Staff Complaints Procedure
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Purpose | Scope | Principles | Procedure statements | Procedure owner and contact | Definitions | Approval information | Version history | References
1. Purpose
1.1 The Staff Complaints Procedure (the procedure) details the complaints management process in support of the Staff Complaints Policy (the policy). The procedure must be read in conjunction with the policy.
2. Scope
2.1 The scope of the policy applies for this procedure.
3. Principles
3.1 The principles outlined in the policy apply for this procedure. In addition, the following principles apply:
- Staff should be supported in using the dispute resolution and complaint management process as an opportunity to improve collaboration.
- UTS seeks to consider the wishes of the complainant when managing and resolving complaints, however, this may not be possible (for example, when a complaint involves allegedly unlawful behaviour or when UTS's duty of care may be compromised if no action is taken).
- Complainants have a right to procedural fairness and avenues of support (for example, specialist complaint handling areas and the Employee Assistance Program (EAP) (SharePoint)).
- The appropriate formal resolution process is determined by the staff complaints officer (SCO) in line with the principles and statements outlined in the policy and this procedure.
4. Procedure statements
Managing disagreements
4.1 It is understood that many complaints begin as minor work disagreements. Where this is the case, staff are supported in addressing these disagreements as early as possible locally in line with the behavioural expectations outlined in the policy.
4.2 Staff should raise any work-related disagreement or minor issues with the individual who is the subject of the disagreement. Further assistance for staff on how to address a disagreement before it becomes a complaint is available at Complaints portal: Assistance for staff (SharePoint).
When a disagreement becomes a complaint
4.3 Where managing the disagreement is not possible, staff should raise any work-related complaints or issues with their supervisor in writing. Supervisors must respond to the complaint as soon as is practicable, and at least within 10 working days of receiving the complaint, by meeting with the complainant.
4.4 Where a complaint is not resolved by meeting with their supervisor, and the staff member wishes to proceed with the complaint, the staff member must refer the written complaint to the next level supervisor within 10 working days of the first complaint meeting.
4.5 Where a complaint remains unresolved (following the steps outlined in statement 4.3 and 4.4), the written complaint may be referred to the People Unit via the Complaints portal (the portal) (SharePoint) for management by the SCO.
4.6 Staff may seek advice from the People Unit or the Centre for Social Justice and Inclusion (CSJI) at any point during the process.
4.7 Complainants and respondents have the right to be accompanied by a representative of their choice during all discussions related to the complaint (for example, a representative of the People Unit or other specialist complaint handling area). As this is not a legal process, the representative cannot be a barrister or solicitor in private practice.
Registering and acknowledging staff complaints
4.8 In managing a staff complaint lodged via the portal, the SCO will:
- record and maintain details of the complaint on an approved central database
- provide written acknowledgement to the complainant via email (unless another method is specifically requested and deemed appropriate)
- begin assessment of the complaint within 10 working days of receipt of the complaint
- notify the respondent as appropriate, and
- conduct an initial assessment and either resolve the complaint or refer the complaint to the most appropriate staff member for further management and resolution.
4.9 The SCO will normally refer the complaint to the appropriate staff member in closest proximity to the issue/event(s) giving rise to the complaint.
- In most cases, the respondent will be notified of the complaint, unless there is a prevailing reason not to do so (for example, if the complaint relates to harassment or there is concern for the wellbeing of the complainant or the respondent).
- Where a complaint cannot be forwarded directly to the respondent, the SCO will contact their supervisor.
4.10 Where the respondent is a member of the senior executive, the senior executive may request that the SCO also refer the complaint to the Executive Director, People and Culture or the Director, Equity, Diversity and Inclusion.
Informal and formal complaints resolution processes
4.11 When reviewing a complaint, the SCO and/or the complainant’s supervisor as appropriate is expected to consider the following to help determine whether the process is managed informally or formally:
- the seriousness, complexity and urgency of the issue(s)
- potential risks to the health and/or safety of the complainant or respondent
- whether an external agency is better placed to take care of the complaint
- how best to offer a timely resolution to the complaint, and
- how to ensure personal information of the complainant is not disclosed to any third party unnecessarily.
4.12 The SCO or supervisor may seek advice from the Centre for Social Justice and Inclusion and/or may refer the complainant to the EAP (SharePoint) for additional support during the triage process.
4.13 To progress a complaint to resolution, the SCO or supervisor may:
- seek further information from the complainant, respondent or a third party
- refer to relevant policies and procedures, and/or
- conduct research to inform an appropriate resolution in the circumstances of the complaint.
4.14 Informal resolution processes are normally used for role specific or interpersonal work-related issues and are managed by the supervisor in consultation with the complainant and the respondent.
4.15 An informal resolution process may take place on more than one occasion to reasonably reach a satisfactory resolution. It is normally when this process has reached an unsatisfactory conclusion, or more serious issues come to light, that a formal complaints process begins.
4.16 It is acknowledged that informal complaints resolution steps may not be suitable and a formal resolution process is required where:
- the complainant feels intimidated by the respondent
- the complaint relates to allegations of any harmful or unlawful behaviour (including, but not limited to, bullying, discrimination, or any other type of harassment, breach of confidentiality or issues relating to foreign interference), or
- the complaint relates to corruption or other illegal activities.
4.17 Complainants and respondents may meet with a mediator (the SCO, supervisor or other appropriate mediator) in person or online (for example, via video call or conferencing) to facilitate the resolution of their complaint.
4.18 For both informal and formal complaints resolution processes, both complainants and respondents will be given the opportunity to be accompanied and assisted by a support person (who must not be a legal representative).
Outcomes of the complaint resolution process
4.19 Potential outcomes of the complaint resolution process are outlined in the policy. In some instances, no further action will be taken in response to the complaint. This situation may occur where:
- the complaint cannot be substantiated
- inquiries or action were limited as the complaint was made anonymously
- all available resolution options have been rejected by the complainant.
4.20 A resolution to an informal complaint must be proposed within 20 working days of the acknowledgement of the complaint by the supervisor. A resolution to a formal complaint will take longer depending on the nature of the complaint and the resolution processes required. Staff will be informed of the outcome of their complaint and their rights for internal or external review by the SCO.
4.21 Requests for advice or information in relation to the progress of a complaint should be accommodated where possible.
Internal and external review of outcomes
4.22 Staff may request a review of the outcome of a formal or informal complaint resolution process in line with the policy.
4.23 UTS will take appropriate action in response to any recommendation resulting from a review and advise the complainant accordingly.
5. Procedure owner and contact
5.1 Procedure owner: The Executive Director, People and Culture is responsible for enforcement of, compliance with and approval of this procedure.
5.2 Procedure contact: The Director, Equity, Diversity and Inclusion, Centre for Social Justice and Inclusion and the Staff Complaints Officer (SCO), People Unit are responsible for the implementation of this procedure and act as points of contact for advice on implementing its provisions.
6. Definitions
The definitions outlined in the policy apply for this procedure.
Approval information
Procedure contacts | Director, Equity, Diversity and Inclusion Staff Complaints Officer |
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Approval authority | Executive Director, People and Culture |
Review date | 2024 |
File number | UR20/1795 |
Superseded documents | Handling Staff Grievances Policy (UR16/877) Resolving Staff Grievances – guidance for supervisors |
Version history
Version | Approved by | Approval date | Effective date | Sections modified |
---|---|---|---|---|
1.0 | Deputy Vice-Chancellor (Corporate Services) | 07/04/2021 | 08/04/2021 | New procedures. |
1.1 | Director, Governance Support Unit (Delegation 3.14.1) | 19/05/2021 | 17/06/2021 | Changes to reflect new organisational structure of the Centre for Social Justice and Inclusion. |
1.2 | Executive Director, Corporate Governance (Delegation 3.14.2) | 28/04/2022 | 28/04/2022 | Minor changes to reflect portfolio realignment under Fit for 2027 project. |
1.3 | Deputy Director, Corporate Governance (Delegation 3.14.2) | 07/11/2022 | 05/12/2022 | Minor change to reflect new position title of Executive Director, People and Culture. |
1.4 | Director, Governance Support Unit (Delegation 3.14.1) | 23/11/2022 | 20/12/2022 | Changes to reflect the new Sexual Harm Prevention and Response Policy. |
1.5 | Executive Director, People and Culture | 05/06/2023 | 07/06/2023 | Changes to align with the UTS Staff Agreement 2021. |