• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Part A - Procedural Fairness
• Part B - Grievances
• Part C - Grievance Processes
• Part D - Grievance Advisers
• Part E - Designated Officers
• Part F - Mediation
• Part G - Grievance Advisory Committee
• Part H - Disciplinary Actions
• Part I - Anti-Discrimination Laws
• Part J - Confidentiality
• Part K - Documentation
• Part L - Grievances which are Malicious and/or Lacking in Substance
• Part M - Training Requirements
• Grievance Advisers
• Designated Officers
• Mediators
• Grievance Advisory Committee
• Part N - Workload
• Part O - Information Availability
• Part P - Other UWS Policy Documents
• Section 4 - Procedures
• Section 5 - Guidelines

Section 1 - Purpose and Context

(1) The University ensures that the work and learning environment are in accordance with laws and policies which promote a culture which respects the diverse experiences of staff and students. Inevitably, within a large organisation problems can occur between people and conflict results. To facilitate the resolution of conflicts where there are no existing organisational procedures, a University grievance resolution policy is required.

(2) The Grievance Resolution Policy and Procedures are designed:

1. to prevent personal conflicts from becoming entrenched;
2. to resolve grievances speedily, in a confidential, conciliatory and effective manner;
3. to be easily accessible to staff and students thus enabling an effective and productive work and study environment for staff and students;
4. to provide a framework policy within which consistent procedures can be developed; and
5. to enable monitoring of grievances with UWS.

(3) The University believes that the development of consistent grievance processes will assist in achieving these purposes.

(4) The Grievance Resolution Policy and Procedures complements the University's existing dispute resolution procedures. Academic and administrative matters will continue to be addressed directly through existing University policies and procedures.

(5) The University will provide appropriate training to staff involved in the grievance processes as outlined in this document.

Section 2 - Definitions

(6) For the purpose of this policy:

1. conciliation - is where an impartial third party directly facilitates the process of grievance resolution between the grievant and the respondent.
2. disciplinary matters - related to staff are covered by the applicable employment agreement, and for student, the University By-laws.
3. discrimination - can be either direct or indirect:
   1. direct discrimination - is the result of beliefs and stereotypical attitudes some people may have about the characteristics and behaviour of an individual or members of a group. Direct discrimination occurs when a person or group is specifically excluded from an opportunity because of a personal characteristic such as sex, age or ethnic origin.
   2. indirect discrimination - occurs when rules, practices and decisions are applied to people equally and appear to be neutral, when in fact the rule or practice significantly reduces the chance of an individual or members of some groups in obtaining a benefit or opportunity. Refer to the UWS Equal Employment Opportunity Policy statement for further information.
4. grievant - is a student or staff member who is directly affected by a decision, act or omission by any person or persons within the University, which the student or staff member considered wrong, mistaken, unjust or discriminatory, and is causing concern or distress to them.
5. harassment - is behaviour or acts directed against individuals or groups which are experienced as distressing, insulting, offensive, demeaning, humiliating or intimidating.
6. mediation - involves an accredited mediator, who manages and directs the mediation process, but not the content of the grievance.
7. mediator - is a University staff member who is agreed upon by the parties and chosen from a list of accredited mediators. The mediator is an impartial third party who has had no involvement in the grievance nor management responsibility in the resolution of the specific grievance. The option to select a mediator who is not employed by the University will remain with the Deputy Vice-Chancellor Corporate Services or nominee.
8. Complaints Resolution Manager - is a University designated staff member who has training and experience in mediation and will manage the list of University mediators.
9. negotiation - involves two people, with competing or conflicting interests or needs working towards an agreement on how they will co-operate. This is a frequently used strategy for resolving grievances, especially in the initial stages of a grievance.
10. designated officers - are the staff designated to manage grievances within their area of authority by the Deputy Vice-Chancellor Corporate Services.
11. respondent - is the person who is the subject of the complaint.
12. Union Members - are members of the appropriate trade unions or the student organisation.
13. University - is the University of Western Sydney.

Section 3 - Policy Statement

(7) The University of Western Sydney is committed to upholding the principles of equal opportunity and fair treatment for all staff and students. As such the University is committed to providing an environment free from unfair treatment, harassment and discrimination of staff and students. In support of this commitment the University will provide grievance procedures which are fair, sensitive, quick and confidential. The University will not tolerate victimisation of staff and students in the exercising of their rights of complaint.

Part A - Procedural Fairness

(8) The requirements of procedural fairness are integral to grievance processes and apply to a person who is in the position to affect materially the rights and interests of others.

(9) The three requirements for procedural fairness in the grievance process are:

1. Both sides to the grievance must be heard, including providing a person with the opportunity to respond to what is said about them.
2. Staff involved in resolving the grievance must be, and be seen to be, impartial. They must not be seen to have some specific personal interest, actual or potential, in a particular outcome.
3. Any conclusions reached must be supported by evidence. That is, conclusions must be based on facts not on speculation or supposition.

Part B - Grievances

(10) A staff or student grievance is related to a decision, act or omission by a University staff member or student, which an affected person believes to be wrong, mistaken, unjust or discriminatory.

(11) Grievances within this policy do not include matters covered by Industrial Awards, University By-laws and existing University policies and procedures.

(12) A grievance is expected to be brought forward within 18 months of the events associated with the grievance. After 18 months a grievance will not be considered unless there are substantial reasons for the delay in reporting the grievance.

Part C - Grievance Processes

(13) The 'greater choice model' enables a grievant to chose different people to assist in the resolution of the grievance appropriate to them and the grievance, as shown in the Grievance Resolution Diagram - People .

(14) Different grievance resolution processes will be used where a student or staff have a grievance where the substance is not disciplinary in nature, as shown in the Resolution Process Diagram .

(15) If a grievance appears: to involve danger to people or property; is within the ICAC guidelines regarding corrupt behaviour; is within the meaning of serious misconduct from the applicable employment agreement; is within the meaning of misconduct in the University’s student misconduct policies; or is a criminal offence; staff should discuss this matter with the grievant and must refer the matter to the Deputy Vice-Chancellor Corporate Services, or nominee.

Part D - Grievance Advisers

(16) Grievance advisers assist in resolving grievances at an initial stage of complaint in a quick, confidential, conciliatory and effective manner.

(17) Grievance advisers can be contacted by staff and students for assistance in the resolution of their grievance and will advise on the processes for resolving grievances including assisting the grievant clarify the issues. A grievance adviser will direct a grievant to another grievance adviser if impartiality cannot be assured.

(18) Upon receipt of a grievance from a grievant, the grievance adviser will normally act within five working days of the grievant informing them of the grievance. It is expected that resolution of the grievance will normally be completed within thirty working days.

(19) The grievance adviser can assist in the resolution of a grievance:

1. by providing relevant advice and assistance to the grievant; or
2. by referring the grievant to another grievance advise or designated officers; or,
3. assist in facilitating negotiation of the grievance, with the prior consent of the grievant and respondent.

(20) A role and responsibility statement for grievance advisors will be developed by the UWS Director, Human Resources, and Director Equity and Diversity Unit.

Part E - Designated Officers

(21) Staff and students can obtain confidential advice directly from the University designated officers on matters which may or may not be a grievance.

(22) Designated officers involved with managing staff grievances are: Academic and Administrative Heads of Units; Human Resources Managers; Occupational Health and Safety Officers; and Equity and Diversity Officers and Director Equity and Diversity Unit; or nominees of these designated officers.

(23) Designated officers involved with managing student grievances are: Academic and Administrative Heads of Units; Student Services Managers; Occupational Health and Safety officers; and Equity and Diversity Officers and Director Equity and Diversity Unit; or nominees of these designated officers.

(24) Designated officers can:

1. facilitate negotiation of the grievance;
2. conciliate the grievance;
3. investigate the grievance in accordance with the UWS Investigation Protocols, within the authority of their designated position;
4. arrange mediation;
5. refer the grievance to the Deputy Vice-Chancellor Corporate Services, or nominees, for further action.

Part F - Mediation

(25) University mediators will normally be a University staff member who are suitably qualified and have attended an accredited course recognised by the University. A list of accredited University mediators will be organised by the office of the UWS Director, Human Resources. The UWS Director, Human Resources, will organise the training of University mediators and monitor the work load of University mediators.

(26) The guidelines for mediation will be developed from accredited mediation organisations by the UWS Director, Human Resources and Director Equity and Diversity Unit.

(27) These mediation guidelines will be explained by the designated officers to the grievant and respondent. This will include ensuring that the grievant and respondent are aware that a mediator manages and directs the process but not the content of the grievance, and that a support person may be present during the mediation session.

(28) The grievant and respondent upon agreeing to mediation will select a mediator from the list provided by the Complaints Resolution Manager. Mediation will occur normally within 14 days of both parties agreeing to the mediator(s). The designated officers will organise the time and place for mediation to occur.

(29) The grievant and respondent provide to the mediator a brief statement setting forth their own position with regard to the issues that need to be resolved. The designated officers can assist the grievant and respondent in this process. Alternatively the respondent may seek assistance from another designated officer or grievance adviser.

(30) At the conclusion of the mediation session the grievant and respondent determine their agreement for resolution of the grievance. This is generally a written and signed statement, which is the property of the grievant and respondent. It is presented to the designated officers. Alternatively where mediation is not successful, the mediator and/or the parties report this to the designated officer. The designated officer will then consult with the grievant regarding other options for resolution of the grievance, which may include referral to the Deputy Vice-Chancellor Corporate Services or their nominees.

Part G - Grievance Advisory Committee

(31) A grievance advisory committee can be established to resolve a grievance that is not disciplinary in nature. It is the decision of theDeputy Vice-Chancellor Corporate Services, or nominee, to establish whether the grievance is disciplinary or not. If not disciplinary the Deputy Vice-Chancellor Corporate Services, or nominee, can establish a grievance advisory committee.

(32) On receipt of a grievance, the Deputy Vice-Chancellor Corporate Services, or nominee will provide the respondent with a written copy of the grievance. The Deputy Vice-Chancellor Corporate Services, or nominee, in consultation with the grievant and respondent, will reconfirm that negotiation, conciliation and/or mediation could not be used, or has been exhausted.

(33) A grievance advisory committee will have male and female representation and normally consist of three people. Committee members will be chosen by the Deputy Vice-Chancellor Corporate Services, or nominee, in consultation with the grievant and respondent, or their respective staff Union or student representative body. The committee members will have suitable background and/or training.

(34) The grievance advisory committee role is to:

1. ascertain the facts and any mitigating circumstances;
2. interview members of the University, including grievance advisers and designated officers, who can provide a brief history of the process undertaken to resolve the grievance.
3. have access to available relevant documents;
4. make a recommendation on resolution of the particular case; and
5. make comment, where appropriate, on any matters of governance or structure which may have contributed to the dispute.

(35) The Chair of the Committee will ensure that the respondent is fully informed of grievance which affect them.

(36) Both parties will appear before the committee and may be accompanied by a person of their choice, who does not have speaking rights. The grievant and respondent may request a person with speaking rights where a person's language or disability would detrimentally affect a person's participation in the process.

(37) The time requirements for the formal procedures will be:

1. agreement on the composition of the committee and the terms of reference occurring within 10 working days of the lodgement of the written grievance;
2. the committee meets within the following 5 working days;
3. the committee completes and submits its report, including recommendations, to the Deputy Vice-Chancellor Corporate Services, or nominee, within 10 working days from the conclusion of the committee meetings; and
4. the Deputy Vice-Chancellor Corporate Services, or nominee, makes a decision or commences appropriate action within 12 working days after receipt of the Committee's report.

(38) The committee's written report, including recommendations, will:

1. reflect the views of all members of the committee;
2. be signed by each member of the committee;
3. be directed to the Deputy Vice-Chancellor Corporate Services, or nominee;
4. be available to the grievant and respondent; and
5. be, in all other respects, a confidential document.

(39) The President will make the decision based on the committee's report and provide reasons for the decision to the grievant and respondent. The Deputy Vice-Chancellor Corporate Services may make recommendations for action to Heads of Academic or Administrative Units, resulting from the written report. If Heads of Academic or Administrative Units cannot implement fully the President's recommendations, they must inform the President and both parties directly of the reasons.

(40) If disciplinary action is indicated at any stage throughout this process, the committee will refer the matter immediately to the Deputy Vice-Chancellor Corporate Services, or nominee.

(41) One person can replace the Committee if the Deputy Vice-Chancellor Corporate Services, the grievant and respondent agree to this change and if there is agreement on whom the one person will be. This person will comply with the requirements of the committee role, time limits and report writing.

Part H - Disciplinary Actions

(42) For students the University of Western Sydney student misconduct policies will be applied in all matters pertaining to allegations of misconduct by a student.

(43) For staff, disciplinary matters will be dealt with in accordance with their employment agreement, or other relevant industrial instrument.

Part I - Anti-Discrimination Laws

(44) Where grievances relate to discrimination issues reference to the Director, Equity and Diversity Unit is required.

(45) Grievants to whom these guidelines apply will, in some circumstances, have rights of complaint whether against the respondent or employer or both, under anti-discrimination laws. Reporting a grievance will not deprive a person of the right of complaint to these external agencies and grievants will be informed of the existence of external rights.

Part J - Confidentiality

(46) Confidentiality is an important aspect in assisting in the resolution of a grievance. A grievant and the respondent of a grievance have the right to expect that staff involved in grievance management will maintain a high level of confidentiality about all aspects of the grievance. This expectation of confidentiality also extends to both grievant and respondent.

(47) Breaches of confidentiality, careless or otherwise, by people involved in grievance management, including the grievant and respondent, may be the subject to disciplinary action by theDeputy Vice-Chancellor Corporate Services, or nominee.

Part K - Documentation

(48) Documentation collected by Committees will be retained in accordance with record management requirements (refer Record Management Policy).

(49) Documents related to actions by the grievance advisors, designated officers or Grievance advisory committee will not be placed on staff or students personal file unless they are part of an agreement in the grievance resolution process.

(50) The University will maintain non-identifiable statistical records on grievances for reporting in the University's Annual Report.

Part L - Grievances which are Malicious and/or Lacking in Substance

(51) Where a grievance is assessed by a grievance adviser or designated officer to be lacking in substance the grievance adviser or designated officer may submit the complaint to another grievance adviser, or designated officer, for review.

(52) Where a grievance is held by the grievance advisory committee to be lacking in substance it may recommend that the Deputy Vice-Chancellor Corporate Services dismiss the complaint.

(53) Where a grievance is considered to be false and/or malicious the grievance advisers and designated officers must refer the grievance to another designated officer for review, and if then considered false and/or malicious it must be referred to the Deputy Vice-Chancellor Corporate Services, or nominee, for investigation and possible disciplinary action.

(54) Where a grievance is considered by the majority of the grievance advisory committee to be false and/or malicious the committee must refer the matter to the President, or nominee, for investigation and possible disciplinary action.

Part M - Training Requirements

Grievance Advisers

(55) The Deputy Vice-Chancellor Corporate Services or nominee will ensure that there are grievance advisers accessible for staff and students and that they have appropriate prior experience and/or training to implement the UWS Grievance Policy and Procedures. This includes grievance adviser's awareness of the relevant legislation. Grievance advisers must attend training, of at least 4 days, prior to appointment as a grievance adviser which includes an assessment. Grievance advisers will receive supervision, during work hours, by the person responsible for the grievance advisers. Grievance advisers must demonstrate to the Complaints Resolution Manager through their experience or training, their competencies at being a grievance adviser. Grievance advisers are appointed for a period of two years from the date of approval from the Deputy Vice-Chancellor Corporate Services.

Designated Officers

(56) The Deputy Vice-Chancellor Corporate Services or nominee will ensure that all designated officers have appropriate prior experience and/or training to implement the UWS Grievance Policy and Procedures. This includes designated officers' awareness of the relevant legislation, such as anti-discrimination legislation, Occupational Health and Safety Act, Protected Disclosures Act, Freedom of Information Act .

Mediators

(57) University mediators must be trained by a recognised organisation, which can include LEADR, Australian Commercial Dispute Centre and the Community Justice Centres.

Grievance Advisory Committee

(58) Any person selected for the grievance advisory committee must receive training on the UWS Grievance Policy and Procedures unless they can demonstrate to the Deputy Vice-Chancellor Corporate Services, or nominee, that they have prior experience and/or training in this area.

Part N - Workload

(59) A grievance advisers' contribution to this policy will be recognised within their workload, and monitoring will occur within the University to ensure that staff who are grievance advisers do not have excessive work because of this role.

(60) University mediators will have their contribution to this policy recognised within their workload, with monitoring occurring by the Complaints Resolution Manager.

Part O - Information Availability

(61) University Members will ensure that written and electronic access to the UWS Grievance Resolution Policy and Procedures is available to all staff and students. All heads of academic and administrative units will receive a copy of the document.

(62) University Members will develop promotional materials to inform staff and students on the grievance procedures arising from the Policy, which will include the names and roles of relevant staff involved in grievance resolution.

Part P - Other UWS Policy Documents

Section 4 - Procedures

(63) Refer to Grievance Resolution Flowchart.

Section 5 - Guidelines

(64) Nil.