Lesson 10- Knowing When to Refer a Matter to a Manager

Employees are not expected to resolve every problem themselves. Prompt escalation is a professional safeguard.

Matters requiring referral

A manager should normally be consulted where a matter involves:

1. A serious complaint;
2. A threatened legal claim;
3. Suspected discrimination;
4. A vulnerable person or safeguarding concern;
5. A conflict of interest;
6. Suspected fraud or dishonesty;
7. Mishandling of client money;
8. A personal-data breach;
9. An accident or serious safety risk;
10. Threatening or abusive behaviour;
11. Unauthorised property access;
12. A significant factual error;
13. A request to conceal information;
14. An instruction that may be unlawful;
15. Media contact;
16. A request for compensation;
17. A matter outside the employee’s competence; or
18. A decision exceeding the employee’s authority.

How to escalate

When referring a matter, the employee should provide:

1. The property or transaction concerned.
2. The parties involved.
3. A factual summary of what occurred.
4. Relevant dates and communications.
5. Any immediate risks or deadlines.
6. The action already taken.
7. The decision or assistance required.
8. Copies of relevant records.

Employees should avoid speculation. Facts, allegations and personal opinions should be clearly distinguished.

Urgent matters

Where there is an immediate danger to life or safety, the priority is to contact the appropriate emergency service. Management reporting should follow as soon as it is safe to do so.