Appeals and Complaints
Web Print Version: For official purposes please print the PDF version.
Policy framework: As part of the approach by the University to providing a fair, safe and productive work/study environment access to information about Appeal processes shall be made available fairly, consistently and promptly.
Many decisions that affect a Student’s rights or expectations have an appeal process if the decision is adverse for the Student.
An appeal may be an Internal Appeal or an External Appeal against a decision made by the University under a Procedure, Legislation or other process where that Procedure, Legislation or other process prescribes a right of Internal Appeal.
| Academic Board: | Means a Board established pursuant to the University of Ballarat Act 1993. |
| Agency: | Includes the Victorian Ombudsman, the Privacy Commissioner, the Victorian Equal Opportunity and Human Rights Commission or Department of Education, Employment and Workplace Relations (for International Students in relation to the Education Services for Overseas Students Act(“ESOS”). |
| Appeal: | Means an escalation step which may be open to a Student if the Student is dissatisfied with an adverse decision, or perceives an adverse outcome, and an Appeal may be an Internal Appeal or an External Appeal. |
| Committees: | Means a committee appointed under University Legislation and may include an Appeal Committee or a Student Discipline Committee. |
| Complaint: | An expression of dissatisfaction with behaviour or action of another which has an unreasonable negative impact on the Student in relation to their access to or enjoyment of the benefits of the University. |
| Complainant: | The Student making a Complaint. |
| External Appeal: | An appeal to an external Agency against a Final Decision of the University. |
| Final Decision: | A written decision communicated to a Student where any rights of Internal Appeal have been exhausted. |
| Formal Complaint: | Means a Formal Complaint managed under the Student Complaint Guidelines. |
| Informal Complaint: | Means an Informal Complaint managed under Student Complaint Guidelines. |
| Internal Appeal: | An appeal to a Staff member or Committee from a decision (other than a Final Decision) made under a University Procedure, Legislation or other process that prescribes a right of Internal Appeal. |
| International Student: | A person holding an Australian student visa, enrolled in a CRICOS registered course, as a Student of the University of Ballarat, studying on shore in Australia. |
| Legislation: | Means the University of Ballarat Act 1993 (Vic) and the University of Ballarat Statutes and Regulations. |
| Local Manager: |
The University Staff member(s) who can be contacted by a Complainant about a Complaint. If the Complaint is about matters arising in the Complainant’s School: the Complainant’s Course Coordinator or Program Coordinator. If the Complaint is about matters connected with a Section in a non academic University Portfolio then it shall mean the Head of the Section. If a Local Manager is involved at the Informal Step in trying to resolve a Complaint, then if there is any escalation to the next step, the Local Manager shall mean the Head of School or Director depending on the circumstances. |
| Party: | Means a person lodging an Appeal and the Respondent. |
| Portfolio Decision: | A decision made by a Portfolio or Directorate within the University of Ballarat, through any Portfolio or Directorate based Committee or Vice President. |
| Principles of Natural Justice: | Means general procedural fairness in decision making. More information about this can be found in the University Fair and Transparent Decision Making Guidelines. |
| Privacy: | Means information protected under the Information Privacy Act (Vic) in accordance with the University’s Information Privacy Policy. |
| Procedures: | Means University Procedures published on the University Policy website. |
| Respondent: | A person who must respond to the Appeal on behalf of the University. |
| School Decision: | A decision made by a School within the University of Ballarat, through its School based Committee or Head of School. |
| Staff: | Any person who is an employee of the University at the time of the Complaint and this includes full-time, part-time, sessional or casual Staff. |
| Student: | Any person enrolled as a student of the University of Ballarat. |
| Support Person: | Means an observer (who is not a lawyer) who accompanies a Party during the Appeal. |
| University: | Means the University of Ballarat. |
| University Grievance Officer: | Staff member appointed by the Vice Chancellor. |
| University Legal Officer: | Staff member appointed by the Vice Chancellor. |
| Working Day: | Monday through to Friday but excluding days which are designated as University holidays. |
Appeals must be treated by all Parties as strictly confidential. This means that information about the Appeal shall only be discussed with, or made available to, a person who:
- is a Party to the Appeal;
- is or has been legitimately involved in the management of that Appeal; or
- has a formal management role in following up the consequences or implications of the Appeal.
Witnesses, Support Persons or any other observers must refrain from discussing the Appeal with each other or with the Parties unless those discussions are in accordance with the management of the Appeal.
Parties must be aware of the consequences if there is a breach of confidentiality. These consequences include disciplinary action under the University Student Discipline Legislation or the Staff member’s applicable employment agreement.
Appeals and Complaints will be dealt with in accordance with the University’s privacy obligations.
This Section of the Procedure is to help Students find out the process for making an Internal Appeal under University Legislation or under University Policies and Procedures.
If a Student is dissatisfied with a decision made about the Student under University Legislation, and if there is a right of Appeal, the Student will find information about the process and criteria for lodging an Internal Appeal in the Legislation. The University’s Legislation is the main source of information about Appeal processes.
Examples of University Legislation that includes an Internal Appeal process. Table 1 presents a summary only of examples of common University Legislation and is not an exhaustive list.
Table 1 - Examples of Common Legislation
| Type of Complaint | Applicable Statute |
| Appealing a Final Grade | Statute 5.3 and Regulation 5.3 |
| Special Consideration | Statute 5.3 The Schedule Part 1 |
| Student Discipline (including cheating and unfair advantage but not Plagiarism) | Statute 6.1 and Regulation 6.1 |
| Student Discipline – Plagiarism | Statute 6.1 and Regulation 6.1 |
| Student Discipline Committee | Statute 2.4 and Regulation 2.4 |
| Examinations | Statute 5.3 The Schedule Part 1 |
| Appeal to Appeal Committee | Statute 2.2 and Regulation 2.2 |
| Unsatisfactory Progress | Statute 5.5 and Regulation 5.5 |
| Exclusion | Statute 5.4 |
| Admission, Enrolment, Transfer and Withdrawal | Statute 5.2 and Regulation 5.2 |
| Credit | Statute 5.2 and Regulation 5.2 |
| Fees and Charges | Statute 9.1 |
Decisions may be made about a Student under a Procedure or Policy and a Staff member may notify the Student about that decision. It may be a Portfolio Decision, School Decision, or other decision by a University Local Manager. The Staff member with responsibility for notifying the University decision shall, if there is an Internal Appeal process available to the Student, ensure that the Student is also notified about his or her right of Appeal and the applicable process.
Examples of Procedures or Policies that may have an Internal Appeal process. Table 2 presents a summary only of examples of common University Procedures and Policies as at the date of publication.
Table 2 – Examples of Common Procedures and Policies
| Type of Complaint | Applicable Policy or Procedure |
| Bullying behaviour by University Staff or other Students. | Bullying Prevention and Management Procedureor refer to theUniversity of Ballarat Legal & Secretariat>Bullying Prevention and Management website. |
| Direct and indirect discrimination. | Equal Opportunity and Valuing Diversity Policyor refer to theUniversity of Ballarat Equity and Equal Opportunity website. |
| Complaint about personal information or other information held by the University | Refer to UB Legal & Secretariat>Freedom of Information website. |
| Harassing behaviour including racial or sexual harassment. | Harassment Complaint Procedureor refer to theUniversity of Ballarat Equity and Equal Opportunity website. |
| Complaints about Privacy. | Information Privacy Statement - Collection, Use and Disclosure of Personal Informationor refer to theUniversity of Ballarat Legal & Secretariat>Privacy website. |
| Conduct that has an unreasonable negative impact on Student access to the benefits of the University and that is not covered by other specific Procedures. | Student Complaint Guideline |
| Complaints about conduct that has an unreasonable negative impact on the Complainant’s academic performance or outcomes. | Student Grievance Procedure |
| Procedure for investigating criminal or corrupt conduct under the Whistleblower’s Protection Act 2001 (Vic). | Whistleblowers - Investigating Disclosures Under the Whistleblower's Protection Act 2001 Procedure or refer to the University of Ballarat Legal & Secretariat>Whistleblowers website. |
Students dissatisfied with a decision made under Legislation, Policies or Procedures or any other formal process that prescribes an Internal Appeal process must use the applicable Internal Appeal process to lodge an Appeal against the decision.
If there is no Internal Appeal process in relation to the decision prescribed by a Procedure, Policy, Legislation or other formal process, then the Student may be directed to a right of External Appeal.
Most (but not all) Internal Appeals under University Legislation are usually heard by Committees of Academic Board.
The role of Academic Board is to provide:
- academic oversight of prescribed programs and courses of study of higher education in the University; and
- advice to the Council on the conduct and content of those programs and courses.
The Academic Board Committees most likely to hear an Internal Appeal are the Appeal Committee, the Student Discipline Committee, the Animal Ethics Committee or the Human Research Committee.
If a Student is advised that he or she has a right of Internal Appeal under Legislation the Student must consult the Legislation as to the requirements for Appealing including his or her obligation to provide any Committee or member of University Staff with appropriate evidence.
For example, generally an Appeal lodged with a University Appeal Committee must satisfy one or both of the following grounds:
- new evidence, not known to the Student at the date of the decision being appealed, which has become apparent since the date of that decision;
- irregularity of Procedure in the recommending and/or the making of the decision appealed against.
The Chair of the Appeal Committee may, in exceptional circumstances, extend the period for lodgement of an Appeal.
Appeals shall be guided by the Principles of Natural Justice.
- Parties wishing to lodge an Appeal must act reasonably and in good faith and demonstrate an understanding of their responsibilities and respect for the rights of others.
- The raising of an Appeal against another Party falsely or maliciously (whether or not the Appeal is later withdrawn) can itself become the subject of formal action. Parties should bear in mind that material about a person (if untrue) that lowers that person’s reputation in the community may be considered defamatory.
- Guidance on any Appeal process within the Procedures and Policies can be sought by the nominated University Staff member identified in the Procedure or Policy as having responsibility for guidance.
- Guidance on the Appeal process within Legislation can be provided by the Executive Officers to Academic Board or the Student Appeals and Course Reviews Executive Officer - Legal & Secretariat>Academic Board Support website.
- Students at all levels of the internal appeal process (School, Policy & Procedure or Legislation) must receive in writing either before or during their appeal hearing, information on how the outcome of the appeal will be sent to them. The outcome of the appeal must be sent to the student's University of Ballarat email account and followed by a letter sent by Australia Post to the student's current address. Postage can be regular, express or registered post.The student's current address should be confirmed at the internal appeal hearing.
- If the appeal timeline is over a period when the University is closed e.g. Christmas shutdown, the student must be advised in writing that either the timeline for lodging paperwork is still enforced or the extended timeline allowed due to the University's closure.
- If a University decision is made about a Student that is an adverse decision and a right of Internal Appeal exists within the University, the Student should be informed of that right of Internal Appeal (together with any relevant information such as how many days they have to appeal, who the appeal is lodged with, and a copy of any Legislation if applicable). If the decision is a Final Decision or if there is no right of Internal Appeal, and the decision is adverse to the Student, the Student should be notified in writing of their right of External Appeal.
- An Appeal against a University decision that may result in a Student being excluded or suspended will, in most cases, require the Student to lodge an Appeal within 20 Working Days of the Student receiving notice of the decision.
- Guidance on a right of External Appeal may be found on the University’s Corporate Services Legal website.
- If a Student lodges an External Appeal and the Student is an International Student, the Student must do so within the timeframe stated in the Final Decision and must also immediately notify the International Student Programs Office telling the Office that an External Appeal has been lodged at the latest no later than 10 Working Days from receipt of the letter communicating a University Final Decision.
Notification under this step 8 is required for International Students because the University must notify DIAC as soon as practicable after an International Student fails to achieve a satisfactory academic result for a semester or course.
International Students will be required to provide the unique identifier number of their External Appeal, so that the University can check with the Agency to confirm the External Appeal.
The International Student Program Office can be contacted at the following address:
International Student Programs
University of Ballarat
PO Box 663
Ballarat, 3353
VICTORIA
Telephone: 03 53279 018
Fax: 03 53 279 017
The University acknowledges that in some cases a Student may choose to exercise his or her rights under law through common law or other statute based legal processes via courts, tribunals, agencies or parties that are external to the University. If a Student commences external action, any action contemplated or in progress under University Procedures or Policies shall cease and shall not be dealt with further unless referred back to the University by an external authority.
- The Vice President Corporate Services as the delegate of the University Council has responsibility for implementation and review of this procedure.
- The University’s Executive Officers to Academic Board and the Legal Officers have delegated responsibility for providing Staff with guidance on this Procedure.
- The University’s Executive Officers to Academic Board and the Student Appeals and Course Reviews Executive Officer have delegated responsibility for providing Students with guidance on this Procedure.
- Specific responsibilities for action are included under Actions in the following Sections:
- Internal Appeals and Relationship to Policies, Procedures and Legislation.
- Internal Appeals to Committees of Academic Board.
- Appeals: General Principles and Guidance.
- External Legal Remedies.
- If the Student is an International Student, the Student’s enrolment shall be maintained while any action under the Appeal Procedure is ongoing unless extenuating circumstances apply.
- Education Services for Overseas Students Act 2000.
- ESOS Regulations 2001.
- ESOS National Code 2007.
- Victorian Equal Opportunity Act 1995.
- Victorian Freedom of Information Act 1982.
- Victorian Information Privacy Act 2000.
- Victorian Ombudsman Act 1973.
- 2007 Australian Quality and Training Framework Standards.
- National Complaints Code: National Code of Good Practice for Respondingto Compaints about Vocational Education and Training - Department ofEducation, Science and Training.
- Public Records Office Victoria’s Retention and Disposal Schedule for Higherand Further Education Institutions specifically class no’s 9.0.0 to 9.4.0Student Administration – Grievances
- Student Appeal Policy.
- Student Complaint Guideline (Currently under draft)
- Student Appeal Procedure.
- Student Grievance Policy.
- Student Grievance Procedure.
- Bullying Prevention and Management Policy.
- Bullying Prevention and Management Procedure.
- Harassment Policy.
- Harassment Complaint Procedure.
- Equal Opportunity and Valuing Diversity Policy
- Whistleblowers - Investigating Disclosures Under the Whistleblower's Protection Act 2001 Procedure.
- Information Privacy Policy.
- Records and Document Management Policy.
- Fair and Transparent Decision Making Guidelines.
- Information Privacy Statement - Collection, Use and Disclosure of Personal Information.
Forms
- Student Appeal Procedure Register - Sample Only (DOC 106.5kb)
The University’s Executive Officers to Academic Board are required to keep a Register of any Internal Appeals under Legislation.
The University’s Grievance Officer is required to keep a Register of any Internal Appeals and External Appeals under the Student Grievance Procedure, the Staff Grievance Procedure, the Bullying Prevention and Management Procedure and investigations on Appeal to the Ombudsman.
The University’s Manager, Equity and Equal Opportunity is required to keep a Register of any Internal Appeals and External Appeals under the Harassment Complaint Procedure and the Equal Opportunity and Valuing Diversity Policy.
At the conclusion of an Internal Appeal process (other than an Appeal under Legislation or an Appeal under the Harassment Complaint Procedure) the Local Manager’s confidential file or the Respondent’s confidential file should be forwarded to the University Grievance Officer. If there is an External Appeal this record may be used to demonstrate what steps were taken to hear the Appeal. The files may also be used for annual reporting purposes (with statistical information only).
Appeal records will be held by the Legal Officers, the Executive Officers to Academic Board, the Manager, Equity and Equal Opportunity and the University Grievance Officer in accordance with the Public Records Office Victoria’s Retention and Disposal Schedule for Higher and Further Education Institutionsspecifically class 9.0.0.to 9.4.0 to advise.
The Student Appeal Procedure will be implemented throughout the University of Ballarat via:
- An Announcement Notice under ‘UB Communicate’ on the ‘myUB Gateway’ website and through the University of Ballarat Policy - ‘Recently Approved Documents’ webpage to alert the University-wide community of the approved Procedure.
- Inclusion on the University of Ballarat Policy, Procedure and Forms website.
- Reference to the Student Appeal Procedure in the University Online Handbook.
- Reference to the Student Appeal Procedure in applicable University web pages including the University Student and Learning Support (Equity and Student Services) and Corporate Services (Legal) and Corporate Services (Governance) web pages.
- Training Sessions to Staff, including other staff responsible for advising in respect of Student issues, such as Student Grievance Officers, Harassment Contact Officers and Student Counsellors (International, Academic, Welfare and Indigenous Support), and staff responsible for supervising Students (including supervisors of higher degrees, or supervisors of Students on placement or work placed training programs).
- Training Sessions to Student Association Representatives.
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