Notwithstanding the procedures detailed below, the Vice-Chancellor may authorise an alternate process for managing student concerns which will be not be inconsistent with the related policy, to suit individual circumstances.
1. INTRODUCTION
1.1. This procedure covers adverse decisions or actions relating to an enrolled student’s experience at the University, including complaints of discrimination, harassment or serious grievances, other than those addressed in a Statute, Rule, Order, policy or procedure of the University with its own complaint and appeal mechanisms, for example:
- fees,
- academic performance,
- discipline,
- library and IT access.
1.2. Where a complaint concerns an enrolled student who is also employed as a staff member of the University and a process is instituted in good faith under the student resolution policy, that process will be continued.
1.3. A student may refer a matter to an external review body at any time. The University may suspend or cease an internal review of a complaint if an external review is conducted.
2. THE FIRST STAGE: INFORMAL RESOLUTION PROCESS
2.1 Before initiating the formal resolution procedures, students should try to resolve the complaint directly with the person/s concerned wherever possible.
2.2 Students are strongly encouraged to seek advice about how to resolve their complaint. The Dean of Students is available to advise and assist all students who are experiencing difficulties at the University. The Dean of students can mediate between the parties involved where appropriate. ANU College sub-Deans or student advisers or other student support staff may also provide assistance in clarifying the nature of the complaint and in identifying the appropriate responsible officer.
2.3 Students may also seek advice from the ANU Students Association or the Postgraduate and Research Students Association. These Associations can advocate on a student’s behalf, both during this informal stage and during the more formal stages of complaint resolution. Where appropriate, students may consult staff of the Counselling Centre, the Disability Services Unit, or the International Education Office.
2.4 If this informal approach is not successful, or appropriate under the circumstances, the student may consider lodging a formal complaint.
3. LODGEMENT OF FORMAL COMPLAINT
3.1 Where the student has not been able to successfully resolve a complaint directly with the person/s concerned or with the assistance of an advisory person or association, she/he should take the matter up with the appropriate responsible officer. The nature of the issue at hand will determine the appropriate responsible officer (e.g. an issue with course policy should normally be referred to the course or program convener; a problem involving a particular staff member or student should normally be referred to that person’s supervisor or the appropriate Head of School or Department). If the appropriate responsible officer is not clearly identifiable, students should seek advice from the Dean of Students.
3.2 If the complaint is considered frivolous, vexatious or is lacking in substance, the responsible officer may choose not to proceed with the complaint resolution process.
3.3 The responsible officer will consider whether the complaint can be resolved at the local level or whether it should be referred elsewhere for advice and/or resolution, including under a different process set out in the University’s Rules or Policies.
3.4 If, at any point during step 1 or 2 of the resolution process, a student (complainant or respondent) feels that an aspect of this procedure has been unfair they may raise their concern with the Dean of Students. The Dean may (in consultation with the DVC, where appropriate) identify alternative responsible officers or delegated authorities under some circumstances.
4. CONSIDERATION OF COMPLAINT
Step One - Action By Responsible Officer
4.1 Once the responsible officer has received details of the complaint (preferably in writing) they should aim to resolve it expeditiously, confidentially, and normally within ten working days of receipt.
4.2 On receiving the complaint, and at any time during the process outlined at 4.3, the responsible officer will consider whether the complaint is appropriately dealt with under these procedures or whether there are other policies or procedures that are more appropriate and refer the complainant to those procedures.
4.3 The responsible officer will:
- inform the member(s) of the University against whom the complaint has been made (‘respondent’) of the details;
- provide the complainant and respondent with a copy of the Policy and Procedures relating to the resolution of student complaints;
- organise a face to face interview with the complainant (or a telephone interview if necessary), to hear the full details of the complaint;
- explain the process and the range of options available to each party, and ensure that the parties are aware of and, where appropriate, have accessed relevant sources of advice and support;
- listen carefully to the complainant's concerns and their desired outcomes and any responses given by the respondent;
- consider whether the complaint constitutes a genuine grievance;
- seek to obtain an agreed resolution;
- make notes and diary entries as appropriate, which may include some form of confidential file note;
- keep the complainant and the respondent informed of actions taken in considering the complaint;
- take into account the impact of any proposed resolution of the complaint on any third parties;
- document the actions taken to resolve the complaint including any findings made or agreements reached and provide a copy to the complainant and respondent;
- monitor the situation during and after the resolution process.
4.4 Where a complainant or respondent considers that the complaint has not been satisfactorily resolved, they may refer the complaint to the delegated authority (see Step 2).
Step 2 - Referral to a Delegated Authority
4.6 If Step 1 has not resulted in satisfactory resolution of the complaint, it can be referred to the appropriate delegated authority in the relevant ANU College, Administrative Division, or Hall of Residence of the respondent. This will normally be the Dean of an ANU College (or delegate), the Director of a Division, or Head of Hall (but see 3.4 above).
4.7 If the delegated authority is the respondent of the complaint, the matter should be referred to the Deputy Vice-Chancellor who will nominate an appropriate alternative delegate.
4.8 The complainant or respondent should submit details of the complaint in writing to the delegated authority, including an account of attempts made thus far to resolve the complaint.
4.9 The delegated authority should aim to resolve the complaint expeditiously, confidentially, and normally within ten working days of receipt.
4.10 On the basis of this written submission (supplemented by other relevant documentation, and by discussion with the complainant, respondent, and others, as appropriate), the delegated authority may:
- consider the complaint outside the ambit of this procedure, and choose to take no action in respect of the complaint, or refer it for action under other University complaint provisions;
- consider the complaint to be frivolous or vexatious or without substance and choose to take no action in respect of the complaint, or refer the complaint itself for consideration under the discipline rules;
- consider the complaint satisfactorily resolved in Step 1, and direct those involved to proceed accordingly;
- consider the complaint unresolved in Step 1, make an alternative determination, and direct those involved to proceed accordingly;
- decide to conduct an investigation into the complaint. This may include the constitution of an appropriate panel to assist with the investigation, and to make recommendations to the delegated authority. It may include independent investigation of the complaint by, for example, a senior staff member from another area of the University. Following investigation, the delegated authority will report in writing to both the complainant and the respondent, and will initiate appropriate actions to resolve the complaint. This may include action under the relevant disciplinary provisions where appropriate.
Step 3 - Reference to the Deputy Vice-Chancellor.
4.11 The complainant or respondent may appeal the decision(s) and/or action(s) of the delegated authority in Step 2, in writing to the Deputy Vice‑Chancellor. This appeal may be on the grounds of either process or substance.
4.12 The Deputy Vice-Chancellor may take such actions as he or she considers appropriate, including, but not limited to:
- dismissing the appeal;
- referring the complaint back to the delegated authority for further investigation and action;
- resolving the complaint directly, which may involve undertaking further investigation as the Deputy Vice-Chancellor considers appropriate;
- referring the complaint to external mediation or other alternative dispute resolution, at the expense of the University; or
- considering the complaint to be frivolous or vexatious or without substance and choose to take no action in respect of the complaint, or refer the complaint itself for consideration under the discipline rules;
4.13 The Deputy Vice-Chancellor will attempt to resolve the complaint within ten working days of receipt unless it is referred back to a previous step.
4.14 The determination of the Deputy Vice-Chancellor will be final.
4.15 Any complaints directed specifically against the Vice-Chancellor or Deputy Vice-Chancellor should be referred to the University Chancellor, or the Chancellor’s nominee, who will determine who is to conduct an investigation on advice from the University Council. Any investigation will follow the general procedure outlined in this Policy.
5. DETERMINATION
5.1 Outcomes will vary depending upon the nature and circumstances of each complaint.
5.2 Where the complaint relates to an adverse decision or action the Responsible Officer, Delegated Authority or Deputy Vice-Chancellor may determine that the original decision or action:
- was appropriate and stands;
- was not appropriate and make another decision within the limits of their delegation.
5.3 The Responsible Officer, Delegated Authority or Deputy Vice-Chancellor may also recommend that an appropriate resolution would be, for example:
- a complainant gaining a better understanding of the situation and no longer considering that they have been aggrieved;
- an oral or written apology;
- an oral or written caution; or
- agreement to participate in some form of mediation or counselling.
5.4 Disciplinary action is not provided for as part of this process. However, at any stage in this process, a responsible officer, delegated authority or the Deputy Vice-Chancellor may find that a person’s behaviour may constitute misconduct or serious misconduct, terminate this process and refer the complaint for consideration under the University’s disciplinary provisions.
6. RECORD KEEPING
Notes should be taken at all stages of the grievance resolution process. All records or notes taken by the responsible officer, delegated authority or Deputy Vice‑Chancellor while dealing with a grievance, and copies of all relevant communication during the progress of the resolution process, should be stored on a confidential University file.
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