Formal complaints procedure

Acas says that where an informal resolution is not possible, the employer may decide that the matter is a disciplinary issue which needs to be dealt with formally at the appropriate level of the organisation’s disciplinary procedure. It emphasises the importance of following a fair procedure for both the complainant and the person accused of bullying or harassment.

A formal procedure is likely to be appropriate if:

• an informal approach has failed to stop the bullying and harassment;

• the issues raised are too serious to be suited to mediation;

• the victim wants a full investigation of the incidents and does not want to try the mediation route; or

• mediation has failed.

A formal procedure involves the victim or a representative reporting the alleged behaviour to an appropriate manager, making it clear that it is a formal complaint and giving details in writing.

For the complaint to be properly investigated, an employer is likely to ask for:

• clear, specific allegations against the named person or people;

• dates, times, and witnesses to incidents (where possible), with direct quotations;

• a factual description of events;

• an indication of how each incident made the complainant feel;

• any documentary evidence (for example, any emails, screen prints and so on); and

• details of any action the complainant or others have already taken; and

• information as to how they would like the problem resolved.

As the perpetrator of the harassment or bullying is often the immediate line manager, there must be an alternative person (an HR manager, for example) to whom allegations can be made.

As the outcome of the complaint could result in disciplinary action against the perpetrator, there will need to be a thorough investigation of the allegations, and the procedure must ensure fairness to both the person complaining and the person accused. The procedure must meet the requirement of the employer’s discipline and grievance procedure and the Acas Code on disciplinary and grievance procedures.

The formal procedure should ensure that:

• matters are dealt with quickly;

• the individuals are aware of the allegations against them;

• the individuals have an opportunity to state their case;

• the individuals can be accompanied by a union rep or colleague;

• the relationship with other procedures such as the disciplinary procedure is clear; and

• confidentiality is maintained as far as possible.