Content
Student Grievances and Appeals - Procedures and Guidelines for Staff
Parent policy: Student Grievances and Appeals – Governing Policy
Procedures number: G7,P1
Approval authority: Deputy Vice-Chancellor
Responsible officer: Deputy Vice-Chancellor
Designated officer: Director, Student Services
Date of approval: 31 October 2007
Date last amended: 8 December 2009
Effective starting date: 1 November 2007
Related documents: Student Conduct and Discipline – Governing Policy
Student Academic Misconduct – Academic Policy
Student Grievances and Appeals – Procedures and Guidelines for Students
Any procedures replaced by these procedures: Student Grievances and Appeals – Procedures and Guidelines
Contents
Preamble
This document contains advice, guidelines and procedures for addressing student grievances consistent with the principles and requirements in the “Student Grievance and Appeals – Governing Policy”. That policy should be read before any action is taken under these guidelines and procedures.
Definitions
Appeal means:
- a formal written request for reconsideration of a decision made by the University or any person or agent acting on behalf of the University and that is submitted to a person or body with authority to undertake that reconsideration within or on behalf of the University; or
- a formal written request for a ruling on the legitimacy of a decision made by the University or any person or agent acting on behalf of the University and that is submitted to an external body that has powers or authority to investigate and determine the legitimacy of the decision
Conciliator means a person trained in conciliation processes and who conducts conciliation between parties; the conciliator usually has knowledge of, and experience in dealing with, issues involved in the general area of a particular allegation or dispute (e.g. cases of alleged discrimination or harassment), can advise the parties on their rights and obligations, but does not make a decision or determination in relation to the allegation or dispute that is being conciliated
Conciliation means a process in which the parties to an allegation or dispute, with assistance from a conciliator, identify and discuss the allegation or disputed issues in order to develop options, consider alternatives and try to reach an outcome that is acceptable to all the parties
Corrective action means action, resulting from decisions reached in favour of or in support of a student through grievance or appeal processes, that must be taken by the University with respect to the particular student
De-identified information means information that excludes any personal information that could lead to identification of an individual
Dispute means:
- to disagree; or
- a disagreement
External appeal means a formal written request for a ruling on the legitimacy of a decision made by the University or any person or agent acting on behalf of the University and that is submitted to an external body that has powers or authority to investigate and determine the legitimacy of the decision
Formal process means a process for addressing a student’s grievance, dispute or appeal other than by “informal processes” (as defined later) and involving investigations and decisions being made in relation to the matter by an impartial and independent person or group of persons or body
Grievance means:
- an allegation of misconduct by a person other than a student ; or
- a complaint made or lodged by a student in relation to:
- any matter in the control of the University that affects the student in his/her capacity as a student or as a general member of the University community; or
- a decision made by the University or any person or body acting for, or on behalf of, the University that affects the student in his/her capacity as a student
Informal process means a process which involves direct discussion between a student complainant and a member of staff of the University, or internal mediation of a dispute, in relation to a student’s grievance with a view to reaching a settlement that is acceptable to the student and the University – the process cannot be followed where a student makes a written grievance
International student means a student or intending student who is not an Australian or New Zealand citizen and does not have Australian Permanent Residency status and who has entered into a current written agreement with the University of the Sunshine Coast to undertake a course or program of studies with the University
Investigating Officer means a senior member of staff appointed by the Deputy Vice-Chancellor to investigate a formal complaint
Local Responsible Officer means a Head of School or Dean of Faculty or Manager or Director of the area with responsibility for the circumstances that gave rise to the grievance
Mediation means processes that are designed to resolve a dispute by bringing together the people involved in the dispute to talk over their differences to try to reach a mutually acceptable resolution or settlement of the dispute; the processes are organised and facilitated by persons who are trained and experienced in dispute resolution and independent of the people involved in the dispute
Mediator means a person who organises and conducts mediation with respect to a grievance
Notification means the official notice provided to a student or provisional student (defined later) of the outcome of the student’s grievance or appeal, including any related decisions and the date from which the decisions take effect
Preventative action means action, resulting from decisions reached in favour of, or in support of, a student through grievance or appeal processes, that needs to be taken by the University in future to ensure quality or compliance in relation to specific matters
Respondent means a person or persons or body concerning whose actions or omissions or decisions a student has a grievance
Responsible Officer means a course or program co-ordinator, Head of School, Dean of Faculty, Student Counsellor, Manager or Director or other person identified by the Deputy Vice-Chancellor as having authority to attempt to resolve a student’s grievance through informal processes
Student means for the purposes of these procedures:
- a person who is currently enrolled in a degree program by the University, or a program offered by or through USC International or in a transition program or transition course offered by the University;
- an intending international student who has entered into a current written agreement with the University
Support person means a person other than a legal practitioner or a member of staff of the University identified by a student to accompany and assist the student in any meetings, hearings or interviews related to a student’s grievance or appeal
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Guidelines
Principles and approach to student grievances and appeals
The broad principles and approach to student grievances and appeals at the University are provided in the University’s “Student Grievance and Appeals – Governing Policy”.
The policy provides for three broad levels of grievance-handling and explains the differences between the levels:
- at an informal level within the University
- at a formal level within the University
- at a formal level beyond the University.
Students are able to access processes at any of the three levels and may access processes at more than one level.
Types of grievances and appeals
There are different types of grievances and appeals and these can relate to:
- Academic matters – for example, matters or decisions concerning academic progress, assessment, the content and structure of courses and programs, teaching, supervision of research students
- Administrative matters – for example, issues related to University facilities and resources, actions or decisions taken by staff or areas in applying non-academic University rules, policies and procedures
- Misbehaviour and misconduct – for example, unfair treatment, discrimination, harassment.
There are also different processes for different types of grievance and appeal. Processes for the following matters are not covered by the procedures in this document but are covered by the policies or procedures listed for that particular type of grievance/appeal:
- Admission to courses or programs (other than English Language Programs offered by USC International) – refer to the Admissions – Academic Policy
- Animal Ethics Committee – refer to Procedures for determining and acting on non-compliance with the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes
- Assessment in courses and programs (other than English Language Programs offered by USC International) – refer to the Assessment: Courses and Coursework programs – Academic Policy.
- Disciplinary action – for appeals against disciplinary decisions made under the Student Conduct and Discipline - Governing Policy refer to that Policy
- Enrolment in courses and programs (other than English Language Programs offered by USC International) – refer to the Academic Progress and Exclusion – Academic Policy
- Exclusion from a program (other than an English Language Program offered by USC International) – refer to the Academic Progress and Exclusion – Academic Policy or, in the case of exclusion on grounds of misconduct refer to the Student Conduct and Discipline - Governing Policy
- Human Research Ethics Committee – refer to the Research Misconduct Statement - Governing Policy
- Misconduct by a student – refer to the Student Academic Misconduct – Academic Policy
- Progress in a program (other than an English Language Program offered by USC International) – refer to the Academic Progress and Exclusion – Academic Policy
- Unsatisfactory performance in a program (other than an English Language Program offered by USC International) – Academic Progress and Exclusion – Academic Policy
- Other research higher degree matters – refer to the Research Masters Degrees Academic Policy and the Doctoral Degrees Academic Policy
All other types of grievance or appeal are covered under the procedures in this document, including student grievances related to alleged discrimination and harassment.
Discrimination and harassment: Where a student has reason to believe that he or she has been subject to harassment or has been discriminated against on the grounds of the student’s gender, marital status, sexual preference, ethnicity, physical state or capacities, political or religious or cultural belief or activity, or similar grounds that relate to a personal attribute of that student, the student may lodge a grievance under the procedures that follow.
If a student’s grievance or allegation of harassment or discrimination is not resolved to the student’s satisfaction through any informal processes, then the next stage of the grievance-handling processes is usually a formal conciliation process.
Advising students who propose to initiate a grievance or appeal
Before initiating action to lodge a grievance or appeal, students are encouraged to:
- seek confidential advice from Student Services, or USC International if they are international students, or another trusted source, so that they are aware of:
- the most appropriate processes for addressing their concern under relevant policies or procedures
- the need to present the concern or situation clearly and factually when lodging any grievance or appeal
- the implications of matters such as evidence, corroboration, confidentiality, information privacy and defamation, where these are relevant
- follow informal processes for grievance-handling before lodging any grievance under formal processes, where this is appropriate
- pursue other formal grievance-handling processes before lodging an internal appeal, where this is appropriate
- lodge an internal appeal before lodging any grievance or appeal with an external body.
Where several students have the same grievance
If several students have the same grievance, those students may act as a group in following informal grievance-handling processes as described in this document but each student must act individually if formal processes are to be followed: The formal processes do not provide for a grievance or appeal to be lodged by a group of students – each student will be required to lodge his/her own written formal grievance or appeal.
Student support person
A student has the right to be accompanied and assisted by a support person in any interview, meeting or hearing related to the student’s grievance or appeal, and the student should advise the person/s arranging the interview, meeting or hearing of the name of any support person who will accompany the student.
The support person cannot be a legal practitioner; and, except when informal processes are followed, the support person cannot be a member of staff of the University.
Informal processes
Informal processes must not be followed if a student has lodged a grievance in writing.
The University will be in breach of several external compliance requirements if informal processes are followed when a written grievance has been received.
Because informal processes are just that – “informal” – no official written record should be made or kept in relation to a grievance that is being addressed through informal processes except in the case of written agreements entered into by parties to any mediation, or a report received from an independent conciliator advising that conciliation did or did not result in an outcome acceptable to all parties, or unless required by these procedures in order to ensure the impartiality of any subsequent formal grievance or appeal processes.
Mediation and conciliation of a grievance
Mediation and conciliation processes entail discussions and negotiations involving the student and other persons in trying to reach a mutually acceptable resolution of the student’s grievance. In these processes the people involved either reach an agreed outcome or do not reach an agreed outcome; there is no one person or body who makes a decision in relation to the grievance.
Usually, where agreement is reached through mediation the student and the other persons involved sign an agreement that documents the agreed outcome. If agreement is not reached through mediation the student may choose to follow other grievance-handling processes.
Usually, if conciliation processes are followed there is no written agreement concerning any outcome and the independent person conducting the conciliation advises the University only whether the issue was resolved or was not resolved to the satisfaction of the parties involved. No details of the issue discussed in the conciliation are recorded.
Anonymous grievances
For reasons of natural justice, anonymous grievances or complaints cannot be considered under the procedures that follow. However, if a student has reasonable grounds to believe that a person acting for, or on behalf of, or in a role associated with, the University has behaved in a way that is unlawful or prejudicial to the University or that endangers a member of the University community, the student may bring that matter to the confidential attention of a Head of School, Dean of Faculty, or Manager or Director of an administrative or service area. Further inquiry into allegations will be made if the issues raised are serious and sufficient information is provided.
Compliance obligations
Many of the elements in the following procedures are required for compliance with Commonwealth or State legislation and codes of practice or for registration and accreditation of the University by statutory authorities. Other elements are required under documents to which the University is a signatory or which are used by Commonwealth and State governments and their agencies as external reference points for judging the quality of the University.
In that context, there are significant implications for the University and persons acting for or on behalf of the University under the “Student Grievance and Appeals – Governing Policy” and the associated procedures.
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Procedures for persons other than students
1. Informal grievance-handling processes
[Note: Informal processes cannot be followed if a student has lodged a grievance in writing. Once a grievance has been put in writing and submitted to any staff member or area of operations it must be dealt with according to formal grievance processes. Any grievance submitted in writing to any staff member or area of operations of the University must be referred immediately to the relevant Head of School, Dean of Faculty, Manager or Director where the grievance concerns a matter able to be addressed at the local level or to the Director, Student Services in all other cases, and the student must be advised of this.]
1.1 Where a student/s requests an appointment with a person (usually a member of staff) in relation to a grievance concerning a decision made by that person or in relation to something that the person has or has not done that has aggrieved the student/s, within 10 days of the student/s making contact an appointment will be arranged in order to discuss the matter and to try to reach a mutually acceptable resolution of the matter.
1.2 Where a student/s requests an appointment with a staff member (other than a person in 1.1 above) in relation to a grievance, the staff member will, within 10 days of the student/s making contact, meet with the student/s to listen to the grievance; and
(a) if the staff member is not a Responsible Officer (refer to definitions), refer the student/s to a Responsible Officer; or
(b) if the staff member is a Responsible Officer with the requisite authority to consider and act on a grievance of the type held by the student/s, discuss the matter and, if appropriate, initiate action consistent with 1.3 below.
1.3 Responsible Officer role
1.3.1 Where a student/s requests an appointment with a Responsible Officer in relation to a grievance, the Officer will make an appointment with the student/s, within 10 days of the student/s making contact, to discuss the matter and the options for further action with respect to the grievance.
1.3.2 The options open to a Responsible Officer will be:
(a) to act as a facilitator in trying to seek a resolution of the grievance that would be mutually acceptable to the student/s and any respondent/s; or
(b) issue an instruction in relation to the grievance, provided that the Officer has defensible grounds and the authority to issue such an instruction.
1.3.3 Before acting under 1.3.2 (b) above, a Responsible Officer should check the Grievance Precedents Register in order to act consistently with any decisions made in like circumstances.
1.3.4 Where instructions will be issued under 1.3.2 (b) above, the Responsible Officer will orally advise the student/s and respondent/s of those instructions by no later than five (5) working days of the decision to issue the instructions.
1.3.5 No official University record may be made or kept in a relation to a grievance addressed through informal processes other than information related to informal processes which is subsequently obtained in order to ensure the impartiality of any subsequent formal grievance processes in relation to the grievance [refer to items 2.3 (b) (iv), 2.7 (b) (iii), 2.9 (b) (ii), 2.9 (c) (ii), 2.9 (d) (ii) and 3.3 (a)].
2. Formal grievance-handling processes
2.1 There are two pathways open to a student who wishes to pursue formal processes for addressing a grievance within the University, and the student may pursue either or both pathways depending on the nature of the grievance:
(a) local level grievance – the student lodges a written grievance with the Head of School, Dean of Faculty, Manager or Director of the area with responsibility for the circumstances that gave rise to the grievance (the Local Responsible Officer);
(b) higher level grievance – the student lodges the written grievance with the Director, Student Services.
2.2 Where a student’s grievance arises in response to an official notification informing the student of a decision of the University that affects the student, the written grievance is a higher level grievance and must be lodged with the Director, Student Services.
Local level grievance
2.3 A Local Responsible Officer will, within five (5) working days of receipt of a written grievance lodged by a student:
(a) provide the student with a written acknowledgement of receipt of the grievance;
(b) contact the student to:
(i) advise of any alternative process that applies to, or must be followed with respect to, the particular type of grievance under these procedures or any other University policy or related procedures; or
(ii) advise of any referral of the grievance to the Director, Student Services as a grievance that needs to be dealt with beyond the local level; or
(iii) obtain any clarification needed in relation to the grievance; and
(iv) where the grievance is appropriate for handling by the Local Responsible Officer under the Student Grievances and Appeals - Governing Policy and these procedures, ascertain whether any prior informal grievance processes were followed in relation to the grievance.
(c) make, sign and date file notes of any advice or information given to or received from the student.
2.4 The Local Responsible Officer will, in the case of referral of the grievance to the Director, Student Services, forward the written grievance together with the file notes.
2.5 The Local Responsible Officer will, where the grievance may be handled as a local level grievance under these procedures, within 10 working days of receipt of the written grievance:
(a) make an appointment to discuss the matter with the student and advise the student that he or she is entitled to be accompanied and assisted by a support person in presenting his or her case at that meeting; or
(b) advise the student in writing of any corrective action to be taken immediately to address the student’s grievance; or
(c) advise in writing that, in the Responsible Officer’s view, there are no grounds for the grievance owing to a specific approved and documented University policy or procedure having been followed in relation to the matter but that the student has the right to lodge a higher level grievance or appeal with the Director, Student Services in relation to the matter; and
(d) create a confidential working file on the grievance and place on that file the original signed grievance, a copy of the acknowledgement, any file notes and a copy of any written communications with the student; and
(e) if the student is an international student, advise the Pro Vice-Chancellor (International and Quality) that the specific student has lodged a grievance, without revealing details of the grievance.
2.6 The Local Responsible Officer will:
(a) advise any respondent/s to the grievance of the general substance and circumstances of the grievance;
(b) interview the student, any respondent/s and any other parties relevant to the grievance as soon as possible;
(c) assess any evidence provided by the student, respondent/s and other parties;
(d) review the Grievance Precedents Register to act consistently with any decisions made in like circumstances;
(e) make a decision in relation to the grievance;
(f) separately inform the student and any respondent/s in writing of his/her decision in relation to resolution of the grievance and the reasons for that decision;
(g) advise the student of his/her right to lodge a higher level grievance or an internal or external appeal concerning the decision and how to access information on the processes for lodging such a grievance or appeal;
(h) place all documentation relevant to the grievance, the decision and advice to the student and any respondent/s on the working file;
(i) enter de-identified summary data concerning the grievance in the Grievance Precedents Register;
(j) seal the working file, label it with the student’s identification number and as ”Strictly Confidential” and forward the working file on the grievance to Student Administration (or USC International where appropriate in the case of an international student) for incorporation as a sealed record within the student’s confidential file; and
(k) advise the Pro Vice-Chancellor (International and Quality) of any decision or outcome made in relation to an international student that may have implications for the student’s visa.
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Higher level grievance
2.7 The Director, Student Services will, within five (5) working days of receipt of a written grievance lodged by a student:
(a) provide the student with a written acknowledgement of receipt of the grievance;
(b) contact the student to:
(i) advise of any alternative process that applies to, or must be followed with respect to, the particular type of grievance under any other University policy or a set of Rules or related procedures; or
(ii) obtain any clarification needed in relation to the grievance; and
(iii) where the grievance is eligible to be processed under the Student Grievances and Appeals - Governing Policy and these procedures, ascertain whether any prior informal grievance processes were followed in relation to the grievance and, if so, the names of the persons involved in those processes.
2.8 The Director, Student Services will, where the grievance may be handled under these procedures, within 10 working days of receipt of the written grievance and, where the grievance may be handled under these procedures, take the actions below:
(a) make file notes of any advice or information given to or received from the student;
(b) create a confidential working file on the grievance and place the original signed grievance, a copy of the acknowledgement, and any file notes on that file;
(c) forward the confidential working file to the Deputy Vice-Chancellor together with a request or recommendation for the Deputy Vice-Chancellor to take action under 2.9 (a), 2.9 (b), 2.9 (c), 2.9 (d) or 2.9 (e) below in relation to the grievance; and
(d) if the student is an international student, advise the Pro Vice-Chancellor (International and Quality) that the specific student has lodged a grievance, without revealing details of the grievance.
2.9 The Deputy Vice-Chancellor, within five (5) days of receipt of the file, and depending on the nature or substance of the grievance, will:
(a) request or direct that a review of a decision made by any person or body in the University be undertaken as a matter of priority; or
(b) identify and appoint an investigating officer or body for the grievance who/that will be:
(i) a person or body with no personal/collective interest or involvement in relation to matters which are the substance of the grievance; and
(ii) a person or body with no involvement in any previous informal processes in relation to the grievance; or
(c) in the case of a grievance that may lend itself to a mediated outcome, and subject to the agreement of the student and any respondent/s, identify and appoint a trained internal or external mediator in relation to the substance of the grievance who will be:
(i) a person or body with no personal/collective interest or involvement in relation to the specific matters which are the substance of the allegation; and
(ii) a person or body with no involvement in any previous informal processes in relation to the matter; or
(d) in the case of an allegation of harassment or discrimination, and subject to the agreement of the student and any respondent/s, identify and appoint a trained internal or external conciliator in relation to the substance of the grievance who will be:
(i) a person or body with no personal/collective interest or involvement in relation to the specific matters which are the substance of the allegation; and
(ii) a person or body with no involvement in any previous informal processes in relation to the matter; or
(e) in light of any previous grievance resolution processes in relation to the particular grievance, decide to advise the student to lodge an internal or external appeal in relation to the matter in order to expedite a final decision on the matter; and
(f) advise the student in writing of the process to be adopted for consideration of the grievance and:
(i) where a review of decision will be instituted, advise the student that should the review of decision result in no change to the decision that gave rise to the grievance then the student may lodge an appeal against the decision;
(ii) where mediation or conciliation will be initiated, advise the student that in the event that a satisfactory resolution of the grievance is not reached through mediation or conciliation then the student may request, through the Director, Student Services, that formal investigation processes [under 2.9 (b) above] be implemented; and
(g) place on the file written documentation concerning action taken under the above items and on any appointment of an investigating officer or body or mediator or conciliator; and
(h) retain the file in the event of action taken under 2.9 (a) or return the file to the Director, Student Services in the case of action taken under 2.9 (b) or 2.9 (c) or
2.9 (d) or 2.9 (e).
2.10 Review of decision
2.10.1 A person or body who/that has been requested or directed to review a decision will advise the Deputy Vice-Chancellor in writing of the result of that review, and the reasons for that result, within two (2) working days of completion of that review.
2.10.2 The Deputy Vice-Chancellor, within five (5) working days of receiving the result of a review of decision, will:
(a) advise the student in writing:
(i) of the result of the review and the reason for that result; and
(ii) that if the student believes that the review has not resolved the grievance to the student’s satisfaction then the student may lodge an appeal against the decision; and
(iii) how to access information on the processes for lodging such an appeal;
(b) place on the file all written documentation related to action and decisions in relation to the review of decision; and
(c) immediately return the file to the Director, Student Services.
2.10.3 The Director, Student Services will:
(a) arrange for entry of de-identified summary data concerning the grievance in the Grievance Precedents Register;
(b) forward the working file on the grievance to Student Administration (or USC International where appropriate in the case of an international student) for incorporation as a sealed record within the student’s confidential file; and
(c) advise the Pro Vice-Chancellor (International and Development) of any decision or outcome made in relation to an international student that may have implications for the student’s visa.
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2.11 Formal investigation
2.11.1 The Director, Student Services, where a formal investigation is to be initiated, will:
(a) advise the student in writing that an investigation concerning the grievance has commenced, that there will be further communication with the student concerning or during the process, and that the student may be accompanied or assisted by a support person in any interviews or meetings to be held in connection with the investigation;
(b) place a copy of the documentation provided to the student on the working file; and
(c) provide the investigator/s identified by the Deputy Vice-Chancellor with the working file and a set of guidelines and instructions on the conduct of student grievance investigations.
2.11.2 Investigators will follow any guidelines or instructions in relation to the conduct of student grievance investigations, and must:
(a) advise any respondent/s to the grievance of the general substance and circumstances of the grievance;
(b) interview the student, any respondent/s and any other parties relevant to the grievance as soon as possible;
(c) assess any evidence provided by the student, respondent/s and other parties;
(d) review the Grievance Precedents Register to act consistently with any decisions made in like;
(e) provide a written report to the Deputy Vice-Chancellor concerning the grievance, including recommendation/s on measures to be taken to resolve the grievance and reasons for those recommendations;
(f) place all documentation relevant to the investigation on the working file; and
(g) immediately forward the file, including the report, to the Deputy Vice-Chancellor.
2.11.3 The Deputy Vice-Chancellor, within five (5) working days of receiving a grievance investigation report, will:
(a) make a decision in relation to the recommendation/s in the report, including in light of any information on precedents;
(b) separately inform the student and any respondent/s in writing of his/her decision in relation to resolution of the grievance and the reasons for that decision;
(c) advise the student of his/her right to lodge an internal or external appeal concerning the decision and how to access information on the processes for lodging such an appeal;
(d) place documentation related to the decision and advice to the student on the working file; and
(e) forward the working file to the Director, Student Services.
2.11.4 The Director, Student Services will:
(a) arrange for entry of de-identified summary data concerning the grievance in the Grievance Precedents Register;
(b) forward the working file on the grievance to Student Administration (or USC International where appropriate in the case of an international student) for incorporation as a sealed record within the student’s confidential file; and
(c) advise the Pro Vice-Chancellor (International and Quality) of any decision or outcome made in relation to an international student that may have implications for the student’s visa.
2.12 Mediation or Conciliation
2.12.1 The Director, Student Services, where mediation or conciliation is to be initiated, will:
(a) advise the student in writing that mediation or conciliation concerning the grievance will be arranged, that there will be further communication with the complainant concerning arrangements for the process, and that the student may be accompanied or assisted by a support person in any mediation or conciliation meetings;
(b) place a copy of the documentation provided to the student on the working file; and
(c) advise any mediator that, on conclusion of the mediation, a copy of any signed agreement reached between the parties to the mediation is to be provided to the Deputy Vice-Chancellor or, where agreement could not be reached, a mediator’s report is to be provided to the Deputy Vice-Chancellor to the effect that the matter was not resolved to the satisfaction of all parties; or
(d) advise any conciliator that, on conclusion of conciliation, a conciliator’s report is to be provided to the Deputy Vice-Chancellor on whether the issue was or was not resolved to the satisfaction of all parties.
2.12.2 The mediator or conciliator will conduct the mediation or conciliation and, on completion of the process, forward to the Deputy Vice-Chancellor, through the Director, Student Services, a copy of any signed mediation agreement or the mediator’s or conciliator’s report.
2.12.3 The Director, Student Services will place the agreement or report on the working file and forward the file to the Deputy Vice-Chancellor.
2.12.4 The Deputy Vice-Chancellor, within five (5) working days of receiving the working file, will determine whether to advise the student:
(a) that the grievance appears to have been satisfactorily addressed through mediation or conciliation and that it is proposed that no further action be taken by the University with respect to the particular grievance; or
(b) that the grievance appears not to have been addressed to the student’s satisfaction through mediation or conciliation and the student may request that a formal investigation be commenced in relation to the grievance or the student may take the matter up with an appropriate external body; and
(c) where appropriate, of information concerning external bodies which the student may access in relation to the grievance.
2.12.5 The Deputy Vice-Chancellor will place of copy of the written advice to the student on the working file and forward the file to the Director, Student Services.
2.12.6 The Director, Student Services will
(a) arrange for entry of de-identified summary data concerning the grievance into the relevant Grievance Precedents Register; and
(b) forward the working file on the grievance to Student Administration (or USC International where appropriate in the case of an international student) for incorporation as a sealed record within the student’s confidential file.
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3. Formal processes for internal appeals
3.1 The Director, Student Services, within five (5) working days of the lodgement of a written appeal from a student, will:
(a) provide the student with a written acknowledgement of lodgement of the appeal;
(b) contact the student to:
(i) advise of any alternative process that applies to, or must be followed with respect to, the particular type of appeal under any specific University policy or set of Rules or related procedures; or
(ii) obtain any clarification needed in relation to the nature and substance of the student’s appeal; and
(iii) where the appeal is eligible to be processed under the Student Grievances and Appeals - Governing Policy and these procedures, ascertain whether any prior informal grievance processes were followed in relation to the substance of the appeal and, if so, the names of the persons involved in those processes.
3.2 The Director, Student Services, will, where the appeal may be handled under these procedures, take the actions in (a) to (e) below:
(a) make file notes of any advice or information given to or received from the student;
(b) review the student’s confidential student file to ascertain whether any member of the Student Grievance Appeals Committee has been involved in any previous processes in relation to the subject matter of the appeal, and make a file note on the finding;
(c) create a confidential working file on the appeal and place the student’s written appeal document, a copy of the acknowledgement, and any file note made under (a) or (b) above on that file;
(d) forward the confidential working file to the Vice-Chancellor and President together with a request for appointment of members to a Student Grievance Appeals Committee from the expressions of interest pool; and
(e) if the student is an international student, advise the Pro Vice-Chancellor (International and Quality) that the specific student has lodged an appeal, without revealing the details of the appeal.
3.3 The Vice-Chancellor and President, within three (3) days of receipt of the file, will:
(a) identify and appoint members, and a Secretary, to the Student Grievance Appeals Committee (refer to Student Grievances and Appeals – Governing Policy);
(b) place written documentation concerning the action taken under item (a) on the file; and
(c) return the file to the Director, Student Services.
3.4 The secretary to the Student Grievance Appeals Committee, will follow the Committee’s procedures in initiating and organising the appeal, including liaising with the student, and documenting the appeal process and outcomes.
3.5 The Student Grievance Appeals Committee will hear the appeal according to the following procedures which will include that the Committee:
(a) disqualify any member of the Student Grievance Appeals Committee who has been involved in any previous informal or formal grievance-handling in relation to the substantive matters connected with a student’s appeal;
(b) consider all relevant material related to the student’s appeal;
(c) interview the student, any respondent/s and any other parties relevant to the appeal, subject to their agreement to be interviewed;
(d) allow the student to be accompanied and assisted by a support person in any appeal hearing;
(e) make a determination with respect to the appeal that may be either to dismiss the appeal or to find wholly or partly in the student’s favour;
(f) provide reasons for making that determination, including in the light of any precedents;
(g) detail any corrective or preventative actions that the University is required to take in consequence of any determination;
(h) make any recommendations related to or arising from the appeal; and
(i) within five (5) days of completion of the appeal advise the Vice-Chancellor and President in writing of the determination, reasons for the determination, any corrective or preventative actions that the University is required to take, and any recommendations.
3.6 The Secretary of the Committee, within five (5) working days of conclusion of the Committee’s hearing of the appeal, will:
(a) place on the working file all documentation related to the Committee’s conduct of the appeal, including written advice to the Vice-Chancellor and President of the Committee’s determination, reasons for the determination, any corrective or preventative actions that the University is required to take, and any recommendations; and
(b) forward the file to the Vice-Chancellor and President.
3.7 The Vice-Chancellor and President, within five (5) working days of receipt of information related to the outcome of an appeal heard by the Committee, will:
(a) provide written advice to the student, any respondent/s, and other relevant parties involved or affected of:
(i) the Committee’s determination;
(ii) the reasons for the determination;
(iii) any corrective or preventative actions that the University is required to take; and
(iv) in the case of the student concerned, the possibilities for external mediation or avenues for external appeal in relation to the matter if the student is not satisfied with the outcome;
(b) place copies of the above documentation on the working file; and
(c) forward the file to the Director, Student Services.
3.8 The Director, Student Services will, on completion of any appeal process:
(a) enter de-identified summary information in relation to the appeal in the Grievance Precedents Register;
(b) forward the working file on the appeal to Student Administration (or USC International where appropriate in the case of an international student) for incorporation as a sealed record within the student’s confidential file; and
(c) advise the Pro Vice-Chancellor (International and Quality) of any decision or outcome made in relation to an appeal by an international student that may have implications for the student’s visa.
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4. External mediation or appeal processes
4.1 External mediation
4.1.1 The Director, Student Services, on receipt of a written request from a student for the University to arrange independent external mediation following a formal internal appeal process, will:
(a) make a judgement whether it is appropriate to accede to the student’s request in light of the knowledge that external mediation is not appropriate in situations where a dispute revolves around whether or not the University has followed its own rules, policies and procedures;
(b) within five (5) working days of receipt of the request –
(i) advise the student in writing whether the University will or will not arrange for independent mediation; and
(ii) if the student is an international student, advise the Student Services Co ordinator, International Relations of any external mediation to be arranged in relation to that student; and
(c) where external mediation will be arranged, take the actions following.
4.1.2 The Director, Student Services will liaise with an appropriate external mediation service , the student and any respondent/s in relation to the mediation.
4.1.3 The external mediator will conduct the mediation and provide the Director, Student Services with a copy of any mediation agreement reached between the parties or written advice that the dispute was not resolved to the satisfaction of all parties.
4.1.4 The Director, Student Services will on receipt of written documentation from the mediator:
(a) advise the Vice-Chancellor and President of the outcome of the mediation; and
(b) if the mediation concerned an international student, advise the Pro Vice-Chancellor (International and Development) of the outcome of the mediation.
4.1.5 The Vice-Chancellor and President will initiate processes to implement any actions to be taken by the University in order to honour any agreement reached in the mediation.
4.1.6 The Director, Student Services will:
(a) arrange for documentation relevant to the mediation process and any actions taken in consequence to be placed on the student’s confidential file in Student Administration (or USC International in the case of English Language Program students); and
(b) enter de-identified summary information in relation to the mediation in the Grievance Precedents Register.
4.2 External appeal
4.2.1 Students will be provided with access to information concerning their rights to lodge an appeal with an appropriate external body and the names and contact details of such bodies.
(Information on different external bodies with whom a student may lodge an external appeal is provided as an attachment to the Student Grievances and Appeals – Procedures and Guidelines for Students.)
4.2.2 An international student who holds a current student visa and who lodges an external appeal following internal grievance processes or an internal appeal will be advised that the student must, within 28 days of notification of the outcome of the relevant internal grievance or appeal process, provide the Australian Department of Immigration and Citizenship (or any successor department) with evidence of having accessed an external appeals process.
4.2.3 The Student Services Co-ordinator, International Relations, where provided with evidence of an international student having lodged an external appeal, will advise the Director, Student Services that the student concerned has lodged an external appeal.
4.2.4 The Director, Student Services, following receipt of advice of any student having lodged an external appeal, will liaise with appropriate University personnel in order to ensure that:
(a) a record of the outcome of the external appeal is placed on the student’s confidential file; and
(b) summary details of the appeal are entered in the Grievance Precedents Register.
4.2.5 The Vice-Chancellor and President will initiate processes to implement any actions to be taken by the University as a result of any findings by an external appeal body.
5. Access to official student files in relation to student grievances and appeals
5.1 The Vice-Chancellor and President, Deputy Vice-Chancellor and the Director, Student Services have authority to access any records relating to student grievances or appeals that are held on official confidential student files provided that the access is required for the purpose of progressing or finalising a student’s grievance or appeal, entering summary data on the Grievance Precedents Register or monitoring or reviewing student grievance and appeals processes and practices within the University.
5.2 The Vice-Chancellor and President or the Deputy Vice-Chancellor may authorise an employee of the University to access a record relating to a specific student grievance or appeal held on an official confidential student file provided that the Vice-Chancellor and President or Deputy Vice-Chancellor is satisfied that the access is necessary in order to progress, finalise or implement any actions arising from a student’s grievance or appeal.
5.3 Each time an authorised person accesses a confidential record related to a student grievance or appeal on an official confidential student file, the person will:
(a) annotate the file to record the date on which the record was accessed, by whom it was accessed and for what purpose; and
(b) if the confidential record was sealed prior to that access, reseal the record.
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