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:

Effective starting date: 1 November 2007

Procedures replaced by these procedures: Student Grievance Procedure

Contents

Preamble

Part A: Advice and procedures for students

Advice to students:

• Principles and approach to student grievances and appeals
• Types of grievances and appeals
• Initiating action on a grievance or appeal
• Where several students have the same grievance
• Right to be accompanied by a support person
• Mediation and conciliation of a grievance
• Anonymous grievances
• Table showing grievance and appeals processes

Procedures for students:

• Informal grievance-handling processes
• Formal grievance-handling processes
• Formal processes for internal appeals
• External mediation or appeal processes
• External mediation
• External appeal

Attachment – external appeal and mediation bodies

Part B: Guidelines and procedures for persons other than students (staff,
appeal bodies and independent mediators and conciliators)

Guidelines:

• Principles and approach to student grievances and appeals
• Types of grievances and appeals
• Advising students who propose to initiate a grievance or appeal
• Where several students have the same grievance
• Student support person
• Informal processes
• Mediation and conciliation of a grievance
• Anonymous grievances
• Compliance obligations

Procedures for persons other than students:

• Informal grievance-handling processes
• Formal grievance-handling processes
  • Local level grievance
  • Higher level grievance
    • Review of decision
    • Formal investigation
    • Conciliation
    • Mediation
• Formal processes for internal appeals
• External mediation or appeal processes
  • External mediation
  • External appeal
• Access to official student files in relation to student grievances and appeals

Definitions

Preamble

This document contains advice, guidelines and procedures for addressing student grievances consistent with the principles and requirements in the Student Grievances and Appeals – Governing Policy. That policy should be read before any action is taken under these guidelines and procedures.

The document is presented in two parts:

Part A provides advice to students and the procedures they should follow in relation to grievances and appeals.

Part B provides guidelines and procedures to be followed by persons other than students in relation to grievances and appeals.

Definitions of the key terms used in this document are provided at the end of the procedures.

Part A: Advice and procedures for students

Advice to students

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 Grievances 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. (Refer to the table showing the processes.)

Students are advised to read the policy before taking any action under the procedures that follow.

The policy and the procedures given later in Part A of this document include definitions of many terms used in relation to student grievances and appeals, and these definitions are provided at the end of this document.

Part B of this document outlines the procedures used by the University in responding to a student’s grievance or appeal.

Types of grievances and appeals

There are different types of grievances and appeals and these can relate to such things as:

• 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 rules, 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 Academic Rules and the Rules for various higher degrees by research
• Animal Ethics Committee – refer to “Procedures for handling grievances related to procedures or decisions of any University Ethics Committee and for Irreconcilable differences between any University ethics committee and the institution or a researcher or a teacher or a member of any University ethics committee”
• Assessment in courses and programs (other than English Language Programs offered by USC International) – refer to the Academic Rules and the Rules for various higher degrees by research
• Disciplinary action – for appeals against disciplinary decisions made under the Student Conduct and Discipline Policy refer to that Policy
• Enrolment in courses and programs (other than English Language Programs offered by USC International) – refer to the Academic Rules and Rules for various higher degrees by research
• Exclusion from a program (other than an English Language Program offered by USC International) – refer to the Academic Rules and Rules for various higher degrees by research or, in the case of exclusion on grounds of misconduct refer to the Student Conduct and Discipline Policy
• Human Research Ethics Committee – refer to “Procedures for handling grievances related to procedures or decisions of any University Ethics Committee and for Irreconcilable differences between any University ethics committee and the institution or a researcher or a teacher or a member of any University ethics committee”
• Misconduct by a student – refer to the Student Conduct and Discipline Policy and Student Academic Integrity and Plagiarism Policy
• Progress in a program (other than an English Language Program offered by USC International) – refer to the Academic Rules and rules for various higher degrees by research
• Unsatisfactory performance in a program (other than an English Language Program offered by USC International) – refer to the Academic Rules and rules for various higher degrees by research
• Other research higher degree matters – refer to the rules for various higher degrees by research.

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.

Initiating action on 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 Rules, 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.

Right to be accompanied by a 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.

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.

Table showing grievance and appeal processes

You may start the grievance and appeal process at any of points 1, 2, 3 and 4B but cannot enter point 4A before entering at point 3. If your grievance is not settled at a particular point you can then take any of the next stages as indicated by the arrows.

Procedures for 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 the University it must be dealt with according to formal grievance processes.]

1.1 A student (or group of students) with a grievance may do any but not more than two of the following:

(a) where the grievance relates to a decision made by, or something done or not done by, a staff member or other person acting for the University or on the University’s behalf, make an appointment with that staff member or person in order to discuss the matter and try to reach a mutually acceptable outcome of the matter

(b) make an appointment with another staff member in order to advise that staff member about the grievance and, if the staff member agrees, discuss the matter

(c) make an appointment with an appropriate Responsible Officer (refer to definitions) to discuss the grievance

1.2 If the request for an appointment is made by e-mail, the student/s should outline the broad reason for seeking the appointment, but not provide specific details of the particular grievance since putting the details of the grievance in writing would require the grievance to be handled under formal processes.

1.3 A student or group of students may be accompanied and assisted by one support person during any meeting that forms part of informal grievance processes and should, in advance of each meeting, advise the person arranging the meeting of the name of any support person who will be accompanying the student/s.

1.4 If a student believes that the informal grievance-handling processes have not adequately addressed the student’s grievance:

• the student may lodge a grievance under the formal grievance-handling processes, or
• where the grievance relates to a decision affecting the student, lodge an appeal under internal or external appeal processes (these are outlined later in Part A).

(The procedures the University will follow for informal grievance-handling are outlined in Part B of these procedures.)

2. Formal grievance-handling processes

2.1 There are two pathways open to a student who wishes to pursue formal processes for addressing the student’s grievance within the University:

(a) local level grievance – lodge 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 Responsible Officer)

(b) higher level grievance – lodge a 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.

2.3 Local level grievance

2.3.1 A student with a grievance at the local level and who wishes to pursue formal processes for addressing the grievance within the University will:

(a) lodge 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 Responsible Officer) a formal written grievance that:

(i) is dated and signed by the student

(ii) identifies the student and any respondent/s (refer to definitions)

(iii) provides the student’s contact details

(iv) provides details of the grievance

(v) is clearly marked “Confidential”, and

(b) if the student is an international student, inform the Student Services Co-ordinator, International Relations, that the student is pursuing internal grievance processes. The student does not need to give any details of the grievance.

2.3.2 The Responsible Officer may, depending on the nature or substance of the grievance, contact the student in order to do any of the following:

• clarify the grievance, or
• advise of an alternative process that applies to, or must be followed with respect to, the particular type of grievance, or
• 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
• advise in writing of any corrective action to be taken immediately to address the student’s grievance, or
• 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 rule, 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 an appeal with the Director, Student Services in relation to the matter.

2.3.3 Regardless of the approach taken by a Responsible Officer, the student will be advised in writing by that Officer of the action taken in relation to the grievance, of any outcome and the reasons for the outcome within 10 days of the decision/s being made by the Responsible Officer.

2.3.4 If, after the above formal grievance-handling processes, an international student believes that the matter has been resolved to the student’s satisfaction the student should advise the Student Services Co-ordinator, International Relations, of this.

2.4 Higher level grievance

2.4.1 A student with a grievance who wishes to pursue formal processes for addressing the grievance at the higher level within the University must:

(a) lodge with the Director, Student Services a formal written grievance that:

(i) is dated and signed by the student

(ii) identifies the student and any respondent/s (refer to definitions)

(iii) provides the student’s contact details

(iv) provides details of the grievance

(v) is clearly marked “Confidential”

(b) lodge the grievance by the time specified in any notification to the student for lodging a grievance in relation to a decision of the University (usually this is within 20 days of the notification date), and

(c) if the student is an international student, inform the Student Services co-ordinator, International Relations, that the student is pursuing internal grievance processes. The student does not need to give any details of the grievance.

2.4.2 The student may be contacted by the Director, Student Services in order to clarify the grievance or to advise of any particular process that applies to, or must be followed with respect to, the particular type of grievance.

2.4.3 The grievance will be referred by the Director, Student Services to the Deputy Vice-Chancellor who:

(a) may, depending on the nature or substance of the grievance:

• seek the student’s agreement to participate in mediation or conciliation of the grievance, or
• request or direct the University to undertake a review of a decision that resulted in the grievance, or
• initiate an investigation in relation to the grievance, or
• determine that, in light of any previous grievance resolution processes in relation to the particular grievance, the student should lodge an internal or external appeal in order to expedite a final decision the matter, and

(b) will advise the student of the process adopted for handling the grievance.

2.4.4 If a review of decision or an investigation is undertaken in relation to the grievance, the student will:

(a) be able to present his or her case in the review or investigation

(b) be entitled to be accompanied and assisted by a support person in any interviews, or meetings or hearings, and

(c) be advised in writing of the outcome.

2.4.5 Where mediation or conciliation is to be arranged, the Director, Student Services will liaise with the student concerning the arrangements, and on conclusion of the mediation or conciliation the Deputy Vice-Chancellor will contact the student and, if appropriate, provide information on other formal grievance or appeal processes that the student is able to pursue.

2.4.6 If, after the above formal grievance-handling processes, an international student believes that the matter has been resolved to the student’s satisfaction the student should advise the Student Services Co-ordinator, International Relations, of this.

2.4.7 If a student believes that formal internal grievance-handling processes have not adequately addressed that student’s grievance in relation to a decision affecting the student, the student may lodge an appeal under internal or external appeal processes.

(The procedures followed by the University for formal grievance-handling processes are detailed in Part B of these procedures.)

3. Formal processes for internal appeals

3.1 A student who wishes to pursue formal internal appeal processes concerning a decision that affects the student (whether the decision was the result of the outcome of informal or formal grievance-handling processes or otherwise) must:

(a) within 20 working days of notification of the decision lodge a formal written appeal against the decision, and

(b) lodge that appeal with the Director, Student Services.

3.2 The written appeal lodged by the student must:

(a) be dated and signed by the student

(b) identify the student

(c) provide the student’s contact details

(d) provide details of the decision against which the appeal is being made

(e) provide summary information outlining the student’s case for lodging the appeal

(f) identify any supporting information or evidence that the student will be able to provide in support of his/her case during the appeal process, and

(g) be clearly marked “Confidential”.

3.3 If the student is an international student, the student should inform the Student Services Co-ordinator, International Relations, that the student is lodging an internal appeal. The student does not need to give any details of the basis for the appeal.

3.4 The internal appeal will be heard by the Student Grievance Appeals Committee unless other University policies or procedures or a set of University Rules stipulate that another appeal body must hear appeals of the type lodged by the student.

3.5 The Director, Student Services will liaise with the student concerning arrangements for the appeal.

3.6 The student will:

(a) be able to present his or her case in the appeal

(b) be entitled to be accompanied and assisted by a support person in the appeal hearing, and

(c) be advised in writing of the outcome of the appeal and of possibilities for external mediation (refer to definitions) or avenues for external appeal if the student is not satisfied with the outcome.

3.7 If, after any appeal, an international student believes that the matter has been resolved to the student’s satisfaction the student should advise the Student Services Co-ordinator, International Relations, of this.

(The procedures followed by the University for internal appeal processes are detailed in Part B of these procedures.)

4. External mediation or appeal processes

4.1 External mediation

4.1.1 If a student is dissatisfied with the outcome of internal appeal processes, the student may make a written request to the Director, Student Services for the University to arrange independent external mediation in an attempt to resolve the matter.

4.1.2 The request for external mediation must be lodged with the Director, Student Services within 10 working days of the student being notified of the outcome of the relevant appeal, and, if the student is an international student, the student should advise the Student Services Coordinator, International Relations, that the student is requesting external mediation of a dispute. The student does not have to provide details of the dispute to the Coordinator.

4.1.3 The Director, Student Services will judge whether external mediation is appropriate for the student’s dispute and will advise the student about this within five (5) working days of receiving the student’s request.

4.1.4 If the Director, Student Services judges that external mediation is appropriate, the Director will liaise with an appropriate external mediation service , the student and any respondent/s (refer to definitions) in relation to arrangements for the mediation.

(The procedures followed by the University for external mediation processes are detailed in Part B of these procedures.)

4.2 External appeal

4.2.1 A student who is dissatisfied with the outcome or conduct of internal University grievance or appeal processes may lodge an appeal with an appropriate external body.

4.2.2 A student may lodge an appeal with an appropriate external body at any time but is encouraged to pursue internal grievance-handling and appeal processes before lodging any external appeal.

4.2.3 Information on different external bodies with whom a student may lodge an external appeal is provided as an attachment to Part A of these procedures.

4.2.4 A student who holds a student visa and who lodges an external appeal must:

(a) within 10 days of notification of the outcome of any internal grievance or appeal processes provide the Student Services Coordinator, International Relations with evidence of having accessed an external appeal process, and

(b) within 28 days of notification of the outcome of any internal grievance or appeal processes provide the Australian Department of Immigration and Citizenship (or any successor department) with evidence of having accessed an external appeals process.

Bodies with whom a student may lodge an external appeal

The Queensland Ombudsman – regarding administrative acts and decisions of the University. Complaints may be lodged on line.
Website: www.ombudsman.qld.gov.au
Telephone (toll free number): 1800 068 908.

The Small Claims Tribunal – where a dispute involves student fees, and the total amount is less than $7500.
Website: www.justice.qld.gov.au
Telephone: +61 7 3247 4578

The Anti-Discrimination Commission (Queensland) – regarding equality
of opportunity and unlawful discrimination, for example, owing to disability, gender, religious belief, or family responsibilities.
Website: www.adcq.qld.gov.au
Telephone (toll free number): 1300 130 670 or Teletypewriter: 1300 130 680.

Students have the right to pursue other legal remedies, including action through the District, Magistrates and Supreme Court (Refer to the website at www.courts.qld.gov.au/)
or the Federal Court (Refer to the website at www.fedcourt.gov.au/)

Other bodies with whom adn international student may lodge an appeal

If international students are dissatisfied with the University’s complaints and appeals process they can contact the Department of Education, Science and Training (DEST) through the ESOS mailbox by emailing esosmailbox@dest.gov.au or telephoning the ESOS helpline on +61 2 6240 5069.

(DEST will only look at whether the University’s appeals process met the requirements of the “National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students” and will only intervene where the appeals process was not conducted correctly or if the University did not make the appeals process available to the student. DEST will not be looking at whether the outcome of a properly conducted appeal process was right or wrong.)

International students may also approach the State Authority for CRICOS Registration. In Queensland this is the Department of Education. Concerns should be addressed in writing to The Manager, CRICOS Registration, Office of Non-State Education, Queensland Department of Education, PO Box 15033, City East, QLD 4002.

International students have the right to take action under Australia’s consumer protection laws in the case of financial disputes, including through the Australian Competition and Consumer Commission (refer to the website at www.australia.gov.au/28)

External mediation services

The Dispute Resolution Branch, Queensland Department of Justice and Attorney-General
Website: www.justice.qld.gov.au/mediation/home.htm
Telephone (toll free number): 1800 017 288.

Part B: Guidelines and procedures for persons other than students

Guidelines

Part A of this document outlines the procedures applying to students with respect to grievances or appeals.

Principles and approach to student grievances and appeals
Refer to Advice to Students in Part A of this document.

Types of grievances and appeals
Refer to Advice to Students in Part A of this document.

Advising students who propose to initiate a grievance or appeal
Refer to Advice to Students in Part A of this document.

Where several students have the same grievance
Refer to Advice to Students in Part A of this document.

Student support person
Refer to Advice to Students in Part A of this document.

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 the procedures given in Part B in order to ensure the impartiality of any subsequent formal grievance or appeal processes.

Mediation and conciliation of a grievance

Refer to Advice to Students in Part A of this document.

Anonymous grievances

Refer to Advice to Students in Part A of this document.

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.

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 (or group of students) 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 (or group of students) 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) with authority to consider and act on a grievance of the type held by the student/s, advise the student/s of the name and contact details of a suitable Responsible Officer, or

(b) if the staff member is a Responsible Officer with the requisite authority, discuss the matter with student/s, and, if appropriate, initiate action consistent with 1.3 below.

1.3 Responsible Officer role

1.3.1 Where a student (or group of students) 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 go-between 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 any relevant Grievance Precedents Register in order to act consistent with any decisions in like circumstances that may have been made under formal grievance or appeal processes.

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 a set of Rules 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 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, and

(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, immediately forward the written grievance together with the file notes, in a sealed envelope marked “Strictly Confidential. Student Grievance”.

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 rule, 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 Development) 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 any relevant Grievance Precedents Register in order to act consistent with any decisions in like circumstances that may have been made under formal grievance or appeal processes

(e) make a decision in relation to the grievance, including in light of any information on precedents

(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 relevant 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 Development) of any decision or outcome made in relation to an international student that may have implications for the student’s visa.

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 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 Development) 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 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 relevant 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.

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 any relevant Grievance Precedents Register in order to act consistent with any decisions in like circumstances that may have been made under formal grievance or appeal processes

(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 relevant 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.

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 that was the subject of the mediation 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 that was the subject of the conciliation 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.

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 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 together with a request for appointment of a member to the Student Grievance Appeals Committee in place of any member of that Committee who has been involved in previous informal or formal grievance-handling processes in relation to the substance of the appeal, and

(e) if the student is an international student, advise the Pro Vice-Chancellor (International and Development) that the specific student has lodged an appeal, without revealing the details of the appeal.

3.3 The Vice-Chancellor, within three (3) days of receipt of the file, will:

(a) identify and appoint any member/s to the Student Grievance Appeals Committee in place of each substantive member of that Committee who has been involved in previous informal or formal grievance-handling processes in relation to the matter of the specific appeal

(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 Director, Student Services, as 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 its own procedures which will include that the Committee will:

(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 from hearing that 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 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 Director, Student Services, as 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 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.

3.7 The Vice-Chancellor, 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, on completion of any appeal process, will:

(a) enter de-identified summary information in relation to the appeal in the relevant 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 Development) of any decision or outcome made in relation to an appeal by an international student that may have implications for the student’s visa.

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 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 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 relevant 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 Part A of these procedures.)

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 relevant Grievance Precedents Register.

4.2.5 The Vice-Chancellor 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, 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 any Grievance Precedents Register or monitoring or reviewing student grievance and appeals processes and practices within the University.

5.2 The Vice-Chancellor 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 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.

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
    (Refer also to the General Guidelines below which indicate the types of grievance that may need to be lodged in accordance with separate rules, policies or procedures)

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

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 coordinator, 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 whose name is entered on the Roll of Students or who is enrolled as a current student in 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