Complaint Resolution Policy

1.      Purpose

The purpose of this policy is to provide a single system to deal with all types of complaints, ranging from minor administrative matters to more serious deeply held grievances concerning unfair, unjust or unreasonable behaviour.

This policy draws together a number of parallel pathways that previously existed to handle such matters. The nature and the severity of the complaint will influence the approach taken to resolve the complaint. This may range from informal discussions at the local level through to a formal investigation by an Investigative Panel.

2.      Scope

Complaints can be lodged by students (see Endnote 1) or staff of the University, or other persons who have a complaint with the University.

Students and staff can approach a Complaints Officer to make an informal complaint, or the University Complaints Manager directly if they wish to make a formal complaint. (see Endnote 2).

People who are not staff or students of the University can approach the University Complaints Manager directly to make either a formal or an informal complaint if the situation has arisen in the course of their dealings with the University. The University Complaints Manager will assess the complaint, or assign a member of staff to assess the complaint, and make a determination on whether further action should be taken.

Students, staff or other persons may at any time submit a complaint to an external agency such as the NSW Ombudsman. The University is an agency within the Ombudsman's jurisdiction. The following link takes you to the Ombudsman web site: http://www.nswombudsman.nsw.gov.au/complaints/index.html

Other external agencies include:

• The Anti Discrimination Board: http://www.lawlink.nsw.gov.au/lawlink/adb/ll_adb.nsf/pages/adb_index;
• Workcover: http://www.workcover.nsw.gov.au/default; and
• The Independent Commission Against Corruption (ICAC) http://www.icac.nsw.gov.au

Where the University refers a complaint to an external agency, or the complainant takes the complaint to an external agency the University may cease the internal process.

3.      Rationale

The University is committed to the development and maintenance of an effective system of complaints management and to the encouragement of an organisational culture that responds to complaints and conflict in a constructive way.

The appropriate and timely resolution of complaints is essential to the maintenance of a safe, positive, harmonious and cooperative work and learning environment, and provides an opportunity for improvement in systems, procedures and outcomes.

The University believes that complaints should be resolved quickly and at the local level if possible, and provides support and ongoing training to staff who deal with complaints in order to achieve this outcome.

4.      Definitions

This policy relates to three main types of complaint, based on disagreements, mismanagement and misconduct. Where there is a University policy or procedure which provides a formal avenue for appeal against decisions of the University, this policy will only apply where there is a complaint that the policy or procedure in question has not been properly followed.

Examples of the three main types of complaint are as follows:

The examples of disputes, mismanagement or misconduct given above can sometimes lead to conflict. In other cases conflict may be the basis for the complaint. Where conflict arises, dispute resolution techniques, such as mediation, will be initiated as part of the complaints resolution process.

5.      Making a complaint

5.1.     Informal complaints

Many problems can be resolved informally and without the need for further action. By allowing both sides to clarify their positions, an informal complaint can often lead to a better understanding of the nature of the problem and a satisfactory solution for those concerned.

The fastest results and best outcomes from complaints often happen through a direct approach to the person or group whose actions have given rise to the complaint. This approach may be by email or in writing but can also be by phone or face to face. If the complaint is about a policy or procedure, the first approach should be to the person responsible for local implementation of that policy or procedure, if known.

If a person making a complaint is not comfortable making a direct approach, an informal complaint may be made through a Complaints Officer (students also have the option of approaching the Dean of Students, NUSA or NUPSA at Callaghan, or the Deputy Dean of Students or Campus Central at Ourimbah). Every Faculty and Division in the University has at least one designated Complaints Officer to deal with complaints, suggestions, inquiries, recommendations or requests for action.

For equity related complaints, the Equity and Diversity Unit can also offer advice on policy and appropriate support mechanisms.

The Complaints Officer has delegated authority to act on some complaints and will attempt to deal with informal complaints at first contact, and if possible resolve them within 3 working days of the complaint being brought to their attention. If resolution cannot be achieved, the Complaints Officer will provide information on the alternative complaint resolution methods available, and refer the complaint or complainant to the University Complaints Manager.

In some cases, for example, complaints alleging potentially unlawful behaviour, such as illegal discrimination or harassment, it is appropriate to proceed directly to the formal complaint procedures.

5.2.     Formal complaints

If an informal complaint has not been resolved, if it relates to potentially unlawful behaviour, may result in disciplinary action, or where the facts are in dispute, a formal complaint should be made. Any formal complaint must be in writing to ensure that the issues raised are clear and that all those who will be involved in resolution of the complaint, including the subject(s) of the complaint (the respondent(s)) have a shared understanding of the substance of the complaint; normally such complaints cannot be made anonymously (Sections 5.3 and 16 refers).

The University Complaints Manager has delegated authority to consider, investigate and resolve formal complaints. In some circumstances formal referral to an Internal Investigative Panel and resolution at the level of the relevant Deputy Vice-Chancellor may be required.

A formal complaint will be acknowledged in writing within three working days of receipt and the University Complaints Manager will ensure that steps are taken within ten working days to resolve the complaint.

When it is not possible to resolve the complaint within the stated timeframe, the University Complaints Manager will keep the complainant(s) and respondent(s) informed of the progress of the complaint.

5.3.     Anonymous complaints

The University will not normally act on the basis of an anonymous complaint. However, in some cases, where the information provided is convincing and the issues raised are significant, an anonymous complaint may be pursued. Anonymous complaints should be referred directly to the University Complaints Manager.

5.4.     Vexatious complaints

Some complaints may be vexatious in that they are designed to harass or annoy; to cause delay or detriment; or for any other wrongful purpose.

The University Complaints Manager will examine complaints which may appear to be frequent and frivolous complaints and determine whether or not they are “vexatious”.

The University Complaints Manager will discuss the possibility of determining that a person is a vexatious complainant with the Deputy Vice-Chancellor (Academic) prior to making a decision to cease dealing with the complainant.

Staff or students who make vexatious complaints will be subject to the misconduct provision under the appropriate Workplace Agreement, or the Student Discipline Rules, respectively.

5.5.     Advice and help for people making a complaint

A student or staff member who is unsure of how to make a complaint can seek advice from a Complaints Officer, or for equity related matters, from the Equity and Diversity Unit. Students can also seek advice from the Dean of Students or the appropriate student association.

5.6.     Advice and help for people who are the subject of a complaint

A student or staff member who is advised that they are the subject of a complaint can seek advice from a Complaints Officer or for equity related matters, from the Equity and Diversity Unit. Students can also seek advice from the Dean of Students or the appropriate student association.

5.7.     Time limit for making a complaint

The University will not normally act on complaints that are greater than 12 months old. However, in some cases, where the issues raised are significant the complaint may be pursued. Complaints greater than 12 months should be referred directly to the University Complaints Manager.

6.      Who or what can be the subject of a complaint

Complaints can be made against individuals or groups of students or staff at any of the University’s campuses, including those off-shore, or about University policies or procedures. Complaints can also be made about people or organisations that are not part of the University, but have a significant association with the University, for example, contractors, any visitor to the University, or someone at a University organised external work or study placement. If the subject of a complaint is not part of the University, then the complaint will be assessed by the University Complaints Manager and a decision will be made on whether or not the complaint should be pursued or referred on to an appropriate external body such as the NSW Ombudsman.

It should be noted that in cases of Academic Dishonesty involving staff and students, or Academic Appeals, the University has established systems and procedures as follows:

6.1.     Academic Dishonesty

Academic Dishonesty has two major categories:

i) Academic Fraud – making a false representation to gain an unjust advantage (such as fabrication of data, falsification of data, misleading ascription of authorship); and

ii) Plagiarism – the presentation of the thought or works of another as one’s own.

Allegations of Academic Dishonesty should be directed as follows:

• Students: Allegations of Academic Dishonesty should be directed to the Student Academic Conduct Officer (SACO) located in all of the Schools of the University http://www.newcastle.edu.au/service/academic-integrity/students/saco-students.html

Allegations of Academic Dishonesty involving research should be directed to an Adviser in Research Integrity, nominated by the Research Committee of Academic Senatehttp://www.newcastle.edu.au/research/researchpractice-gld.html

• Staff: Allegations of Academic Dishonesty (including research misconduct) should be directed to the University Complaints Manager in the first instance, who will then refer it to the Vice-Chancellor or the relevant Deputy Vice-Chancellor.

Persons external to the University wishing to make a complaint involving staff or students under either of the above categories should be directed to the University Complaints Manager in the first instance.

6.2.     Academic Appeals

A disagreement concerning exam results, assignment marks or academic failure does not constitute a valid reason for complaint unless it is the direct and demonstrable result of interpersonal conflict, a prejudicial relationship, or the inconsistent application of policy or unlawful behaviour.

To appeal a result refer to Procedures for Appeals Against a Final Result.

7.      How the University will deal with complaints

Staff or students of the University wishing to make a complaint should contact initially the Faculty or Division Complaints Officer. Students also have the options of seeing the Dean of Students. Persons who are not staff or students should contact the University Complaints Manager.

7.1.     Role of Faculty and Division Complaints Officer

In dealing with complaints, the Faculty/Division Complaints Officer will:

i) resolve informal complaints; or

ii) receive formal complaints in writing or document the formal complaint; and

iii) notify the formal complaint to the University Complaints Manager.

For a list of Complaint Officers go to http://www.newcastle.edu.au/Resources/Divisions/Academic/Complaints/Complaint-Officer-List.pdf.

7.2.     Role of Dean of Students

The role of the Dean of Students includes monitoring the experiences of students within the academic environment and working to ensure that students receive fair and equitable treatment within the University system. For further information go to http://www.newcastle.edu.au/service/deanofstudents/index.html

In dealing with complaints the Dean of Students will:

i) resolve informal complaints; or

ii) receive formal complaints in writing or document the formal complaint; and

iii) notify the formal complaint to the University Complaints Manager.

7.3.     Role of University Complaints Manager

The role of the University Complaints Manager is to manage and respond to both internal and external complaints concerning the University and oversee the University’s complaints system.

The University Complaints Manager also is responsible for identifying and investigating systematic problems that may give rise to complaints and recommend organisational improvements, and provide advice to the Senior Executive Group via the Deputy Vice-Chancellor (Academic) on any action the University needs to take to protect or improve the integrity of policies or procedures.

The University Complaints Manager works closely with the Dean of Students and the Deputy Vice-Chancellor (Academic) and is supported by Faculty and Division Complaints Officers.

On receipt of a complaint the University Complaints Manager will:

i) register, acknowledge receipt and determine the nature and any relevant procedures to deal with the complaint;

ii) clarify the issues of the complaint to determine where the complaint should be handled;

iii) where appropriate, investigate the complaint or assign the complaint to a competent person or panel for initial investigation or refer to mediation;

iv) advise the complainant about the process and the timetable for resolution of the complaint;

v) advise the subject(s) of the complaint (the respondent(s)) of the allegations and the process and timetable for resolution of the complaint;

vi) advise the complainant and the respondent on progress in dealing with the complaint;

vii) oversee and/or manage the resolution of the complaint and refer to the relevant Deputy Vice-Chancellor as necessary;

viii) advise the complainant and the respondent of the outcome; and

ix) advise the complainant and the respondent of the action taken to resolve the complaint.

7.4.     Complaints against the University Complaints Manager

Complaints concerning the process followed by the University Complaints Manager should be directed to the Deputy Vice-Chancellor (Academic).

7.5.     Internal Investigative Panel

In some instances, where it is clear that the matter requires investigation, the University Complaints Manager, in consultation with the Vice-Chancellor or relevant Deputy Vice-Chancellor, will refer the complaint to a University Internal Investigative Panel or an Investigation Officer, whose role is as described in Clause 12.

8.      Parallel processing of complaints

To ensure that complaints are handled effectively and in the shortest possible time, the same complaint cannot be dealt with under more than one internal procedure at the same time and wherever possible, the issue(s) of the complaint will be dealt with in totality. Where the complaint is multifaceted, and advice is required from a number of sources to deal with the various issues of the complaint, the University Complaints Manager will provide a co-ordinating role in obtaining the information necessary to deal with the complaint.

At any stage people making a complaint can decide if the complaint is best handled by referral to an external agency or through legal action.

Where a complainant takes the complaint to an external agency the University may cease the internal process.

9.      Confidentiality

Under all of the University’s complaint handling procedures there is a requirement to maintain the privacy of all parties involved. Persons dealing with complaints should not improperly disclose any information obtained in the complaint handling process. Some records of the complaint need to be kept, and there are some circumstances in which there are legal obligations to disclose complaints.

9.1.     Record Keeping

Information on complaints received is provided to the University’s Records Management Office so that it can be kept and recorded. Records are also made about key steps in the handling of complaints, including the reasons for all significant decisions.

The files relating to complaints are confidential and cannot be accessed by unauthorised people. These records will be retained and archived in compliance with the State Records Act 1998 (NSW) and the University’s records management policies.

9.2.     Reporting

The University will seek to maintain the confidentiality of all parties involved in a complaint process. However, in the course of dealing with a complaint, information may be received that must be reported, either internally or to external bodies.

The University has a legal duty to report situations which:

i) risk the health and safety of staff or students or others in the workplace;

ii) involve allegations of corrupt conduct;

iii) involve allegations of reportable conduct against children; or

iv) involve criminal conduct.

10.      Protection and Fairness

Regardless of the nature of the allegations or the evidence supporting the allegations, the University will apply procedural fairness and natural justice to all involved in the complaints process, and will protect those people from retaliation, victimisation, adverse impacts or vexatious claims.

(Under the Protected Disclosures Act 1994 the University has established an Internal Reporting Policy – see Section 16.0 Protected Disclosures for further detail).

This includes not only people making complaints and people who are subject of complaints, but also people who are the subject of complaints that are dismissed, people who are witnesses or provide information on complaints and people who assess, investigate or determine the outcome of complaints.

Members of staff or students, who retaliate against, victimise or punish people on the basis of their involvement in complaint processes will be subject to the misconduct provision under the appropriate Workplace Agreement or the Student Discipline Rules, respectively.

People involved in complaint processes who are victims of retaliation or fear that they will be subject to retaliation should report their concerns to the University Complaints Manager.

11.      Timetable

The University deals with a wide variety of complaints. Some of these can be dealt with quickly, while other more complex issues need much more time to resolve.

While it is impossible to provide exact projections of the time to resolution, people who lodge a complaint should be made aware of how long it is likely to be before the matter is finalised. Depending on the nature of the complaint, complainants will be advised of approximate times for:

• registration
• attempted resolution
• investigation
• mediation
• referral for disciplinary or external action
• advice of outcome.

The University Complaints Manager will register a formal complaint and acknowledge receipt within three working days, and advise the complainant about how the complaint is to be handled within ten working days of receipt of the complaint. In the event that there are delays in resolving the complaint, the University Complaints Manager will advise the complainant in writing and provide updates on progress towards resolution of the complaint every ten working days.

12.      Referral and Investigation

On referral of a complaint to the University Complaints Manager, an initial investigation will be conducted. If after the initial investigation there are allegations of misconduct/ serious misconduct to consider then the matter will be referred to the provisions under the appropriate Workplace Agreement or the Student Discipline Rules.

Where the above provisions do not apply but it is clear that the matter requires a more substantial investigation the University Complaints Manager in consultation with the Vice-Chancellor or relevant Deputy Vice-Chancellor, may refer the complaint to an Internal Investigative Panel or Investigation Officer and determine the terms of reference for the investigation. A suitably qualified panel, with members who have had no prior involvement in the matter, with the capacity to consider the issues and provide a recommendation, will be convened. The Chair of the Panel will be someone other than a current student or member of staff.

External guidelines will be taken into account in the formation of the panel, if appropriate.

In all other cases the University Complaints Manager will deal directly with the matter.

12.1.   Role of the University Internal Investigative Panel

The University Internal Investigative Panel (or Investigation Officer) will:

i) receive the complaint from the University Complaints Manager;

ii) investigate the complaint within seven days of being convened;

iii) examine other relevant documentation or speak to any person, including the complainant and the respondent, if necessary. (People may bring a support person to interviews with the Internal Investigative Panel); and

iv) make a recommendation to the Vice-Chancellor or relevant Deputy Vice-Chancellor, as appropriate, through the University Complaints Manager, that the complaint has:

• been substantiated and that further action is required. The recommendation should advise what that further action might be, for example, training for either the complainant or the respondent, counselling for either party, or revision of procedures; or

• not been substantiated and that no further action should be taken.

12.2.   Role of the Vice Chancellor or relevant Deputy Vice-Chancellor

The Vice-Chancellor or relevant Deputy Vice-Chancellor will:

i) receive and action the recommendations of the Internal Investigative Panel;

ii) advise the University Complaints Manager of the action(s) proposed; and

iii) provide a report to the University Complaints Manager when the action has been completed.

12.3.   Referral directly to the Vice Chancellor

Some complaints, such as those related to fraud will be referred directly to the Vice-Chancellor.

12.4.   Referral to outside agencies

There are a number of complaint bodies and mechanisms external to the University which may be appropriate referral points for a complaint, such as the NSW Ombudsman, the Independent Commission Against Corruption or the Police.

External referral may be appropriate or mandatory reporting may apply if the complaint concerns potentially criminal acts; corruption; research misconduct; sexual misconduct; or violence which involves children.

The University Complaints Manager will advise the best course of action for the particular complaint.

Where the University refers a complaint to an outside agency the University may cease dealing with the complaint while the external process is under way.

13.      Mediation and Resolution

The University expects that all parties involved in a complaint will participate in trying to resolve it, whether by informal or formal means. Wherever possible, and if appropriate, complaints should be dealt with informally at the first stage, with or without the assistance of a Complaints Officer.

Mediation may be required in the resolution of complaints. This can be informal or formal. Either the person(s) making the complaint or the subject(s) of the complaint can request a more formal process by referral to the University Complaints Manager.

If a party chooses not to participate in formal mediation or another formal process, then a recommendation concerning resolution of the complaint will be made by the University Complaints Manager to the Deputy Vice-Chancellor (Academic), in their absence.

14.      Disciplinary Action

One of the possible outcomes of a complaint is internal disciplinary action against either a member of staff or a student. For students, this action is undertaken under the Student Discipline Rules. For staff, disciplinary action is conducted under the applicable Workplace Agreement.

15.      Appeals

If a person making a complaint, or a person who is the subject of a complaint, believes that a formal complaint has not been resolved within a reasonable timeframe, or if the processes used to resolve the complaint have been defective, a request for a review of the procedures can be lodged with the Deputy Vice-Chancellor (Academic) or in the case where the Deputy Vice-Chancellor (Academic) has made a determination, with the Vice-Chancellor. In the case where the Vice-Chancellor has made a determination, a request for review can be lodged with the Deputy Vice-Chancellor (Academic).

If a person, whose complaint has been investigated by Internal Investigative Panel, or a person who was the subject of an investigation by the Internal Investigative Panel, believes that the processes used in the investigation have been defective, a request for review of procedures can be lodged with the Vice-Chancellor.

At any time, a person who is dissatisfied with the outcome of a complaint or the processes used to resolve the complaint can appeal to an external agency such as the NSW Ombudsman (see 2.0 Scope).

16.      Protected Disclosures

In response to the Protected Disclosures Act 1994, the University has implemented an Internal Reporting Policy which establishes an internal reporting system for the reporting of disclosures of corrupt conduct, maladministration or substantial waste of public money by the University or its staff. The system enables such internal disclosures to be made to the disclosure coordinator or a nominated disclosure officer as an alternative to the Vice-Chancellor (Section 6 of the Internal Reporting Policy refers).

The University will take all reasonable steps to protect staff who make disclosures; staff who are witnesses or provide information; and staff who assess, investigate or determine the outcome of the disclosure from any detrimental action in reprisal for their involvement in the disclosure.

The University also has a responsibility to protect students who make disclosures in good faith from detrimental action including victimisation or unfair treatment.

Members of staff or students who are victims of retaliation or fear that they will be subject to retaliation should report their concerns to the University Complaints Manager.

17.      Prevention of complaints

The University deals with complaints directly, by trying to resolve the issues between the parties involved, and indirectly, by improving its systems, procedures or methods of communication so that complaints are less likely to arise.

Complaint data, which does not identify individuals, is collected, analysed and regularly reported in order to monitor response times and identify trends, indicators of University-wide issues and opportunities for improvement. The information collected is also valuable for regularly reviewing complaint processes to ensure that they are working properly and providing satisfactory outcomes.

The University Complaints Manager has the job of managing and overseeing the University’s complaints system, ensuring the prompt resolution of complaints, identifying the training needs of staff handling complaints and providing regular reports to the Deputy Vice-Chancellor (Academic) on the number, type and nature of complaints received, and through the Deputy Vice-Chancellor (Academic), an annual report to Council, through the University’s Planning and Performance Committee. The University Complaints Manager also identifies and investigates systemic problems that have or may give rise to complaints, and recommends organisational improvements.

18.      Development and Training

The University Complaints Manager will facilitate the provision of comprehensive complaints handling training to all Complaints Officers which will include training in:

• Aboriginal and Torres Strait Islander Cultural Awareness;
• Anti Discrimination Legislation and Practice;
• Disability Discrimination;
• Dispute Resolution;
• Equity and Diversity;
• Freedom of Information;
• Mediation;
• Privacy;
• Protected Disclosures;
• Workplace Agreements

and which will include a review of the University’s responsibilities under the following legislation:

• Anti-Discrimination Act 1977 (NSW);
• Child Protection (Prohibited Employment) Act 1998
• Crimes Act 1900 (NSW);
• Disability Discrimination Act 1992 (Commonwealth);
• Education Services for Overseas Students Act 2000 (Commonwealth)
• Education Services for Overseas Students National Code
• Freedom of Information Act 1989 (NSW);
• Health Records Information Privacy Act 2004 (NSW);
• Independent Commission Against Corruption Act 1988 (NSW);
• NSW Occupational Health and Safety Act 2000 (NSW);
• Occupational Health and Safety Regulation 2001 (NSW);
• Ombudsman Act 1974 (NSW)
• Privacy and Personal Information Protection Act 1998;
• Protected Disclosures Act 1994 (NSW);
• Public Finance and Audit Act 1983 (NSW);
• Racial Discrimination Act 1975 (Commonwealth);
• Sex Discrimination Act 1984 (Commonwealth); and
• The Equal Opportunity for Women in the Workplace Act 1999 (Commonwealth).

19.      Review

The complaint management process will be reviewed within the first two years of operation to ensure efficient delivery of effective outcomes, and thereafter, every three years.

Endnotes:

1. Appropriate arrangements will be in place to provide students who are covered by the provisions of the Education Services for Overseas Students (ESOS) Act 2000 with an independent complaint handing/dispute resolution process which is inexpensive, includes a translation/interpreter service and a nominee of the student, if required by the student, and allows for prompt resolution.
2. Where a complaint concerns matters of research the University Complaints Manager will refer the complaint to an Adviser in Research Integrity, nominated by the Research Committee of Academic Senate.

Based on the paper: Complaint Handling in NSW Universities NSW Ombudsman, 2004 and The Complaint Handler’s Toolkit  2nd Edition, NSW Ombudsman, 2004.