DIGNITY AND RESPECT POLICY AND GUIDELINES ON PREVENTING AND MANAGING WORKPLACE BULLYING

DIGNITY AND RESPECT POLICY AND GUIDELINES ON PREVENTING AND MANAGING WORKPLACE BULLYING

Foreword: Director General, NSW Premier s Department The New South Wales Government is committed to ensuring its workforce is free from workplace bullying. The Dignity and Respect in the Workplace Charter 1 and this document, Dignity and Respect: Policy and Guidelines on Preventing and Managing Workplace Bullying have been developed in consultation with public sector agencies and major public sector unions. The policy is based on the principles of sound people management and ethical behaviour and underpins the Dignity & Respect in the Workplace Charter. It is expected that all public sector employees will treat each other with respect and bullying in the workplace will not be tolerated. Managers need to implement and actively promote policies aimed at ensuring that staff behave ethically and professionally. All employees must clearly understand the requirements and responsibilities to treat each other with dignity and respect. The consequences of ignoring or condoning workplace bullying include workplace stress, increased absenteeism, high staff turnover - all leading to reduced productivity. Agencies must investigate and deal promptly, thoroughly, and fairly with allegations of bullying behaviour. This policy focuses on bullying prevention through a risk management approach and thereby assists agencies to identify and eliminate bullying from their workplaces. I encourage all agencies to use this policy in order to eliminate workplace bullying in the public sector. Dr Col Gellatly Director General Premier s Department 1 Appendix 1 Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page i

Chief Executive Officer, WorkCover NSW Foreword Bullying comprises a significant threat to the safety and wellbeing of workers, and can impact on the harmony of the workplace environment. Although it may appear at times a daunting issue to address, the risk of bullying can be reduced and managed in much the same way as other workplace hazards, by implementing appropriate risk management policies and procedures. Government agencies should lead the way in managing this risk, which might otherwise result in physical or psychological injury to employees, lost time and productivity, and potentially high workers compensation claim costs. Clear guidance material will assist agencies to identify and effectively address concerns. WorkCover endorses the use of Dignity and Respect in the Workplace- Policy and Guidelines to support an agency s policy development and review its strategies for managing the risk of bullying in the workplace. Jon Blackwell Chief Executive Officer WorkCover NSW Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace

TABLE OF CONTENTS Foreword: Director General, NSW Premier s Department...iii Foreword: Chief Executive Officer, NSW WorkCover...iiii INTRODUCTION...1 Policy framework...1 Policy principles...1 Implementation of Policy principles...2 Defining Bullying...2 Definition...2 Examples of bullying behaviour...3 Performance management...3 Legislation and related policies...4 A RISK MANAGEMENT APPROACH...5 Introduction...5 Workplace consultation...6 Identification of bullying hazards...6 Risk assessment...6 Risk elimination and control...7 Monitoring and review...8 DEALING WITH COMPLAINTS...11 PROCESS IMPROVEMENT...13 Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace

INTRODUCTION Policy framework The NSW Government requires public sector agencies to ensure their workplaces are free from all forms of bullying. The Model Code of Conduct for NSW Public Agencies underpins this policy and provides all public agencies with a framework for ensuring ethical decision-making and action. Agency codes of conduct proscribe expected workplace behaviours reinforcing the Model Code of Conduct which states that: Employees are to treat members of the public and their colleagues fairly and consistently, in a non-discriminatory manner with proper regard for their rights and obligations. In this regard they should perform their duties in a professional and responsible manner. Dignity and Respect: Policy and Guidelines on Preventing and Managing Workplace Bullying provides an overarching framework that assists agencies review and develop their own policies to eliminate workplace bullying. The policy provides guidance to agencies on a preventative risk management approach to bullying which can be integrated with other existing human resource policies. It also supports the provisions outlined in the Occupational Health and Safety Act 2000 and the Occupational Health and Safety Regulation 2001 for maintaining a safe and healthy workplace. It is also aligned to the NSW Government s Working Together Public Sector OHS & Injury Management Strategy 2005-2008 and the Dignity & Respect in the Workplace Charter. Policy principles NSW public sector managers have a leadership responsibility to model ethical behaviour and maintain a professional working environment. Safe and healthy workplaces, which are free from bullying should be promoted and maintained. Agencies have a duty of care to provide safe working environments. All workplace participants should treat each other with respect. There are bound to be occasional differences of opinion, conflicts and problems, these are part of working life. However, when the treatment of another person is unreasonable, offensive, intimidating, humiliating or threatening and repeated then this amounts to workplace bullying and should not be tolerated. Employees have a right to expect that any grievance or complaint lodged in relation to an allegation of bullying will be dealt with fairly and confidentially and managed in a timely, and appropriate manner. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 1

Implementation of Policy principles Policies developed by individual agencies to manage and prevent bullying should be based on the above policy principles. In so doing it is expected that the following approaches will be adopted: a whole of organisation commitment to employee health, safety & welfare the identification of organisational risk in relation to bullying behaviour active management of allegations of bullying using existing agency grievance/ complaints handling systems the promotion of workplace standards of behaviour (based on an agencies Code of Conduct) based on fairness, transparency and two way communication where employees treat each other with respect consultation and communication with employees and unions on anti bullying strategies training to raise staff awareness of their responsibilities in relation to the prevention and management of bullying. Defining Bullying Defining workplace bullying is not simple, as it relies to some extent upon how the behaviour is perceived by the person experiencing it. Some agency policies have attempted to define it. For the purposes of this document the following definition has been developed. Definition Generally, workplace bullying is any behaviour or series of behaviours that is unreasonable or undesirable at the place of work and/or in the course of or related to employment which intimidates, humiliates and/or undermines a person or a group of people. Bullying will generally meet the following four criteria: 1. It is repeated 2. It is unwelcome and unsolicited 3. The recipient/s considers the behaviour to be offensive, intimidating, humiliating or threatening 4. Based on the available information, the behaviour would be considered offensive, intimidating, humiliating or threatening to the individual it is directed at, or, for that matter, others who are witness to or affected by it. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 2

Examples of bullying behaviour Bullying behaviour may be directed upwards or downwards and towards co-workers. There is no finite list of bullying behaviours, however, the following types of behaviour, where repeated or occurring as part of a pattern of behaviour, could be considered bullying: Being subjected to constant ridicule and being put down in front of colleagues Being the victim of loud and abusive, threatening or derogatory language usually when other employees are present Leaving offensive messages on email or by telephone, including offensive messages through the use of SMS and material posted on the internet Being subjected to practical jokes Performance management It is important to differentiate between a person s legitimate authority at work, and bullying. All employers have a legal right to direct and control how work is done, and managers have a responsibility to monitor workflow give feedback and manage performance. Feedback or counselling on work performance or behaviour is intended to assist staff improve work performance and/or the standard of their behaviour. If an employee has performance problems, these should be identified and dealt with in a constructive way that is not humiliating or threatening. The performance management process requires two way communications that clearly explains the work staff are expected to do. This involves providing constructive feedback to staff on their work performance. Performance management is consistent with the principles and objectives of the Dignity and Respect in the Workplace Framework. In dealing with performance management issues, agencies are expected to utilise their own agreed policies on performance management eg Performance Management Policy and Guidelines 1998 and the Commentary and Guidelines on the Management of Conduct and Performance June 2003 for public service agencies. The success of any performance management system will depend on the degree of commitment and skill of those participating, and hence the training that supports them. Successful implementation of performance management will include both training in the operation of the system itself, and training in specific skills required to effectively manage employee performance. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 3

Legislation and related policies NSW Occupational Health and Safety Act 2000 NSW Occupational Health and Safety Regulation 2001 Working Together Public Sector OHS & Injury Management Strategy 2005-2008 NSW Workplace Health and Safety Strategy 2005-2008 Workers Compensation Act 1987 Workplace Injury Management and Workers Compensation Act 1998 Model Code of Conduct for NSW Public Agencies 1997 Code of Conduct and Ethics for Public Sector Executives 1997 Dealing with Employee Work-related Concerns and Grievances 1996 For information on harassment and anti-discrimination issues see: Harassment Free Workplace Policy and Guidelines 1996 NSW Industrial Relations Act 1996 Federal Workplace Relations Act 1996 Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 4

A RISK MANAGEMENT APPROACH Introduction The Bullying Risk Management Model shown below outlines the key elements integral to developing or reviewing an agency-wide response to bullying in the workplace within the context of existing systems, policies and procedures. Each of the elements in the model contributes towards eliminating bullying from the workplace. In recognition that agencies are at various stages of implementation the model allows agencies to review any or all of the above elements, as they are part of a continuous rather than sequential process. These strategies are not intended to override but rather complement and guide agencies to customise their own approaches. The risk management approach to bullying focuses on creating a work environment that eliminates or controls the circumstances that can lead to bullying. In this context risk management is about eliminating or reducing the risk of injuries and illness associated with bullying and identifying the factors that may lead to bullying. Outlined below are the major features of an effective risk management approach to anti-bullying. The Treasury Managed Fund TMF Guide to Risk Management, the WorkCover NSW Health and Safety Guide 2001and Premiers Department Circular No 2003-37 Occupational Stress Hazard Identification and Risk Management Strategy provide further information. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 5

The following WorkCover publications will assist the development of occupational health and safety risk management systems: Risk Management at Work Guide (Catalogue number 425) Due Diligence at Work Guide (Catalogue number 126) These publications can be downloaded from WorkCover s website (www.workcover.nsw.gov.au or obtained by telephoning WorkCover s Publication s Hotline (1300 799 003) Workplace consultation Effective communication with internal and external stakeholders is the key to understanding risk, managing risk and developing a workplace culture that values and promotes positive behaviours. Consultation with employees and unions is integral to this process. Identification of bullying hazards As stated earlier, Occupational Health and Safety legislation provides employers with a duty of care to provide a safe working environment for employees. Good quality data is essential to identify the factors that may lead to workplace bullying. Agencies have available a number of data sources that can be analysed to identify bullying hazards in their agencies, for example, absentee rates, incident records, exit interviews and staff turnover records. Consultative forums with employees, unions and managers can be used to review this information (taking account privacy issues) to develop appropriate strategies. Reviewing employee data such as workers compensation claims, grievances, disputes and complaints can alert an agency to systemic problems in their workplace. Unchecked, these systemic problems can lead to an escalation of bullying incidents. Reviewing trend data enables agencies to develop a targeted response. Systems that review, analyse and monitor agency human resource data allows agencies to respond more effectively. Analysis of where an agency is currently positioned enables a targeted response that avoids the one size fits all approach to managing bullying. Risk assessment Risk assessment is concerned with measuring the likelihood and severity of injury associated with a specific workplace hazard. The level of risk attached to a bullying hazard can be assessed as high, medium or low. This enables agencies to prioritise what needs to be done. The degree of bullying risk in an agency will determine which risk control options are appropriate. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 6

Risk elimination and control An agency s first responsibility is to eliminate any identified risk factors. If this is not achievable, agencies through risk control should reduce risk to the lowest possible level. Risk elimination and control refers to agency systems and structures that support and manage specific risk management activity, capability and behaviours. Weak systems, practices and processes that occur in organisational governance structures can lead to poor people management practices and result in bullying incidents. Some examples of key control systems and structures are provided below: Corporate Governance systems and statutory compliance obligations good governance demonstrates to employees and stakeholders an agency s adherence to the principles of accountability, transparency, probity and ethical public administration. The NSW Government s Strategic Management Framework - A Whole of Government Initiative NSW Premier s Department which is updated annually and guides agencies in service delivery planning, the allocation of appropriate resources and reporting on performance, this may be useful tool for agencies to consider. The Strategic Management Framework is available from the NSW Premier s Department website at www.premiers.nsw.gov.au Agency structures agency structures need to be based on core business needs. However in determining agency structures consideration should also be given to whether particular approaches may also contribute to bullying and where possible these should be avoided. Hierarchical structures and centralised decision making can be factors that contribute to bullying risk eg command and control environments where communication can be authoritative and directive with low levels of consultation. Incident reporting and document control systems monitoring these enable agencies to learn from the past and put in place preventative or corrective action. Information and training about anti bullying policy and procedures - creates awareness and supports the development of appropriate workplace behaviours. Training may be required to address identified risk factors in a workplace e.g. an evaluation of incident reports may highlight bullying in a particular employee group. A customised anti-bullying training package may be required, for example, any manager or supervisor responsible for dealing with complaints should receive adequate training and instruction. Consultation - with all stakeholders will ensure relevance and ownership of risk control strategies e.g. Joint Consultative Committee. Audit and review systems these practices add value by bringing independence and authority to the risk identification, assessment and control processes. For example: Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 7

o a workplace audit following recent organisational change, particularly change that has lead to high job instability and uncertainty about ongoing employment can identify bullying risks o a review of policies and procedures may identify inadequacies and require updating and amending e.g. complaints and grievance handling procedures. Workplace diversity certain groups in the workplace may be at a higher risk of being bullied, for example, due to religious, race, age and gender differences. Data on the impact for these groups should be monitored closely. However, employees in these groups may be less inclined to complain, hence agency data may not be complete and accurately reflect the situation. Training in workplace diversity and cultural awareness may be required. Support systems such as employee assistance programs, peer support systems, interpreters or appropriate support for people with disabilities may prevent incidents from escalating, for example, employees with personal problems may display inappropriate work behaviour that can lead to bullying. Referral to Employee Assistance Program providers may avoid escalation. Monitoring and review Regular monitoring of qualitative information enables agencies to identify whether the risk strategies established have achieved/ reduced the impact of the hazard. To monitor effectively, agencies need to establish baseline data. Data sources include: records of staff grievances and complaints regarding alleged bullying incidents workers compensation data eg number of psychological injuries sick leave and other absenteeism data eg increased levels, changed individual patterns of leave etc exit interviews data citing grievances, bullying and harassment staff turnover statistics Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 8

WORKPLACE TRAINING AND AWARENESS Training is integral to developing a workplace culture that encourages dignity and respect in the workplace. Training reduces the risk of bullying occurring in the workplace because it builds staff confidence in an agency s anti-bullying policy and better equips managers to understand bullying issues and prevention strategies at the workplace level. The OHS Act requires employers to provide sufficient information, instruction and training to employees to enable them to work safely and without risk to their health and welfare. Information, instruction and training should provide personnel with the skills and knowledge that they need to perform their jobs safely, this can be provided at induction, orientation and at periods throughout an employee s work. The mix of information, instruction and training needed to reduce the risk of bullying in a particular workplace will depend on the training needs identified through the risk assessment process. Generally speaking anti-bullying training may include the following three aspects: creating awareness and building commitment to a bully free workplace agency anti-bullying policy and procedures areas identified as a result of the Risk Management Approach Agencies should consider the range of training delivery methods available such as online training and train the trainer and should tailor training specifically to their needs. It is important to promote awareness of these issues among employees, including managers and supervisors. This should provide employees with the skills and knowledge they need to perform their jobs safely. It should help them to understand: the hazards and risks of workplace bullying the rationale and strategies that have been put in place and how to use them how to follow administrative, health, safety and welfare reporting procedures. Agencies should look at existing training that is occurring in their organisation on related issues such as performance management, supervision, grievance handling with a view to integrating anti-bullying training with these programs. An agency s identification of bullying hazards, risk assessment and risk control analysis may identify additional training needs. For example, an agency may identify that a particular group are being bullied in the workplace and specific training may be Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 9

required. A range of resources are available to assist agencies to tailor training programs to meet these needs: Specialist anti bullying consultants External agencies that customise training programs Union training packages In-house staff development courses Agencies need to monitor and evaluate training needs on an ongoing basis to cater for employee movements and the occurrence of bullying incidents. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 10

DEALING WITH COMPLAINTS All agencies should have complaint handling systems in place. Memorandum 96-11 Dealing with Employee Work-Related Concerns and Grievances, and Harassment Free Workplace provides agencies with guidelines for the appropriate management of work-related concerns and grievances. A grievance is defined as a clear statement by an employee of a work-related problem, concern or complaint. Agency specific complaint procedures should reflect the principles outlined in this policy. Agencies may manage bullying incidents using their existing agency grievance/complaints handling systems adapted to meet this policy. An analysis and preliminary investigation of a bullying complaint will determine the appropriate method of resolution, whether the complaint can be managed at the local level or requires higher level intervention or whether an informal or formal process is required. A timely response to complaints minimises the risk to the health and safety of employees and demonstrates an agency s commitment to its bullying prevention policy. Resolution procedures should include options for both informal and formal approaches. Informal options, when used promptly, can provide a means of resolving issues at the local level through such processes as negotiation or mediation before the matter escalates. Formal procedures are necessary where these options have failed, where disciplinary action may be required or the nature of the complaint may involve breaches of criminal or other legislation. Grievances may require referral to an independent (external to the organisation) investigator to conduct an investigation especially where the problem is intractable. Resolution of a bullying complaint may require considering alternative actions or processes such as discipline, performance management or referring the matter to an external agency for example when the alleged bullying may be criminal or corrupt conduct. Depending on the circumstances it may be appropriate to temporarily suspend or discontinue the grievance process to allow the alternative process to be undertaken. This will enable a satisfactory outcome for both the complainant and other staff member(s) and finalises the grievance process. The principles of procedural fairness should be followed in all formal investigations as they are designed to protect all parties involved. Where an employee is found to have been bullied by another staff member, the organisation needs to consider whether discipline or other performance management actions including counselling should be taken. The nature and seriousness of the bullying incident will determine what action is required. Employers should actively encourage reporting of bullying incidents. Agencies should make it clear to employees that reports of bullying will be taken seriously and that people reporting bullying incidents will not be victimised. Incident reporting and documentation procedures can provide valuable data for risk elimination and control purposes, an important feature of the risk management approach to bullying. Agencies should revisit their current grievance policy and procedures to ensure consistency with this approach. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 11

For example, it may be necessary to modify existing grievance procedures by allowing provision for a bullying allegation to be referred to the Occupational Health and Safety Committee for the identification of risk assessment and control. These procedures when developed in consultation with employees and other key stakeholders will ensure relevancy to organisational culture and thereby help gain employee commitment. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 12

PROCESS IMPROVEMENT Consultation and participation is important to build commitment to appropriate workplace behaviour and identify risk factors. Effective consultation, monitoring and review leads to continuous improvement. The risk management approach to anti- bullying identifies various information sources providing valuable data about agency performance in eliminating bullying. For example, monitoring incident reports and document control systems; auditing and reviewing systems may identify the need for changed delegations. regular monitoring and review of workplace communication systems and processes. Regular evaluation of this type of information will enable agencies to identify whether their risk management strategies are working, learn from past experience and put in place preventative or corrective action. Agencies can utilise this information to develop benchmarks to evaluate performance, for example, comparative data on bullying incidents and sick leave. This will enable agency policies to remain effective and relevant to their organisational needs. Consultation will help agencies to successfully implement and evaluate prevention measures. The monitoring and review process should involve feedback from all relevant stakeholders. Agencies should use existing consultative mechanisms to involve stakeholders in this process. Consultative mechanisms can include regular meetings with OHS representatives and committees, surveying employees, providing suggestion boxes to allow employees to provide feedback anonymously and raising issues at staff meetings. Dignity and Respect: Policy and Guidelines on Preventing and Managing Bullying in the Workplace page 13