• Section 1 - Purpose
• Section 2 - Authority
• Section 3 - Scope
• Section 4 -  Procedure 
• Making a Complaint
• Receipt of Complaints
• Conduct of Parties
• Unreasonable Conduct
• Responding to Unreasonable Conduct
• Guiding Principles for Complaints Management
• Protection and Support for Parties to a Complaint
• Privacy and Confidentiality
• Rejecting Complaints
• External Escalation
• Continuous Improvement
• Reporting and Governance
• Section 5 - Compliance
• Section 6 - Definitions

Section 1 - Purpose

(1) This procedure prescribes the characteristics for complaint handling processes across the RMIT Group, and how information gathered from complaints processes informs continuous improvement of RMIT’s systems, policies, practices and decision making.

Section 2 - Authority

(2) Authority for this document is established by the Complaints Governance Policy.

Section 3 - Scope

(3) This procedure governs complaints involving current, former, and prospective employees, students, volunteers, and honorary or visiting affiliates of the RMIT Group. Where there are variations in process or potential outcomes in specialised circumstances, these are covered in other procedures, as listed in the Complaints Governance Policy Schedule 1 – Complaint Types.

Section 4 -  Procedure 

Making a Complaint

(4) All complaints can be submitted through the Complaints Portal, and will be assessed and referred to the relevant team for management.

(5) Guides and fact sheets on how to make or respond to a complaint are available for staff on the Central Complaints and Investigations site, and for students on the Student Complaints site.

(6) Anonymous complaints may be made; however, the ability to effectively investigate, manage and resolve the complaint may be limited.

Receipt of Complaints

(7) The Central Complaints and Investigations team manages the RMIT Complaints Portal, which digitally triages complaints from staff, students and members of the public to the appropriate team based on the complainant’s selection.

(8) Complaint handlers must acknowledge receipt of a complaint upon receiving it and provide information to the complainant about:

1. the complaints process and how to contact the person responsible for managing their case, complaint, or investigation.
2. the importance of confidentiality.
3. the anticipated time frame, as far as can be predicted, which is subject to the nature and complexity of the complaint.
4. record retention practices, which will comply with the Information Governance Policy and associated standards and procedures.
5. the complaint process and potential outcomes, which must be explained to the complainant at the beginning of the complaints process.

(9) Entirely anonymous complaints are normally only investigated where there is enough information to enable an investigation to occur, or where they relate to:

1. serious matters involving a member of the RMIT community, or possible risk to safety, property or RMIT’s reputation.
2. any incident that government legislation deems reportable. RMIT will report these incidents even if the complaint does not have sufficient information to support an investigation.

(10) Where a complainant identifies themselves and requests that their identity be withheld, the complaints handler will determine whether it is possible to resolve the complaint without revealing the complainant’s identity. This determination will be made in accordance with the principles of fairness and natural justice. The complainant will be advised of the determination prior to commencing an investigation.

(11) The complainant must be advised as soon as possible if their complaint involves a mandatory notification to an external body, such as the police or a regulator.

(12) A complainant may withdraw their complaint at any time by notifying the person responsible for managing their complaint. There may be certain circumstances, however, where RMIT may need to continue to pursue the matter.

Conduct of Parties

(13) All parties to a complaint are expected to act respectfully and with good intent.

(14) Complainants are responsible for the content of their complaint and must not knowingly provide RMIT with inaccurate or misleading information. Non-compliance may result in disciplinary action, or in extreme circumstances be reported to the appropriate external regulatory body or the police.

Unreasonable Conduct

(15) Unreasonable conduct by a participant to a complaint includes, but is not limited to:

1. aggressive, rude or threatening behaviour, including the use of offensive or abusive language or imagery in communications.
2. insisting on unreasonable or unattainable outcomes.
3. making unreasonable demands about how a complaint should be managed.
4. withholding information, misquoting others, selectively disclosing information or lack of co-operation during the complaints process.
5. making serious allegations, then declining to provide further information or evidence about the allegations.
6. refusing to provide further clarification of issues raised upon request or failing to provide evidence that has been referenced.
7. repeated emailing, calling or contacting RMIT staff in any way when the complaint is being considered or has already been dealt with and closed.

Responding to Unreasonable Conduct

(16) If a complaint handler forms the preliminary view that a complaint may be frivolous, vexatious or otherwise unreasonable, they will consult with the relevant Associate Director or Manager as to whether the complaint or investigation proceeds.

1. For staff complaints, contact the Associate Director, Policy and Workplace Relations.
2. For public complaints, contact the Associate Director, Central Complaints and Investigations.
3. For student complaints, contact the Manager, Student Complaints.

(17) Where reasonably practicable, the party will be notified of concerns about a complaint and invited to provide further comment or information to demonstrate their complaint, or the information to demonstrate their complaint, or the information provided is genuine and made in good faith.

(18) When a complaint is deemed to be frivolous or vexatious, it will not be responded to.

(19) Where the conduct of a party to a complaint poses a risk to the safety and wellbeing of staff or students of the RMIT Group, they may be reported to the RMIT Health, Safety and Risk team, the Senior Manager for Campus Security at the relevant campus, or the police, depending on the nature of the behaviour.

(20) Unreasonable conduct may result in RMIT not taking any further action in relation to the complaint, withdrawing services, restricting access or disciplinary action up to and including termination of employment or enrolment in extreme circumstances, in accordance with the Code of Conduct or Student Conduct Policy.

(21) All complaints will be dealt with on their merits, however RMIT may restrict access to its complaints service for complaint parties who act unreasonably. This includes limiting contact methods and contact times.

Guiding Principles for Complaints Management

(22) Information about a complaint is only provided to those people who need to know about it for the complaint to be actioned properly. Where possible, and in accordance with any relevant legislation, the identity of the complainant is protected.

(23) The complaint handler will seek clarification or request further information to assess the nature of the complaint and identify other parties involved in the complaint.

(24) The subject of a formal complaint investigation (the respondent) is informed of the substance of any allegations made against them, to the extent it is possible to do so without compromising the health and safety of any known party. The complaint handler or responsible officer:

1. advises them they will have an opportunity to respond to the allegations.
2. provides information about the complaints process and the importance of confidentiality.
3. explains what records will be kept, for how long, and why.
4. warns that it is unacceptable to victimise the complainant or witnesses.

(25) Parties to a complaint are kept informed of the progress of the complaint throughout the process. While RMIT does not set a time limit for making a complaint, each complaint should be made as promptly as possible. RMIT may be unable to investigate an issue where, due to the length of time elapsed since the event, decision or action, there is insufficient information available to enable investigation of the complaint.

(26) Complaints processes are accurate, current, and easy to access and understand.

(27) All potential complainants can participate equally. Where needed, information is provided in a specific format for a person with a disability.

(28) Every effort will be made to resolve matters as quickly and efficiently as possible, however a longer period may be required if the complaint is unusually complex.

(29) As part of the assessment process, complaint handlers and decision makers must ensure that all relevant information has been sought and considered before reaching a decision or recommendation.

(30) Complaint outcomes are clearly communicated to the relevant parties in an appropriate manner, taking into consideration relevant legislated requirements and policies.

(31) An explanation of and reasons for the resolution are provided, and details of the policy, information or evidence that was relied upon. Complaint outcomes provide details on any applicable avenues for appeal or review (see also External Escalation section below).

(32) Evidence, investigative actions and decisions are documented and stored in a secure manner in accordance with the Information Governance Policy and Privacy Policy.

Protection and Support for Parties to a Complaint

(33) Support for participants may include, but is not limited to, a support person attending meetings for reassurance and emotional support.

(34) Support persons may be representatives from the staff or student union, family, friends, Ngarara Willim for Aboriginal and/or Torres Strait Islander staff or students, staff or student counselling services, privately sourced counselling services, Safer Community where appropriate, University Chaplaincy, Student Legal Services or other support mechanisms as allowed by legislation.

(35) Staff also have the option to seek support via the Employee Assistance Program.

(36) The name and relationship of the support person must be provided to the case manager or investigator prior to the formal interview or meeting they will be participating in.

(37) A support person must not have a vested interest or a conflict of interest with the complainant(s), witness(es) or respondent(s) of the investigation.

(38) A support person is expected to maintain confidentiality regardless of whether they are from outside RMIT or via professional services offered by RMIT.

(39) RMIT takes reasonable steps to protect RMIT parties to a complaint from victimisation, unwarranted detrimental action or reprisals. Any RMIT employee or student found to have participated in unwarranted detrimental action may be the subject of disciplinary action.

(40) Where there are concerns about risk or safety of any person related to the complaint, RMIT may take immediate action to remove or isolate the individuals from the campus or immediate workspace while an investigation is carried out.

(41) RMIT may take precautionary action to protect physical or non-physical assets, animals, RMIT’s reputation and the environment.

(42) RMIT may take proactive action where required to preserve evidence or comply with obligations lawfully placed on RMIT by third parties.

(43) Line Managers are responsible for monitoring the wellbeing of their complaint-handling staff. Staff must be advised of the support in place if needed when they are managing distressing complaints or materials. 

Privacy and Confidentiality

(44) The outcome of a complaint can be shared by RMIT with relevant parties to a complaint and with others who may need to be informed as part of their role. Any disclosure must be balanced against preserving the privacy of others consistent with the Complaints Governance Policy and Privacy Policy.

(45) All parties involved in a complaint under this procedure must treat the details, their involvement, the names of other associated parties and all reports, findings, recommendations and actions as confidential. Limitations to privacy and confidentiality apply:

1. where risks to health and safety are present;
2. in matters involving a person under 18 years of age; or
3. in circumstances where information is otherwise permitted or required to be shared by law.

Rejecting Complaints

(46) Circumstances where RMIT may not be able to accept or proceed with a complaint may include where the complaint:

1. lacks sufficient information to allow a proper investigation to occur.
2. is vexatious or frivolous.
3. involves a complainant who is acting unreasonably, failing to show respect for the complaints staff and processes.
4. relates to decisions or conduct that is outside the responsibility of RMIT.
5. seeks to re-agitate issues that have already been addressed and resolved.

(47) A complaint handler who forms the preliminary view that a complaint may not be able to proceed will, where reasonably practicable, notify the complainant and invite them to provide additional information to support the genuineness of their complaint. However, if the complainant has exhibited threatening behaviour, or there is an assessment of imminent risk, it may not be possible to offer this opportunity before a decision is made not to proceed.

External Escalation

(48) RMIT staff and students who feel their complaint was handled unfairly, or has breached RMIT policy or procedure, may raise their complaint with the Victorian Ombudsman. Higher Education students also have the option to make a complaint to the National Student Ombudsman. RMIT UP English students on a student visa may raise their matter with the Commonwealth Ombudsman.

Continuous Improvement

(49) The Associate Director, Central Complaints and Investigations:

1. advises complaints process business owners annually of the characteristics of the data they must provide and the schedule for providing it;
2. investigates data received from complaints process business owners to identify trends and opportunities to improve systems, policies, practices and decision making;
3. regularly reviews the various complaints processes to ensure they align with contemporary best practice;
4. advises business owners on improvements; and
5. provides recommendations to the Audit and Risk Management Committee from investigations where systemic issues have been identified. This forms part of RMIT’s risk mitigation strategy for continuous improvement.

Reporting and Governance

(50) Business owners of each of RMIT’s complaints processes provide their complaints data biannually to the Associate Director, Central Complaints and Investigations for inclusion in the RMIT Group complaints report. This report is submitted to the Audit and Risk Management Committee, Academic Board and University Executive Committee. The report is also submitted annually to Council for noting. The report contains:

1. the number of complaints received in the period across staff, student, public and whistleblower matters, and any cases of modern slavery; and
2. an analysis of complaint data by type, including trends, themes and root causes.

(51) Where trends or systemic failures are identified, recommendations for action are made by the Associate Director, Central Complaints and Investigations and the relevant business owners are identified, notified and assigned actions.

Section 5 - Compliance

(52) The Associate Director, Central Complaints and Investigations is dedicated to ensuring compliance with this procedure. This includes the correct collection and use of centralised complaint systems.

(53) Breaches of this procedure can be reported through the Organisational Breach Reporting Form. The disciplinary outcomes of a breach and any appropriate appeals mechanisms can be found in the Compliance Breach Management Procedure.

Section 6 - Definitions