• Section 1 - Purpose
• Scope
• Section 2 - Policy
• Section 3 - Procedures
• Part A - Principles
• Part B - Student Procedures
• Conducting a Preliminary Assessment
• Responding to a Preliminary Assessment Report
• No further action taken
• Informal Resolution
• Formal Investigation
• Investigation Report
• Post-Investigation Pathways
• Student Conduct Committee Establishment and Findings
• Disciplinary Sanctions
• Safety and Interim Measures 
• Timeframes
• Appeals
• Part C - Staff Procedures
• University response – Staff/Affiliate Respondents
• No further action taken
• Informal Resolution
• Investigation of a Formal Report
• Investigation Outcome
• Safety and Interim Measures – Staff respondents
• Timeframes
• Part D - Confidentiality, Notifications and Communications
• Privacy and Use of Information
• Notifications and Communications
• Section 4 -  Guidelines
• Section 5 - Definitions

Section 1 - Purpose

(1) This Procedure sets out the processes for Preliminary Assessments and Formal Investigations into Gender-based Violence involving Students and/or Staff.

(2) Gender-based Violence means any form of physical or non-physical violence, harassment, abuse or threats, based on gender that results in, or is likely to result in, harm, coercion, control, fear or deprivation of liberty or autonomy. Gender-based Violence is unacceptable, unlawful, and strictly prohibited by Macquarie University (the University).

Scope

(3) This Procedure applies to allegations of a breach of the Gender-based Violence Prevention and Response Policy by Students, Staff or Affiliates.

(4) The University will investigate all Formal Reports of Gender-based Violence where the Respondent is a Student or a Staff member of the University.

Section 2 - Policy

(5) Refer to the Gender-based Violence Prevention and Response Policy and the Guidelines for Understanding the Gender-Based Violence Prevention and Response Policy.

Section 3 - Procedures

Part A - Principles

(6) This Procedure is underpinned by the following principles:

1. Trauma-informed and Person-centred approach: All processes will be conducted with an understanding of the impacts of Gender-based Violence, prioritising the safety, dignity, and agency of those affected.
2. Procedural Fairness: The University will provide all parties to an investigation with Procedural Fairness. This will include fair and impartial treatment, access to relevant information and a reasonable opportunity to respond.
3. Confidentiality and privacy: Information will be handled sensitively and shared only on a need-to-know basis to protect the privacy of all parties, balanced against institutional obligations for safety, accountability, compliance with applicable laws and relevant University policies including the Privacy Policy.
4. Timely and effective responses: Matters will be addressed promptly and thoroughly, with clear communication and reasonable timeframes, recognising that delays can compound harm and undermine confidence in the process.

Part B - Student Procedures

Conducting a Preliminary Assessment

(7) Where a Student is the Respondent, the University will manage the matter in accordance with the Student Process Map.

(8) The Senior Gender-Based Violence Caseworker will conduct a Preliminary Assessment of the information provided in the Formal Report, including communicating with the Discloser, to assess whether it is appropriate to submit to the Registrar to determine next steps.

(9) Where the Senior Gender-Based Violence Caseworker assesses that there is insufficient evidence or information to proceed or it is otherwise not appropriate to continue investigating the Formal Report, the Discloser will be notified and offered support and the Formal Report will be closed.

(10) If the Senior Gender-Based Violence Caseworker assesses that it is appropriate to submit the Formal Report to the Registrar, they will prepare a Preliminary Assessment report for the Registrar to review and determine next steps.

Responding to a Preliminary Assessment Report

(11) When the Registrar receives the Preliminary Assessment report from the Senior Gender-based Violence Caseworker, the Registrar will assess the available information to determine the appropriate response. This may include:

1. taking no further action;
2. resolving the matter by way of an informal resolution;
3. referring the matter for Formal Investigation by the Complaints, Appeals and Misconduct(CAM)Unit;
4. establishing a Student Conduct Committee; and/or
5. implementing interim and/or safety measures.

No further action taken

(12) If the Registrar decides to take no further action, the Discloser must be notified in writing by the Senior Gender-based Violence Caseworker. Where the Respondent has been made aware of the Preliminary Assessment, the Discloser must also be notified, with both notifications made on the same day.

(13) The Senior Gender-Based Violence Caseworker will close the Formal Report following completion of all required notifications for the purpose of this Procedure.

Informal Resolution

(14) If the Respondent admits to an allegation of Gender-based Violence, with the informed consent of both the Discloser and the Respondent, the Registrar may implement an informal resolution that addresses the matter, including by applying a disciplinary sanction other than suspension or permanent exclusion.

(15) When determining whether informal resolution is appropriate, the Registrar must:

1. seek and consider the views of the Discloser regarding the proposed resolution pathway;
2. consider any previous relevant disciplinary action taken against the Respondent, including any warnings given relating to similar behaviour, as well as any mitigating or aggravating circumstances; and
3. consider whether the safety and wellbeing of Students and Staff can be appropriately maintained through informal resolution.

Formal Investigation

(16) If the Registrar determines to refer the matter for Formal Investigation they must:

1. arrange for the Senior Gender-based Violence Caseworker to notify the Discloser in writing that the Formal Investigation will commence;
2. notify the Respondent in writing of the concerns raised and available evidence, where practicable; and
3. inform the Respondent of the procedure for managing the Formal Investigation including any potential outcomes, the right to have a Support Person present for all aspects of the Formal Investigation, and details of Student Wellbeing support services.

(17) The Senior Gender-based Violence Caseworker must first notify the Discloser and the Registrar must notify the Respondent in writing on the same day that a Formal Investigation will be undertaken.

(18) Where a Formal Investigation is initiated, the Registrar will appoint an investigator from the CAM Unit.The investigator will:

1. inform the Respondent that the matter will be investigated as a misconduct matter; and
2. invite the Respondent to make submissions in response to the concerns raised, including any submissions as to process.

(19) The investigator must not require that physical evidence be considered as part of the Formal Investigation.

(20) The investigator may seek information or documentation, in writing or in person, from any person they consider relevant to the Formal Investigation. Where practicable, the Discloser should be consulted about third parties who may be contacted. Unless a Discloser requests otherwise, all communication with the Discloser will be facilitated by the Senior Gender-based Violence Caseworker.

(21) If additional information, documentation or concerns arise during the investigation, the investigator will inform the Respondent in writing and invite submissions and/or evidence about that information, documentation or concerns where required for Procedural Fairness.

Investigation Report

(22) The investigator will gather the evidence and prepare a written investigation report for the Registrar summarising the evidence obtained from their investigation and provide advice, including in relation to the strength of evidence and whether the conduct, if proven may constitute a breach of the Student Code of Conduct.

Post-Investigation Pathways

(23) Upon receipt of the investigation report the Registrar will determine, on the Balance of Probabilities, whether there is sufficient evidence to make a finding of fact that the conduct occurred and may:

1. close the Formal Investigation on the basis that there is insufficient evidence to make a findings against the Respondent;
2. determine that the conduct constitutes a breach of the Student Code of Conduct;
3. determine the disciplinary sanctions to be applied, other than the suspension or permanent exclusion which must be determined by the Student Conduct Committee; and
4. where the Registrar considers that the matter may result in the suspension or permanent exclusion of the Respondent, refer their finding together with the investigation report to the Student Conduct Committee for consideration and decision.

(24) Unless a Discloser requests otherwise, the Senior Gender-based Violence Caseworker will notify the Discloser in writing of the outcome of the Formal Investigation and whether the matter will be referred to the Student Conduct Committee. The Discloser and Respondent must be notified on the same day.

Student Conduct Committee Establishment and Findings

(25) If the Registrar considers that the matter could reasonably result in the suspension or permanent exclusion of the Respondent, they will establish a Student Conduct Committee.

(26) The Student Conduct Committee will determine:

1. on the Balance of Probabilities, whether there is sufficient evidence to support a finding that the alleged conduct occurred;
2. whether the conduct constitutes a breach of the Student Code of Conduct; and
3. if applicable, the disciplinary sanctions to be applied.

(27) Before reaching its decision, the Student Conduct Committee must first offer the Respondent a reasonable opportunity to provide submissions to the Committee. The Respondent has the right to be accompanied by a Support Person at any Student Conduct Committee hearing.

(28) If further information is required from the Discloser, unless requested otherwise, communication will be facilitated by the Senior Gender-based Violence Caseworker.

(29) The Student Conduct Committee will notify the Respondent within 10 business days of making its decision.

Disciplinary Sanctions

(30) Disciplinary sanctions that may be applied for the purpose of this Procedure include (without limitation):

1. if consent is provided by the Discloser, a restorative measure that might include an apology from the Respondent;
2. a written caution regarding the Respondent’s behaviour;
3. formal warning;
4. restriction from specified University premises for a specified period of time not exceeding 30 days;
5. community service to the University;
6. mandated training and/or counselling;
7. removal or restriction from any role in a student organisation;
8. probation;
9. suspension from studies for a period of up to a year; and/or
10. permanent exclusion from the University.

(31) All disciplinary sanction/s applied under this Procedure will be proportionate to the conduct substantiated in the Formal Investigation and/or Student Conduct Committee process. When considering what sanctions should be applied, the Registrar or Student Conduct Committee must consider any previous relevant disciplinary action taken against the Respondent, including any warnings given relating to similar behaviour, and any mitigating or aggravating circumstances.

(32) Unless a Discloser requests otherwise, the Senior Gender-based Violence Caseworker will give written notice to the Discloser of:

1. the formal investigation or Student Conduct Committee disciplinary outcome;
2. reasons for the outcome; and
3. rights to make an internal and/or external complaint, including to the National Student Ombudsman.

(33) The Discloser must be notified of the outcome of the Formal Investigation or Student Conduct Committee on the same day as the Respondent.

Safety and Interim Measures 

(34) At any time following a Disclosure or Formal Report and regardless of whether or not a Formal Investigation has commenced:

1. the Registrar may implement such measures as the Registrar considers are reasonably necessary to meet a requirement of the National Higher Education Code to Prevent and Respond to Gender-based Violence (the Code)(including measures that require changes to the manner or time a Student may attend any University premises or conduct any University activity, contact between Students as part of any University activity, changes to the delivery of teaching and learning provided to a Student by the University, or changes to student accommodation); and
2. the Registrar may issue directions to a Student or member of Staff for the purposes of implementing such measures.

(35) Measures required by the Registrar in accordance with clause 34 must be considered on a case-by-case basis and be reasonable and proportionate in the circumstances.

(36) If the Registrar decides to implement safety and/or interim measures, the Registrar will inform the Respondent of the decision and the reasons for it. The Senior Gender-based Violence Caseworker will consult with the Discloser about these measures.

(37) Students may request an internal review of a safety/interim measure from the Deputy Vice-Chancellor (Academic) via dvca@mq.edu.au. A request for review must be made within 10 working days of the date of the measures being taken and is limited to the terms and duration of the measures.

(38) A decision to implement interim measures takes effect immediately.

(39) The Registrar may at any time review a safety/interim measure implemented for the purposes listed above.

(40) A safety or interim measure does not prevent subsequent action against an individual and should not be interpreted as anticipating the outcome of any University or other investigation process.

Timeframes

(41) This Procedure is designed to allow Formal Reports of Gender-based Violence to be finalised within 45 business days, including the finalisation of any process resulting in a disciplinary outcome.

(42) The University will comply with the timeframes specified in this Procedure unless an extension is required in the particular context. Any extensions must be approved by the Vice-Chancellor, who must be satisfied that the extension is necessary.

(43) Regular updates must be provided to both the Discloser and the Respondent throughout the Formal Investigation process, taking into account their views.

Appeals

(44) A Respondent may appeal against a decision of the Registrar or Student Conduct Committee on the following permissible grounds:

1. the Respondent was not given a reasonable opportunity to provide a response in the Formal Investigation or the Student Conduct Committee process;
2. an investigator in carrying out an investigation, or the decision maker in making the decision, was biased or had a reasonable apprehension of bias against the Respondent;
3. an investigator in carrying out an investigation, or the decision maker in making the decision, took an irrelevant consideration into account;
4. an investigator in carrying out an investigation, or the decision maker in making the decision, failed to take a relevant consideration into account;
5. an investigator made an error of fact;
6. a finding of an investigator, or the decision maker, was made without regard to the merits of the particular case; and/or
7. an investigator in carrying out an investigation, or the decision maker in making the decision, did not follow the required procedure for doing so.

(45) Appeals must:

1. be made within fifteen (15) business days of the decision on the final outcome being sent to the Respondent;
2. be made in writing to the Deputy Vice-Chancellor (Academic);
3. be made on one or more of the permissible grounds set out above, identifying the relevant permissible ground or grounds of appeal, providing reasons why they meet the relevant ground(s), and providing any supporting information;
4. contain the name and contact details of the Respondent; and
5. be made only after the Respondent is sent the decision on the final outcome.

(46) Within two (2) business days of receipt of the appeal, unless a Discloser requests otherwise, the Senior Gender-based Violence Caseworker will notify the Discloser in writing that:

1. the Respondent has appealed the decision; and
2. information on potential outcomes of the appeal.

(47) Where a Respondent appeals, the Registrar will assess the appeal and may:

1. dismiss the appeal if satisfied that it is lacking in substance or has failed to identify one or more permissible grounds for appeal; or
2. otherwise convene a Student Conduct Appeal Committee to consider the appeal. A Respondent attending a meeting of the Committee may bring a Support Person.

(48) A Student Conduct Appeal Committee will consider the appeal and:

1. dismiss the appeal; or
2. uphold the appeal in whole or in part, and where in part, refer those upheld parts for reassessment by another decision-maker under this Procedure; or
3. vary the outcome.

(49) Within five (5) business days of the Student Conduct Appeal Committee making its decision, the Committee will notify the Respondent in writing of:

1. the decision, providing written reasons; and
2.  the Respondent's right to complain about the appeals process to an external agency including the National Student Ombudsman.

(50) Unless a Discloser requests otherwise, the Senior Gender-based Violence caseworker will give written notice to the Discloser of:

1. the outcome of the appeal, including the decision and, if relevant, disciplinary outcomes;
2. reasons for the outcome; and
3. rights to make an internal and/or external complaint, including to the National Student Ombudsman.

(51) The Discloser must be notified of the outcome of the appeal on the same day as the Respondent.

(52) This Procedure is designed to allow appeals to be finalised within 20 business days.

(53) The University will comply with the timeframes specified in this Procedure for appeals unless an extension is required in the particular context. In such cases, the Vice-Chancellor must satisfy themselves that extensions are only being permitted where required.

(54) Where a Respondent is an international student and is suspended or excluded from studies, at the end of the appeal period, the University will notify the Department of Home Affairs as required by the Education Services for Overseas Students Act 2000, and inform the Respondent that they should seek the advice of the Department of Home Affairs about their visa conditions.

Part C - Staff Procedures

University response – Staff/Affiliate Respondents

(55) Where a Staff member is the Respondent, the University will manage the matter in accordance with the Staff Process Map.

(56) The Senior Gender-based Violence Caseworker will conduct a Preliminary Assessment of the information provided in the Formal Report to determine whether it is appropriate to proceed with a Formal Investigation.

(57) Where the Senior Gender-based Violence Caseworker determines that it is not appropriate to proceed, the Formal Report will be closed. The Discloser will be notified and offered support.

(58) Where the Senior Caseworker assesses that it is appropriate to proceed, they will prepare a Preliminary Assessment report for the Chief People Officer to determine next steps.

(59) Where a Formal Report about an employee alleges conduct that might, if proven, constitute misconduct, the report may be managed in accordance with the Misconduct/Serious Misconduct provisions of the applicable Enterprise Agreement.

No further action taken

(60) If the Chief People Officer decides to take no further action, the Senior Gender-based Violence Caseworker will notify the Discloser in writing. Where the Respondent has been made aware of the Preliminary Assessment, the Discloser must also be notified, with both notifications made on the same day.

(61) Once both parties have been notified, the Senior Gender-Based Violence Caseworker will close the Formal Report.

Informal Resolution

(62) If the Respondent admits to an allegation of Gender-based Violence, with the informed consent of both the Discloser and the Respondent, the Chief People Officer may decide that informal resolution is appropriate.

(63) When determining whether informal resolution is appropriate, the Chief People Officer must:

1. seek and consider the views of the Discloser regarding the proposed resolution pathway;
2. consider any previous relevant disciplinary action taken against the Respondent, including any warnings given relating to similar behaviour, as well as any mitigating or aggravating circumstances; and
3. consider whether the safety and wellbeing of Students and Staff can be appropriately maintained through informal resolution.

(64) The Chief People Officer (or other senior officer in accordance with the relevant Enterprise Agreement), may determine that remedial disciplinary action, in accordance with the relevant Enterprise Agreement, may be appropriate.

Investigation of a Formal Report

(65) Where informal resolution is unsuccessful or considered inappropriate, and irrespective of whether the Respondent admits to the alleged conduct, the Chief People Officer may determine that a Formal Investigation will proceed.

(66) The Discloser and the Respondent must be notified of the Formal Investigation in writing on the same day. The Senior Gender-based Violence Caseworker will notify the Discloser first. Notifications must outline the process, expected timeframes, and available support services.

(67) The Chief People Officer (or their delegate) will inform the Respondent of the process under the applicable industrial instrument or policy, including potential disciplinary outcomes, and ensure both parties understand their rights and responsibilities.

(68) Where a Formal Investigation is initiated, the Chief People Officer (or their delegate) will appoint an appropriately qualified investigator.

(69) The investigator must not require that physical evidence be considered as part of the Formal Investigation.

(70) If additional information, documentation or concerns arise during the investigation, the investigator will inform the Respondent in writing and invite submissions and/or evidence about that information, documentation or concerns where required for Procedural Fairness.

(71) The investigator will prepare a written report of their investigation and provide it to the Chief People Officer, containing findings of fact based on the Balance of Probability, considering evidence and any other material on which those findings were based.

(72) Investigators must provide written reasons for their findings of fact, and if relevant, their recommendations.

(73) The Investigation Report will be submitted to the Chief People Officer (or other senior officer in accordance with the relevant Enterprise Agreement), for determination of appropriate next steps.

(74) The determination of next steps will be determined having regard to:

1. the findings of the investigation;
2. the seriousness of the complaint;
3. the need to protect the safety and wellbeing of Students, Staff, and Affiliates; and
4. the wishes of the Discloser.

(75) Where further action is warranted, the matter will be managed in accordance with the relevant Enterprise Agreement.

(76) Where the Respondent is covered by an Enterprise Agreement, the investigation will constitute any preliminary enquiries or investigation required under the relevant Enterprise Agreement.

Investigation Outcome

(77) The Discloser must be notified of the outcome of the formal investigation or disciplinary outcome on the same day as the Respondent. Unless a Discloser requests otherwise, the Senior Gender-based Violence Caseworker will give written notice to the Discloser of:

1. the formal investigation or disciplinary outcome; and
2. reasons for the outcome.

Safety and Interim Measures – Staff respondents

(78) The Chief People Officer (or other senior officer in accordance with the relevant Enterprise Agreement) may take interim measures against a Staff member in accordance with the Gender-based Violence Prevention and Response Policy.

(79) Interim measures may be taken at any time, whether or not an investigation has commenced.

(80) Interim measures may include restrictions or requirements relating to:

1. who an individual can contact and how they can contact someone; and
2. where and when they can go on campus, e.g. access to specific University buildings, facilities, accommodation, or classes.

(81) Where interim measures are implemented, the Chief People Officer will issue written notice to the Staff member. The notice will specify the terms and duration of the interim measures and outline the reasons for their implementation.

(82) A decision to implement interim measures takes effect immediately.

(83) A Staff member may request an internal review of interim measures. Requests for a review must:

1. be submitted in writing to chiefpeopleofficer@mq.edu.au; and
2. be lodged within 10 working days of the date the written notice was issued.

(84) The internal review will be conducted on the basis of the written material provided and is limited to the terms and duration of the interim measures.

(85) On completion of the internal review, the Chief People Officer will provide the Staff member with a written statement of the outcome, including reasons for the decision.

(86) The Chief People Officer may at any time revoke or vary interim measures.

(87) Interim measures do not imply or pre-empt any conclusion or outcome of a University or external investigation and are not a determination of responsibility.

(88) Interim measures must be taken on a case-by-case basis and reasonable and proportionate in the circumstances.

Timeframes

(89) This Procedure is intended to ensure that Formal Reports of Gender-based Violence are finalised within 45 business days, including any process resulting in disciplinary action.

(90) The University will comply with the timeframes specified in this Procedure unless an extension is required due to exceptional circumstances. Any extension must be approved by the Vice-Chancellor, who must be satisfied that the extension is necessary.

(91) Regular updates must be provided to both the Discloser and the Respondent throughout the Formal Investigation process, taking into account their views and ensuring transparency.

Part D - Confidentiality, Notifications and Communications

Privacy and Use of Information

(92) The University is committed to respecting the privacy of all members of the Macquarie University Community in accordance with the University’s Privacy Policy and applicable privacy laws. Subject to applicable laws, the University will treat all investigations confidentially.

(93) Information from an investigation may be shared for a specific purpose if the Discloser and/or Respondent has given their consent. Otherwise, the University will keep this information confidential, with some limitations as outlined in this section.

(94) The University is obliged to protect the safety of the University community and may need to provide information to NSW Police and/or relevant government agencies, for example:

1. when there is an immediate threat to someone's safety;
2. in cases involving serious physical harm or ongoing risk; and
3. where the person who has experienced Gender-based Violence lacks capacity.

(95) The University may be required to report information about a 'serious indictable offence' to Police, in accordance with section 316 of the Crimes Act 1900 (NSW).

(96) Mandatory reporting legislation may also affect confidentiality.

(97) The University prohibits the use of a Non-disclosure Agreement or Non-disparagement Clause in its response, management, and/or settlement of matters disclosed to it under this Procedure, unless requested to do so by a Discloser. If requested by the Discloser, the terms of any Non-disclosure Agreement or Non-disparagement Clause  will comply with the requirements of the National Higher Education Code to Prevent and Respond to Gender-based Violence (the Code).

(98) Information from investigations will be used to monitor general trends relating to Gender-based Violence affecting the Macquarie University Community and to report to the Executive Group, University Council, any other relevant University committee or body, and the Commonwealth Department of Education in accordance with requirements under the Code. No information that could identify individuals will be included in reporting.

Notifications and Communications

(99) Notifications and communications will be made by email to the Student or Staff member’s University email address and will be considered to be delivered when sent.

(100) The University may agree to different arrangements where it is shown that they are required.

Section 4 -  Guidelines

(101) See Guidelines for Understanding the Gender-Based Violence Prevention and Response Policy.

Section 5 - Definitions

(102) For the purpose of this Procedure the following definitions apply: