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Staff Complaints Resolution Procedure

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Purpose | Scope | Principles | Procedure statements | Roles and responsibilities  | Definitions | Approval information | Version history | References

1. Purpose

1.1 The Staff Complaints Procedure (the procedure) details the process for resolving complaints in support of the Staff Complaints Policy (the policy). The procedure must be read in conjunction with the policy.

2. Scope

2.1 The scope of the policy applies for this procedure.

3. Principles

3.1 The principles outlined in the policy apply for this procedure. 

4. Procedure statements

Making a complaint

4.1 Consistent with the principle that complaints should be dealt with promptly and resolved as close to the source as possible, staff should raise their complaint in the first instance directly with the person concerned. Staff may seek advice from their supervisor or refer to the Complaints Portal (SharePoint) for guidance in initiating this conversation.

4.2 Where raising the complaint directly with the person concerned is not appropriate, or unsuccessful, the staff member (complainant) must submit their complaint in writing to their supervisor to try and resolve the matter (refer Resolving a complaint). Where a complaint involves the staff member’s supervisor, it will be referred to their supervisor’s supervisor. Where the supervisor’s supervisor is a party to the complaint, the complaint may be referred directly to the Workplace Relations team in the People Unit for assessment and/or management (refer Referring a complaint).

4.3 The written complaint must include: 

  1. specific details of the issue (including what happened, when it happened and who was involved) 
  2. any evidence to support the complaint and assist with the investigation (for example, emails or receipts) 
  3. any steps taken at a local level to try and resolve the issues, and 
  4. the preferred outcome or resolution that is being sought.

4.4 In instances where the identity of the complainant is to remain confidential, or is anonymous, the complaint may be referred directly to the Workplace Relations team in the People Unit for assessment and/or management (refer Referring a complaint).

Managing a complaint

4.5 Supervisors must meet with the complainant (by any preferred means) as soon as possible and within 10 working days of receiving the written complaint to try and resolve the matter (unless the complainant agrees in writing to a different timeframe) (refer Resolving a complaint).

4.6 Supervisors will make reasonable efforts to resolve the matter as soon as possible after meeting with the complainant.

4.7 Where a complaint is not resolved following the complainant’s meeting with their supervisor, the complainant may escalate the written complaint to the next level supervisor within 10 working days of the initial meeting with the supervisor.

4.8 Next level supervisors will make reasonable efforts to resolve the complaint as soon as possible after receiving details of the escalated complaint. The next level supervisor should assess whether:

  1. the complaint resolution process was fair, complied with the policy and this procedure and appropriate to the nature of the complaint, and
  2. outcomes were reasonable and appropriately communicated.

Referring a complaint

4.9 Where the complaint remains unresolved, or in instances where the identity of the complainant is to remain confidential or is anonymous, the staff member may refer the complaint to the Workplace Relations team in the People Unit.

4.10 On receipt of the written complaint, the People Unit will: 

  1. record and maintain details of the complaint with an appropriate level of confidentiality 
  2. provide written acknowledgement to the complainant as appropriate, and 
  3. notify the respondent as appropriate.

4.11 In managing complaints referred to them the People Unit will conduct an initial assessment within 10 working days of receipt of the complaint and: 

  1. uphold any previously proposed resolutions (agreeing that the complaint resolution process was fair, appropriate, complied with the policy and this procedure and the outcomes reasonable and appropriately communicated) 
  2. propose an alternative resolution to the complaint (based on any new information or evidence), or 
  3. in serious, complex or confidential situations, initiate an investigation.

4.12 Where the People Unit initiate an investigation, an internal or external investigator may be appointed. The investigative process may uphold original outcomes, propose alternative outcomes and/or refer the complaint to an external agency in line with the policy.

Resolving a complaint

4.13 In seeking to resolve the complaint, supervisors, next level supervisors or the People Unit (hereafter supervisors) may: 

  1. request further information from the complainant and/or a third party 
  2. seek advice (internal or external) to inform an appropriate resolution 
  3. refer the complaint for resolution via another policy (refer Speak Up at UTS for examples), and/or 
  4. recommend internal or external support, such as mediation.

4.14 To meet procedural fairness requirements, respondents will be provided with information in sufficient detail to enable them to understand the complaints management process and respond to the complaint.

4.15 Supervisors, complainants and respondents may request guidance from the People Unit (refer the Complaints Portal (SharePoint)) and/or the Centre for Social Justice and Inclusion. They may also seek support through the Employee Assistance Program (refer EAP (SharePoint)).

4.16 Complaints of a serious nature that involve allegedly unlawful behaviour may be:

  1. managed via a separate internal process as appropriate, for example, via the Whistleblowing and Public Interest Disclosures Policy, or
  2. referred by UTS to an external agency, for example, the New South Wales Police or the appropriate integrity agency (refer the policy).

4.17 Outcomes of the complaint resolution process and proposed actions will be provided to the complainant and, where appropriate, the respondent (refer Outcomes and actions).

Outcomes and actions

4.18 Supervisors will provide complainants (and respondents where appropriate) with written advice on the outcome of their complaint and the reason/s for the outcome.

4.19 Possible outcomes include, but are not limited to: 

  1. the complainant gains a better understanding of the situation so that their concerns are addressed 
  2. a mutually acceptable resolution is achieved 
  3. the complainant receives an apology and/or the issue or behaviour that was the basis of the complaint is modified 
  4. in instances where the facts surrounding a complaint cannot be substantiated, no action will be taken, or 
  5. in cases where the facts are substantiated through investigation, and circumstances warrant, the final outcome may result in formal disciplinary processes as provided by the relevant enterprise agreement (which may include formal warnings and, in most serious cases, dismissal of the respondent) (refer Enterprise agreements).

5. Roles and responsibilities

5.1 Procedure owner: The Executive Director, People and Culture is responsible for enforcement of, compliance with and approval of this procedure.

5.2 Procedure contact: The Manager, Workplace Relations is responsible for the implementation of this procedure and act as a point of contact for advice on implementing its provisions.

6. Definitions

The definitions outlined in the policy apply for this procedure.