1.         INTRODUCTION

1.1 This policy applies to all students[1] of the ANU.  The procedure can be used to make complaints about unfair treatment in a course, discrimination, sexual or other harassment, bullying, and other grievances that arise during the student's time at the ANU.

Information about sexual assault, support services and help provided by the ANU and local organisations is available at the relevant websites.  Students are encouraged to report incidents on campus to Unisafe.

Students should also be aware that different parts of the university have their own complaint, appeal and disciplinary mechanisms:

• fees, [Fees Rules; Finance & Fees]
• assessment review and appeals [Assessment Review and Appeals]
• academic performance [Academic Progress Rules; Academic Progress]
• discipline [Discipline Rules]
• library and IT access [Information Infrastructure and Services Rules]
• residential halls and colleges may have their own procedures.

Where a concern arises regarding the implementation of one of these more specific procedures, reference may be made to this policy.

1.3 A student may refer a matter to an external review body, (such as the Australian Human Rights Commission) at any time. The University may suspend or cease an internal review of a complaint if an external review is conducted.

1.4 The Vice-Chancellor may authorise an alternate process for managing student concerns, to suit individual circumstances.

2.         THE FIRST STAGE: INFORMAL RESOLUTION PROCESS

A student wishing to make a complaint is strongly encouraged to:

• seek advice on whether they have a legitimate grievance and how to resolve their concerns (section 2.1);
• seek first an informal resolution of any complaint that they decide to pursue (section 2.2).

If the complaint cannot be resolved informally, including through mediated discussion, the student should consider lodging a formal complaint (Section 3).  The Dean of Students can advise on the appropriate recipient and form of a formal complaint.

2.1 Seeking advice

A student with a complaint is firstly encouraged to seek advice from an independent person knowledgeable about the process and aware of potential outcomes.

The Dean of Students [Dean of Students], the ANU Students' Association [ANU Student Association (ANUSA)], and the Postgraduate and Research Students' Association [Postgraduate And Research Students Association (PARSA)] are available to provide students with advice.

2.1.1 The Dean of Students acts as a neutral intermediary between students and the University.  The Dean can help students determine whether their complaint is reasonable, can clarify the best way to address the complaint within the University, and, where appropriate, can help the student to resolve the complaint informally.  Most problems and complaints are resolved at this stage. Consultations with the Dean of Students are entirely confidential, they do not constitute instigation of a formal complaint, and the Dean will take no action unless the student agrees it should be taken.

2.1.2 The ANU Students' Association (ANUSA) and the Postgraduate and Research Students' Association (PARSA) can also help provide advocacy, and support students throughout any stage of the complaints process, including by attending meetings with students or by making inquiries and advocating on students' behalf where appropriate. Students can also use ANUSA and PARSA to get a second opinion on advice offered by the Dean of Students. 

2.1.3 Students may also seek advice from the Counselling Centre, the Disability Services Unit, or the International Education Office where appropriate.

2.2 Informal Complaint Resolution

After gathering information and advice, the student may:

2.2.1        Take no further action.

2.2.2        Make an informal approach to the person concerned (the respondent).  The Dean of Students can act on the student's behalf and/or mediate between the involved parties where appropriate.

2.2.3        Proceed directly to the formal complaint resolution process.

If an informal resolution cannot be reached, students may lodge a formal complaint.

If the student decides to lodge a complaint under section 3 below, they are encouraged to seek further advice from the Dean of Students, and support and advocacy from ANUSA, PARSA or another advocate. 

3.         LODGEMENT OF FORMAL COMPLAINT

3.1 Where the student has not been able to successfully resolve a complaint directly with the person/s concerned or with the assistance of an advisory person or association, they should take up the matter up with the responsible officer. 

The responsible officer is the person with responsibility for the area, staff member or student concerned, eg:

• an issue with course policy should normally be referred to the course or program convener;
• a problem involving a particular staff member or student should normally be referred to that person's supervisor or the appropriate Head of School or Department
• a problem regarding the Head of a hall or college should be referred to the Director of Residential and Campus Communities.

If the appropriate responsible officer is not clearly identifiable, students should seek advice from the Dean of Students.

3.2 If the complaint is considered frivolous, vexatious or is lacking in substance, the responsible officer may choose not to proceed with the complaint resolution process.

3.3 The responsible officer will consider whether the complaint can be resolved at the local level or whether it should be referred elsewhere for advice and/or resolution, including under a different process set out in the University's Rules or Policies.

3.4 If, at any point during step 1 or 2 of the resolution process, a student (complainant or respondent) feels that an aspect of this procedure has been unfair they may raise their concern with the Dean of Students. The Dean may (in consultation with the DVC, where appropriate) identify alternative responsible officers or delegated authorities under some circumstances.

4.         CONSIDERATION OF COMPLAINT

Step One - Action By Responsible Officer

4.1 Once the responsible officer has received details of the complaint (preferably in writing) they should aim to resolve it expeditiously, confidentially, and normally within ten working days of receipt.

4.2 On receiving the complaint, and at any time during the process outlined at 4.3, the responsible officer will consider whether the complaint is appropriately dealt with under these procedures or whether there are other policies or procedures that are more appropriate and refer the complainant to those procedures.

4.3 The responsible officer will:

• inform the member(s) of the University against whom the complaint has been made (‘respondent') of the details;
• provide the complainant and respondent with a copy of the Policy and Procedures relating to the resolution of student complaints;
• organise a face to face interview with the complainant (or a telephone interview if necessary), to hear the full details of the complaint;
• explain the process and the range of options available to each party, and ensure that the parties are aware of and, where appropriate, have accessed relevant sources of advice and support;
• listen carefully to the complainant's concerns and their desired outcomes and any responses given by the respondent;
• consider whether the complaint constitutes a genuine grievance;
• seek to obtain an agreed resolution;
• make notes and diary entries as appropriate, which may include some form of confidential file note;
• keep the complainant and the respondent informed of actions taken in considering the complaint;
• take into account the impact of any proposed resolution of the complaint on any third parties;
• document the actions taken to resolve the complaint including any findings made or agreements reached and provide a copy to the complainant and respondent;
• monitor the situation during and after the resolution process.

4.4 Where a complainant or respondent considers that the complaint has not been satisfactorily resolved, they may refer the complaint to the delegated authority (see Step 2).

Step 2 - Referral to a Delegated Authority

4.6 If Step 1 has not resulted in satisfactory resolution of the complaint, it can be referred to the appropriate delegated authority in the relevant ANU College, Administrative Division, or Hall of Residence of the respondent. This will normally be the Dean of an ANU College (or delegate), the Director of a Division, or Head of Hall.

4.7 If the delegated authority is the respondent of the complaint, the matter should be referred to the Deputy Vice-Chancellor who will nominate an appropriate alternative delegate.

4.8 The complainant or respondent should submit details of the complaint in writing to the delegated authority, including an account of attempts made thus far to resolve the complaint.

4.9 The delegated authority should aim to resolve the complaint expeditiously, confidentially, and normally within ten working days of receipt.

4.10 On the basis of this written submission (supplemented by other relevant documentation, and by discussion with the complainant, respondent, and others, as appropriate), the delegated authority may:

• consider the complaint outside the ambit of this procedure, and choose to take no action in respect of the complaint, or refer it for action under other University complaint provisions;
• consider the complaint to be frivolous or vexatious or without substance and choose to take no action in respect of the complaint, or refer the complaint itself for consideration under the discipline rules;
• consider the complaint satisfactorily resolved in Step 1, and direct those involved to proceed accordingly;
• consider the complaint unresolved in Step 1, make an alternative determination, and direct those involved to proceed accordingly;
• decide to conduct an investigation into the complaint. This may include the constitution of an appropriate panel to assist with the investigation, and to make recommendations to the delegated authority. It may include independent investigation of the complaint by, for example, a senior staff member from another area of the University. Following investigation, the delegated authority will report in writing to both the complainant and the respondent, and will initiate appropriate actions to resolve the complaint. This may include action under the relevant disciplinary provisions where appropriate.

Step 3 - Reference to the Deputy Vice-Chancellor.

4.11 The complainant or respondent may appeal the decision(s) and/or action(s) of the delegated authority in Step 2, in writing to the Deputy Vice�??Chancellor. This appeal may be on the grounds of either process or substance.

4.12 The Deputy Vice-Chancellor may take such actions as he or she considers appropriate, including, but not limited to:

• dismissing the appeal;
• referring the complaint back to the delegated authority for further investigation and action;
• resolving the complaint directly, which may involve undertaking further investigation as the Deputy Vice-Chancellor considers appropriate;
• referring the complaint to external mediation or other alternative dispute resolution, at the expense of the University; or
• considering the complaint to be frivolous or vexatious or without substance and choose to take no action in respect of the complaint, or refer the complaint itself for consideration under the discipline rules;

4.13 The Deputy Vice-Chancellor will attempt to resolve the complaint within ten working days of receipt unless it is referred back to a previous step.

4.14 The determination of the Deputy Vice-Chancellor will be final.

4.15 Any complaints directed specifically against the Vice-Chancellor or Deputy Vice-Chancellor should be referred to the University Chancellor, or the Chancellor's nominee, who will determine who is to conduct an investigation on advice from the University Council. Any investigation will follow the general procedure outlined in this Policy.

5.DETERMINATION

5.1 Outcomes will vary depending upon the nature and circumstances of each complaint.

5.2 Where the complaint relates to an adverse decision or action the Responsible Officer, Delegated Authority or Deputy Vice-Chancellor may determine that the original decision or action:

• was appropriate and stands;
• was not appropriate and make another decision within the limits of their delegation.

5.3 The Responsible Officer, Delegated Authority or Deputy Vice-Chancellor may also recommend that an appropriate resolution would be, for example:

• a complainant gaining a better understanding of the situation and no longer considering that they have been aggrieved;
• an oral or written apology;
• an oral or written caution; or
• agreement to participate in some form of mediation or counselling.

5.4 Disciplinary action is not provided for as part of this process.  However, at any stage in this process, a responsible officer, delegated authority or the Deputy Vice-Chancellor may find that a person's behaviour may constitute misconduct or serious misconduct, terminate this process and refer the complaint for consideration under the University's disciplinary provisions.

6.         RECORD KEEPING

Notes should be taken at all stages of the grievance resolution process.  All records or notes taken by the responsible officer, delegated authority or Deputy Vice�??Chancellor while dealing with a grievance, and copies of all relevant communication during the progress of the resolution process, should be stored on a confidential University file.

[1] Where a complaint concerns an enrolled student who is also employed as a staff member of the University and a process is instituted in good faith under the student resolution policy, that process will be continued.

Procedure 720a/2011 replaces 168b/2007 and previous Policy for Discrimination and Harassment Grievance Resolution (270/2002) and Grievance Procedures for Graduate Students (59A/1989)