qualified investigators with experience in sensitive investigations:
Any allegation of gross misconduct including as it relates to financial management/fraud, terrorism, child safeguarding and/or prevention of sexual exploitation and harassment, conflict of interest, or other gross violation of Catalpa’s Code of Conduct. Examples of this would include any incident where a child or adult has been exploited or abused or where there is a pattern of ongoing bullying or discrimination alleged. It should also include any complaint which alleges wrongdoing by a member of the Confidential Reporting and Complaints Committee, as the Committee should not investigate internally allegations related to another member of the Committee.
(ii) Type of complaints that can initially be investigated internally by Catalpa’s Confidential Reporting and Investigations Committee who have received training in sensitive investigations, and may later referred for external investigation if gross misconduct is unearthed during the course of the initial internal investigation: - Allegations of violations of Catalpa’s policies that are likely to be accidental, non-malicious and do not comprise gross misconduct. Examples of this could include a staff member who sought to follow Catalpa’s Child Safeguarding Policy but is alleged to have used the wrong process and/or wrong template to obtain informed consent for photographs; or where a staff member makes a ‘joke’ which is insensitive / inappropriate / sexist / racist.
(iii) Type of complaints that do not need to be investigated but should nevertheless be logged in the Complaints log to enable tracking of trends and follow up at a later date if necessary:
Sexual harassment allegations where the adult survivor / victim has made an informed decision to pursue a different resolution pathway such as early intervention and/or informal pathways.
Nuisance complaints or ineligible complaints i.e. where the allegation relates to a project or piece of work that was conducted by another organisation Catalpa has no dealings with.
4.3.3 Conducting Internal and external investigations
In the same meeting to determine whether or not an internal or external investigation is needed the Committee should determine (
i) who on the Committee will be part of that investigation (if internal); or
(ii) who on the Committee will oversee / contract an investigator and supervise the investigation (if external) and to view the guidance below regarding investigations. In all cases there should be one ‘Investigation Officer’ to act as the focal point for each investigation nominated from the Committee who will be responsible for ensuring communication with the rest of the Committee, organising Committee meetings to progress the investigation, liaison with an external investigator (if needed), liaison with the complainant and the victim / survivor if different to the complainant, keeping the Complaints Log (in the Stopline database) up to date, and ensuring that all delegated members of the Committee (i.e. those who will be involved in this investigation) have access to the information about this investigation in the Stopline complaints log / database.
The Confidential Reporting and Investigations Committee will be guided by the following:
If required, Catalpa can suspend or transfer the alleged perpetrator (if known and if serious misconduct alleged i.e. safeguarding issues) during the investigation, and identify what disciplinary steps would be relevant in the event that the investigation indicates misconduct (this step may also be taken at the pre-investigation stage if appropriate)
Where an investigation is warranted, Catalpa will follow the guiding principles below:
investigations should be undertaken only by experienced and qualified professionals who are trained in sensitive investigations and on a victim/survivor – centered approach. All core members of the Confidential Reporting and Investigations Committee need to have received training from Stopline in investigations. Depending on the nature of the complaint, it may be necessarily to outsource the investigation to an external service provider such as Safeguarding Services (for child safeguarding and/or PSEAH) or Stopline (for all other incidences such as fraud etc.).
Catalpa is committed to ensuring that the safety and wellbeing of any victim / survivor and their dignity and rights remain the overriding concern at all times
Catalpa will deal with all reports in a timely manner.
While noting that any investigation needs to be conducted thoroughly, in such a way as to best address risk, all efforts should be made to complete investigations within 60 days (it may be a requirement to submit a final report to the donorT within 60 days in safeguarding cases).
Ensure that the interests of anyone reporting in good faith are protected
Where a report is made in good faith and on reasonable grounds Catalpa will act in the best interest of the person who made the report to protect them from any victimisation, adverse reaction or intimidation and ensure they will not be disadvantaged in their employment with Catalpa.
A staff member who intentionally makes a false or malicious report may be subject to disciplinary action. A contractor who intentionally makes a false or malicious report may be subject to termination of contract.
Where safe to do so, and when in accordance with the wishes of any victims / survivors and/or whistleblowers, all alleged incidents that involve a criminal aspect should be reported through the correct local law enforcement channels. To protect the privacy of alleged perpetrators, victims/survivors, and whistleblowers, information provided to Catalpa will be handled in accordance with the Privacy Act 1988 (Cth).
If Catalpa is requested not to take any further action by the person making the allegation, for instance out of fear for the security of the victim / survivor, the Catalpa COO must liaise with the victim / survivor to establish and document their wishes on the matter.
If the allegation is reportable to a donor such as DFAT or MFAT or other under their Safeguarding policies, Catalpa’s Safeguarding Focal Point must still notify DFAT and/or MFAT but should acknowledge the security concern in the report.
During an investigation, the Stopline Complaints Log should be kept up to date by this investigation’s focal point for the investigation including the eventual outcome of the investigation (see section 7.3.4 below) and the focal point should ensure that . All sensitive data / information should be stored in the Stopline system.
4.3.4 Outcome of investigations
Once the internal or external investigation is complete, the outcome of the investigation should be detailed in a written report (by the Catalpa investigation officer for internal investigations, or by the external service provider/investigation officer for external investigations) that is shared with the members of the Confidential Reporting and Investigation Committee who were part of this investigation.
The relevant members of the Confidential Reporting and Investigation Committee (i.e. those who were part of this investigation) should convene and decide together the outcome of the investigation. When the Committee cannot decide by consensus, the decision making ultimately lies with the Director(s) on the Committee.
Where the complaint relates to serious misconduct, Catalpa will offer assistance to the complainant/victim/survivor with their consent. This may include counselling, medical, social, or legal assistance, or referral to such services.
Catalpa will take appropriate disciplinary action against any employees, interns, volunteers, board members, individual contractors, and grantees/partners who have breached this policy. Disciplinary action is defined in full at Annex One and there is more information in the “classification of disciplinary action” guide in the employee Handbook for more information.
In cases of sexual harassment, Catalpa will be guided by the Respect at Work guidance regarding outcomes and consequences here https://www.respectatwork.gov.au/organisation/response/reporting/outcomes-and-consequences
Even in cases of anonymous complaints or where an investigation has not proceeded, Catalpa commits to ensuring steps are taken to promote learning and improvement which could include:
Undertaking a general campaign about appropriate workplace behaviours, with a focus on the area the complaint was generated
Providing a reminder to all staff of Catalpa’s policy/ies, reporting and resolution procedure and supports as well as encouraging workers to raise a concern
Implementing new procedures or systems of work that reduce the possibility or opportunity for further misconduct to occur
Further, if there was insufficient information for an investigation to proceed but a perpetrator(s) or department misconduct was identified in the allegation, Catalpa will consider:
Initiation of a 360 review, health check or similar in an area where anonymous reports suggest there may be issues however no formal complaints have been received
Where there are several similar complaints from the same department or area, extra targeted training may be utilised
In the case of receiving numerous anonymous reports against the same person, Catalpa caninstigate an independent investigation observing all necessary standards and procedural fairness
To obtain further information, speaking with other members of the alleged respondent's team to identify whether there is a cultural issue or pattern of conduct, or the roll out of broader pulse surveys could be used to further test concerns. A pulse survey is usually a simple short survey to gauge worker insights on a particular issue
Monitoring the alleged respondent’s behaviour and intervening if new issues arise, including possible victimisation.
4.4. Resolution
If the investigation reveals that the complaint is valid, a number of actions may be taken depending on the nature of the complaint. For example:
The person against whom the complaint is made may be asked to take remedial action, such as:
give the staff a written apology.
they may be given a written warning, counselling, transfer, demotion, or may be subjected to disciplinary action up to and including termination of employment.
If the investigation is inconclusive, i.e. the complaint cannot be proved due to lack of evidence or the conduct is not sufficiently serious to justify disciplinary action, Catalpa may nevertheless take a number of actions. These may include:
Ongoing monitoring by the manager
Counselling, training/education, coaching which could be provided internally or could be referred to external providers.
Mediation facilitated by someone independent
4.5 Escalate/Appeal process
Should the person who made the complaint not be satisfied with the outcome, the process, or if parties fail to meet agreed actions and timeframes, they can request the complaint be escalated to the Catalpa Director(s). The Director will consider the situation and make a decision. Under this process, the decision made by the Director is final and binding.
5. Employee Support
Catalpa staff are entitled to a certain amount of free, professional counselling from our provider Mandala Staff Support. For more information about Mandala Staff Support and to access their service click here. The counselling is confidential and nothing discussed with a counsellor will be communicated back to Catalpa.
The following supporting documentation can be found in the Handbook:
Catalpa Code of Conduct
Whistleblower Policy
Catalpa PSEAH Policy
Catalpa Child Safeguarding Policy and related Code of Conduct
This policy does not impose contractual obligations on Catalpa. This policy provides a framework for dealing with complaints in any particular situation, but it is a guide only and Catalpa may adopt an alternative course of action at its discretion or if the circumstances warrant it.
This policy can be updated or amended from time to time by Catalpa at its absolute discretion. The current version of this policy can be accessed in the Catalpa Handbook.
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