Staff Complaints Policy

1. Purpose

1.1 The Staff Complaints Policy (the policy) outlines how work-related complaints from staff and affiliates are reported, managed and, where possible, resolved at UTS.

1.2 This policy is supported by the Staff Complaints Resolution Procedure (the procedure).

2. Scope

2.1 This policy applies to all staff and affiliates (hereafter staff).

2.2 The provisions of the UTS Staff Agreement 2021 (available at Enterprise agreements) have been included as part of this policy and the procedure for consistency.

2.3 This policy does not apply to:

1. matters relating to the interpretation, application or operation of the enterprise agreements (including processes under the probation, misconduct or unsatisfactory performance provisions) or the National Employment Standards (NES)
2. work health and safety complaints or incidents, which should be referred directly to a supervisor and/or reported via the Hazard and Incident Reporting Online (HIRO) system (refer Reporting hazards and incidents and the Health, Safety and Wellbeing Policy)
3. performance management issues, misconduct or serious misconduct (refer relevant Enterprise agreement)
4. student complaints (refer Student Complaints Policy)
5. complaints or reports that are managed via an alternative university policy or process (for example, the Whistleblowing and Public Interest Disclosures Policy, the Child Protection Policy or the Sexual Harm Prevention and Response Policy)
6. complaints related to any controlled or associated entities of the university (refer individual entity for guidance).

3. Principles

3.1 The principles outlined in section 13 of the UTS Staff Agreement 2021 (the agreement) apply for this policy. These are as follows: 

1. UTS is committed to providing a productive, respectful and harmonious work environment but acknowledges that issues may arise from time to time. 
2. Complaints should be dealt with promptly and resolved as close to the source as possible, having regard to the seriousness and nature of the complaint. 
3. Complaints should be raised in a timely manner. Complaints that are raised more than 3 months after the issue occurred will be dealt with by the university in exceptional circumstances. 
4. Complaints will be managed sensitively and with appropriate confidentiality for the parties concerned. 
5. Staff involved in raising, responding to and managing a complaint should work constructively towards reaching a timely resolution of the issues, with minimal disruption to university operations. 
6. Complainants and respondents may be accompanied by a support person (refer Definitions) of their choice at any meeting where a complaint is to be discussed. 
7. Malicious or vexatious complaints are a waste of university resources and may be treated as a matter of misconduct in accordance with the relevant Enterprise agreement and/or the Code of Conduct. 
8. If a supervisor forms the opinion that the complaint is of a potentially criminal nature, then the complaint will be referred to the Executive Director, People and Culture (or nominee) who will determine whether the police should be notified (refer Breaches).

3.2 Complainants will be advised how confidentiality provisions relate to their complaint before its progression through the complaint management process. This will include an explanation of procedural fairness and how this interacts with confidentiality.

3.3 Anonymous complaints may be accepted and progressed by the university if sufficient information is provided in relation to where, when and what happened. However, it is noted that anonymity of either the complainant and/or the respondent may impact the extent to which a complaint can be fully investigated and/or resolved.

3.4 Supervisors are enabled to take reasonable management action (refer Definitions) as part of their line management responsibilities. A complaint against a supervisor that relates to reasonable management action will be referred to the supervisor’s supervisor in the first instance to assess if reasonable management action was carried out. The People Unit may provide advice on assessing and/or managing the complaint.

4. Policy statements

Behavioural expectations

4.1 Complaints are handled in an unbiased and fair manner, applying procedural fairness, equity principles and any legislative requirements. All parties involved in a complaint must:

1. take the complaint seriously, and engage in the complaint management process constructively and in good faith, with a clear aim to resolve the identified issues
2. act in a cooperative, professional and respectful manner to achieve a resolution abiding by the principles outlined in this policy, the Code of Conduct and the Equity, Inclusion and Respect Policy
3. maintain confidentiality by not discussing the issues and the processes involved in the complaint with others (except to obtain any necessary support or advice) and by not reporting a complaint to different units (refer Principles and the Privacy Policy), and
4. maintain confidentiality regarding the issues and the processes involved in the complaint by not discussing them with others (except to obtain any necessary support or advice)
5. identify and disclose any actual, perceived or potential conflict of interest that may impact the complaint resolution process (refer Conflicts of Interest Disclosure Policy).

Complaint management process

4.2 In alignment with the agreement, the procedure outlines the process for making a complaint. Supervisors, next-level supervisors and, where relevant, the People Unit must follow the processes outlined in the procedure.

4.3 Complaints may be raised directly with the Workplace Relations team in the People Unit with a request that the matter be managed confidentially (i.e. the person managing the complaint will be aware of the identity of the complainant but it will not be disclosed to the respondent). The university will consider any such request before deciding how to deal with the complaint.

4.4 Proposed resolutions will be fair and reasonable based on the evidence presented, recognising that not all complaints resolution outcomes or actions may be the preferred option for all parties involved.

4.5 Complainants or respondents may seek advice from their support person or union at any stage during the complaint management process. Complainants or respondents may bring a representative from their union as their support person to any meetings on the complaint management process.

Decision not to manage a complaint

4.6 Supervisors or the People Unit, following advice from relevant UTS staff, may determine not to manage or seek to resolve a complaint at any stage during the complaint management process, where, for example: 

1. the complaint has been identified as malicious, vexatious, frivolous or mischievous (and therefore a waste of university resources and may be referred as a matter of misconduct) 
2. it is determined there is insufficient information to allow a proper assessment or investigation to occur, and 
3. the complaint has been otherwise managed and addressed, including through an external or separate university process.

4.7 The complainant will be advised of the reason(s) for a decision not to manage a complaint.

External agencies

4.8 Supervisors or the complainant may, at any time, choose to take the complaint to an external agency, integrity agency or tribunal including but not limited to the NSW Ombudsman, Anti-Discrimination New South Wales, the Fair Work Commission and the Australian Human Rights Commission.

4.9 Where a referral to an external agency is made the complainant, respondent, supervisor or the People Unit (as appropriate) must be notified by the maker of the referral. This will allow UTS to determine how to proceed with the complaint internally (which may include continuing, temporarily suspending or ending the complaint management process) and to allow the complainant or respondent to seek necessary support (refer the procedure).

Withdrawing a complaint

4.10 Staff may withdraw their complaint at any time during the process. Staff who wish to withdraw a complaint must advise their supervisor and/or the People Unit in writing.

4.11 If a complaint is withdrawn, and it relates to behaviour or conduct that is considered inappropriate, unacceptable or potentially unlawful conduct, UTS may continue to act on the withdrawn complaint if appropriate or required by law.

Confidentiality and records management

4.12 Staff managing the complaint management process must keep full, accurate and secure records in line with the Records Management Policy and the Privacy Policy.

4.13 All documentation relating to a complaint will be confidential in line with the UTS Information Security Classification Standard (available at Records and archives hub: Information security (SharePoint)) and the Privacy Policy.

4.14 The People Unit will ensure data is collected in order to facilitate any required reporting on trends and outcomes. All data will be deidentified and managed in line with the Data Governance Policy.

Breaches

4.15 Breaches of this policy will be managed via the Code of Conduct or the relevant Enterprise agreements.

4.16 Data breaches will be managed in line with the Data Breach Policy.

5. Roles and responsibilities

5.1 Policy owner: The Executive Director, People and Culture is responsible for enforcement and compliance of this policy, the approval of university level procedures and the resolution of complaints referred to the People Unit as appropriate.

5.2 Policy contact: The Manager, Workplace Relations in the People Unit is responsible for the implementation of this policy, including the resolution of complaints referred to the People Unit (in consultation with the relevant UTS subject matter experts), the complaints portal and for providing advice on implementing the policy’s provisions.

5.3 Implementation and governance roles:

All supervisors and staff have a responsibility to contribute to a productive, safe and equitable work environment and must comply with this policy when making and managing complaints.

The Director, Equity, Diversity and Inclusion must be contacted for advice and support regarding equity-related complaints.

6. Definitions

The following definitions apply for this policy and all associated procedures. Definitions in the singular also include the plural meaning of the word.

Affiliate is defined in the Code of Conduct.

Complainant is defined in the UTS Staff Agreement 2021 as the staff member(s) raising the complaint (refer Enterprise agreements).

Complaint is defined in the UTS Staff Agreement 2021 (available at Enterprise agreements) as ‘any type of problem or concern where a staff member believes that they have received unreasonable treatment from the university or another staff member, and wishes to bring the complaint to the university for action or response. Differences of opinion and reasonable management action carried out in a reasonable manner are not grounds for complaint. A complaint does not relate to any interpersonal issues which do not relate to work-related matters’.

Data breach is defined in the Data Breach Policy. 

Integrity agency is defined in the Whistleblowing and Public Interest Disclosures Policy.

Procedural fairness means the fairness of a process that leads to a decision or outcome. Procedural fairness requires that the process is clear and unbiased and that all parties: 

1. are aware of and understand the process 
2. have the right to be heard and the opportunity to present their perspectives and offer supporting evidence before a decision is made, and 
3. may address any adverse determinations that may arise.

Reasonable management action means the normal activities undertaken by supervisors to help staff in their role, to improve their work or performance and to address normal workplace issues. Reasonable management action includes but is not limited to: 

1. delegating work or projects 
2. conducting performance reviews 
3. engaging with staff in relation to performance or conduct issues 
4. counselling or disciplining a staff member for misconduct (in accordance with any applicable enterprise agreement requirements), and/or 
5. requesting medical information or otherwise engaging with a staff member in relation to an illness or injury that is impacting on their work.

Resolution is defined in the Student Complaints Policy.

Respondent is defined in the UTS Staff Agreement 2021 as one or more people who are the subject of the complainant’s complaint (refer Enterprise agreements).

Supervisor is defined in the Code of Conduct.

Support person is defined in the UTS Staff Agreement 2021 as a person nominated by a staff member who provides 'support' to the staff member in the context of a university process (refer Enterprise agreements). 

Union is defined in the UTS Staff Agreement 2021 and means and refers to the CPSU, Community and Public Sector Union (SPSF Group), NSW Branch (CPSU NSW) and/or the NTEU, National Tertiary Education Industry Union.