GOOD PRACTICE GUIDELINES
Preventing and
responding to
bullying at work
FOR PERSONS CONDUCTING
A BUSINESS OR UNDERTAKING
(PCBUs)
March 2017
ACKNOWLEDGEMENTS
WorkSafe would like to acknowledge and thank the
stakeholders who have contributed to the original development
and the subsequent update of these guidelines.
Safe Work Australia is acknowledged for the use of content
from their Guide for Preventing and Responding to Workplace
Bullying November 2013.
Guideforpersonsconductingabusiness
orundertakingonhowtominimiseand
dealwithbullyingatwork
These guidelines are an update to the 2014 guidelines Preventing and Responding
to Workplace Bullying. The update was initiated due to the introduction of the
Health and Safety at Work Act 2015 (HSWA).
In addition, external feedback (such as the research commissioned by the Healthy
Work Group at Massey University and the New Zealand Work Research Institute at
AUT University, and the feedback sought during targeted consultation) was used
to inform the changes.
This update includes:
– changing the document’s focus to be primarily for persons conducting a
business or undertaking (guidance for workers is available in a separate guide)
– simplifying the content
– explaining how bullying fits into the new work health and safety legislation
– changing the format so the guidance follows a PLAN-DO-CHECK-ACT
approach to deal with bullying.
KEY POINTS
– Bullying at work is repeated and unreasonable
behaviour directed towards a worker or a
group of workers that can lead to physical
or psychological harm.
– Businesses and undertakings must eectively
deal with bullying at their workplaces.
Preventing and
responding to
bullying at work
FOREWORD
Persons conducting a business or undertaking (PCBUs) must eectively deal
with bullying at work.
WorkSafe New Zealand encourages PCBUs to use the PLAN-DO-CHECK-ACT
approach described in Figure 1 when managing work risks including those arising
from bullying.
ACT
Take action on lessons learnt
– Routinelyreviewtheeectivenessofcontrol
measuresatscheduledperiods
– Reviewincidentsandtalktoyourworkersto
checkthatthecontrolmeasuresareeectively
minimisingtherisk
– Usetheresultsofyourreviewsandinvestigations
intoincidentstoimprovecontrolmeasures
CHECK
Monitor performance of control measures
– Implementappropriatemeansforworkersto
reportbullying
DO
Implement control measures
– Implementcontrolmeasurestoeectivelyminimise
thelikelihoodofbullying
PLAN
Assess risk and identify control measures
– Assessthelikelihoodofbullyinginyourworkplace–
whetherbullyingisarisktoyourworkers
– Engageworkersandrepresentativestoidentify
reasonablypracticablecontrolmeasures
4
3
1
2
FIGURE 1: The PLAN-DO-CHECK-ACT approach
These guidelines are written for PCBUs − the ‘you’ used in these guidelines.
These guidelines describe ways to minimise the likelihood of bullying at work
and the harm arising from it, and cover the PLAN-DO-CHECK-ACT steps above.
While these guidelines focus on dealing with bullying at work, they can also
be used to deal with other unreasonable behaviour.
Specifically, these guidelines:
– explain how bullying harms workers (Section 1)
– explain how to identify bullying and assess its likelihood in a business or
undertaking (Section 2)
– explain how to minimise the likelihood of bullying using control measures
(Section 3)
– describe monitoring the eectiveness of control measures used to minimise
the likelihood of bullying, and reviewing and updating control measures
(Section 4)
– describe how you can deal with bullying complaints in-house (Section 5)
– describe where to seek external help including for cyberbullying, harassment
and discrimination (Section 6)
– provide in-depth case studies (Appendix A)
– provide:
- an example of reporting indicator results (Appendix B)
- a template for an anti-bullying policy (Appendix B)
- templates for forms for workers to submit informal reports
and formal complaints of unreasonable behaviour (Appendix B)
- a glossary (Appendix C).
See the WorkSafe website: worksafe.govt.nz for other anti-bullying guidance
and tools.
CONTENTS
1.0 Introduction 7
1.1 Bullying can lead to physical or psychological harm 8
1.2 Who has health and safety duties and obligations? 10
1.3 Managing risks under HSWA 11
2.0 Assessing the likelihood of bullying 14
2.1 What can bullying look like? 15
2.2 Assessing the likelihood of bullying 18
3.0 Minimising the likelihood of bullying 22
3.1 What can you do? 23
3.2 Build good relationships in a respectful work environment 23
3.3 Develop good managers 26
3.4 Educate workers about bullying 27
3.5 Make anti-bullying policies, processes and systems transparent 28
3.6 Make sure your workers know how to informally report
unreasonable behaviour or make a formal complaint 30
3.7 Provide support 30
3.8 Make sure everyone knows their roles and responsibilities 30
4.0 Monitoring, reviewing and updating
control measures 32
4.1 Monitoring the eectiveness of control measures 33
4.2 Reviewing and updating control measures for
ongoing improvement 34
5.0 Investigating bullying in-house 35
5.1 Principles to follow when investigating reports
or complaints in-house 36
5.2 Overview of steps for dealing with reports/complaints 37
5.3 Low key approach 38
5.4 Informal approach 38
5.5 Formal approach/formal investigation process 39
6.0 Seeking external help 43
6.1 Who can help? 44
appendices
Appendix A: Case studies 47
Appendix B: Templates and examples 50
Appendix C: Glossary 55
tables
1 Description of duty holders 11
2 Types of bullying 16
3 Examples of bullying behaviours 17
4 Situations when bullying can flourish 18
5 Factors that increase bullying 19
6 Manager behaviours 27
7 Roles and responsibilities of people at the workplace 31
8 General principles for dealing with reports or complaints 36
9 Legislation that deals with aspects of bullying 44
figures
1 The PLAN-DO-CHECK–ACT approach 2
2 Definition of bullying used in these guidelines 8
3 Examples of work-related health risks and health-related safety risks 9
4 Harms from bullying 10
5 Sources of information about bullying prevalence 19
6 Possible control measures to minimise the likelihood of bullying 23
7 Sources of conflict 25
8 Benefits of educating workers 28
9 Overview of steps for dealing with reports/complaints 37
10 Overview of a formal investigation process 39
1.0
Introduction
IN THIS SECTION:
1.1 Bullyingcanleadto
physicalorpsychologicalharm
1.2 Whohashealthandsafety
dutiesandobligations?
1.3 ManagingrisksunderHSWA
1.0 Introduction
Bullyingatworkcauses
harmtoworkersandmust
bedealtwithbybusinesses
andundertakings
Bullying can lead to physical or psychological harm
Definition of bullying
Figure 2 shows the definition of bullying used in these guidelines.
Workplace bullying is: repeated and
unreasonable behaviour directed towards
a worker or a group of workers that can
lead to physical or psychological harm.
– Repeatedbehaviourispersistent(occursmorethan
once)andcaninvolvearangeofactionsovertime
– Unreasonablebehaviourmeansactionsthata
reasonablepersoninthesamecircumstances
wouldseeasunreasonableItincludesvictimising
humiliatingintimidatingorthreateningaperson
– Bullyingmayalsoincludeharassmentdiscrimination
orviolence(seeSectionoftheseguidelinesfor
howthesearedealtwith)
Note: The bullying definition is adapted from Safe Work
Australia’s definition.
Workplace bullying is not:
– one-ooroccasionalinstancesofforgetfulness
rudenessortactlessness
– settinghighperformancestandards
– constructivefeedbackandlegitimateadvice
orpeerreview
– amanagerrequiringreasonableverbalorwritten
workinstructionstobecarriedout
– warningordiscipliningworkersinlinewiththe
businessorundertaking’scodeofconduct
– asingleincidentofunreasonablebehaviour
– reasonablemanagementactionsdelivered
inareasonableway
– dierencesinopinionorpersonalityclashesthat
donotescalateintobullyingharassmentorviolence
FIGURE 2: Definition of bullying used in these guidelines
You should deal with all undesirable work behaviours (even one-o incidents)
regardless of whether the behaviours fall under the above definition of
bullying. Such behaviours can escalate and should not be ignored.
Work-related health risks and health-related safety risks
It is well recognised that work can aect a person’s health, and a person’s health
can aect safety at work. Workers can become unwell or develop poor health
from their work and work environment (work-related health risks). Similarly in
some safety critical tasks, poor health or physical and mental impairment may
reduce a worker’s ability to work safely (health-related safety risks).
Figure 3 shows examples of work-related health risks and health-related safety
risks. This figure shows that bullying is predominantly a psychosocial health risk
but that, in some situations, it may also increase the potential for safety risks.
1.1
1.0 Introduction
WORK-RELATED HEALTH RISKS (‘EFFECTS OF WORK ON HEALTH’) HEALTH-RELATED SAFETY RISKS* (‘EFFECTS OF HEALTH ON WORK’)
Biologicalrisks Chemicalrisks Ergonomicrisks Physicalrisks Psychosocialrisks Impairmentrisks Incapacityrisks Mobilityrisks Sensoryrisks
Blood borne
viruses (eg Hep C)
Asbestos Manual handling Noise Bullying and work
behaviours
Fatigue Poorly controlled
diabetes
Physical frailty Colour vision
deficiency
Animal bacteria
(eg Leptospira)
Solvents Shift work Vibration Excessive
workload
Stress or mental
distraction
Poorly controlled
heart disease
Bone and/or joint
conditions
Reduced visual
acuity
Bacterial infection Pesticides Job design UV radiation
(eg sun exposure)
Lack of autonomy Drugs/alcohol
consumption
Poorly controlled
high blood
pressure
Severe obesity Reduced hearing
capability
FIGURE 3: Examples of work-related health risks and health-related safety risks
*
Health-related safety risks are specific to the tasks, situation and work environment that they exist within and are not a risk in all circumstances.
Two-way relationship
Eects of
work on health
Eects of
health on work
Bullying Bullying can cause stress or mental distraction resulting in...
1.0 Introduction
Bullying harms workers. Bullying can aect health and well-being, in the short
and long term, as described in Figure 4.
anxiety, stress,
fatigue and burnout
decreased emotional
well-being
reduced coping
strategies
post-traumatic
stress disorder
deterioration
in health
low self-esteem
increased likelihood of
drug and alcohol abuse
as a coping mechanism
feelings of reduced
personal control
and helplessness
serious physical or
mental health issues
including depression and
suicide attempts
The health risks that result from bullying have a moderate to high likelihood
of occurring, and moderate to high adverse consequences.
As well as the worker/s being bullied, those observing it (called bystanders)
can also suer harm.
Bullying can also negatively impact the entire workforce and result in:
– a hostile work environment
– decreased worker health and well-being, motivation, performance and
commitment
– workers attending work while sick, or taking more sick leave
– increased worker turnover.
Who has health and safety duties and obligations?
The Health and Safety at Work Act 2015 (HSWA) is New Zealand’s key work
health and safety legislation. It sets out the work health and safety duties that
must be complied with.
All work and workplaces are covered by HSWA unless specifically excluded.
WorkSafe New Zealand (WorkSafe) is the work health and safety regulator.
Under HSWA, everyone at a workplace has health and safety duties and so has
a role in dealing with bullying. There are four types of people that have duties
under HSWA – persons conducting a business or undertaking (PCBUs), ocers,
workers and other persons at workplaces (see Table 1 for explanations about
these duty holders).
All of these duty holders have duties in relation to bullying at work. See Section
3.8 of these guidelines for roles and responsibilities in relation to bullying.
FIGURE 4:
Harms from bullying
1.2


1.0 Introduction
DUTY HOLDER EXPLANATION
PCBU
(‘you’inthese
guidelines)
A PCBU is a ‘person conducting a business or undertaking’. A PCBU
may be an individual person or an organisation. This does not include
workers or ocers of PCBUs (to the extent they are solely workers
or ocers), volunteer associations (that do not have employees),
or home occupiers that employ or engage a tradesperson to carry
out residential work.
A PCBU must ensure, so far as is reasonably practicable, the health and
safety of workers, and that other persons are not put at risk by its work.
A PCBU plays an important role in protecting its workers’ physical and
mental health.
Ocer An ocer is a person who occupies a specified position or who
occupies a position that allows them to exercise significant influence
over the management of the business or undertaking. This includes,
for example, company directors and chief executives.
Ocers must exercise due diligence to ensure that the PCBU meets
its health and safety duties and obligations.
Worker A worker is an individual who carries out work in any capacity for a
PCBU. A worker may be an employee, a contractor or sub-contractor,
an employee of a contractor or sub-contractor, an employee of a
labour hire company, an outworker (including a homeworker), an
apprentice or a trainee, a person gaining work experience or on a
work trial, or a volunteer worker. It also includes an individual PCBU
that carries out work for the business or undertaking.
Workers can be at any level (eg managers are workers too).
Workers have duties to take reasonable care to keep themselves and
others healthy and safe when carrying out work.
Otherpersons
atworkplaces
Examples of other persons at workplaces include workplace visitors,
casual volunteers at workplaces and customers.
Other persons have duties to take reasonable care for their own health
and safety and to take reasonable care that they don’t harm others at
a workplace.
Managing risks under HSWA
Risks to health and safety arise from people being exposed to hazards (anything
that can cause harm, such as bullying).
You are expected to manage work risks eectively. You must understand how
to manage any changes to work processes or organisational changes that may
increase risks, and make sure any new risks are managed.
Under HSWA, risks must be eliminated so far as is reasonably practicable. If a risk
can’t be eliminated, it must be minimised so far as is reasonably practicable.
‘Reasonably practicable’ means you do what is reasonable to ensure health
and safety in your circumstances (eg what a reasonable person in your
position would be expected to know and do) – you do what is reasonable
to first try to eliminate the risk. If the risk can’t be eliminated, then you must
minimise it so far as is reasonably practicable.
Just because something is possible to do, doesn’t mean it is reasonably
practicable in the circumstances. However, cost can only be used as a reason
to not do something when it is grossly disproportionate to the risk.
For further information, read WorkSafe’s fact sheet Reasonably Practicable.
1.3
TABLE 1:
Description of
duty holders

1.0 Introduction
For guidance on how to manage work risks: see WorkSafe’s website:
worksafe.govt.nz/managing-health-and-safety/managing-risks
It is unlikely that you will be able to eliminate bullying. Instead you should
minimise the likelihood of bullying occurring at your workplace, and have
processes in place to eectively deal with bullying when it does occur.
Section 3 of these guidelines describes the actions you can take to minimise
the likelihood of bullying and the harm that arises from it. Section 5 describes
how you can eectively investigate allegations of bullying.
Engaging workers
You must, so far as is reasonably practicable, engage with the workers who
carry out work for you and who are, or are likely to be, directly aected by
a work health and safety matter.
You have a general duty to engage with workers. In addition, you must
engage when:
– identifying hazards and assessing risks to health and safety
– proposing changes that may aect workers’ health or safety
– making decisions about:
- ways to eliminate or minimise health and safety risks
- procedures for resolving health or safety issues
- whether facilities for workers’ welfare are adequate
- procedures for engaging with workers
- procedures for monitoring workers’ health
- procedures for monitoring workplace conditions
- procedures for providing information and training for workers
– developing worker participation practices, including when determining
work groups
– carrying out any other activity specified in regulations.
You must engage with workers (ask for their input and take it into account)
when working out how you will minimise the likelihood of bullying.
You must also have practices that give your workers reasonable opportunities to
participate eectively in improving work health and safety on an ongoing basis
(these are known as worker participation practices). This includes processes for
workers to report health and safety issues such as concerns that risks are not
being adequately managed.
Having worker representatives is one way for workers to participate. Well-
established ways to do this include having Health and Safety Representatives
(HSRs), Health and Safety Committees (HSCs) and unions. Other representatives
can include community or church leaders.
For further guidance on worker engagement, participation and representation see:
– WorkSafe’s good practice guidelines Worker Engagement, Participation
and Representation
– WorkSafe’s interpretive guidelines Worker Representation through Health
and Safety Representatives and Health and Safety Committees.


1.0 Introduction
Working with other PCBUs
More than one PCBU can have a duty in relation to the same matter
(overlapping duties).
PCBUs with overlapping duties must, so far as is reasonably practicable
consult, cooperate and coordinate activities with other PCBUs so that they
can all meet their joint responsibilities. PCBUs do not need to duplicate each
other’s eorts.
You cannot contract out of your duties, but can enter reasonable agreements
with other PCBUs to meet duties. However, all PCBUs retain the responsibility
to meet their duties.
The extent of the duty to manage risk depends on the ability of each PCBU
to influence and control the matter.
For further guidance on overlapping duties see WorkSafe’s quick guide
Overlapping duties.


2.0
Assessing the
likelihood of
bullying
IN THIS SECTION:
2.1 Whatcanbullyinglooklike?
2.2 Assessingthelikelihood
ofbullying


2.0 Assessing the likelihood of bullying
Assessingthelikelihood
ofbullyinginyourbusiness
orundertakingisthefirst
steptominimisingtheharm
arisingfromit
Bullying results in harm to workers’ health. The first step to minimising
the likelihood of bullying is to identify the factors that may lead to an
increased likelihood of bullying, and assess whether they exist in your
business or undertaking.
What can bullying look like?
As described in Section 1.1 of these guidelines, bullying at work is repeated
and unreasonable behaviour directed towards a worker or a group of workers
that can lead to physical or psychological harm.
Bullying can happen at any time and at all levels of a business or undertaking.
Bullying:
– isn’t limited to managers targeting sta or sta targeting managers – it can
also happen between co-workers, and between workers and other people
at workplaces such as clients, customers or visitors
– can be carried out by one or more persons
– can be directed at a single person or a group
– may occur outside normal work hours.
Bullying can be carried out in a variety of ways including through email,
text messaging, internet chat rooms or other social media channels
(called cyberbullying).
For further information on cyberbullying, see NetSafe’s website:
www.netsafe.org.nz/advice/harmfuldigitalcommunications
There are dierent types of bullying and types of bullying behaviours.
These are described in Tables 2 and 3.
2.1

2.0 Assessing the likelihood of bullying
TYPE DESCRIPTION
Institutionalcorporate
bullying
This occurs when, because of how an organisation operates,
behaviour is allowed to occur that oends or unduly stresses
or unreasonably burdens workers without concern for their
well-being, for example:
– settingimpossibletargetsunmanageablecaseloads
orunrealisticdeadlines
– lackofoversightandarbitrarydecisionsmadewithout
consultationthatcanhaveamajorimpactonworkers’lives
See below for examples.
Bullyingbymanagers This is when a manager targets a worker. This is often the most
visible and well-defined type of bullying.
Bullyingofmanagers This is when workers bully managers. The most common form
of this type of bullying is the withdrawal of cooperation or
communication.
Bullyingbyco-workers This is when workers are bullied by others who work at the
same or similar level.
Bullyingbyclients
customers
This is when workers are bullied by those they serve. Examples
include teachers bullied by pupils and their parents, nurses
bullied by patients and their relatives, social workers bullied
by their clients, and shop workers bullied by customers.
Bullyingofclients
customers
This is when workers bully their clients/customers.
Examples of institutional bullying
– A new worker had to manage 100 clients per week with five minutes per
client. The organisation’s standards allowed 20 minutes per week per
client, with some needing little attention. But sta shortages caused an
unreasonable workload which the manager simply deemed unavoidable.
– A factory box-unpacking rate per hour was applied without regard to the
physical dierences in capability between workers, the size and weight
of the boxes or the shelf position of the unboxed items.
– Workers were pressured to work late into the evening as it became part
of the culture. Anyone who did not work late was seen as not being a team
player. In one instance a new Human Resources manager tried to address
this workplace culture and was made ‘redundant’ three hours later.
Bullying can be physical, verbal or relational/social (eg excluding someone from
a peer group, spreading rumours).
1
Common bullying behaviours fit in two main categories:
– attacks that are direct and personal or
– indirect and task-related.
Examples of these behaviours are described in Table 3.
Some of these behaviours may also fall under other types of behaviour such
as discrimination or violence. See Section 6 of these guidelines for the external
help available for dealing with these types of behaviours.
TABLE 2:
Types of bullying
1
From Bullying Prevention and Response: A Guide for Schools (2015).


2.0 Assessing the likelihood of bullying
2
Adapted from Health and Safety Executive. (2003). Research report: Bullying at work: A review of the literature.
PERSONAL ATTACKS (DIRECT)
Examplesinclude
TASK-RELATED ATTACKS (INDIRECT)
Examplesinclude
Belittling remarks – undermining integrity – lies being told
– sense of judgment questioned – opinions marginalised
Giving unachievable tasks – impossible deadlines –
unmanageable workloads – overloading – ‘setting up to fail’
Ignoring – excluding – silent treatment – isolating Meaningless tasks – unpleasant jobs – belittling a person’s
ability – undermining
Attacking a person’s beliefs, attitude, lifestyle or
appearance – gender references – accusations of
being mentally disturbed
Withholding or concealing information – information goes
missing – failing to return calls or pass on messages
Ridiculing – insulting – teasing – jokes – ‘funny surprises’
– sarcasm
Undervaluing contribution – no credit where it’s due –
taking credit for work that’s not their own
Being shouted or yelled at Constant criticism of work
Threats of violence Underwork – working below competence – removing
responsibility – demotion
Insulting comments about private life Unreasonable or inappropriate monitoring
Physical attacks Oensive sanctions (eg denying leave where there is no
reason to do so)
Humiliation (in public or private) Excluding – isolating – ignoring views
Persistent and/or public criticism Changing goalposts or targets
Using obscene or oensive language, gestures or material Not giving enough training or resources
Ganging up – colleagues/clients encouraged to criticise
or spy – witch hunt – dirty tricks campaign – singled out
Reducing opportunities for expression – interrupting
when speaking
Intimidation – acting in a condescending manner Supplying incorrect or unclear information
Intruding on privacy (eg spying, stalking, harassed by calls
when on leave or at weekends)
Making hints or threats about job security
Unwanted sexual approaches, oers, or physical contact No support from manager
Verbal abuse Scapegoating
Inaccurate accusations Denial of opportunity
Suggestive glances, gestures, or dirty looks Judging wrongly
Tampering with personal eects – theft – destruction
of property
Forced or unjustified disciplinary hearings
Encouraged to feel guilty Lack of role clarity
Not trusting
Sabotage
TABLE 3: Examples of bullying behaviours
2

2.0 Assessing the likelihood of bullying
3
Adapted from a table developed by Frank Darby, Ministry of Business, Innovation and Employment, 2012.
Note: All current or prospective workers are legally protected from
discrimination and dismissal by a PCBU (called adverse conduct) for carrying
out health and safety-related activities or raising health and safety issues or
concerns. See WorkSafe’s special guide Introduction to Health and Safety at
Work Act 2015 for further information.
You can use the examples in Tables 2 and 3 to identify which behaviour is classed
as ‘bullying’.
You should have procedures to deal with other types of undesirable
behaviours you may identify as well as bullying.
Assessing the likelihood of bullying
Certain factors increase the likelihood of bullying occurring. Tables 4 and 5
outline situations where bullying can flourish or not, and factors that may
increase the chance of bullying occurring.
BULLYING CAN FLOURISH WHEN… BULLYING IS LESS LIKELY TO FLOURISH WHEN…
a code of silence exists and bullying behaviour isn’t talked
about – no-one dares or feels safe/able to question the
organisation’s norms.
it’s discussed openly, and information and training
is provided for workers and managers.
unreasonable workplace behaviour and practices are seen
as ‘normal’.
unreasonable behaviours are identified and desirable
behaviours are demonstrated.
people who mention or report bullying are isolated and/or
experience reprisals.
people can report bullying objectively and feel
safe from reprisals or isolation.
there are no consequences for bullying behaviour. there are disciplinary consequences when bullying
is confirmed.
there is no support for workers. workers are supported by their peers, managers and
Human Resources when they need it.
deadlines are unreasonable or not taken into consideration
in the work programme.
work pressures and deadlines are factored into work
programmes.
people are required to continually defend their
own performance.
people are part of a self-supporting and self-correcting
team.
there aren’t any checks or balances on managers’ behaviour,
and managers aren’t supported.
managers ask for, and get training and support
to be better managers.
there is no model for expected management behaviour. eective management behaviours are spelled
out clearly and acted upon.
managers fear a false charge of bullying. there are consequences for frivolous, vexatious
or malicious complaints.
unreasonable behaviours are not promptly dealt with. unreasonable behaviours are promptly dealt with.
there is no formal or informal process to deal with concerns
or complaints.
informal and formal processes exist and are used to
resolve issues.
negativity abounds. positivity abounds.
people are targeted. unreasonable behaviors are called out.
TABLE 4: Situations when bullying can flourish
3
2.2


2.0 Assessing the likelihood of bullying
4
Adapted from Safe Work Australia’s Guide for Preventing and Responding to Workplace Bullying November 2013.
FACTOR FOR EXAMPLE…
Workrelationships – poorcommunication
– lowlevelsofsupportorco-workerhostility
– criticismandothernegativeinteractions
– interpersonalconflict
– negativeworker–managementrelationships
– workersexcludedfromworkactivities
Workercomposition
(eg certain groups of
workers are more at
risk of being exposed
to bullying)
– casualworkers
– youngworkersnewworkersapprenticestrainees
– injuredworkersandworkersonreturn-to-workplans
– pieceworkers
– workersinaminoritygroupbecauseofethnicityreligion
disabilitygenderorsexualpreferences
Negativeleadership
styles
– ‘rulingwithanironfist’–whereworkersarenotinvolved
indecisionmaking
– wherelittleornoguidanceisprovidedtoworkers
– whereresponsibilitiesareinappropriatelyandinformally
delegatedtosubordinates
– wherethereisinadequatesupervision
Systemsofwork – lackofresources
– lackoftraining
– poorlydesignedrosteringunreasonableperformance
measuresortimeframes
– lackofsupportsystems
– highjobdemands
– limitedjobcontrol
– roleconflictandambiguity
– anacceptanceofunreasonablebehavioursorlackof
behaviouralstandards
– unreasonableexpectationsofclientsorcustomers
Organisationalchange – significanttechnologychange
– restructuresdownsizingoutsourcingjobinsecurity
Gather information
To assess the likelihood of bullying you could look at the following sources
of information:
Formal complaints/reports
of unreasonable behaviour
Feedback from
HSRs and HSCs
Employee assistance programme reports
Worker appraisals
Worker interviews
Worker focus groups
Absenteeism – sick leave
Exit interviews
Grievances/legal actions (eg under
the Employment Relations Act)
Resignations/turnoverWorker surveys
FIGURE 5: Sources of information about bullying prevalence
TABLE 5:
Factors that
increase bullying
4

2.0 Assessing the likelihood of bullying
Use both leading and lagging types of information. Lagging information focuses
on events that have occurred (eg the number of bullying complaints last year).
Leading information helps to predict if bullying is likely to occur in the future.
HSRs, HSCs and unions can help to find out information about the likelihood of
bullying in your business or undertaking (eg run focus groups, hold interviews,
do surveys and give useful information). They can also advocate for workers
who may not be able to represent themselves.
NUMBER OF RESIGNATIONS/TURNOVER
Often the person experiencing bullying leaves and the person allegedly behaving
in a bullying manner stays. A string of resignations from one area of an organisation
may indicate that a bully is present. This is an indirect measure.
LEVEL OF ABSENTEEISM – SICK LEAVE
Check absenteeism records including sick leave to see if they cluster around
specific business units or managers. This is an indirect measure.
NUMBER OF FORMAL COMPLAINTS/LEGAL ACTIONS/REPORTS
Look for increased reports/complaints from workers of bullying behaviour
(see Section 5 of these guidelines). Reports can also come from HSRs, HSCs,
employee assistance programmes or other workplace networks such as disability,
ethnic or gender-based support groups. See if reports relate to a particular work
area or person.
WORKER SURVEYS
You could hold worker surveys to establish whether bullying is occurring.
Ask questions on both negative and positive behaviour so you can work to
increase the positive. Always give overall feedback to the participants but keep
individual responses confidential. Surveys will need to vary (eg in questions
asked, frequency) according to the purpose and situation.
INTERVIEWS: ASK WORKERS DIRECTLY OR INDIRECTLY
Hold interviews internally, or through an independent provider to measure
bullying. Workers should be asked indirectly (‘Have you experienced negative
behaviour of this sort?’) rather than directly (‘Have you been bullied?’). Indirect
questioning obtains more comprehensive answers compared to direct questioning.
People who experience or witness bullying might not call it that. They can
explain it away or minimise it to maintain group harmony (eg ‘It’s been a
stressful time for them and…’).
Because bullying is ongoing and repeated, it can take a while for people
to see the pattern, so it can go on for some time before being addressed.
Also, the full impact on the target’s well-being might only be realised in
hindsight or with distance from the situation.
FOCUS GROUPS
Hold well-facilitated focus groups to reveal whether bullying is aecting workers,
and to establish a positive work environment.
APPRAISALS
You could appraise managers and supervisors as well as other workers. One approach
is an anonymous, structured appraisal of a manager’s competencies by their peers
and workers.


2.0 Assessing the likelihood of bullying
EXIT INTERVIEWS
You could use exit interviews to find out why workers are leaving. Tracking the
outcomes of exit interviews over time can help you identify trends and patterns,
and see whether turnover is due to management issues in certain areas.
Exit interviews can include the following questions:
– Why are you leaving?
– How long have you been intending to leave?
– Are you going to a better job or leaving one you don‘t like?
– Did you experience unreasonable behaviour?
– Do you believe the word ‘bullying’ applies to these behaviours?
– Did this contribute to your decision to leave?
INDICATORS
Performance against indicators can provide you a picture of whether the
likelihood of bullying is increasing or decreasing. Use both leading indicators
(eg % workers that have completed anti-bullying training) and lagging indicators
(eg % of workforce reporting bullying in the past 12 months).
Examples of indicators:
– % of workforce reporting bullying
– % bullying complaints upheld
– % parties to a complaint are satisfied with the investigation process
– % of managers/workers who have completed anti-bullying training in the
last 12 months
– % of workers that feel the business or undertaking appropriately manages
bullying at work
– % of workers that feel bullying is not tolerated by the business or undertaking
– % of workers that feel they are able to report bullying without repercussions
– % of workers that are satisfied with their role
– % of workers that would recommend their business or undertaking as a
good place to work.
See Appendix B of these guidelines for an example of reporting indicator results.
Next steps
Using the information gathered, assess the likelihood of bullying occurring in
your business or undertaking. This will determine the extent and urgency of the
actions you need to take in the first instance (see Section 3 of these guidelines).
However even if your business or undertaking is assessed as currently having
a low likelihood of bullying, be aware that bullying can occur at any time and
you are still expected to put control measures in place to minimise the likelihood
of bullying.
You can also use the information sources described above to carry out regular
monitoring of the levels of bullying in your business or undertaking to check
if the control measures in place are working eectively (see Section 4 of these
guidelines).


3.0
Minimising
the likelihood
of bullying
IN THIS SECTION:
3.1 Whatcanyoudo?
3.2 Buildgoodrelationshipsina
respectfulworkenvironment
3.3 Developgoodmanagers
3.4 Educateworkersaboutbullying
3.5 Makeanti-bullyingpolicies
processesandsystems
transparent
3.6 Makesureyourworkersknow
howtoinformallyreport
unreasonablebehaviouror
makeaformalcomplaint
3.7 Providesupport
3.8 Makesureeveryoneknows
theirrolesandresponsibilities


3.0 Minimising the likelihood of bullying
Usecontrolmeasuresto
minimisethelikelihood
ofbullyingatyourworkplace
Minimising the likelihood of bullying involves the early identification of situations likely
to increase the likelihood of bullying, and then putting in place control measures.
Give preference to control measures that protect multiple workers at once.
What can you do?
The control measures summarised in Figure 6 and described below can help
to address potential causes of bullying. The most eective way to minimise
unreasonable behaviours is to adjust the culture settings to expose and address
such behaviours. Consider what is reasonably practicable in your circumstances
to minimise the likelihood of bullying in your business or undertaking.
Minimise the
likelihood of
bullying by…
developing good managers
providing support
making anti-bullying
policies, processes and
systems transparent
making sure your
workers know how
to report bullying
making sure
everyone knows
their responsibilities
educating workers
(including managers and
HSRs) about bullying
building good relationships in
a respectful work environment
including having a ‘no-bullying
tolerated’ work culture
Build good relationships in a respectful work environment
Build a ‘no-bullying tolerated’ work culture
All workers (including HSRs and managers) need clear statements on expected
conduct and core values. Workers should be consulted with and involved in the
development of these statements.
HAVING A CODE OF CONDUCT
Organisational behaviours can be supported through a range of policies and
practices such as codes of conduct.
3.1
FIGURE 6:
Possible control
measures to minimise
the likelihood of bullying
3.2

3.0 Minimising the likelihood of bullying
A code of conduct describes:
– the expected behaviours, rules, practices and responsibilities for you, workers
and others at your workplace (eg visitors, clients and customers)
– the consequences for not following the code of conduct
– what is considered to be serious misconduct.
For an example of a code of conduct, see the Police’s Code of Conduct:
www.police.govt.nz/sites/default/files/publications/ourcode.pdf
SETTING VALUES
Workers should understand the core values of the business or undertaking’s culture.
For example, WorkSafe’s values are that its workers will act with:
– integrity – being fair, firm, and consistent, showing respect for those we
work with
– courage – standing up for health and safety
– responsibility – being accountable for what we do.
Promote good working relationships
Positive and tolerant work relationships are vital to organisational success
and the well-being of workers. Creating an environment that builds good
relationships minimises the likelihood of bullying.
Fostering a shared sense of purpose for workers is another way to develop
a culture that builds relationships.
Regular worker surveys are a good way to gauge workplace culture and
identify aspects that need improvement in both individual behaviour and
corporate performance.
Recognise and promote diversity
Sometimes cultural dierences can lead to misunderstandings or dierent
ideas about what behaviour is ‘reasonable’. Recognising diversity and creating
an environment where people are aware of cultural dierences and dierent
communication styles can reduce misunderstandings.
Recognising diversity means understanding how people’s dierences can bring
dierent strengths. An inclusive and tolerant workplace motivates people to do
their best and creates a stronger and more focused team.
A business or undertaking that can tackle problems and challenges is likely to
promote openness and minimise the sort of unreasonable behaviours that let
bullying thrive.
For more information see Diversity Works New Zealand at:
https://diversityworksnz.org.nz


3.0 Minimising the likelihood of bullying
Manage work and workloads
Lack of resources, lack of training, poorly designed rostering, unreasonable
performance measures or timeframes, lack of support systems and high job
demands can increase the likelihood of bullying.
You must ensure that the information, training, instruction or supervision
needed to protect all people from work health and safety risks is provided.
In addition, you should:
– review resource availability
– review and monitor workloads and stang levels
– reduce excessive working hours
– clearly define jobs
– seek regular feedback from workers over concerns about roles and
responsibilities.
Implement a conflict management process
Inevitably, personal dierences will arise at work. While conflict can be beneficial
if it promotes new ideas and solutions, it can escalate into bullying, harassment
or violence. Figure 7 describes potential sources of conflict.
values (eg having dierent
values in a situation)
interests (eg competing
for scarce resources)
data (eg disagreeing
about information)
relationships (eg personality
clashes or personal problems
aectingrelationships at work)
work activities
(eg disagreeing about
how to do the work)
You should:
– be aware of what your main sources of conflict are and have processes
in place to deal with these
– provide training to workers (eg on diversity and tolerance, addressing
conflict in the workplace, interpersonal communication and interaction)
– ensure managers promptly act on inappropriate behaviour.
Implement systems to support workers at a greater
risk of being bullied or of showing bullying behaviours
Certain groups of workers (eg new and young workers) may be more vulnerable,
while other groups of workers, through lack of awareness, may be more at risk
of displaying behaviours that may be construed as bullying.
FIGURE 7:
Sources of conflict

3.0 Minimising the likelihood of bullying
You should:
– train workers (eg in diversity, tolerance and communication skills)
– train line managers to identify and support workers at higher risk of being
bullied or showing bullying behaviours
– implement a buddy system for new workers
– monitor work relationships.
Involve workers in change processes
Significant technology change, restructures, downsizing, outsourcing and job
insecurity can increase the likelihood of unreasonable work behaviours which
may result in bullying. Workers should be involved in any change processes.
You should:
– plan all change and consult with workers aected as early as possible
– review and evaluate change processes
– develop and maintain eective communication throughout the change,
and seek and act on feedback.
Recruit workers who share your work values
Recruiting people who share your work values is crucial to a well-functioning
work environment. It’s much easier to recruit the right person than to manage
people whose skills or personality don’t match what’s needed in the team.
When recruiting, look at the candidate’s past performance and behaviour
towards other workers.
During the hiring process, to help to get the right person you should:
– accurately describe the role
– be clear about skills and qualifications required
– ensure personal attributes are suited to the role
– do reference checks.
For employers/employees: A clearly written employment agreement can help
reduce the risk of misunderstandings. Negotiating specific provisions in a
collective agreement is a means of addressing bullying.
Information about employment law and agreements can be found at:
www.employment.govt.nz
For help to create employment agreements, go to theEmploymentAgreement
Builder at: https://eab.business.govt.nz/employmentagreementbuilder/
startscreen
Develop good managers
Large and small businesses or undertakings should give managers leadership
training to help them eectively manage and supervise workers. This can create
and maintain a well-functioning work environment.
When managers behave as described in Table6, bullying is less likely.
3.3


3.0 Minimising the likelihood of bullying
CATEGORY EXAMPLE
Berespectfuland
responsible
– showintegrity
– manageemotions
– haveaconsiderateapproach
Manageandcommunicate
existingandfuturework
– manageworkproactively
– havegoodproblem-solvingskills
– participatewithandempowerothers
Usegoodreasoningto
managedicultsituations
– manageconflictinapromptmanner
– usetheorganisation’sresources
– takeresponsibilityforresolvingissues
Managetheindividual
withintheteam
– bepersonallyaccessible
– besociable
– useempatheticengagement
Managers should encourage their workers to talk to them if they experience or
see unreasonable behaviour. Even if the worker does not want to make a report
or complaint, managers should keep a log of personnel issues they deal with to
identify patterns of unreasonable behaviour.
Managers should be expected to intervene early to call out and deal with any
unreasonable behaviour before it escalates.
You should:
– support, train, and supervise managers
– coach managers in communication and leadership skills, and constructive
feedback
– provide and act on regular feedback on management performance
(including feedback from workers under supervision)
– mentor and support new and poorly performing managers
– implement and review performance improvement and development plans
– provide regular leadership skills training
– run refresher training (eg once a year)
– ask questions about leaders’ conduct and performance in exit interviews
and worker surveys.
Educate workers about bullying
You must provide information, training, instruction or supervision needed
to protect all people from health and safety risks from the work being carried
out – this includes information, training, and instruction about bullying.
Educating workers (including managers and HSRs) about bullying behaviours,
their consequences and how to deal with them has benefits like those described
in Figure 8.
TABLE 6:
Manager behaviours
5
3.4
5
This table is based on United Kingdom Health and Safety Executive research which identified 66 management competences.
For this table, these competencies have been grouped into four categories. For more on this research and all 66 competencies,
see: www.hse.gov.uk/stress/standards/index.htm

3.0 Minimising the likelihood of bullying
Increases awareness of what
bullying is and isn’t – this
may deter potential bullies
Increases awareness of
roles and responsibilities
Increases awareness of the
consequences of making
malicious, frivolous, or
troublesome complaints
Encourages responsible
action against bullying
behaviours
Promotes cultural
change and a healthy
and safe workplace
Equips workers to deal with bullying
situations – including empowering
bystanders to take action
Ensures trained support people
are available for parties to a
bullying complaint
Bystanders (people that see bullying occurring) have an important role when
dealing with bullying. Training can empower workers to use words and actions
to safely and eectively help someone being bullied and/or report bullying on
someone else’s behalf.
Another benefit is that appropriately trained HSRs or other workers can support
parties to a complaint. These people can form part of the internal support
available to workers (see Section 3.7 of these guidelines).
You can:
– run awareness programmes including the important role of bystanders in
dealing with bullying
– provide training to workers about your anti-bullying policies, processes and
systems (see below)
– provide training on what to do if workers see or experience bullying
– present selected information from this guidance at a team meeting, tool box
talk or seminar to educate workers on bullying behaviour
– provide training to HSRs or other workers on how to provide support to
parties of a bullying complaint.
Make anti-bullying policies, processes and systems
transparent
You must engage with your workers about anti-bullying policies, processes
and systems.
So workers know what’s expected from them, you should have documented policies,
processes and systems that are clear and easy to understand. Policies to address
bullying should be included in your health and safety system. Reporting processes
should be easy to access, and workers should know what to expect once an incident
is reported.
All policies, processes and systems should be explained when a worker starts
work. You should check workers understand these policies, processes and systems.
FIGURE 8:
Benefits of
educating workers
3.5


3.0 Minimising the likelihood of bullying
Anti-bullying policies
An anti-bullying policy outlines expectations for acceptable behaviour and
needs to emphasise your commitment to prevent bullying and address it if it
occurs. It should be developed with input from managers, workers and their
representatives (eg HSRs, HSCs, unions), and is a positive way to build a culture
where bullying can’t thrive.
An anti-bullying policy should be:
– easy to understand
– provided in languages other than English (if required)
– consistent with other health and safety policies and objectives
– openly communicated and accompanied by worker training in expected
behaviour and the bullying reporting process.
See Appendix B of these guidelines for an example of an anti-bullying policy.
The policy should be endorsed by senior management to signal their commitment
to preventing bullying.
It has to be more than just words on a page and must be put into practice.
Processes and systems for dealing with bullying
Following the processes and systems within the policy will give workers confidence,
encourage further reporting, and give a systematic approach to addressing,
managing and investigating bullying.
Processes and systems to deal with bullying (as described below) should align with
your anti-bullying policy. Processes are best if they give several ways to resolve
issues, from low-key informal action, to lodging formal complaints.
Processes and systems should cover:
– identifying factors that may enable bullying to occur and developing control
measures to address them
– how to access the reporting processes
– asking questions about bullying behaviours in regular surveys and at exit
interviews
– asking workers how to improve the work culture
– promoting and acknowledging positive behaviour
– developing clear methods for dealing with reported bullying, and easy
reporting systems for informal reports or formal complaints
– training or employing a person (who is independent and impartial) to
investigate bullying complaints
– training workers in the principles of natural justice
– support for people who complained and the subjects of complaints
– strategies for low-key informal solutions
– clear and timely responses to resolve written complaints
– transparent and impartial investigations
– mechanisms to rebuild work relationships.

3.0 Minimising the likelihood of bullying
Make sure your workers know how to informally report
unreasonable behaviour or make a formal complaint
You must engage with your workers when developing or updating anti-bullying
policies, processes and systems. Processes should include how to report
unreasonable behaviour your workers or customers etc experience or see.
All reporting methods should be known to workers. They should know what to
expect and what will happen after they have lodged a report/complaint. If their
manager or supervisor is the subject of the complaint, then the person who wishes
to make a report/complaint should go to the next senior manager, or the Human
Resources team.
Workers should be encouraged to keep good written records.
Workers should know:
– how to record instances of the unreasonable behaviour – the more specific
information the better
– how to know if it is bullying, or some other type of behaviour
– how to informally report unreasonable behaviour they directly experience
or see (see Appendix B of these guidelines for an example of a form you
could give workers to fill in)
– how to make a formal complaint (see Appendix B of these guidelines for
an example of a form you could give workers to fill in)
– what to expect after they have made a report/complaint.
Provide support
You must engage with your workers about what internal/ external support will
be made available.
All parties to a complaint should be given the opportunity to have a support
person or representative (eg friend, co-worker, HSR, union, legal representative)
with them to attend meetings or interviews. Such support may be required over
a prolonged period.
To avoid conflicts of interest, the same support person should not support both
parties to a complaint.
Possible sources of support
Consider whether you could designate and train a contact person to help people
to submit and/or receive reports/complaints about bullying. Support can also
come from the Human Resources team, peers, or HSRs.
Ideally HSRs/support people should receive training to provide this kind of support.
Unions can advise and support parties to a bullying complaint.
You could contract companies, such as employee assistance programmes, to give
confidential support to all workers.
Make sure everyone knows their roles and responsibilities
Everyone at work has a role in dealing with bullying and should be made aware
of their roles and responsibilities in relation to bullying (see Table 7).
3.6
3.7
3.8


3.0 Minimising the likelihood of bullying
ROLE IN RELATION TO BULLYING…
PCBUs Must:
– ensuresofarasisreasonablypracticablethehealthandsafetyofworkersandthatotherpersons
arenotputatriskbyitswork
– minimisethelikelihoodofbullyingsofarasisreasonablypracticable
– provideinformationtraininginstructionorsupervisionneededtoprotectallpeoplefromhealthand
safetyrisksfromtheworkbeingcarriedout(iebullyingpoliciesandprocesses)
Should:
– developaculturewherebullyingcannotthriveincludingbullyingfromclientsorcustomers
– raiseawarenessofwhatisandisn’tbullyingbyensuringworkersareeducatedaboutit
– createreinforcemonitorandreviewcontrolmeasuresagainstbullying
– createcomplaint-handlingprocesses
– takecomplaintsseriouslyandlistenwithoutjudgment
– ensureaneectiveandtimelyresponsetocomplaints
Human
Resources
(onbehalf
ofthePCBU)
Should:
– raiseawarenessofwhatisandisn’tbullyingbyensuringworkersandmanagersareeducatedaboutit
– establishopencommunicationsystems
– maintainandupdateanti-bullyingpoliciesprocessesandsystemsandensureworkersaretrainedinthem
– haveperformancemanagementprocessesthatmeasurebehaviouragainstthecodeofconduct
– ensuremanagersandsupervisorsareproperlytrainedinpeoplemanagementandkeepthetraining
records
– haveprocessesforbothinformalresolutionsandformalinvestigations
– followuponcomplaintresponsesandbeproactivewithsolutions
– analyseworkerinformation(egabsenteeismrecordsexitinterviews)forindicatorsofbullying
Line
Managers
(onbehalf
ofthePCBU)
Should:
– raiseawarenessofwhatisandisn’tbullyingbyensuringworkersareeducatedaboutit
– recordandinvestigatecomplaintsfairlyandinlinewiththebusinessorundertaking’spoliciesandprocesses
– lookforinformalsolutionsbeforeescalatinganissuetohigherlevels(egmediationorinvestigation)
asappropriate
– supportpositiveculture-changeprogrammes
– leadbyexample
– seekhelpiftheydon’tknowwhattodo
Ocers Must:
– exerciseduediligencetoensurethatthePCBUmeetsitshealthandsafetydutiesandobligations
Workers Must:
– takereasonablecarefortheirownhealthandsafety
– takereasonablecarethatothersarenotharmedbysomethingtheydoordon’tdo(thisincludes
bullyingorotherunreasonablebehaviours)
– co-operatewithreasonablepoliciesandproceduresaboutbullyingyouhaveinplacethathavebeen
notifiedtothem
– complysofarasisreasonablypracticablewithanyreasonableinstructionaboutbullyinggivenbyyou
soyoucancomplywiththelaw
Should:
– reportbullyingwhenithappenssoyoucandosomethingaboutit(eitherasthevictimorabystander)
– atanearlystageletsomeoneknowtheirbehavioursaren’tokaywiththem–describetheunwanted
behaviourstothepersonandaskthemtostop
Other
peopleat
workplaces
(egvisitors
customer
clients)
Must:
– takereasonablecarefortheirownhealthandsafety
– takereasonablecarethatothersarenotharmedbysomethingtheydoordon’tdo(thisincludes
bullyingorotherunreasonablebehaviours)
– complysofarasisreasonablypracticablewithanyreasonableinstructionaboutbullyinggivenbyyou
soyoucancomplywiththelaw
Should:
– reportbullyingwhenithappenssoyoucandosomethingaboutit(eitherasthevictimorabystander)
TABLE 7: Roles and responsibilities of people at the workplace


4.0
Monitoring,
reviewing and
updating control
measures
IN THIS SECTION:
4.1 Monitoringtheeectiveness
ofcontrolmeasures
4.2 Reviewingandupdatingcontrol
measuresforongoingimprovement


4.0 Monitoring, reviewing and updating control measures
Controlmeasuresshould
bemonitoredandregularly
reviewedtoconfirm
theyremaineectiveat
minimisingthelikelihood
ofbullying
It’s important to check that your control measures are working well to minimise
the likelihood of bullying so far as is reasonably practicable.
Monitoring the eectiveness of control measures
Monitoring bullying data
To check your workers’ exposure to bullying, bullying data can be gathered
through informal reports and formal complaints of bullying and the outcome
of investigations into these (see Section 5 of these guidelines).
Data from sources such as exit interviews, worker surveys, and absenteeism
rates can reveal clusters of complaints and be used to track bullying trends.
See Section 2.2 of these guidelines for other sources of information.
Monitoring should be conducted routinely, but is particularly recommended:
– when there are changes to the work environment that may increase the
chances of bullying occurring
– when a situation of bullying has been confirmed (see Section 5 of these
guidelines)
– at the request of an HSR or HSC.
Monitoring results should be used to assess the risk to your workers from
bullying, and whether the control measures are working eectively.
The monitoring should be done in consultation with workers, HSRs, HSCs,
and unions (if they have members in your workforce).
The results should be reported to HSRs, HSCs, and your senior leadership.
Monitoring work culture
Regular worker surveys are a good way to gauge workplace culture and identify
aspects that need improvement in both individual behaviour and your performance.
Indicators of success may include:
– decreased reporting of bullying
6
– positive worker survey results.
4.1
6
Note: If under-reporting of bullying has been occurring in your business or undertaking, then an initial increase in bullying
reporting may be an indication of a positive culture change.

4.0 Monitoring, reviewing and updating control measures
Reviewing and updating control measures for ongoing
improvement
All policies, processes and systems should have a regular review date and a
review process to check that they’re being followed and are still fit-for-purpose.
However, reviews should also take place when monitoring indicates your control
measures are not eectively minimising the likelihood of bullying.
If the policies, processes and systems are not eectively minimising the likelihood
of bullying, they must be updated and improved.
The outcome of reviews should be reported to HSRs, HSCs, and your senior
leadership.
4.2

5.0
Investigating
bullying
in-house
IN THIS SECTION:
5.1 Principlestofollowwhen
investigatingreportsor
complaintsin-house
5.2 Overviewofstepsfordealing
withreportscomplaints
5.3 Lowkeyapproach
5.4 Informalapproach
5.5 Formalapproachformal
investigationprocess

5.0 Investigating bullying in-house
PCBUsshouldhave
processestofairlydeal
withbullyingcomplaints
in-houseTheoutcomeof
investigationsshouldbeused
tomonitorcontrolmeasures
Principles to follow when investigating reports
or complaints in-house
You should treat all informal reports and bullying complaints seriously. However
even if you haven’t received reports/complaints (eg because the worker is scared
about retaliation) but are aware that unreasonable behaviour is occurring, you
still need to deal with it.
You should have processes to fairly deal with bullying allegations. Table 8 outlines
the principles to consider when dealing with allegations of bullying. These principles
are based in part on the principles of natural justice. Natural justice covers both
parties to a complaint.
PRINCIPLE WHAT DOES THIS MEAN?
Treatallmatters
seriously
– TakeallcomplaintsandreportsseriouslyAssessallreportsontheirmeritsandfacts
– Ensurethepeople(internalorexternal)whodealwiththecomplaintaretrainedtodoafairand
thoroughinvestigationandusetheprinciplesofnaturaljustice
Actpromptly – Reportsshouldbedealtwithquicklycourteouslyfairlyandwithinestablishedtimelines
Ensurenon-
victimisation
– It’simportanttoensurethatanyonewhoraisesanissueofbullyingisn’tvictimisedfordoingso
Whoeverthecomplaintismadeagainstandanywitnessesshouldalsobeprotectedfromvictimisation
Support
allparties
– Onceacomplainthasbeenmadebothpartiesshouldbetoldwhatsupportisavailable(egemployee
assistanceprogrammesorpeersupportsystems)
– Treatallpartiesinvolvedwithsensitivityrespectandcourtesy
– Anyoneinvolvedisentitledtohaveasupportpersonpresentatinterviewsormeetings(egHSR
contactpersontheunionorfriend)
Beneutral – Impartialitytowardseveryoneinvolvediscriticalduringtheprocess
– Wherepossiblethepersoninchargeoftheinvestigationorresolutionprocessshouldnothave
beendirectlyinvolvedintheincidentsandmustavoidanypersonalorprofessionalbias
Communicate
theprocessand
outcomes
– Allpartiesneedtobetoldwhattoexpectduringtheprocesshowlongitwilltakethereasonsfor
anydelaysandwhatwillhappenattheend
– Givethemclearreasonsforanyactionsthataretakenornottaken
5.1


5.0 Investigating bullying in-house
PRINCIPLE WHAT DOES THIS MEAN?
Maintainprivacy
(confidentiality)
– TheprocessshouldensureprivacyforallpartiesinvolvedDetailsofthemattershouldonlybe
knowntothosedirectlyconcerned(excepttheirrepresentativeorsupportperson)
Keepgood
documentation
– DocumentationisimportanttoanyformalinvestigationEveniftheissueisn’tformallyinvestigated
keeparecordofallinformalconversationsmeetingsandinterviewsdetailingdatesandtimeswho
waspresentwhatwasdiscussedandtheagreedoutcomes
TABLE 8: General principles for dealing with reports or complaints
Overview of steps for dealing with reports/complaints
You can use the approach outlined in Figure 9 when receiving a report/complaint
about a worker’s behaviour.
Receive a report/complaint about a worker’s behaviour.
Take all reports seriously. Consider the information provided:
– Getacleardescriptionofthebehaviour–themorespecific
informationthebetter
– Listenandgatherinformationinanunbiasedempatheticand
respectfulway
– Understandtheissuesandwhat’sneededtoresolvethem
– Explorewhatoutcomesthepersonwants
Decide the approach to take taking into account the seriousness
of the issue:
– Moreseriousissuesinvolveseniormanagementoccuroveralong
periodoftimeorinvolvemultipleworkersorvulnerableworkers
– Taketheviewsofthepersonmakingthecomplaintintoaccount
whendecidingtheapproach
– Youcantakemorethanoneapproachifthefirstattemptisnot
successful
Determine if the report/complaint is about bullying or another
type of undesirable behaviour, or if it is a malicious, frivolous,
or troublesome complaint.
Follow your relevant
processes for dealing
with that behaviour.
See Section 6 of these
guidelines for the external
help available for dealing
with certain behaviours.
Take a formal approach:
– Usethisapproach
forreportsofserious
bullyingifyoureceive
aformalcomplaintorif
thepersonmakingthe
complaintrequestsit
Take a
low key
approach
IF BULLYING IS A POSSIBILITY
IF ANOTHER
BEHAVIOUR
(NOT BULLYING)
Take an
informal
approach
FIGURE 9:
Overview of steps
for dealing with
reports/complaints
As described in Figure 9, there are a number of response options. Where possible,
low key and informal solutions should be attempted first (taking into account the
seriousness of the issue).
5.2

5.0 Investigating bullying in-house
Low key approach
Low key approaches may include:
– getting the line manager or a member of the Human Resources team to talk
directly to the subject of the complaint to remind them of the code of conduct,
and values of the business or undertaking
– encouraging workers to:
- if a behaviour doesn’t feel right, say something early on to the person
displaying the behaviour – but only if they feel safe to do so
- talk to someone they trust (eg HSR or a member of the HSC, contact person,
their union, manager and/or the Human Resources team) to give an
objective viewpoint about whether the behaviours they are experiencing
are unreasonable or are appropriate management actions.
Informal approach
The aim of the informal process is to stop the unreasonable behaviour and
restore a productive working relationship.
Steps could include:
– the worker reports the behaviour to the line manager but does nothing else
– that manager is then responsible for identifying and mitigating any risk
– the line manager or a trusted third party talks to the subject of the complaint
(informal and direct approach – see below)
– the line manager organises early mediation resulting in an agreement
understood by all parties (informal resolution process – see below).
Written agreements will be the only ocial record of the allegation.
While informal approaches can have positive results (eg the person accepts the
feedback and the unreasonable behaviour ceases), it is possible that a person may
react negatively (eg becomes defensive) and does not change their behaviour.
Informal and direct approach
People can become defensive and rationalise their behaviour when approached
directly, so clear boundaries are needed to show what is and isn’t acceptable
behaviour.
Approach the subject of the complaint carefully. For example, you could:
– talk to the subject of the complaint with the evidence (eg details of the
behaviour/s, pooled feedback from colleagues)
– get the subject of the complaint to discuss the issue with a trusted third party
(eg a colleague, Human Resources team member).
Be mindful of personal safety and possible reprisals. Keep records of the
conversation’s details, time and date.
Informal resolution process (eg through mediation)
An informal process is designed to resolve concerns/relationship issues through
dialogue and without a formal complaint. The informal process isn’t disciplinary
and doesn’t disadvantage those involved.
5.3
5.4


5.0 Investigating bullying in-house
Mediation can be used as part of informal or formal approaches. Mediation can
be used early on in the situation or at other times (eg after a formal complaint
has been investigated). Both parties should request mediation and agree to
participate. Mediation involves a trained and impartial mediator sitting with all
parties concerned to try to get an agreement and a way forward. It’s important
that mediation creates a safe and constructive environment. If there are genuine
safety concerns, parties should inform the mediator before the mediation begins.
You can run in-house mediation or use an external mediator. The Ministry of
Business, Innovation and Employment (MBIE) provides a free, confidential
and impartial mediation service for employers and employees (see Section 6
of these guidelines). For more information see: https://employment.govt.nz/
resolving-problems/steps-to-resolve/mediation/what-is-mediation
Formal approach/formal investigation process
Overview of process
You can use the approach outlined in Figure 10 to investigate allegations of bullying
or other unreasonable behaviour.
It’s important that workers clearly understand what to expect. The investigation
should happen as soon as possible after the complaint is received.
Formal complaint is given to you.
Investigator is appointed and the investigation undertaken.
You follow up with the parties involved.
You decide what to do.
You use the findings of the investigation as part of your on-going monitoring
of your policies, processes and systems.
When investigating allegations of bullying behaviour, the concept of natural
justice must come into play for both parties of the complaint.
5.5
FIGURE 10:
Overview of a formal
investigation process

5.0 Investigating bullying in-house
To summarise what natural justice can look like during an investigation:
– Before taking any action against the subject of the complaint, you should:
- raise allegations/concerns with the subject of the complaint
- carry out an impartial and independent investigation into the
allegations/concerns
- give the subject of the complaint a reasonable opportunity to respond
to the allegations/concerns
- genuinely consider the subject of the complaint’s explanation.
– Other principles include:
- making sure the decision-maker is as impartial as possible
- treating workers equally, avoiding ‘disparity of treatment’
- allowing support people and/or representatives to be present
- maintaining privacy (confidentiality).
See Table 8 for more information.
The steps of the formal investigation process are described below.
Formal complaint is given to you
As part of your process, you may require workers to advise their supervisor or
manager they intend to lodge a formal complaint. If their manager or supervisor
is the subject of the complaint, then the person planning to make a complaint
should go to the next senior manager, or the Human Resources team.
The person planning to make a complaint will need to know how to format their
complaint and who to send it to. The complaint should be as specific as possible.
Itneeds to include the specific allegations, dates, times and names of any witnesses.
See Appendix B of these guidelines for an example of a formal complaint form.
If needed, workers should be provided support in filling in and lodging a complaint.
The written complaint should initiate an independent investigation process.
Once receiving the complaint, you should:
– take reasonable steps to protect the person who complained from reprisals
– ensure privacy is maintained
– ensure both the person who complained and the subject of the complaint
are supported
– organise an investigation process
– decide if security measures (such as organising an escort to and from work
if there are safety concerns) are required
– decide what interim measures will be taken to ensure the safety and
welfare of the person who complained during the investigation. Interim
measures may include suspension of the subject of the complaint pending
the outcome of the investigation, or reassignment to other duties until the
investigation is complete
– give guidance to the person who complained about how to respond to the
subject of the complaint if they remain in day-to-day contact.
The subject of the complaint should be informed as soon as possible after
a complaint has been received.


5.0 Investigating bullying in-house
The subject of the complaint should be notified about:
– the details of the complaint and who made it (eg details of the allegations,
including a copy of the written complaint and any investigation material)
– the process and their rights (including the right to have a support
person present)
– the requirement for confidentiality and non-victimisation
– the possible consequences (eg if it’s a formal employment investigation
that could result in dismissal)
– expectations of behaviour during the investigation (remain professional).
An investigator is appointed and the investigation undertaken
The investigation should be carried out by an independent (preferably external)
unbiased and experienced investigator. Where possible, the person in charge
of the investigation or resolution process should not have been directly involved
in the incident and must avoid any personal or professional bias. Workers need
to be assured of the impartiality of the investigator.
The investigator needs to know the rights of both the person who complained and
the subject of the complaint, and give clear advice about the possible outcomes.
The investigator should develop a plan that covers:
– the expected timetable for investigating and resolving the complaint
– how the complaint will be investigated (eg interviews with the person
who complained, the subject of the complaint, and any witnesses, viewing
documentary evidence)
– who will receive copies of statements and records of the interview
– who can be present at the interviews
– whether parties can refuse to participate
– what support will be available for each party, including the right to have
a support person present.
All parties to a complaint should have the opportunity to have a support person
or representative (eg friend, HSR, their union, legal representative) to attend
meetings or interviews.
The investigator interviews all parties involved and any witnesses, and reviews
any relevant documentation to determine the facts. The determination is made
on the balance of probabilities after considering all the facts. They provide a
written report on their findings and recommended solutions to you. If mediation
is recommended, both parties need to freely agree to attend (see Section 5.4
of these guidelines for information about mediation).
You decide what to do
You will get the investigator’s findings and must decide what to do.
You should review the investigator’s findings and recommendations, and
meet with each person separately to discuss the recommended solution.
The subject of the complaint should have the opportunity to respond to
allegations and to the findings of the investigation. Give each party a copy
of the report and explain their right to appeal and what the process is.

5.0 Investigating bullying in-house
If the allegation can’t be proven, it doesn’t mean there was no bullying or other
unreasonable behaviours. You need to identify ways to help those involved return
to a constructive working relationship. This could involve mediation, changed
working arrangements, and/or addressing other organisational issues that
contributed to the complaint. It could also include counselling for the person
who complained if the complaint is found to be vexatious.
If the complaint is upheld, you must decide how to:
– address the bullying
– make the bully accountable for their conduct
– protect the person who complained from any further bullying or reprisals.
Some options are to:
– ask the bully to apologise and agree to change their behaviour
– give a formal warning or take other disciplinary action.
You should report the decisions and actions back to the person who complained
(taking into account the privacy of the subject of the complaint) so they know
the issue has been taken seriously and dealt with. This will help workers trust the
process and establish a lack of tolerance for bullying.
You should tell both parties what your business or undertaking’s processes are
if either is unhappy with your final decision. If parties to a complaint are still not
satisfied by your actions after following these processes, they may seek external
help (see Section 6 of these guidelines).
You follow up with the parties involved
You should ensure the agreed changes have been eective by reviewing the
well-being of the person who complained and the subject of the complaint for
a period of time after the resolution. The length of time and frequency of checks
will depend on the issue and type of work.
You use the findings of the investigation as part of your
on-going monitoring of your policies, processes and systems
The outcome of the investigation can help to tell you whether your policies,
processes and systems are working well to minimise bullying.
See Section 4 of these guidelines for more information about monitoring your
anti-bullying policies, processes and systems.
What happens if someone withdraws a complaint?
If a complaint is withdrawn partially through the process but you have uncovered
unreasonable behaviour, you still need to deal with this behaviour.
Seeking external help
At times, you or the parties to the complaint may wish to seek external help.
This could happen if someone is not satisfied by your actions, or when the
behaviour is best dealt with externally (eg acts of violence should be dealt
with by the Police). The external help available is outlined in Section 6 of
these guidelines.

6.0
Seeking
external help
IN THIS SECTION:
6.1 Whocanhelp?

6.0 Seeking external help
Bullying complaintsmay be dealt with bydierent Government bodiesdepending
on the circumstances.
If parties to a complaint are not satisfied by your actions, and they have made
reasonable eorts to work with you to try to resolve the issue using internal
processes, they may decide to seek external help. You may also seek external help.
In addition, certain behaviour should be dealt with externally in the first instance,
for example, physical assault should be dealt with by the Police.
This part of the guidelines describes the legislation that covers dierent aspects
of bullying and where to get help.
Who can help?
As outlined in Table 9, there is a range of legislation and external help available
depending upon what type of bullying occurs.
LAW WHAT DOES IT COVER
TheEmployment
RelationsAct
(ERA)
– TheERAaimstobuildproductiveemployment(egemployeremployee)relationships
– TheERAoutlinespenaltiesforcertainbreachesofdutyofgoodfaithwithinanemployment
relationshipRepeatedverbaloremotionalattacksonanemployeemaybreachthedutyofgood
faith–wherepartiestoanemploymentrelationshiparerequiredtobeactiveandconstructivein
maintaininganemploymentrelationship
– Iftheemployeehasresignedasaresultoftheemployer’sfailuretheymaybeabletoraisea
personalgrievanceforunjustifieddismissalorconstructivedismissalIftheyhaven’tresigned
theymaystillbeabletoclaimunjustifieddisadvantageundertheERAaswellasbreachof
contractEmployeesthatfeelthatbullyingbehaviourledtotheirunjustifieddisadvantageor
unjustifieddismissalmightraiseapersonalgrievance
– IntermsofharassmenttheERAonlyprovidesprotectionfromsexualandracialharassment
whichisalsocoveredbytheHumanRightsAct(HRA)Thisgivesgroundsforapersonal
grievanceundertheERAoraclaimundertheHRA
– MBIE’sfreemediationservice(Phonehttpsemploymentgovtnzresolving-
problemssteps-to-resolvemediationrequest-mediation)isavailabletoanyemployeror
employeeandcanhelppartiesresolveanemploymentrelationshipproblemThemediation
serviceisavailabletoassistassoonasanissuearisesandmayarrangetofacilitateameeting
withtheagreementofbothparties
– IfmediationisunsuccessfultheEmploymentRelationsAuthority(httperagovtnz)can
resolvedisputesaboutarangeofemploymentissues(includingtreatmentthatemployeesfind
unfairorunreasonable)suchas
- payment of wages
personal grievances for unjustified disadvantage
- personal grievances for unjustified dismissal
- being asked to do work that would expose the worker to a serious health and safety risk arising
from immediate or imminent exposure to a hazard (workers can refuse such work under
section 83 of HSWA). An unreasonable management decision may be an instruction to
undertake unsafe work.
– LiketheEmploymentRelationsAuthoritytheEmploymentCourtdealswithcasesabout
employmentdisputesTheEmploymentCourtalsodealswithchallengestoEmployment
RelationsAuthoritydecisions(httpsemploymentcourtgovtnz)
TheHealthand
SafetyatWork
Act
(HSWA)
– HSWAistheprimaryworkhealthandsafetylegislation
– WorkSafeistheprimaryworkhealthandsafetyregulator–althoughMaritimeNewZealandand
theCivilAviationAuthorityalsocarryoutcertainhealthandsafetyfunctionsfortheirindustries
– HSWArequirescertainhealthandsafetymatterstobenotifiedtoWorkSafePeoplemayalso
contactWorkSafevoluntarilyiftheyhaveaquestionorrequestabouthealthandsafetyorwant
totellWorkSafeaboutahealthandsafetyconcern
– WorkSafeprioritisesincomingnotificationsrequestsconcernsandenquiriesusingrisk-based
processesandcriteria
– WorkSafehasarangeofpossibleresponsesthataresuitableforhealthandsafetymatters
ofdierentlevelsofseriousnessurgencyandriskPleasenotethatnotallconcernsand
notificationswillmeetWorkSafe’sthresholdforinitiatingaresponse
– WorkSafecanbecontactedon(hours)Issuescanberaisedanonymously
orinconfidence
6.1


6.0 Seeking external help
LAW WHAT DOES IT COVER
TheHarmfulDigital
Communications
Act
(HDCA)
– ThepurposeoftheHDCAistodeterpreventandmitigateharmcausedtoindividualsbydigital
communicationsHarmmeansseriousemotionaldistress
– TheHDCAaimstoprovideaquickecientandrelativelycheaplegalavenueforpeopledealing
withseriousorrepeatedharmfuldigitalcommunications
– TheHDCAlaysoutcommunicationprincipleswhichareplainexpressionsofunacceptable
waystocommunicateonline
– Harmfulcommunicationscouldincludepeopleusingphonestosendthreateningoroensive
messagespublishingthreateningoroensivemessagesonlinespreadingdamagingor
degradingrumoursandpublishinginvasiveordistressingphotographsorvideosThiscovers
cyberbullying
– Digitalcommunicationsmeansanyformofelectroniccommunicationandincludesemailstexts
websitesblogscommentssectionsonlineforums(chatrooms)socialmediasitesorphone
apps
– TheHDCAsimplifiestheprocessfortakingharmfulcommunicationsotheinternetquicklyand
hascriminalandcivilsanctions
– Forinformationaboutwhattodoifyouareexperiencingcyberbullyingonlineharassmentand
abusevisitwwwnetsafeorgnz
– BeforeapplyingtotheCourtsyoumusthavehadyourcomplaintinvestigatedbyNetSafe
– ForinformationonhowtoapplytotheCourtvisitwwwvictimsinfogovtnzstaying-safe
staying-safe-onlineharmful-digital-communications
TheHumanRights
Act
(HRA)
– Discriminationcanbepartofbullying
– Discriminationoccurswhenapersonistreatedunfairlyorlessfavourablethananotherperson
inthesameorsimilarcircumstances
– TheHRA’sintentionistoensureeveryoneistreatedfairlyandequally
– TheHRAmakesitillegaltodiscriminateonthegroundsof
- sex
- marital status
- religious belief
- ethical belief
- colour, race, or ethnic or national origins
- disability
- age
- political opinion
- employment status
- family status
- sexual orientation.
– Italsocoverssexualandracialharassmentatworkschoolandotherareas
– TheHumanRightsCommissiondealswithcomplaintsaboutdiscriminationwwwhrcconz
Harassment
Act
(HA)
– Harassmentcanbepartofbullying
– Harassmenttakesplacewhensomeoneengagesinapatternofbehaviourthatisdirectedagainst
anotherperson(includingwatchingloiteringfollowingaccostinginterferingwithanother
person’spropertyoractinginwaysthatcausesthepersontofearfortheirsafety)atleasttwice
ina-monthperiod
– TheHAmakesharassmentacriminaloenceincertaincircumstancesItprovidesforrestraining
ordersSeetheERAandHRAabovefordealingwithracialandsexualharassment
– HarassmenthasthepotentialtocausehumiliationoenceorintimidationIt’susuallyrepeated
behaviourbutevenoneinstancemaycausereasonableconcern
– Peoplewhoarebeingharassedmaybeabletoobtainrestrainingordersagainsttheperson
harassingthemHelpmaybefoundatorganisationssuchascommunitylawcentres
(httpcommunitylaworgnz)andtheCitizensAdviceBureau(wwwcaborgnzvatgllaws
PagesHarassmentaspx)
Crimes Act 1961
and other
legislation
administered
by the New
Zealand Police
– Actsofviolencetowardsapersoncanbeverbal(verbalabusethreatsshoutingswearing)
orphysical(stalkingthrowingobjectshittingdamagetoproperty)
– ViolenceisillegalandshouldbereferredtothePolice
– CriminalchargescanbefiledbythePolice
TABLE 9: Legislation that deals with aspects of bullying
Advice may be found from places like:
– unions
– community law centres: http://communitylaw.org.nz
– the Citizens Advice Bureau: www.cab.org.nz/Pages/home.aspx


Appendices
IN THIS SECTION:
Appendix A: Casestudies
Appendix B: Templatesandexamples
Appendix C: Glossary

Appendices
Appendix A: Case studies
Here are two real-life case studies.
These case studies show some of the features of bullying at work. They’re taken from real life investigations
and show the sort of eects that bullying can have on people and workplaces. Names have been changed
to protect confidentiality.
CASE STUDY 1
Bullying and lack of senior leadership leads to a resignation
When Denise began her new role, she understood that she would be an apprentice to her manager, John.
Soon after she was employed, John’s manager Simon restructured the unit and John was made redundant.
Soon after this Grant was appointed into a new role, and became Denise’s manager. Denise had a small
team of professionals reporting to her.
Initially everything ran smoothly. The relationship between Denise and her new manager Grant seemed
to go well. About eight months later an event occurred which caused Denise great concern. One day Grant
accused her of making an error in a report. Denise accepted that she’d made the error and oered to
discuss and rectify it. Grant refused to resolve the issue by talking about it and a short time later Denise
found a warning letter about the incident on her desk. This came as a surprise because she hadn’t been
told verbally that the error was grounds for a formal warning. Denise was upset by the action, so left for
the day to go home and be supported by her husband.
This was the first in a series of incidents in which Grant berated Denise for perceived performance issues.
She was accused of not performing for several reasons. Grant implied that her lack of initiative in asking
for work constituted non-performance, despite Denise’s argument that her role was clearly set out and
she had no space for additional work. He often called her into his oce and spoke to her accusingly,
asking for explanations about what she’d been doing and why certain things weren’t yet completed.
He directly questioned her ability to manage her sta, particularly regarding her management style and
techniques. Denise felt that Grant was watching all of her interactions with her sta, and was always
ready to criticise. Grant would often call her into his oce to comment on an interaction he’d observed
between Denise and a member of her sta, asking, for example, why she’d spoken to the person in a
certain way. Eventually Grant would not allow her to talk to her own sta members.
While these incidents occurred over several weeks, Denise tried to discuss the issues to resolve them,
but Grant refused to meet with her.
Denise began to feel that she wasn’t doing her job properly, although there’d been no problems for
several months, including before Grant’s appointment as her manager. As Grant’s accusations continued,
Denise felt less and less capable of doing her job. She began to feel guarded in everything she did – both
her individual work and her interactions with others. Eventually she felt
a loss of confidence and self-esteem, and her own self-doubt seemed to lead to errors in her work.
Denise knew that her experiences, and particularly her reactions, were aecting those around her. The team’s
morale, communication and ability to work together began to decrease. While she instigated meetings with
her team to talk about the issues they were experiencing, she believed that their knowledge of the issues
between her and Grant was taking a toll on the team.
In particular, her coping style of getting on with her work and keeping her head down contributed to the
team’s decreased communication as sta members followed her lead. Denise was also aware that Grant
was having discussions with a member of her team she was having problems with, and she felt that Grant
was taking the employee’s comments at face value rather than discussing them with Denise.
Throughout the situation, Denise turned to her family, friends and her previous manager John, andreceived
emotional support and advice on how to manage the situation. She didn’t discuss the situation withher
senior manager Simon, because she believed he was a close ally of Grant’s and would not treat herissues
seriously. In fact, as things progressed, Simon also began treating Denise badly – going behind herback
to get her sta members to complete jobs for him, and accusing her of errors in her work. In one instance,
after accusing Denise of making an error in a report, Denise reviewed the report and found that there
was in fact no error. On returning to Simon to point this out, she was dismissed by him with no apology
or acknowledgement that he had been wrong.

Appendices
After about three months of experiencing these actions, Denise was called to a disciplinary meeting with
Grant. She contacted Human Resources to ask how she could prepare for the meeting, but they said
they didn’t know, weren’t in a position to help, and that their only role was to sit in on the meeting. She
felt that Human Resources didn’t want to know her. On receiving advice from a friend, Denise contacted
an employment lawyer who came to the disciplinary meeting with her. At the meeting Grant mentioned
a series of issues he had with her performance, but gave her no opportunity to resolve them. Two days
after the meeting, a second formal warning letter was left on Denise’s desk.
Denise decided to leave the organisation and negotiated a settlement. She was paid three months’ salary
and left immediately. During the negotiations the Human Resources manager, who had previously been
on leave, contacted Denise to ensure that this was what she wanted. The Human Resources manager
made it clear that she did not agree with the process or the warnings given, and that it was inconsistent
with similar incidents that had occurred across the organisation. Her senior manager, Simon, who had
not once intervened in the situation, told her on her last day how professional she had been throughout
the situation.
In retrospect, Denise believes it is clear that she was operating in a culture that she was not suited to
(‘a man’s world’), and that she simply didn’t fit in and wasn’t wanted there. Women were not thought
of highly, particularly in management roles, and she believes the personal attacks on her performance
were aimed at removing her from the organisation.
The lessons that may be learned from this case study include:
– ensure role clarity and support prioritisation of workloads
– follow agreed processes for disciplining workers
– ensure workers understand these processes
– ensure workers are treated fairly and supported.
This second case study summarises events in a company across a year.
CASE STUDY 2
High human and corporate cost of an untimely investigation process
Colin met with his CEO about an alleged wrongdoing by Ryan. The CEO treated the complaint seriously
and said he’d oversee an investigation.
Ryan was given a written summary of four allegations and asked to respond within a week. He responded
but when meeting with the CEO, found that legal advice had recommended an ‘independent’ investigation.
The independent investigator began the process from scratch.
Colin filed a new claim with 24 allegations rather than four and, across one month, was interviewed by the
investigator and confirmed the notes that were taken. He then went on stress leave.
The investigator then met with people referred to in the notes to get supporting evidence. These people
were also asked to confirm the notes. Another month passed.
Four months after the original complaint the CEO was given a set of summaries. They were now as thick
as a phone book.
A similar process then occurred when Ryan responded. Four separate half-day interviews were needed,
over one month, to address the allegations. It took another month or so to interview Ryan’s witnesses
and have them confirm the notes.
The investigator then gave Ryan’s material to Colin for comment.
After documenting Colin’s comment, there were now three sets of material, each the size of a phone book,
and nine months had passed since the initial complaint. Colin had been o work on sick leave, and his
witnesses had been relocated as they felt uncomfortable having contact with Ryan.


Appendices
Ryan believed the outcome so far showed that the CEO thought he was ‘guilty’. He was also turned down for
a new position. When the investigator filed his report it was long, lacked detail, and wasn’t comprehensive.
Both Colin and Ryan found a large number of errors and flawed conclusions. But the CEO accepted the
report and dismissed Ryan, who then filed a claim for unjustified dismissal and unjustified disadvantage.
Witnesses for both parties were by now at odds with each other and the organisation. Several made
complaints about the way they’d been treated and at least one resigned.
One year later: The issue completely divided the workplace, three employees had resigned and two grievance
claims had been lodged. Costs to the organisation were estimated at several hundred thousand dollars.
The lessons that may be learned from this case study include:
– deal with complaints quickly within established timeframes
– tell the parties involved what will happen during the process and what the timeframes are – inform
them of any delays and the reasons behind them
– act in a fair and impartial manner towards all parties involved
– give parties a reasonably opportunity to respond to the investigation findings, and genuinely consider
their feedback.

Appendices
Appendix B: Templates and examples
Note: Templates are available as Word versions or PDF forms on the WorkSafe website: worksafe.govt.nz
Example of a health and safety dashboard for a fictitious organisation
HEALTH AND SAFETY DASHBOARD FOR XYZ LIMITED (2015)
Current area of focus
AREA 2015 COMMENT
NotificationstoWorkSafe 1 This was when a worker suered a serious burn that required hospital admission.
Control measures were reviewed and updated to identify the cause of the injury
and to prevent recurrence.
healthandsafetyconcerns
raisedbyworkers
10 Those concerns marked ‘urgent’ were reviewed within one hour of being received.
All other concerns were reviewed within five working days.
Emergencyplandrills 2 Fire alarm evacuations were completed within a satisfactory time. However some
workers needed a reminder to not carry hot drinks on the stairs.
workerstakingpartinhealth
monitoringprogrammes
70% This is an improvement to 2014 result and possibly due to discussions with
workers about the reasons for health monitoring.
exposuremonitoringtests
thatexceededthesetstandard
12% Control measures were reviewed and updated to reduce exposure below the
set standard.
workersreceivedfluvaccines 70% This is similar to previous years.
turnover 10% This is similar to the 2014 result and an improvement on the 2013 result.
absencerate 5% This is similar to the 2014 result and an improvement on the 2013 result.
Progress on initiatives
INITIATIVE PROGRESS
Improvingworkerparticipation Three Health and Safety Representatives (HSRs) were elected by workers.
The HSRs have undergone training.
A regular meeting has been set up between HSRs and management.
Equipmentandplantchecks All vehicles have current WOFs and have had recent services.
Workers are now reminded to regularly check personal protective equipment
(PPE) for wear and damage. There is a form to request new PPE.
Anti-bullyinginitiative An update follows. This initiative appears to be working to reduce bullying.


Appendices
Initiative update
Summary of progress since the new anti-bullying approach was implemented in mid-2013.
A majority of workers now feel that bullying
is not tolerated by the business
Tolerance to bullying
Percentage of workers who
feel bullying is tolerated
2011 2012
2013
2014 2015
0
20
40
60
80
The reports of bullying are decreasing
Reports of bullying
Percentageofworkersreporting
experiencingbullyinginthe
previousmonths
2011 2012
2013
2014 2015
0
5
10
15
20
25
The reports of bullying are decreasing
Freedom to report bullying
Percentageofworkerswho
feeltheycanreportbullying
withoutrepercussions
2011 2012
2013
2014 2015
0
20
10
30
40
60
70
50
80
Almost all new line managers receive
anti-bullying training within a month
Percentageoflinemanagerswhoattended
bullyingtrainingwithinonemonthofstarting
5%
95%
Attended
Did not attend

Appendices
Template for an anti-bullying policy
This template should be adopted with careful consideration by the business or undertaking. Consultation and
discussion with workers and HSRs/HSCs and unions (if relevant) should take place before rolling out the
policy. The policy should be supported by a good implementation process, and workers should be trained
in both the policy and processes.
After discussions involving all workers which led to general agreement, Company X puts on record that bullying at work has
the potential for:
– seriousconsequences
– anindividualtoexperiencehealthproblemslossofself-esteemandperformanceability
– divisionsintheworkplacetooccuraspeopletakesides
– financialandproductivitylossesforworkersandthecompany
Bullying defined
Bullying is defined as unreasonable and repeated behaviour towards a person or group that can lead to physical or
psychological harm.
Repeated behaviour is persistent and can include a range of actions.
Unreasonable behaviour covers actions which a reasonable person wouldn’t do in similar circumstances, including
victimising, humiliating, intimidating or threatening a person.
A single incident isn’t considered bullying but can escalate if ignored. Managing performance in line with business policies
and processes is not bullying.
Company X will do the following to minimise and respond to workplace bullying. Senior management and the board
of directors will minimise workplace bullying by:
– establishingrespectforthebroadrangeofhumanvaluesandcharacterstrengthsrequiredforthisorganisationtosurvive
– activelylookingforwaystocreateapositiveworkplace(‘healthywork’)thatworkersfeelispleasantfairrewardingand
positivelychallenging
– encouragingpositiveleadershipstylesandinvestinginourmanagerstoachievethis
– trainingkeyworkerstoreceivebullyingreportsandgivesupportandadvice
– directingattentiontowardsbehaviourratherthanpeopleandaimingtopromoteharmoniousrelationshipsacrosstheorganisation
– providingworkerswhobelievethey’vebeenbulliedwitharangeofoptionstoresolvetheissue
– promotinglow-keysolutionsbeforeformalactionswhereappropriate
– aimingtorepairtheworkingrelationshipandpromotepositiveworkvalues
– openlydiscussingbullyinginbothformalandinformalsettingsandprovidinginformationandtrainingaboutit
– identifyingfactorsthatcontributetobullyingandputtingeectivecontrolmeasuresinplace
– ensuringourprocessesandsystemsarefitforpurposeandregularlyreviewed
– havingregularworkersurveysonourworkculture
Workers agree to:
– telltheirmanagersiftheyexperienceorseeanybullyingbehaviours–ifthemanageristhepersonbehavinginabullying
mannerthenadvise(nameothercontacts)
– trylow-keysolutionsegtalkingtothepersoninitially(ifsafetodoso)
– followthecompany’sinformalorformalprocesseswhenmakingacomplaint
– keepaneyeoutforotherpeopleprovidingsupportwhenseeingapersonbeingisolatedorexperiencingreprisals
– acceptthatperceptionsofbullyingmayneedtobenegotiated
Managers agree to:
– ensureworkershaveclarityonwhattheirrolesentail
– interveneearlytocalloutanddealwithanyunreasonablebehaviourbeforeitescalates
– recordandinvestigatecomplaintsfairlyandinlinewiththebusinessorundertaking’spoliciesandprocesses
– lookforinformalsolutionsbeforeescalatinganissuetohigherlevels(egmediationorinvestigation)whereappropriate
When dealing with an allegation of bullying our company will:
– treatallmattersseriouslyandinvestigatepromptlyandimpartially
– ensureneitherthepersonwhocomplainednortheallegedbullyarevictimised
– supportallpartiesinvolved
– findappropriateremediesandconsequencesforconfirmedbullyingaswellasfalsereports
– communicatetheprocessanditsoutcome
– ensureconfidentiality
– usetheprinciplesofnaturaljustice
– keepgooddocumentation
– havespecialistexternaladvisorsavailabletohelp
This policy was developed by representatives from the board of directors, senior management, line managers, workers,
HSRs/HSCs and unions (if relevant).


FORM
Have you taken any actions? If so, what:
As a result of this report, what do you want to happen:
Please give this report to: (appropriate person in business or undertaking)
Name:
What has happened: (date, time, location, who was present, what happened,
who did what)
How did this behaviour make you feel:
How has this behaviour aected your work:
Templateforaninformalreporting
ofunreasonablebehaviour
ThisformistoinformallyreportbehaviourthathasupsetyouRecordthedetailsbelow

FORM
Who witnessed this incident:
How did this incident make you feel:
How has this incident aected your work:
Have you taken any actions? If so, what:
As a result of this complaint, what do you want to happen:
Please give this complaint to: (appropriate person in business or undertaking)
Incident 1
Repeat table as needed.
Name:
When did it happen
Time:HH : MMDate:DD/MM/YEAR
Where did it occur:
Who was present:
What was said and who said what:
Why do you think it is bullying
It’s unreasonable because:
It’s repeated because:
It’s endangered my health or safety because:
Templateforaformalcomplaint
ThisformistolayaformalcomplaintRecordthedetailsofthecomplaintbelow


Appendices
Appendix C: Glossary
TERM EXPLANATION OR LEGAL DEFINITION (AS NOTED)
TheHealthandSafety
atWorkAct
(HSWA)
New Zealand’s key work health and safety legislation is the Health and Safety at Work Act
2015 (HSWA) and regulations made under that Act. All work and workplaces are covered
by HSWA unless specifically excluded.
HealthandSafety
Committee
(HSC)
Supports the ongoing improvement of health and safety at work. An HSC enables PCBU
representatives, workers and other HSC members to meet regularly and work co-operatively
to ensure workers’ health and safety.
HealthandSafety
Representative
(HSR)
Is defined in HSWA as a worker elected as an HSR in accordance with subpart 2 of Part 3 of HSWA.
HSRs are elected by members of their work group to represent them in health and safety
matters. Throughout these guidelines, the term HSR means an elected representative who
meets the requirements of HSWA and the Health and Safety At Work (Worker Engagement,
Participation and Representation) Regulations 2016. It does not apply to people who are
referred to as health and safety representatives under other arrangements, but who are not
elected under HSWA.
PCBU
(sectionofHSWA)
a. means a person conducting a business or undertaking:
i. whether the person conducts a business or undertaking alone or with others; and
ii. whether or not the business or undertaking is conducted for profit or gain; but
b. does not include:
i. a person to the extent that the person is employed or engaged solely as a worker in,
or as an ocer of, the business or undertaking:
ii. a volunteer association:
iii. an occupier of a home to the extent that the occupier employs or engages another
person solely to do residential work:
iv. a statutory ocer to the extent that the ocer is a worker in, or an ocer of, the
business or undertaking:
v. a person, or class of persons, that is declared by regulations not to be a PCBU for the
purposes of this Act or any provision of this Act.
Reasonablypracticable
(sectionofHSWA)
In relation to a PCBU’s primary duty, the duty of PCBUs who manage or control a workplace,
or who manage or control fixtures, fittings or plant at workplaces, and the upstream PCBU
duty ‘reasonably practicable’ means that which is, or was, at a particular time, reasonably able
to be done in relation to ensuring health and safety, taking into account and weighing up all
relevant matters, including:
a. the likelihood of the hazard or the risk concerned occurring; and
b. the degree of harm that might result from the hazard or risk; and
c. what the person concerned knows, or ought reasonably to know, about:
i. the hazard or risk; and
ii. ways of eliminating or minimising the risk; and
d. the availability and suitability of ways to eliminate or minimise the risk; and
e. after assessing the extent of the risk and the available ways of eliminating or minimising
the risk, the cost associated with available ways of eliminating or minimising the risk,
including whether the cost is grossly disproportionate to the risk.
Union Is an organisation that supports its membership by advocating on its behalf. The Employment
Relations Act 2000 gives employees the freedom to join unions and bargain collectively
without discrimination. Workers can choose whether or not to join a union.
A union is entitled to represent members’ employment interests, including health and safety matters.
Worker
(sectionofHSWA)
Means an individual who carries out work in any capacity for a PCBU, including work as:
a. an employee; or
b. a contractor or subcontractor; or
c. an employee of a contractor or subcontractor; or
d. an employee of a labour hire company who has been assigned to work in the business
or undertaking; or
e. an outworker (including a homeworker); or
f. an apprentice or a trainee; or
g. a person gaining work experience or undertaking a work trial; or
h. a volunteer worker; or
i. a person of a prescribed class.
A PCBU is also a worker if the PCBU is an individual who carries out work in that business
or undertaking.

Appendices
TERM EXPLANATION OR LEGAL DEFINITION (AS NOTED)
Workplace
(sectionofHSWA)
a. means a place where work is being carried out, or is customarily carried out, for a business
or undertaking; and
b. includes any place where a worker goes, or is likely to be, while at work.
In this section, place includes:
a. a vehicle, vessel, aircraft, ship, or other mobile structure; and
b. any waters and any installation on land, on the bed of any waters, or floating on any waters.
WorkSafeNewZealand
(WorkSafe)
WorkSafe is the government agency that is the work health and safety regulator.

Disclaimer
This publication provides general guidance. It is not possible for WorkSafe to address every situation that
could occur in every workplace. This means that you will need to think about this guidance and how to apply
it to your particular circumstances.
WorkSafe regularly reviews and revises guidance to ensure that it is up-to-date. If you are reading a printed
copy of this guidance, please check worksafe.govt.nz to confirm that your copy is the current version.
ISBN: 978-1-98-856722-8 (print)
ISBN: 978-0-908336-97-5 (online)
Published: February 2017
PO Box 165, Wellington 6140, New Zealand
worksafe.govt.nz
Except for the logos of WorkSafe, this copyright work is licensed under a Creative Commons
Attribution-Non-commercial 3.0 NZ licence.
To view a copy of this licence, visit http://creativecommons.org/licenses/by-nc/3.0/nz
In essence, you are free to copy, communicate and adapt the work for non-commercial purposes,
as long as you attribute the work to WorkSafe and abide by the other licence terms.
WSNZ_2489_OCT 2018
ISBN 978-1-98-856722-8 (print)
ISBN: 978-0-908336-97-5 (online)
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