Student Complaints Policy

1. Purpose

1.1 The Student Complaints Policy (the policy) outlines the framework for identifying, managing and resolving student complaints. The policy is supported by the Student Complaints Management Procedure (the procedure).

1.2 This policy has been developed to align with the requirements under the Higher Education Standards Framework (Threshold Standards) 2021 (Cwlth) to provide access to a student complaints process.

2. Scope

2.1 This policy applies to all UTS staff and affiliates (hereafter staff), students (prospective and current) and visitors involved in a student complaint.

2.2 This policy should be used for managing student complaints relating to all aspects of a student’s experience at UTS. This includes complaints about the implementation or application of a rule, policy or procedure.

2.3 For certain matters, UTS has separate, specialised processes for application, review and appeal through which students should first progress. These matters include:

appeals in relation to refusal of application, withdrawal of offer of admission and cancellation of admission content (refer section 5, Student Rules)
appeals in relation to allegations of student misconduct (refer section 16, Student Rules)
complaints about breaches of research ethics or integrity (refer Research Policy)
complaints in relation to a breach of privacy (refer Privacy Policy)
whistleblowing and public interest disclosures (refer Whistleblowing and Public Interest Disclosures Policy)
disputes about a mark, grade or final result (refer Coursework Assessments Policy and Coursework Assessments Procedure).
disputes related to refunds and remissions (refer Refunds and remissions).

2.4 If a student has progressed through a specialised process (refer scope 2.3), and is still dissatisfied, they have the option of making a complaint in line with this policy.

2.5 This policy applies to international students, however issues or complaints relating specifically to student visas must be directed to UTS International for management and/or resolution.

2.6 Complaints of serious wrongdoing (including corrupt conduct, maladministration or serious and substantial waste) may qualify as a public interest disclosure to which legislative protections apply (refer Whistleblowing and Public Interest Disclosures Policy and Code of Conduct).

3. Principles

3.1 UTS is committed to providing a supportive learning and working environment and supporting students to make a complaint.

3.2 UTS will seek to support all parties to a complaint and work towards a timely resolution, at the local level appropriate to the circumstance.

3.3 Complaints will be managed confidentially where possible. UTS will disclose information in connection with complaints on a need-to-know basis.

3.4 Student complaints and the complaint management process are an opportunity for continuous improvement.

3.5 All parties to a complaint must abide by the behavioural expectations outlined in this policy, the Student Rights and Responsibilities Policy and the Equity, Inclusion and Respect Policy.

3.6 The provisions of this policy and its procedure are in line with Standard 10, National Code of Practice for Providers of Education and Training to Overseas Students 2018, including specific processes and requirements that must be adhered to when managing complaints received from international students.

3.7 Students who complain will be protected from reprisal.

4. Policy statements

Complaints management and support

4.1 Any UTS staff member can receive a complaint and may work towards complaint resolution.

4.2 Students are encouraged to raise complaints at the earliest opportunity, directly with a trusted UTS staff member in closest proximity to the events and/or with the ability to resolve the complaint. Where administrative and academic avenues of review and appeal are available to the student (for example, those listed under scope 2.3), these should be accessed and exhausted before making a complaint.

4.3 Where this is not possible, appropriate or the student remains dissatisfied after the initial process (outlined under scope 2.3), students should contact the Student Complaints Resolution Office (SCRO) in the Governance Support Unit. Students can lodge a complaint by submitting the complaints form on the student portal.

4.4 Regardless of the first point of contact, the complaint should be, where possible, resolved at the source.

4.5 Complaints received by the University Leadership Team will be referred to the SCRO for appropriate management and resolution.

4.6 UTS aims to resolve complaints in 60 working days of receipt of the complaint. Where a complaint cannot be resolved in 60 working days, for example due to complexities, the complainant will be advised of the delay, the reasons for the delay, and provided with a revised timeframe for updates on progress and resolution.

4.7 The SCRO may request staff to assist with complaints resolution. The SCRO may, for any reason, including seeking additional feedback, obtaining expert advice or to avoid a conflict of interest, refer a complaint to appropriate staff for management and/or resolution.

4.8 Students may access any of the university’s assistance, advocacy and advisory services when making a complaint (available at Where to get help). Students may also speak to any trusted staff member to seek advice regarding complaints.

4.9 Staff who are the subject of a complaint may seek advice and support from the university’s employee assistance program (EAP) (SharePoint).

4.10 UTS reserves the right to suspend internal resolution processes while any external investigations (managed by external agencies) are completed. This is decided on a case-by-case basis.

4.11 Where safety concerns arise, UTS may take any necessary action to protect staff, students or the wider community.

4.12 UTS seeks to finalise all complaints by offering the complainant a reasonable and appropriate resolution in response to the issues raised.

4.13 Where an external review is requested by an international student, the SCRO will notify UTS International (UTSI) of the outcome of the external review as provided to the SCRO (refer External reviews).

Behavioural expectations

4.14 All parties involved in a complaint must act in a cooperative, fair and respectful manner to achieve a resolution, and maintain regular, honest, open and unbiased communication.

4.15 Staff are bound by the behavioural expectations of the Code of Conduct. Students are bound by the behavioural expectations of the Student Rights and Responsibilities Policy. Further guidance on university values, rights, responsibilities and expectations of behaviour are outlined in the Equity, Inclusion and Respect Policy.

4.16 There is no reprisal for making a complaint, however students who do not meet the behavioural expectations outlined in the Student Rights and Responsibilities Policy may have this behaviour treated as a matter of misconduct in line with section 16, Student Rules.

4.17 Staff will not manage a complaint where there is any actual, perceived or potential bias or conflict of interest (refer Conflicts of Interest Disclosure Policy) noting that all such conflicts must be declared.

Informal complaint resolution

4.18 UTS staff resolve most student complaints informally, close to where the events giving rise to the complaint took place. Complainants should make a direct approach to the individual, unit or faculty who is the subject of the complaint or who has the knowledge, tools and resources to deal with the complaint.

4.19 Staff should endeavour to resolve complaints locally and directly with the student. The SCRO will provide guidance to staff to facilitate a reasonable resolution and assist with formulating a response. Staff must finalise a resolution via a written response to the student and provide a copy of that response to the SCRO as a formal record.

4.20 Informal complaint resolution may not be suitable where the student feels personally intimidated by the individual and/or the complaint relates to allegations of any unlawful behaviour or serious misconduct (including sexual harm, discrimination, any other type of harassment, corruption or other illegal activities). Students may seek guidance and advice from the Counselling service, the Centre for Social Justice and Inclusion, the SCRO (email student.complaints@uts.edu.au) or refer to the Sexual Harm Prevention and Response Policy.

Formal complaint resolution

4.21 A small proportion of complaints to UTS will warrant a more formal resolution process. The SCRO is responsible for assessing whether broader consultation is required and whether a formal process is warranted.

4.22 Formal complaints processes are at the discretion of the SCRO and may involve:

investigation by a faculty, unit, the SCRO or an independent investigator, or
an internal or external dispute resolution process such as mediation or conciliation.

4.23 At any point during the management of the complaint, the SCRO may make recommendations for improvement of remediation to any area of the university and may bring such recommendations to the attention of a relevant member of the University Leadership Team for appropriate action.

4.24 Procedural fairness will be applied to any recommendations, particularly where such recommendations may have an adverse outcome for either the complainant or the person who is the subject of the complaint.

4.25 The Director, Governance Support Unit is responsible for approving the standards and procedures for making determinations in relation to formal complaints.

4.26 The SCRO will communicate the formal resolution to the student in writing. This is considered the final outcome of the UTS internal complaints process.

External reviews

4.27 Students who are dissatisfied with the resolution of a student complaint have the right to request a review or appeal via an external agency. UTS will advise complainants in writing of external review options at the time the complaint is finalised (normally, this will be to the New South Wales Ombudsman).

4.28 International students should notify the SCRO and initiate external reviews or appeals as soon as possible, in line with guidance provided by UTSI, to minimise any potential student visa impacts. The SCRO will notify UTSI of the outcome of the external review, as provided to the SCRO.

4.29 Where external agencies are engaged, students should notify the SCRO so that the university can cooperate appropriately with the external agency or agencies.

Withdrawal of a complaint

4.30 Students may withdraw a complaint at any time during the process. Students who wish to withdraw a complaint should advise the SCRO or relevant staff member in writing.

4.31 UTS will act on withdrawn complaints if appropriate or required by legislation.

Records and complaints management

4.32 Staff involved in any complaints process must ensure that full and accurate official records are kept in line with the requirements outlined in the procedure, the Records Management Policy and the Privacy Policy.

4.33 All documentation relating to a complaint will be confidential (refer Privacy Policy) and will be accessible on an as-needed basis or as required by law (refer Records Management Policy).

4.34 Where a student has withdrawn a complaint, or it has been determined that no further assistance can be provided to the complainant, SCRO will manage records in line with advice from the Office of General Counsel and University Records (in the Governance Support Unit).

4.35 The SCRO will maintain a database to provide relevant information to interested and affected parties, the Director, Governance Support Unit and the UTS Council through Academic Board as part of the university’s continuous improvement processes.

Breaches

4.36 Breaches of this policy by a staff member will be managed in line with the Code of Conduct.

4.37 Breaches of this policy by a student (including any malicious or vexatious complaints) will be managed under section 16, Student Rules.

5. Roles and responsibilities

5.1 Policy owner: The Director, Governance Support Unit is responsible for the enforcement of and compliance with this policy, ensuring that its principles and statements are observed and decision-making functions are in line with this policy. The Director, Governance Support Unit is also responsible for approval of any associated university-level procedures and may approve training programs and support to facilitate front-line staff in undertaking any complaint handling roles or processes.

5.2 Policy contact: The Manager, Student Complaints in the Student Complaints Resolution Office (SCRO) is responsible for the implementation of this policy and acts as a primary point of contact for advice on managing its provisions. The SCRO undertakes investigations, acts as a point of triage, provides support and guidance, offers resolutions and makes recommendations in line with this policy.

6. Definitions

These definitions apply for this policy and all associated procedures. These are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular also include the plural meaning of the word.

Affiliate is defined in the Code of Conduct.

Complaint means a statement of dissatisfaction made by a student about the educational environment or learning experience under the direct control of the university where a response or resolution is explicitly or implicitly expected or legally required.

Complainant means the individual who is making a complaint. For the purposes of this policy, the complainant is the student.

Conflict of interest is defined in the Conflicts of Interest Disclosure Policy and outlined for students in the Student Rights and Responsibilities Policy.

External review refers to a review of a decision relating to a student complaint or an appeal against a decision by an external agency, normally the New South Wales Ombudsman. When referring to international students, external review means an appeal as described in the National Code of Practice for Providers of Education and Training to Overseas Students 2018.

Reprisal means any intentional retaliation as a result of making a complaint in line with the policy.

Resolution means a formal decision or agreement. Resolutions do not necessarily require the complete satisfaction of all parties to a complaint, but rather an agreement that the complaint or issue has been reasonably investigated and/or resolved, or has provided a reasonable outcome given the available evidence. Resolutions are normally, but not always, a result of basic agreements allowing for some compromises by the complainant, the respondent and/or the university.

Respondent means a person(s) subject to a complaint.

Serious wrongdoing is defined in the Whistleblowing and Public Interest Disclosures Policy.

Student is defined in Schedule 1, Student Rules and the Student Rights and Responsibilities Policy. For the purposes of this policy, it includes prospective and current students.

Approval information

Policy contact	Manager, Student Complaints
Approval authority	Vice-Chancellor
Review date	2025
File number	UR19/1510
Superseded documents	Policy on Handling Student Complaints (2002)

Version history

Version	Approved by	Approval date	Effective date	Sections modified
1.0	Vice-Chancellor	24/06/2019	22/07/2019	New policy.
1.1	Director, Governance Support Unit (Delegation 3.14.1)	10/10/2019	28/11/2019	Additional clarification of policy requirements including for overseas (international) students.
1.2	Director, Governance Support Unit (Delegation 3.14.1)	20/10/2020	27/11/2020	Minor amendments to reflect changes following a one-year post-implementation review.
1.3	Deputy Director, Corporate Governance (Delegation 3.14.2)	22/01/2021	05/03/2021	Minor amendment to clarify resolution timeline.
1.4	Director, Governance Support Unit (Delegation 3.14.1)	19/05/2021	17/06/2021	Minor changes to reflect new organisational structure of the Centre for Social Justice and Inclusion.
1.5	Director, Governance Support Unit (Delegation 3.14.1)	25/07/2022	25/07/2022	Minor changes to clarify existing statements in response to the ESOS external compliance audit.
1.6	Vice-Chancellor	06/09/2022	01/12/2022	Changes in response to the disestablishment of the Office of the Student Ombud and change of ownership to the Director, Governance Support Unit.
1.7	Director, Governance Support Unit (Delegation 3.14.1)	23/11/2022	20/12/2022	Changes to reflect the new Sexual Harm Prevention and Response Policy.
1.8	Deputy Director, Corporate Governance (Delegation 3.14.2)	12/04/2023	12/04/2023	Changes to reflect new unit title of Office of General Counsel.
1.9	Director, Governance Support Unit (Delegation 3.14.1)	08/09/2023	30/09/2023	Changes resulting from the development of the Whistleblowing and Public Interest Disclosures Policy.
2.0	Director, Governance Support Unit (Delegation 3.14.1)	03/09/2024	04/09/2024	Updates to strengthen requirements around using separate specialised processes for application, review and appeal before making a complaint to SCRO.