1. Purpose

The purpose of this Policy is to define the framework for UAC management of Complaints from applicants and members of the public.

2. Aims, Scope and Context

This Policy applies to all UAC Staff (whether permanent, full-time, part-time, fixed or maximum-term, casual, temporary or voluntary), or contractors (including an employee of a contractor).

2.1 Aims

UAC's approach to Complaints aims to:

• provide a free, fair, timely, efficient and accessible process to lodge and deal with a Complaint
• enable UAC to respond to Complaints appropriately
• assure people that Complaints will be dealt with impartially
• identify potential improvements in UAC's Policies, programs, services, procedures and performance
• empower UAC staff to resolve Concerns and Complaints at the point of origin (with the exception of Serious Complaints).
• relate directly to UAC’s business decisions or operations, whether on or off UAC premises
• involve people who are officers of, are employed by, or otherwise engaged by UAC (such as contractors and agents)
• have already been dealt with at the point of origin for response, but where the complainant remains dissatisfied
• relate to the failure to ensure procedural fairness, or
• meet the definition of a Serious Complaint.

2.2 Scope

This Policy applies to Complaints about incidents or matters that:

• relate directly to UAC’s business decisions or operations, whether on or off UAC premises
• involve people who are officers of, are employed by, or otherwise engaged by UAC (such as contractors and agents)
• have already been dealt with at the point of origin for response, but where the complainant remains dissatisfied
• relate to the failure to ensure procedural fairness, or
• meet the definition of a Serious Complaint.

2.3 Procedures

The Complaint procedures to be followed are outlined in the Complaint Management Procedures.

2.4 Third parties

Complaints pertaining to the behaviour of employees of third-party providers will be received under this Policy but may be referred to the relevant organisation for investigation under their complaint procedures. UAC will investigate to the extent possible, provide support to the complainant where appropriate and report back to the complainant at the conclusion of UAC’s investigation. In these circumstances, UAC expects the third-party provider to advise UAC when their investigation has concluded, including whether the substance of the Complaint was found to be true.

3. Policy statement

UAC will respond to all Legitimate Complaints submitted under this Policy as required under this Policy and the Complaints Management Procedures. Legitimate Complaints enable UAC to identify and act on inconsistencies between the standards promised and/or provided and reasonable expectations.

'A complaint is an expression of dissatisfaction made to or about an organisation related to its products, services, staff or management of a complaint, where a response or resolution is explicitly or implicitly expected or legally required.2 Customers may complain either directly to your organisation or to a third party.' ¹

Making a Complaint under this Policy is a serious matter with potentially serious consequences for those involved. Persons who provide information are expected to be honest and not provide information that is false, misleading or vexatious. UAC reserves the right to take appropriate action (including disciplinary action or reports to the NSW Police) if this occurs.

UAC believes, subject only to the limitations of the laws of NSW and Australia, in particular Privacy Legislation, that the Complaints Process and results should be as transparent as reasonably possible.

3.1 Complainant identity

Anonymous Complaints will be accepted, reviewed and investigated to the extent possible, but only where sufficient information has been provided.

UAC will attempt to protect the identity of people making a Complaint where it is practical and appropriate, taking into account any requirements of procedural fairness and law.

3.2 Complainant and respondent behaviour

Participants are to:

• treat UAC staff with respect at all stages of the Complaint Management process and not behave in an unreasonable or unreasonably persistent manner
• respond to requests for additional information in a timely manner.

3.3 Procedural fairness

Respondents will be:

• afforded procedural fairness, which includes being advised of the substance of any Complaint that they are asked to provide response and/or input to
• allowed to have a support person or representative accompany them to any meeting or interview required under this Policy and/or to be included in any correspondence relating to the Complaint
• provided with information on any support services available via UAC.

3.4 Confidentiality and privacy

Those involved in a Complaint must maintain strict confidentiality.

• Confidentiality protects the integrity of an investigation and respects the rights of those involved in the Complaint. The requirement for confidentiality will not prevent the requirement to provide procedural fairness.

3.5 Exceptions

UAC may refuse or discontinue to deal with a Complaint in circumstances where the Complaint has previously been dealt with, when it is more appropriate to deal with the Complaint in other forums or under other more appropriate policies.

4. Definitions

In this Policy, the following words have these meanings unless the context requires otherwise:

• Applicant means a person who has applied or attempted to apply for an offer;
• Complaint means an expression of dissatisfaction about UAC or UAC Staff or UAC actions or procedures that requires review, investigation and/or action, and that is drawn to the attention of UAC;
• Complaint Management Process means all procedures, policies, practices, staff and software that UAC uses in managing Complaints;
• Complaint Management Officer (CMO) means the person appointed by the Managing Director to manage complaints and the Complaints Process.
• Complainant means a person who makes a Complaint under this Policy;
• Concern means an issue that has arisen but has not yet been addressed at the level of origin;
• Feedback means matters that may be presented as a Complaint, but do not warrant action beyond noting and referral to the relevant management area for consideration;
• Frivolous means a Complaint that lacks substance, or is trivial in nature, or has no serious purpose or value;
• Legitimate Complaint means a Complaint that fits the definition of Complaint and is not otherwise frivolous or vexatious;
• Level of origin means the level of UAC where the initial concern arose;
• Serious Complaint refers to a Complaint that if proven,
  • could involve an offence under law (eg assault, sexual assault, theft etc) or
  • obliges UAC to act (eg sexual harassment, harassment, victimisation etc)
  • a concern or complaint to which the Whistleblower Policy applies or
  • may otherwise present a significant risk to UAC, applicants, staff or community
• Support person means a person whom the complainant or respondent appoints to provide personal support only throughout the process of managing a Complaint under this Policy
• Vexatious means a Complaint that is assessed as being made for the purpose of either or any combination of the following: annoying, bothering, embarrassing, harassing, causing trouble for and/or unfairly damaging the respondent.

5. Policy relationships

5.1 Relation with other policies

The Complaints Management Policy and Procedures will not normally apply to the following matters where there are separate processes, policies and procedures to review and investigate Complaints:

• handling of personal and health related information
• staff performance and misconduct
• applicant misconduct
• whistleblowing (including public interest disclosures).

6. Administration

UAC reserves the right to amend, modify or change this Policy at any time.

¹ Ombudsman NSW Effective Complaint Management Guides Lines 2024, p9

Complaints Management Procedure

1. Purpose

The purpose of this Procedure is to provide the procedures applicable to the Complaints Management Policy.

2. Initial complaint principle

Complaints made by Applicants or members of the Public can be received by any staff member and if not capable of solution at the initial stage should be dealt with under the Complaints Management Process in Clause 3.

2.1 Form of complaints

• Complaints may be made anonymously.
• Complaints may be made orally or in writing, including by email.
• A Complainant who makes an oral Complaint may have their identity withheld through the balance of the process.
• A Complaint may be initiated by an application for a refund of fees.
• A Complaint may be initiated by way of legal process or by a referral to a regulatory body ‘an External Complaint’.

2.2 Actioning a complaint

• Subject to having received relevant Complaint handling training and having appropriate expertise to remedy a Complaint, customer service staff who receive a Complaint shall attempt to resolve the Complaint, or refer the Complaint to a trained staff member as appropriate.
• If it is assessed that a Complaint cannot be resolved at its first receipt, then the Complaint is to be referred to the Complaints Management Officer.
• An External Complaint will be reviewed by the Managing Director to determine whether attempts are made to resolve the Complaint or formally defend the Complaint or both.

2.3 Procedural fairness

• All parties to a Complaint must be treated with procedural fairness which includes ensuring that a respondent is given sufficient information and opportunity to properly respond to a Complaint.
• The Complaints Officer (CMO) is not to have contributed to or been involved with the subject of the alleged complaint.

2.4 Complainant rights

Complainants will be:

• listened to and treated with respect by staff involved in the Complaint process
• provided with information about the Complaints Management Process
• provided with information on external agencies that may review their Complaint
• provided with written advice of the outcome of their Complaint, including reasons, and subject to any restrictions imposed by legislation
• protected, to the extent possible, from any detrimental action related to them having made a Complaint
• allowed to have a support person accompany them to any meeting or interview required under this Policy and/or to be included in any correspondence relating to their Complaint
• allowed to appoint an advocate or independent advisor to act on their behalf
• be provided with information on any support services available via UAC
• be provided with information on external agencies that may review the Complaint outcome, once determined.

2.5 Withdrawing a complaint

A complainant may choose to withdraw their Complaint at any time by notifying the CMO or Managing Director in writing. In some instances, no further action will be taken, however, UAC retains the discretion to act on, or continue its investigation of, a complaint.

3. Complaint management process

There are five stages in the UAC Complaint Management Process. A possible External Appeal stage follows the five stages.

3.1 Stage 1 – Receipt and acknowledgement

Complainants may lodge their Complaints in person or by email, phone or mail. Whichever method is used their Complaint, whether later acknowledged as a Complaint or not, will be acknowledged in writing if capable of being acknowledged. When possible, the recipient Staff member is empowered to attempt to resolve the Complaint in the first instance should the Complaint be of a form capable of immediate resolution.

3.2 Stage 2 – Assessment

The Complaint will be assessed by the CMO to determine whether the issues raised in it are within UAC's control and/or meet the criteria set out in the Complaints Management Policy.

Where it is determined the issues are not within UAC's control and/or the Complaint does not meet the acceptance criteria, the CMO will inform the complainant and provide reasons.

When a complaint has been received in the form of an initiating process of a legal or regulatory nature this will be referred immediately to the Managing Director, the General Counsel, the CMO, the Company Secretary, and if appropriate the Head of the Unit to which the complaint relates. Should the Complaint relate to the action or inaction of any of the foregoing then they will not be included in the distribution at the initial stage.

3.3 Stage 3 – Dealing with the complaint

Following receipt and initial assessment of a Complaint which has not been resolved at first instance, the CMO will decide on the most appropriate way to deal with the Complaint.

Any investigation of the facts will be undertaken as promptly (as circumstances allow and warrant) by qualified impartial personnel (internal or external) as appropriate. This may be undertaken by the CMO and may include the relevant Executive.

3.4 Stage 4 – Resolution and outcomes

The CMO will work with the relevant UAC business unit or staff member(s) and/or third parties to investigate the Complaint and identify possible options for resolving or further dealing with the complaint.

If UAC appears to be at fault or UAC systems or processes are shown to not be best practice, UAC will attempt to resolve the matter in a way that is mutually acceptable to UAC and to the complainant.

Any agreed resolution is to be implemented in a timely manner.

UAC may waive or refund fees if it is considered to be in the interest of settlement and UAC determines that it is appropriate in all the circumstances. All such payments are on a “without prejudice” basis.

Subject only to law or third-party contractual restrictions, (which have not been agreed to in order to subvert Transparency under this Policy) the results of the Investigation and implementation of the findings of the investigation shall be made available to the claimant.

3.5 Stage 5 – Record keeping

All complaints or unsuccessful attempts to lodge a complaint must be notified to the Company Secretary (CoSec) (email CoSec@uac.edu.au).

The CoSec will maintain a register of Complaints and a comprehensive record including:

• a copy of the Complaint
• a copy of the acknowledgement
• correspondence relevant to the assessment, remedy and outcome
• any recommendations for systemic or Policy change arising from the Complaint and
• a copy of the letter of outcome to the complainant.

The Register and Records will be maintained in such a way as to comply with Privacy requirements.

3.6 Appealing a complaint decision - Internal

A complainant may appeal against a decision in writing addressed to the CMO or the Managing Director. The appeal should contain adequate reasoning and/or supporting data as grounds for the appeal. The appeal will be undertaken by the Managing Director or by an Officer of UAC. The complainant shall be informed of the outcome within 21 days.

3.7 External appeal

A complainant may refer the complaint to a relevant external body for review of the Complaint or UAC Complaint processes. UAC will at the request of a complainant advise the complainant as to potential appropriate forums for the external appeal, and if appropriate consent to the jurisdiction of the external appeal body. Each Party shall bear its own costs of appeal.

3.8 Confidentiality and privacy

• Complainants and respondents should only discuss the matter with their nominated support person, union or legal representative, counsellor or medical practitioner, immediate family or household member, who are also bound by confidentiality.
• Generally, material relating to a Complaint will only be disclosed to persons that are involved in the Complaint and/or where UAC considers disclosure is required to manage the Complaint or required by law.
• Some incidents may need to be reported to external authorities and information including the identity of the complainant, respondent and nature of the incident may need to be disclosed. Where possible, consent from the complainant or relevant party will be sought, however UAC reserves the right to refer any matter it considers appropriate to an external agency (such as the NSW Police, the Federal Police and/or the Independent Commission Against Corruption) and has an obligation to report certain incidents irrespective of consent. There will also be some serious matters where UAC will have an obligation to take urgent action to ensure the safety of individuals
• Information and records collected during the Complaints Management Process will be kept confidential and handled according to the provisions of the Personal Information Security Policy and record keeping requirements. These will only be made available to authorised people in the Complaints Management Process or as required by law.

4. Administration

4.1 Definitions

Definitions are the definitions contained in the Complaints Management Policy.

4.2 Conflict

In the event of a conflict of interpretation between these procedures and the Policy the Policy shall take precedence.

4.4 Related legislation

• Independent Commission Against Corruption 1988

• Privacy and Personal Information Protection Act, 1998 (NSW)

• Fair Work Act 2009 (Cth)

• Anti-Discrimination Act 1977 (NSW)

• Discrimination Act 1991 (ACT)

• Age Discrimination Act 2004 (Cth)

• Disability Discrimination Act 1992 (Cth)

• Racial Discrimination Act 1975 (Cth)

• Sex Discrimination Act 1984