• Why keep records?
• Record keeping procedures
• Content of Grievance Records
• Download Grievance Record Form
• Links to UTS Record Keeping Information

1. In accordance with UTS Records Management Policy, records must be kept for all grievances that require resolution according to UTS grievance handling policies, procedures and Enterprise Agreements.
2. Clear documentation assists managers to maintain transparent and fair decision-making processes.
3. UTS must comply with the State Records Act 1998 in relation to all official university business, including grievance handling. Grievance records must be kept for seven years from completion of the action.
4. In addition, UTS must be able to provide all information relevant to decisions made and actions taken should a grievance escalate to external agencies such as the Anti-Discrimination Board, the NSW Ombudsman, or the Independent Commission Against Corruption.

1. An Official File must be created for all grievances which are investigated by the Faculty / Unit.
2. The Official Grievance File must be registered in the area's Records Database.
3. The Official Grievance File must be kept in the Faculty / Unit in a secure and confidential location at all times. Other related working files may also operate in other parts of the university while the investigation is open. All unique information must be finally stored in the Official File.
4. When the case is closed, a Grievance File must be transferred to the appropriate secure location (normally Human Resources Unit for staff records, and Student Administration Unit for student records).

1. Case files must contain a transparent record of the activities, investigation and resolution of a grievance. They must contain all documentation relevant to the case including, but not limited to, reports, statements, records of interview, correspondence, emails, notes of meetings and phone conversations.
2. Particular care must be taken to ensure full documentation of the substance of, and reasons for, all decisions made in the course of the investigation.
3. All relevant and unique information should be filed on the Official File. This includes a hard copy of all relevant emails.
4. Once a written grievance is lodged, those involved must be informed that all email correspondence in relation to the matter will be considered official and will be filed.
5. Grievances may be lodged by email. However, grievants must clearly state they are lodging an official complaint for which they require action. If this is unclear, staff handling the matter should request the grievant to confirm the status of the concern they have raised.
6. Documents on a case file should be kept in date order.
7. The Privacy and Personal Information Act 1998 stipulates that only information relevant to the case is kept.
8. To ensure that natural justice is afforded, grievance records must not identify anyone named by the enquirer unless a written grievance is lodged. The exception to this is cases that involve alleged child abuse or corruption. These must be reported even if the grievance has been lodged verbally or anonymously.

For more detail on relevant policies, procedures and record keeping refer to:

UTS Records Management Policy and Procedures
UTS Policy on the Handling of Student Complaints
Policy on Management and Protection of Personal Student Information
UTS Policy on Handling Staff Grievances  (see 6.12)
UTS Supervisors' Guidelines on Handling Staff Grievances  (see 6.13)
UTS Guidelines on Staff Records  (see 7.9)