Student Complaints Management Procedure

1. Purpose

1.1 The Student Complaints Management Procedure (the procedure) outlines how UTS manages complaints to reasonable resolution under the Student Complaints Policy (the policy).

2. Scope

2.1 The scope outlined in the policy applies for this procedure.

3. Principles

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

3.2 The Student Complaints Resolution Office (SCRO) is the final point of escalation in UTS for student complaints and provides a final outcome. SCRO is also the final point of internal review for issues outlined under scope 2.3 of the policy where a student has had an initial decision and subsequent review outcome with which they remain dissatisfied. SCRO will provide information about how to appeal externally.

3.3 All UTS staff members may receive and attempt to resolve complaints from students about the teaching, learning and research environment, which may include, but are not limited to:

1. other UTS students
2. all staff as defined by this procedure
3. visitors to UTS
4. agents or other related parties who represent or act on behalf of UTS
5. a faculty or administrative unit
6. an aspect of the physical environment
7. academic or behavioural integrity issues, or
8. an administrative process.

3.4 All parties to a student complaint have rights and responsibilities (outlined in principles 3.5 to 3.7) when attempting to resolve a complaint reasonably.

3.5 All staff have a right to respectful treatment and support from a manager when managing complaints. Staff who manage complaints also have a right to support from SCRO.

3.6 All staff must treat all people with respect in line with university policy, assist people who wish to access UTS’s complaints processes, respond to complaints in line with the policy and this procedure, provide feedback to the Governance Support Unit (GSU) about university complaints management and implement outcomes from complaints.

3.7 The SCRO have a right to respectful treatment. The SCRO must comply with the policy and this procedure, and provide support and advice to the University Leadership Team and staff on individual complaints and complaints management in general.

4. Procedure statements

Registering and acknowledging student complaints

4.1 Students may make a complaint to any staff member in person, by telephone, by completing the complaints form on the student portal or in hard copy. Prospective students without access to the student portal may email student.complaints@uts.edu.au with details of a complaint. 

4.2 Complainants should identify themselves rather than remain anonymous to enable resolution. UTS will make a reasonable judgement about whether to investigate an anonymous complaint.

4.3 Details of the complaint and any supporting documentation should be provided to SCRO via the complaints form on the student portal. Students will receive an automated acknowledgement of the complaint.

4.4 SCRO will promptly:

1. record and maintain details of the complaint on an approved central database
2. ensure the status of the complaint is accurate within the database (‘acknowledged’ or ‘being assessed’)
3. notify appropriate staff when a complaint has been made by a student and begin assessment of the complaint within 10 working days of receipt of the complaint, and
4. conduct an initial assessment and either resolve the complaint or refer the complaint to the most appropriate staff member for further management and resolution.

4.5 SCRO will normally refer the complaint to the appropriate staff member in closest proximity to the event(s) giving rise to the complaint. Where the complaint is about a staff member (the respondent), the complaint will normally be notified to them unless there is a prevailing reason not to do so (for example, if that complaint relates to harassment or there is concern for the wellbeing of the complainant or the respondent). Where a complaint cannot be forwarded directly to the respondent, the SCRO will contact their line manager or supervisor.

4.6 SCRO will provide the appropriate staff member with the complainant’s details (unless the complainant wishes to keep their details confidential or the complaint has been made anonymously), a copy of the complaint and supporting documentation.

4.7 Where the appropriate staff member is a member of the University Leadership Team, the staff member may request that the SCRO also refer the complaint to the University Secretary to facilitate the procedure and support the staff member.

Managing student complaints

4.8 When considering a complaint, the SCRO and/or the appropriate staff member is expected to give due regard to:

1. the seriousness, complexity and urgency of the issue(s)
2. the potential risks to the health and/or safety of the complainant or respondent
3. whether an external organisation is better placed to take care of the complaint
4. how best to offer a reasonable and timely resolution to the complaint, and
5. how best to ensure personal information of the complainant is not disclosed to any third party unnecessarily.

4.9 To work towards a resolution, the appropriate staff member may:

1. seek further information from the complainant, respondent or a third party
2. refer to relevant university experts or process owners (for example, Health, Safety and Wellbeing, Accessibility, Security and Emergency Management)
3. refer to relevant policies and procedures, and/or
4. conduct research to inform a reasonable and appropriate resolution in the circumstances of the complaint.

4.10 Students who meet university staff in person (or via video call) to facilitate the resolution of their complaint will be given the opportunity to be accompanied and assisted by a support person.

4.11 A resolution must be reached within the timeframe outlined in the policy. Types of resolution that may be offered include:

1. referring the complainant to UTS or external support or assistance programs
2. providing an apology
3. specific action requested by the complainant
4. recommending a change to university practice, procedure or policy
5. ending the activity about which the complaint has been made
6. changing a decision
7. providing an explanation that addresses the complainant’s concerns
8. providing the complainant with reasons why the complaint will not be taken further.

4.12 In some instances, no further action will be taken in response to a complaint. This situation may occur where:

1. the complaint is classified as an enquiry or a request for service and, as such, is triaged for appropriate management
2. the complaint cannot be substantiated
3. inquiries or action were limited as the complaint was made anonymously
4. the student does not respond to requests for additional information in a reasonable timeframe (in these instances, the SCRO will write to the student advising them that the complaint will be closed in 7 working days unless further information is forthcoming)
5. a reasonable resolution has been rejected by the complainant, and/or
6. the complainant has engaged legal representation and/or commenced legal action (these complaints will be referred to the Office of General Counsel).

4.13 Within 10 working days of the resolution, students will be informed of the outcome of their complaint and their rights for review.

4.14 UTS will take appropriate action in response to any recommendation resulting from a review process and advise the student accordingly.

4.15 A request by the complainant for advice or information in relation to the progress of a complaint should be accommodated where possible.

Communicating resolutions

4.16 The SCRO will advise the complainant in writing of:

1. the resolution of the complaint
2. the rationale for the resolution
3. information about seeking an internal review of the resolution if the student feels there has been an omission or error in UTS’s response and remains dissatisfied, and
4. their right to seek review via an external third party (normally the NSW Ombudsman) and the contact details of the external third party.

External reviews

4.17 The SCRO will provide the complainant with information about external review or appeals rights and processes.

4.18 Students should advise the SCRO if they decide to escalate their complaint to an external agency.

4.19 The SCRO will advise UTS International of the outcome of an international student’s complaint on receipt of an outcome from an external review.

Records management

4.20 Staff members involved in complaint management must keep a record of the complaint in accordance with the policy.

4.21 Records of the complaint must be retained including:

1. information relating to the complaint, and supporting documents and evidence
2. any agreed resolution steps and processes (including those made via online messaging, communication or complaints management tools)
3. timelines
4. file notes of telephone conversations
5. rationale for decision-making (to protect the integrity of the process)
6. final outcomes and decisions
7. any legal proceedings
8. external impacts or attention, and
9. any review or appeals processes and outcomes.

4.22 Information or documentation that contains personal information of any third party must only be recorded or retained in line with the Privacy Policy.

Timeliness

4.23 All complaints must be finalised in as timely a manner as possible in line with the policy. The complainant should be notified of a timeframe in which they can expect a response and/or a resolution.

4.24 In line with the policy, where a complaint management process is anticipated to exceed 60 working days (for example, due to complexities), the appropriate staff member must advise the complainant of the delay as soon as possible, the reasons for the delay and the likely timeframe for updates on progress and resolution.

Continuous improvement

4.25 Staff are expected to provide information to the university and the SCRO about opportunities to improve the systems, services, processes or facilities relevant to the area of the complaint.

Monitoring and reporting

4.26 The SCRO is responsible for monitoring and reporting on complaints and escalating emerging or systemic issues. Regular reports will be made to the University Leadership Team, Academic Board and Council on trends, volume, resourcing and risks in line with the policy.

4.27 For international students, the above procedure is in line with Standard 10 in the National Code of Practice for Providers of Education and Training to Overseas Students 2018.

5. Roles and responsibilities

5.1 Procedure owner: The Director, Governance Support Unit (GSU) is responsible for the approval, enforcement of and compliance with this procedure in line with the policy. The Director, GSU is also responsible for the approval of any guidelines to support staff in implementing this procedure.

5.2 Procedure contact: The Manager, Student Complaints in the Student Complaints Resolution Office (SCRO) is responsible for implementing this procedure and coordinating the activities of the SCRO.

6. Definitions

The definitions outlined in the policy apply for this procedure.