(1) To provide a consistent framework that promotes the timely and fair resolution of Complaints raised by students and members of the public. (2) A Complaint for the purpose of this Procedure is a University related concern or area of dissatisfaction or a complaint about the conduct of University staff, raised by a student or member of the public that is not otherwise covered by the University’s existing review / appeal options, or complaint or reporting procedures. (3) The University has separate and established review / appeal options and reporting procedures for matters including but not limited to those relating to: (4) Appendix 1 Complaint Management Procedure for Students and Members of the Public illustrates the framework for handling and resolving concerns raised by students and members of the public including Complaints raised under this Procedure. (5) The University aims to provide a high quality teaching, research and learning experience. (6) The University recognises that Complaints may arise from time to time that need to be dealt with and appropriately managed. (7) The University aims to provide an environment where: (8) The following individuals can make a Complaint under this Procedure: (9) The University will provide reasonable assistance to Complainants or Relevant Persons who are in any way disadvantaged by intellectual or physical disability, education, language ability or any other impairment that affects their ability to exercise their right to be heard. (10) A University related concern or area of dissatisfaction raised by a student or member of the public that is not otherwise covered by the University’s existing review / appeal options or reporting procedures, is a Complaint for the purpose of this Procedure. (11) A complaint about the conduct of University staff that is not otherwise covered by the University’s existing policies, procedures, review/appeal options or complaint or reporting procedures, is a Complaint for the purposes of this Procedure. (12) A Complaint may be made about conduct that results in unfair or unreasonable treatment or the inadequate delivery or quality of a University product or service to the Complainant, encompassing: (13) If a Formal Complaint is brought more than 12 months after the event complained of, the Complainant will need to show cause to the Registrar or nominee as to why the Complaint should be considered after this delay. (14) The University does not generally respond to Anonymous Complaints under this Procedure but may do so depending upon the nature of the Complaint (i.e. being serious or systemic) and there being sufficient information to reasonably progress the Complaint or there being a statutory requirement for investigation. (15) Complaints may be rejected by the University at any time, if, in the University’s opinion, the Complaint is Frivolous or Vexatious. If a Complaint is dismissed on the grounds that it is Frivolous or Vexatious, the University decision is final. (16) Where a Complaint contains multiple issues, the University will determine the most appropriate process(es) for dealing with the Complaint. The University will inform the Complainant which process(es) it has decided to apply in handling the Complaint and provide reasons. (17) If, throughout the course of handling the Complaint, it becomes apparent that a different process(es) is more appropriate or applicable, the University may cease the current process and refer the matter to the more appropriate or applicable process(es). Before taking this course of action, the University will inform the Complainant (including its reasons for considering the alternative process(es) as more appropriate or applicable). (18) Where a Complaint involves multiple issues and internal processes, the individual processes or investigations may be: (19) A Complainant may withdraw their Complaint at any stage of the Complaint process. Any withdrawal must be by the Complainant in writing, although the University may accept a withdrawal verbally in extenuating circumstances. In most circumstances, the University will deem the Complaint resolved, however, the University may determine the Complaint serious enough for an investigation to continue or referral to an external agency. (20) The time it takes for a Complaint to be considered and resolved can vary due to the nature of the Complaint and the availability of relevant information and the individuals concerned. (21) Staff who receive a Complaint are encouraged wherever possible to resolve the Complaint as quickly and informally as possible. (22) The majority of Complaints will be resolved by informal resolution with the person most directly concerned. Complaints resolved in this way tend to be resolved earlier than otherwise possible. (23) Staff who investigate a Formal Complaint should aim to meet the following requirements: (24) The expected timeframe for completing any Investigation should always be reasonable but realistic, taking into account resources and a variety of other factors such as University holidays. Investigators are expected to keep the Complainant informed of expected timeframes. If there is any change to the timeframe because of any delays, the Investigator will inform the Complainant and explain the reasons for the delay. (25) The University expects Complainants, Staff and Relevant Persons to behave in a reasonable and courteous manner at all times. While Complainants may at times feel frustrated or stressed about their problem or concern, rude or aggressive or other Unreasonable Behaviour is unacceptable and will not be tolerated. Any Unreasonable Behaviour will be dealt with in accordance with the NSW Ombudsman’s Managing Unreasonable Behaviour Practice Manual. (26) Nil. (27) Appendix 2a Mapping of the process for Students and Appendix 2b Mapping of the process for Members of the Public of this Procedure provide a mapping of the process with reference to the available supporting resources and participants. (28) The University encourages Complainants to try to resolve their Complaint quickly and informally with the member of Staff or Relevant Person who is most directly concerned in order to clarify any misunderstanding or error. (29) There are times when the Complainant may feel uncomfortable about approaching the member of Staff or Relevant Person most directly concerned, particularly if the Complaint is serious or involves that particular member of Staff or Relevant Person. In such a situation the Complainant may directly escalate their Complaint to a Formal Complaint. (30) If the Complainant is anxious about raising the issue with the person directly and still wishes to proceed with an informal complaint, they should raise the Complaint with the relevant area supervisor or another senior member in the organisational unit or directly engage a University Facilitator for a supported informal resolution of the Complaint. (31) Any Complainant may raise an informal issue at any time, either face to face, by telephone, by email or in writing with the member of Staff or Relevant Person who is most directly concerned. (32) The Complainant should give full details about their problem or concern when they first raise it and advise their preferred way of resolving it. This will help the member of Staff or Relevant Person to ensure the problem or concern is dealt with under the correct process. (33) Complainants are also encouraged to tell the member of Staff or Relevant Person about any underlying personal or other issues that may have contributed to or exacerbated the Complaint. This will help the member of Staff or Relevant Person to try to approach the problem or concern in a more holistic way including, in the case of a Complaint from a student, referral to other forms of support as appropriate. (34) The purpose of the Informal Resolution process is to: (35) In attempting to resolve the Complaint informally, the Relevant Person may: (36) If a Complainant is dissatisfied with the outcome of previous attempts to resolve the Complaint, a Complainant may seek a supported Informal Resolution. (37) The Facilitators who can help with Complaint resolution at this informal level are: (38) Actions by the Facilitator in a supported, Informal Resolution may include: (39) A Complainant is encouraged to co-operate fully with the Facilitator by: (40) Formal Resolution may be commenced after the Complainant has unsuccessfully attempted Informal Resolution of the Complaint or may be commenced where the Complainant is uncomfortable about having their complaint dealt with informally, particularly if the Complaint is serious or involves that particular member of Staff or Relevant Person. (41) If the Complaint has not been resolved informally and further resolution is sought, the Complainant may lodge a Formal Complaint using the Formal Complaint Form. (42) In order to commence a Formal Complaint, a Complainant must submit a Formal Complaint Form to the Registrar or nominee which includes the following information: (43) A student Complainant may engage a Facilitator (i.e. a Student Advocate) to assist with the preparation and submission of the Formal Complaint Form if required. (44) A Complainant who is a member of the public may engage a Facilitator (i.e. the University staff member appointed by the Registrar or nominee) to assist in the submission of the Formal Complaint Form if required. (45) The Registrar or nominee will appoint a Decision-Maker to consider and assess the Formal Complaint. A Decision-Maker includes but is not limited to: (46) Upon receipt of a Formal Complaint, the Decision-Maker will provide an initial assessment. The Decision-Maker will consider in particular, whether the matter or aspects of it: (47) If so, the Decision-Maker will redirect the Formal Complaint as indicated below and notify the Complainant: (48) When satisfied that the Formal Complaint is to be progressed under this Procedure, the Decision-Maker will appoint an Investigator. An Investigator includes but is not limited to: (49) Within 10 working days of receipt of the Formal Complaint Form, the Investigator will: (50) The Investigator will conduct an Investigation of the Formal Complaint. (51) The Facilitator for a student (i.e. a Student Advocate) may: (52) The Facilitator (i.e. the University staff member appointed by the Registrar or nominee) for a member of the public may: (53) At the completion of the Investigation, the Investigator will prepare an Investigation Report that includes: (54) The Investigator will provide a completed Investigation Report to the Decision-Maker and provide clarification to the parties regarding the Investigation process as required. (55) The Decision-Maker must review the Investigation Report produced by the Investigator. (56) The range of actions that the Decision-Maker may take in response to the outcome of the investigation will depend on the nature of the Complaint, the findings and recommendations made by the Investigator and any other actions available arising from Enterprise Agreements, University Policy, Procedure or Rule, contracts and any other instruments which may bind the University. (57) If a student Complainant is dissatisfied with an aspect of the University’s Complaint handling process, they may refer their Complaint to an external agency, as outlined below. (58) If a Complainant who is a member of the public is dissatisfied with an aspect of the University’s Complaint handling process, they may refer their Complaint to an external agency, as outlined below. (59) A Complainant may, at any stage, refer their Complaint to an external agency. Where this occurs, the University may decide to suspend or cease any internal process pending external investigation. (60) If a Complainant is dissatisfied with the outcome of their Complaint, or the University’s handling of it, there are some external sources of advice or review including the following agencies: (61) A Complainant should promptly inform the University of any referrals made to external bodies in respect of a Complaint and engage respectfully with University staff and adhere to relevant procedures if requesting University information. (62) The Facilitator for a student (i.e. a Student Advocate) may: (63) The Facilitator (i.e. the University staff member appointed by the Registrar or nominee) for a member of the public may, where the Complainant wishes to escalate the issue to an external agency, assist the Complainant, as appropriate, with information provision and associated contact details. (64) Formal Complaints are recorded in a central database known as the Complaints Centre. (65) The Complaints Centre: (66) In particular, it records: (67) The University will regularly analyse data recorded in the Complaints Centre and identify trends, causes and performance statistics, particularly relating to timeliness, outcomes and rectification. (68) The Investigator must enter details of a Formal Complaint into the Complaints Centre within a reasonable timeframe, in accordance with this Procedure. The Decision-Maker will confirm that a Formal Complaint has been properly assessed. (69) A summary of de-identified statistical information about Formal Complaints will be included in the University’s Annual Report. (70) The University will also conduct surveys of staff and students to obtain feedback about Complaint handling. (71) The Registrar or nominee will make the outcome of any independent inquiry (or aspects thereof) available to relevant areas including the University staff best positioned to assess and action any relevant findings and recommendations. (72) Nil. (73) Terms defined in the University Glossary have the same meaning as set out in this Procedure. The following definitions apply for the purpose of this Procedure:Complaint Management Procedure for Students and Members of the Public
Section 1 - Purpose
Scope
Overview
General
Who can Complain?
The Subject Matter of a Complaint
Time Limit to Bring a Formal Complaint
Anonymous Complaints
Frivolous or Vexatious Complaints
Multiple Issues and Concurrent Internal Processes
Withdrawal of Complaints
Indicative Timeframes for Complaint Resolution
Expectations of Participants
Section 2 - Policy
Section 3 - Procedures
Part A - The Process
Information Resolution
Address the Issue with the Person Concerned
Make an Informal Complaint
Informal Resolution with Support
Engage a Facilitator
Formal Resolution
Before Commencing Formal Resolution
Lodging a Formal Complaint
Appointment of a Decision-Maker
Decision-Maker to First Assess the Formal Complaint
Appointment of an Investigator
Investigation
Investigation Report
Decision-Maker Determines the Outcome of the Formal Complaint
Review
Student Complainant
Member of the Public
Referral to an External Agency
Part B - Record Keeping and Feedback
Complaints Centre
Reporting and Feedback
Section 4 - Guidelines
Section 5 - Definitions
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[Note: Example 1: It is determined that an aspect of a student’s Complaint is to be progressed via an alternative process; yet other aspects of the Complaint remain appropriately dealt with under this Procedure. The aspects of the Complaint to be handled under this Procedure may be handled simultaneous to; prioritised and handled prior to; or deferred and handled after the completion of the alternate process].
[Note: the majority of issues will not progress beyond this point]
[Note: In particular, where a Formal Complaint may allege staff misconduct or serious misconduct as defined in the Enterprise Agreements or any other matter appropriately dealt with by an alternative process (i.e. including, but not limited to, those alternate procedures listed in clause 17); this Procedure may cease and the matter be progressed in accordance with the applicable process outlined in the Enterprise Agreements, University Policy, Procedure or Rule or any other source including referral to external agencies such as the NSW Independent Commission Against Corruption (ICAC) or the police].