(Updated: June 2010)

The University may terminate the employment of an academic staff member for reasons of an economic, technological, structural or similar nature. Redundancy entitlements for academic staff are determined on the basis of a combination of age and length of service.

An academic staff member whose employment is declared redundant may seek a review of that decision by a Review Committee. While the recommendations of a Review Committee are not binding on the University, the Vice-Chancellor will take those recommendations into account in making a final determination.

A staff member may act by way of a representative (but not a practicing barrister or solicitor) at any time during the implementation of this policy if they so choose, provided that the University is notified of the appointment of such a representative in writing.

The local Human Resources Consultant must be consulted prior to the consideration of the termination of the employment of an academic staff member(s).

• Fair Work Act 2009 (Cth)

• The University of Melbourne Collective Agreement 2010

• Council Minutes, September 1999

• Human Resources Advisory Committee minutes, April 2007

This policy applies to academic staff members in continuing positions. Policy regarding the termination of the employment of academic staff in fixed-term positions is at Policy 119 Section 3 Early Termination of a Fixed-term Contract and Policy and Policy 119 Section 4 Completion of a Fixed-term Contract. Academic staff employed on a casual basis are engaged on an hourly basis and may be terminated at the end of an engagement without notice.

An academic staff member who has received notification pursuant to Section 1.3.2 Grounds for Redundancy will be provided with notice of termination determined by a combination of two scales based on age and length of service (see Table 1 Notice Period below).

The balance of the notice period is determined by adding three weeks' notice for each completed year of continuous service. The maximum period of notice will be 74 weeks.

An academic staff member may apply to work out all or part of the relevant period of notice. If there are suitable duties for the academic staff member to undertake that will result in sufficient work being available to occupy the time fraction on which the academic staff member is employed, the University will use its best efforts to allow this to occur. This may be either work the academic staff member has been engaged in previously or work designed to retrain the academic staff member.

If the University has no work for the academic staff member to do, the academic staff member will receive a genuine redundancy payment equivalent to the unexpired portion of the notice period.

Where an academic staff member elects early separation he or she will receive upon termination:

• the unexpired portion of the eight week transition period as part of the genuine redundancy payment; and

• the balance of the notice period prescribed in Section 1.3.3 Notice period as part of the genuine redundancy payment; and

• payment on a pro rata basis for long service leave.

All payments shall be calculated on the academic staff member's salary at the date of cessation of employment.

An academic staff member whose position is declared redundant may apply to the Vice-Chancellor within fourteen (14) days of such notice, for a review of the decision to terminate his or her employment, on the grounds that the University did not act fairly or properly in making the decision to terminate, or that the rules of natural justice were not applied, or that the decision was discriminatory.

Upon receiving such an application, the Vice-Chancellor will immediately refer it to a Review Committee, constituted as a Review and Appeals Committee (see Section 14 Review and Appeals Committee) to investigate the process leading to the decision to terminate the employment. The Review Committee will be established and the matter referred to the Committee within 7 days of receipt of the referral.

The Review Committee must determine within no more than three (3) weeks after the referral, whether the University acted fairly, properly and in accordance with the rules of natural justice in making the decision to terminate, including whether the decision was in any way discriminatory.

The Review Committee shall provide the academic staff member adequate opportunity to put forward a verbal or written submission relating to the process in question and will conduct the investigation in an expeditious and informal manner.

If the Review Committee does not complete its deliberation within the time frames allowed, it may make application to the Vice Chancellor for an extension of time, putting forward the grounds for the extension, and outlining the time frame in which it will reach a conclusion.

The Review Committee shall, after making a determination, make recommendations to the Vice-Chancellor, who will take into account the findings of the Review Committee.

Should the Review Committee determine that the process was complied with by the University, the Vice-Chancellor may then choose to extend the time frame for possible redeployment of the academic staff member by two weeks, if the academic staff member wishes to be redeployed.

Should the Review Committee determine that the University did not act fairly or properly in making the decision to terminate, or that the rules of natural justice were not applied, or that the decision was discriminatory, the matter shall be referred back to the Vice-Chancellor for a determination as to the appropriate further course of action. In making a determination, the Vice-Chancellor will take into account the findings of the Review Committee.

Should the academic staff member seek redeployment, the University shall provide the staff member and the staff member's representative if they so choose with all relevant details and taking into account the relevant skills, experience and work preferences of the academic staff member shall:

• examine options for retraining;

• examine measures that could be taken to avoid termination;

• arrange counselling for the academic staff member as required;

• monitor all vacancies within the University; and

• offer the staff academic member redeployment to a suitable vacant position where such a position exists.

"Suitable vacant position" means a position at the same classification level of the academic staff member and for which the academic staff member has the skills and qualifications to undertake. A reasonable amount of time may be taken into account if an academic staff member needs to update skills and experience to undertake the duties of the position, but this will not normally be greater than 6 months.

Where the academic staff member, having elected redeployment, unreasonably rejects an offer of redeployment to a suitable vacant position, the Vice Chancellor may terminate his or her employment on the basis of the notice provisions  and severance benefits in Division 11 of Part 2-2 of the Fair Work Act 2009 and the staff member will not receive the redundancy payment.

At the staff member's request, the University will consult with the academic staff member's nominated representative when considering redeployment options.

Should the academic staff member elect redeployment or review and subsequently fail to be redeployed to a suitable vacant position, or fail in his or her review application, the academic staff member will, at the completion of the 8 week transition period (or ten weeks, if the Vice-Chancellor elected to extend the time frame for redeployment), either:

• where it has been agreed that the academic staff member will work out his or her notice period, commence working out his or her period of notice, or

• have his or her employment terminated. The academic staff member will then receive upon termination:
  
  • a genuine redundancy payment equivalent to the notice period; and
  •  payment on a pro rata basis for long service leave.

All payments shall be calculated on the academic staff member's salary (including fortnightly paid Agreement-based allowances and loadings) at the date of cessation of employment.

An academic staff member who has accepted a redundancy payment which attracts concessional tax treatment, must not be re-employed in the same job. For the purposes of this sub-clause 1.3.9, the term "same job" includes a role that is identical to the role held by the staff member prior to termination of their employment and any role that whilst not identical is substantially the same involving similar duties to be performed within the same department at the same or similar classification level to the role held by the staff member prior to termination.

At the time of the termination, there must be no agreement, arrangement or understanding (including any informal arrangement) between the staff member and the University, or the University and another person, to employ the staff member after the termination time (see note 1 below).

Procedures concerning the approval of further periods of employment after accepting a redundancy payment are detailed in Policy 101 Section 4.3.6 Authorisation.

Note 1 - "Agreement" is defined in section 27A(1) of the Income Assessment Act 1936 to mean "any arrangement or understanding whether formal or informal, whether express or implied and whether or not enforceable, or intended to be enforceable, by legal proceedings".

The Dean recommends to the Provost (in consultation with the local HR representative) that the employment of one or more academic staff members is no longer required and cites the reasons.

Where the Provost agrees to terminate employment, the Provost, through the local HR representative, will formally notify the academic staff member(s) concerned and, if requested, the academic staff member's representative in writing that their employment will terminate, the period of notice and the reason(s) for termination.

The 8 week transition period commences immediately upon written notification of termination being given to the academic staff member.

Fourteen days from the commencement of the transition period, the academic staff member must indicate to the Dean which of the following options for separation he or she wishes to choose:

• to elect early separation and include the balance of the transition period in his or her redundancy benefits;

or

• to apply to the Vice-Chancellor for a review of the decision to terminate his or her employment;

and/or

• to apply to the Executive Director (Human Resources) to seek redeployment within the University.

If the academic staff member elects early separation, the Dean advises the Executive Director (Human Resources).

If the academic staff member elects to apply for a review, the academic staff member advises the Vice-Chancellor.

If the academic staff member elects to apply for redeployment within the University, the academic staff member advises the Executive Director (Human Resources).

If the review and/or the redeployment options are not successful within the 8 week transition period, employment is terminated and the balance of the notice period paid out as part of the genuine redundancy payment.

The following staff approve actions in relation to the procedural steps outlined above:

(Updated: June 2010)

This policy provides for the investigation of allegations of, and the imposition of penalties for, continued unsatisfactory performance, misconduct or serious misconduct (including research misconduct).

Advice and assistance from local Human Resources Consultants should be sought prior to implementing this policy.

• The University of Melbourne Collective Agreement 2010

• University of Melbourne Code of Conduct for Research (17.1.R8) - http://unimelb.edu.au/Statutes/r171r8.html

• Theft, Fraud and Corrupt Conduct Policy (see Section 12 Theft, Fraud and Corrupt Conduct)

• Responsibilities of University Staff Policy (see Section 10 Responsibilities of University Staff).

Allegations refer to all the allegations which have led to a determination of unsatisfactory performance, misconduct or serious misconduct.

Disciplinary action means action by the University to discipline a staff member and is limited to:

• formal censure, warning or counselling;

• withholding an increment for up to one year;

• demotion to a lower classification or increment and/or transfer to another position;

• in the case of professional staff for unsatisfactory performance primarily related to a lack of skill or capacity, transfer to a more appropriate position;

• suspension with pay;

• termination of employment, provided that termination can only occur on the following basis:
  • for continuing staff, in the case of serious misconduct or unsatisfactory performance; or
  •  for fixed-term staff, in the case of serious misconduct.

Upon a finding of misconduct or serious misconduct, disciplinary action includes administrative action, such as physical (but not organisational) relocation of the staff member or suspension of access to particular University computer applications that may be taken, having regard to the misconduct. For administrative action to be taken, there must be sufficient connection between the action and the offence, and the purpose and extent of the administrative action must only be such as is strictly necessitated by the circumstances, not to impose an additional penalty.

A staff member has been accorded fair treatment if:

• the staff member has been advised in writing of allegations made against her or him, including relevant facts, reasoning and documentation;
  
  
• the staff member has, during the investigation process, been given a reasonable opportunity to be heard, to produce all relevant evidence, to have relevant persons interviewed and to make any written submissions in relation to all allegations and to comment on any disciplinary action recommended;
  
  
• the allegations have been investigated in accordance with this policy and the law;
  
  
• findings made against the staff member are made on the basis of a reasonable and accurate assessment of the evidence; and
  
  
• any disciplinary action is proportionate to the staff member's alleged conduct or performance.

Misconduct means:

• negligence in the performance of the duties of the position held; or

• misbehaviour (which shall include favouritism); or

• conduct in breach of the staff member's contract or the University's policies, regulations or procedures that does not constitute serious misconduct.

 Serious misconduct means, in relation to professional staff, conduct that includes both of the following:

(a) wilful or deliberate behaviour by an employee that is inconsistent with the continuation of the contract of employment;

(b) conduct that causes serious and imminent risk to:

         I. the health or safety of a person; or

       II. the reputation, viability or profitability of the University.

Serious misconduct means, in relation to academic staff:

• serious misbehaviour of a kind which constitutes a serious impediment to the carrying out of a staff member's duties or to a staff member's colleagues carrying out their duties; or
• serious dereliction of duties (in relation to research misconduct see Section 2.3.1 Grounds for Research Misconduct); or
• conviction by a court of an offence which constitutes a serious impediment to the carrying out of a staff member's duties or to a staff member's colleagues carrying out their duties; or
• acceptance of payment or other forms of inducement to vary the result of a student.

Examples of conduct which may constitute serious misconduct are:

• theft;
• fraud;
• assault;
• serious or repeated bullying or harassment, including sexual harassment;
• persistent or repeated acts of misconduct; and
• wilful and gross breach of the staff member’s  contract, the University’s policies or regulations, such that it would be unreasonable to continue the staff member’s employment.

Unsatisfactory performance occurs where performance is below and continues to be below expected performance standards, despite attempts to improve performance in accordance with Policy 111 Section 6.5 Performance Improvement Measures.

Research misconduct is constituted by a failure to comply with the principles or specific provisions of the University of Melbourne Code of Conduct for Research and includes but is not limited to conduct in, or in connection with, research that is (a) dishonest, reckless or negligent and (b) seriously deviates from accepted standards within the scientific and scholarly community for proposing, conducting or reporting research. Examples of behaviours that may be considered research misconduct are:

• the fabrication or falsification of data or results;

• the use of another person's ideas, work or data without appropriate acknowledgement;

• misleading ascriptions of authorship to a publication including the listing of authors without their permission, attributing work to people who have not in fact contributed to the publication, the lack of appropriate acknowledgement of work primarily produced by a research student/trainee or associate;

• failing to obtain the required prior ethical or regulatory approval for the research project to proceed;

• failing to conduct the research project in accord with the approved ethical or regulatory protocol; and

• failure to disclose conflicts of interest or cases where a conflict of interest might reasonably be perceived to exist.

Please note the following:

Where an allegation of research misconduct has been substantiated following a formal investigation, the Executive Director (Human Resources) may consult with the Deputy Vice-Chancellor (Research) to determine whether the conduct shall be defined as misconduct or serious misconduct.

Allegations of research misconduct can be made against either Academic or Professional staff.

This policy applies to all staff, with the exception of staff employed on a casual basis or during a probationary period. The policy relating to probation is at Policy 105 Probation and Confirmation.

This policy applies to allegations of misconduct and serious misconduct and where despite attempts to improve performance in accordance with the University's Performance Development Framework and Performance Improvement Measures, performance consistently falls below the expected standard.

A staff member may act by way of a representative (but not a practising barrister or solicitor) at any time during the implementation of this policy if they so choose, provided that the University is notified of the appointment of such a representative in writing.

Where serious misconduct is alleged, the Provost or the Executive Director (Human Resources) may suspend the staff member. Such suspension shall be on full pay.

Written notification of suspension, including the grounds for suspension shall be given to the staff member within two (2) working days of the suspension. During any period of suspension the staff member may be excluded from the University and denied access to University systems and facilities, provided that s/he shall be permitted reasonable access to the University for the preparations of his/her case and to collect personal property.

Disciplinary action for unsatisfactory performance may only be taken against a staff member if:

• the staff member has previously been given a reasonable opportunity to improve their performance;
• a report detailing how the staff member’s performance is below and continues to be below expected performance standards (despite attempts to improve performance in accordance with Policy 111 Section 6.5 Performance Improvement Measures) has been submitted to the Executive Director (Human Resources) for review;
• the staff member has had a reasonable opportunity to respond to the report;
• the Review and Appeals process, if invoked, has concluded; and
• the staff member has been accorded fair treatment (as defined in Section 2.3 Definitions).

Disciplinary action for misconduct or serious misconduct may only be taken against a staff member if:

• the allegations against the staff member have been investigated by an impartial person/s and a report of the investigation has been forwarded to the Provost or Executive Director (Human Resources);
• the Review and Appeals process, if invoked, has concluded; and
• the staff member has been accorded fair treatment (as defined in Section 2.3 Definitions).

At the time the allegations are put to the staff member, he or she must be advised whether, in the opinion of the University, the allegations amount to serious misconduct. If at any stage during the investigation (but prior to the recommendation being made to the Vice-Chancellor in accordance with Section 2.4.4.3 Recommendation for disciplinary action), the University decides that:

• the allegations need to be amended, or
• new allegations added, or
• that the allegations contain additional elements that amount to serious misconduct,

the staff member will be advised of this in writing and be given a reasonable opportunity to respond.

Disciplinary action may only be taken by the Vice-Chancellor on the recommendation of the Provost or Executive Director (Human Resources). Such a recommendation must be accompanied by a report detailing the unsatisfactory performance or (serious) misconduct including:

• findings of fact;
• conclusions reached on the evidence provided (including an outline of any evidence and documents relied on); and
• reasons in support of findings (including any mitigating factors).

A staff member may seek a review of a recommendation of the Provost or Executive Director (Human Resources) by the Review and Appeals Committee within ten (10) days of receiving it.  

When review is sought, the Review and Appeals Committee shall report to the Vice-Chancellor on:

• whether there is sufficient evidence to support the finding of misconduct or serious misconduct;

• whether the terms of this policy have been followed; and

• whether the proposed disciplinary action is in proportion to the level of unsatisfactory performance, misconduct or serious misconduct.

A copy of this report will be provided to the staff member.

The Committee must report within 20 working days of first convening (or such longer time as the Vice-Chancellor allows). The Vice-Chancellor shall then determine the matter and advise the staff member of the grounds for the penalty arising from the recommendations of the Review and Appeals Committee.

Staff members displaying poor work behaviours such as absenteeism, continually arriving late at work, neglect of duty or not following relevant University policy should be promptly counselled by their supervisor. If the staff member's behaviour shows no improvement following the counselling, action should be taken in accordance with these procedures. The supervisor should advise the staff member during counselling that repeated instances of the poor work behaviour may ultimately lead to the termination of the staff member's employment. In cases of alleged unsatisfactory performance, Policy 111 Section 6.5 Performance Improvement Measures provides University policy for counselling to improve performance.

Where a staff member displays more serious inappropriate work behaviours which may be misconduct or serious misconduct, action in accordance with these procedures should be taken immediately without recourse to informal counselling.

Persons or staff are required to promptly bring any allegations of misconduct, serious misconduct or continued unsatisfactory performance to the attention of their Head of Department or a senior officer of the University.

Where a Head of Department:

a. receives a complaint or otherwise forms a view that a staff member's behaviour or actions may constitute misconduct or serious misconduct; or

b. is of a view that despite attempts to improve performance in accordance with Policy 111 Section 6.5 Performance Improvement Measures, performance consistently falls below the expected standard, he or she should refer the matter to:

• the Head of Budget Division in cases of continued unsatisfactory performance; or
• the Executive Director (Human Resources) in cases of misconduct or serious misconduct.  

In referring the matter, the Head of Department should describe the nature of the alleged misconduct, serious misconduct or continued unsatisfactory performance, findings upon which the allegations are made and evidence in support of those findings. In the case of allegations of continued unsatisfactory performance, it is sufficient for the Head of Department to provide a copy of the Performance Improvement Plan to support the description of the nature of the alleged continued unsatisfactory performance.

Where the Executive Director (Human Resources) receives a complaint of alleged research misconduct or serious research misconduct, he or she may consult with the Deputy Vice-Chancellor (Research).

Where serious misconduct is alleged, the Provost or Executive Director (Human Resources) may suspend the staff member. Such suspension shall be on full pay.

Written notification of suspension, including the grounds for suspension shall be given to the staff member within two (2) working days of the suspension. During any period of suspension the staff member may be excluded from the University and denied access to University systems and facilities, provided that s/he shall be permitted reasonable access to the University for the preparations of his/her case and to collect personal property.

On referral of an allegation of misconduct, serious misconduct or continued unsatisfactory performance, the:

• the Head of Budget Division in cases of continued unsatisfactory performance; or
• the Executive Director (Human Resources) in cases of misconduct or serious misconduct  

will initiate an investigation into the allegations. Normally, in cases of alleged continued unsatisfactory performance, that investigation will be based upon a review of the Performance Improvement Plan and its implementation.

When a matter initially dealt with under the University's policy on sexual harassment, discrimination or bullying  (see Policy 120 Equal Opportunity) is sought to be dealt with by the University as a disciplinary matter then the matter shall be referred to the Executive Director, Human Resources. Any investigation undertaken under the University's policy on sexual harassment,  may be deemed to be a misconduct investigation and as such shall replace the requirement for a misconduct investigation in this policy. Any action taken by the University shall not be invalid because the initial handling of a particular matter was in accordance with the policy on sexual harassment or discrimination rather than this section.

Where the relevant delegated authority initiates an investigation into allegations of misconduct or continued unsatisfactory performance, he or she will appoint one or more investigation officer(s) and, at the time of appointment, will provide them with the terms of reference for the investigation. The general purpose of the investigation will be to determine whether the allegations against the staff member are proven on the basis of a reasonable and accurate assessment of the evidence.

During the investigation, the staff member must:

a. be advised in writing of allegations made against him or her, including relevant fact, reasoning and documentation; and

b. be given a reasonable opportunity to:

• be heard;
• produce all evidence required;
• have relevant persons interviewed; and
• make written submissions in relation to all allegations.

If at any stage during a (serious) misconduct investigation the allegations are amended, or new allegations added or the allegations contain additional elements that amount to serious misconduct, the staff member will be notified accordingly and given a reasonable opportunity to respond.

On completion of the investigation, the investigation officer(s) will provide a report to the  Executive Director (Human Resources) for review (and, in cases of unsatisfactory performance, to the Head of the Budget Division). The report will include:

a. findings of fact;

b. conclusions reached on the evidence provided (including an outline of any evidence and documents relied on); and

c. reasons in support of findings (including any mitigating factors).

On receipt of a report from the investigation officer(s), the Executive Director (Human Resources) may:

a. take no further action, and advise the staff member accordingly; or

b. act in accordance with Section 2.5.2.4 Action by the Provost or Executive Director (Human Resources); or

c. provide the report to the Provost  and advise that it is appropriate that he or she recommend that disciplinary action be taken against the staff member.

The Executive Director (Human Resources) or the Provost (on receipt of advice from the Executive Director (Human Resources) under Section 2.5.2.3) may:

a. take no further action, and advise the staff member accordingly; or

b. seek further information from the initiator of the investigation (see Section 2.5.2.3); or

c. recommend to the Vice-Chancellor that disciplinary action be taken against the staff member.

Normally, the Provost will make recommendations relating to academic staff and the Executive Director (Human Resources) will make recommendations regarding professional staff.

Where the Provost or Executive Director (Human Resources) recommends that disciplinary action be taken against the staff member, the Vice-Chancellor and the staff member will be provided with a report detailing the allegations made against the staff member which states:

a. findings of fact;

b. conclusions reached on the evidence provided (including an outline of any evidence and documents relied on); and

c. reasons in support of findings (including any mitigating factors).

A staff member may seek a review of the recommendation of the Provost or Executive Director (Human Resources) under Section 2.5.2.4 by the Review and Appeals committee within ten days of receiving it.

Where a review is sought, the Review and Appeals Committee shall report to the Vice-Chancellor on:

a. whether there is sufficient evidence to support the findings of misconduct or serious misconduct;

b. whether this policy and its procedures have been followed; and

c. whether the proposed disciplinary action is in proportion to the level of unsatisfactory performance, misconduct or serious misconduct.

A copy of this report will be provided to the staff member.

The Committee must report within 20 working days of first convening (or such longer time as the Vice-Chancellor allows).

Following receipt of the report of the Review and Appeals Committee (Section 2.5.2.5 Review and Appeals Committee) or no sooner than ten days after the recommendation of the Provost or Executive Director (Human Resources) to impose a disciplinary penalty (Section  2.5.2.4 Action by the Provost or Executive Director (Human Resources)), the Vice-Chancellor shall determine the matter and, where applicable, advise the staff member of the grounds for the penalty.

(Updated: October 2007)

has been removed due to the revision of Section 2. Allegations of research misconduct are now handled according to Section 2 and accordingly please refer to Section 2 for the relevant policy and procedure.

(Updated: June 2010)

This section sets out the University's procedures for grievance resolution, the purpose of which is to seek to achieve and maintain a workplace where employment related grievances are resolved quickly, impartially and fairly.

Advice and assistance on grievance resolution matters may be obtained from local Human Resources Consultants.

• The University of Melbourne Collective Agreement 2010

This policy applies to all staff.

Grievances will be dealt with quickly, impartially and fairly. Where possible, grievances will be dealt with locally and informally.

Where grievances arise, work will continue according to custom and practice while the grievance processes are implemented.

An individual staff member is entitled to apply for a review of the merits of any action (eg. workload allocation, misapplication of University policy), including a failure or refusal to act, that relates to his or her employment at the University. However, these processes do not apply to professional staff seeking reclassification of their position. Applications for reclassification for professional staff are dealt with through Policy 114 Classifications Section 2.3.3 Review/Reclassification of a Position.

A group of staff members may jointly apply for a review of an action affecting each member of the group if the action is an alleged unfair application of University policy.

All reasonable attempts must be made to resolve the grievance as soon as practicable at the level of the local workplace in accordance with Section 4.4.1 Local Resolution.

Where local resolution of the grievance fails, the staff member may apply for a review of the action in accordance with Section 4.4.2 Where local resolution fails. In order to facilitate the review process, the Vice-Chancellor will, following consultation with the relevant unions who have members at the University, establish a pool of persons from within the University who have relevant skills and expertise in dispute resolution.

The following actions will not be subject to review under this policy:

• where the application for review of the action was made more than 1 year after the action complained of, and there are no exceptional circumstances explaining this delay;
• where the application for review of the action is frivolous or vexatious;
• where the affected staff member has previously applied for review of the same action:
  •  under these provisions: and a review was, or is currently being, conducted in accordance with these provisions (or any equivalent provisions under superseded University policy); or
  • under any other review or disputes process that will ensure that the matter is dealt with quickly, impartially and fairly (unless that alternative review or disputes process is identified as being an inappropriate avenue for full resolution of the complaint) and the complaint was, or is currently being, dealt with in accordance with that process;
• where the affected staff member does not have sufficient direct personal interest in the review of the action; and
• where there are alternative internal review procedures that will ensure that the matter will be dealt with quickly, impartially and fairly (including, but not limited to, disciplinary action, academic promotion, sexual harassment,  discrimination,  bullying, victimisation and action arising under the Accident Compensation Act 1985 and the Occupational Health and Safety Act 2004) in which case the Vice-Chancellor will advise the staff member of the alternative procedure.

Before making a formal application for review under this policy, a staff member is required to discuss his or her grievance with his or her supervisor or the person who made the decision to which the grievance relates. Alternatively, a staff member may elect to discuss the matter with his or her local Human Resources representative.

Where the grievance relates to the behaviour of a supervisor, and the staff member considers that it would be inappropriate to discuss that grievance with the supervisor, the staff member should discuss the grievance with the supervisor's supervisor or with their local Human Resources representative.

The grievance should be discussed as soon as practicable after the staff member has raised the matter. The person to whom the staff member has elected to discuss the matter will explain (or, where necessary, ascertain) the reason(s) why the University policy was applied in the manner in which it was.

At this informal stage, it should be possible to reach agreement without recourse to a third party. A staff member may, however, choose to be represented or assisted by a person of his/her choice (but not a practicing barrister or solicitor) provided that the staff member advises the supervisor or person who made the decision, in writing, of the name of his/her representative.

Where the matter is resolved, an appropriate record of the agreement should be kept.

Where discussions between a staff member and his or her supervisor fail to resolve a staff grievance, the staff member may formally apply to the Vice-Chancellor for a review of action which is the subject matter of the grievance. Applications must:

• be in writing;

• state briefly why the review is sought;

• summarise the attempts made to resolve the grievance locally; and

• state any specific outcome the staff member is seeking to achieve.

The Vice-Chancellor will determine an appropriate method of review having regard for the policy objective of grievances being resolved quickly, impartially and fairly. The Vice-Chancellor may at his discretion allocate the matter to a member of the pool of persons established in accordance with Section 4.3 Policy (the reviewer).

A staff member may request that the matter be reviewed by a member of the pool of persons described above who is not involved in the matter.

The reviewer will attempt to resolve the matter and if this is not possible, conduct a review.

On completion of a review, the reviewer will provide a written report to the Vice-Chancellor.

On receipt of a report from a reviewer, the Vice-Chancellor will, having due regard for any recommendations made by the reviewer:

• confirm the action;

• vary the action; or

• set the action aside and substitute a new action.

The Vice-Chancellor will give due regard to the recommendations of the reviewer.

The staff member and other relevant persons will be advised of the Vice-Chancellor's decision and the reasons for the decision.

(Updated: June 2010)

This policy shall apply to any dispute regarding the proper application of clauses of The University of Melbourne Collective Agreement 2010 and the National Employment Standards in the Fair Work Act 2009.

There are a number of other mechanisms to resolve disputes over other matters (eg. the alleged unfair application of University policy - see Section 4 Review of Actions). Staff are asked to contact their local Human Resources Consultant for advice and assistance on dispute settling matters.

• Fair Work Act 2009

• The University of Melbourne Collective Agreement 2010

Disputes over the proper application of The University of Melbourne Collective Agreement 2010 and the National Employment Standards in the Fair Work Act 2009 (except disputes about the application of the reasonable business grounds exemption to requests for flexible work arrangements or extension of parental leave) will be settled in accordance with this policy.

A dispute may be raised by:

• any union who is party to The University of Melbourne Collective Agreement 2010,
• a staff member, or
• the University.

A staff member may act by way of a representative (but not a practising barrister or solicitor) at any time during the implementation of this policy if they so choose, provided that the University is notified of the appointment of such a representative in writing.

Until the parties to a dispute agree that the procedures described below which seek to resolve disputes internally to the University and without recourse to Fair Work Australia (FWA) are exhausted:

(a) work shall continue in the normal manner;

(b) no industrial action shall be taken by any party bound by The University of Melbourne Collective Agreement 2010;

(c) the University will not change work, staffing or the organisation of work that is the subject of the dispute;

(d) no party bound by The University of Melbourne Collective Agreement 2010 will take any action likely to exacerbate the dispute; and

(e) the subject matter of the dispute shall not be taken to FWA by any party to the dispute.

The University may seek to refer a dispute directly to FWA where it is of the view that the lodgement of a dispute under this policy is frivolous, vexatious or designed to frustrate the fair and effective operation of other University policy or procedures.

In the first instance, the parties to the dispute shall discuss the dispute to attempt, in good faith, to reach agreement or otherwise resolve the dispute.

A dispute in relation to an individual staff member will initially be discussed between the staff member and/or their nominated representative and the staff member’s supervisor, or where this is not appropriate, with his or her local Human Resources representative.

Where a dispute is not resolved under Section 5.4.1 Step One: Discussion at the workplace level, the matter will be referred to the Executive Director (Human Resources) to assist in the process of resolution.

If the dispute is not resolved within five (5) working days of referral to the Executive Director (Human Resources) it may be referred in writing by any party to the dispute to a Disputes Committee for resolution in accordance with Section 5.4.3 Step Three: Referral to Disputes Committee.

A Disputes Committee shall be convened within five (5) working days of the Executive Director (Human Resources) being notified of a dispute in accordance with Section 5.4.2 Step Two: Referral to the Executive Director (Human Resources), unless agreed otherwise.).

The Disputes Committee shall consist of equal numbers of nominees of the University and equal numbers of nominees of the relevant union.

In addition to the parties to the dispute, any staff member directly involved in the dispute will be entitled to:

• put his/her position to the Disputes Committee;
• request to be accompanied by a representative (but not a practising barrister or solicitor); and
• be advised of the Committee's deliberations.

The Disputes Committee shall attempt to resolve the matter within five (5) working days of its first meeting. Any resolution shall be in the form of a written agreement subject, if necessary, to ratification by the staff member and the University.

Should the dispute not be resolved by the processes referred to in Section 5.4.1 Step One: Discussion at the workplace level, Section 5.4.2 Step Two: Referral to the Executive Director (Human Resources) and Section 5.4.3 Step Three: Referral to Disputes Committee or if any party to the dispute refuses to engage in the dispute process, the matter may be referred to FWA by a party to the dispute.

Subject to the parties to the dispute having complied with the processes referred to in Section 5.4.1 Step One: Discussion at the workplace level, Section 5.4.2 Step Two: Referral to the Executive Director (Human Resources) and Section 5.4.3 Step Three: Referral to Disputes Committee, FWA may resolve the dispute by the processes of conciliation and/or arbitration to the extent that it relates to:

• the application of The University of Melbourne Collective Agreement 2010, or
• the National Employment Standards in the Fair Work Act 2009 (other than disputes about the application of the reasonable business grounds exemption to requests for flexible work arrangements or extension of parental leave).

The parties to the dispute will implement any decision of FWA.

Nothing in this policy prevents the parties from agreeing to refer an unresolved dispute to a person or body other than FWA for resolution, in which case the parties agree to be bound by any recommendation to resolve the dispute, made by the agreed person or body.

(Updated: June 2010)

The following policy and procedures provide for the redundancy and redeployment of professional staff in continuing employment where their employment becomes excess to requirements. It does not apply to casual staff or fixed-term professional staff.

As a matter of policy, it is the University's preference to redeploy professional staff where their positions become excess to requirements to similar positions at their current classification level and time fraction.

A professional staff member may act by way of a representative (but not a practicing barrister or solicitor) at any time during the implementation of this policy if they so choose, provided that the University is notified of the appointment of such a representative in writing.

The local Human Resources Consultant must be consulted prior to consideration of the termination of the employment of a professional staff member(s).

• The University of Melbourne Collective Agreement 2010

• Human Resources Advisory Committee minutes, April 2007

The University may decide to terminate the employment of one or more professional staff members as a consequence of circumstances such as:

• changes in work methods;

• re-organisation;

• financial exigency;

• introduction of new technology;

• where the duties of the position are changed, such that the incumbent is not competent to perform those duties, provided that a professional staff member must not unreasonably refuse appropriate retraining offered by the University in relation to the changed duties; or

• where a professional staff member, with reasonable cause, refuses to accept geographic relocation.

Before initiating action to activate the redeployment and redundancy process, the Head of Department should consult with their local Human Resources Consultant. The local Human Resources Consultant will explore the opportunities for transfer or other actions to avoid redundancy, and advise on any further consultation processes necessary.

Where it is established that a professional staff member is excess to requirements, and with the assistance of the local Human Resources Consultant, the Head of the Budget Division has determined that there are no suitable vacant positions elsewhere in the University to which the professional staff member occupying the excess position could be transferred, the Head of the Budget Division must advise the Senior Vice-Principal:

• of the reasons why the position is likely to become excess to the requirements of the Budget Division/Department; and
• that there are no suitable vacant positions in the Budget Division, to which the professional staff member could be transferred.

The Head of Budget Division then:

• advises the Head of Department, who then informally advises the professional staff member that the Head of Budget Division is reporting to the Senior Vice-Principal that his or her position is likely to be declared redundant; and
• reports to the Senior Vice-Principal on the steps taken to establish whether the professional staff member's position is excess to the requirements of the University.

The Senior Vice-Principal shall advise the professional staff member in writing that his or her position will be declared redundant and that his or her employment may be terminated. This written advice will detail the reason(s) for the decisions and the relevant  notice period for termination as specified in Section 6.7 Notice of termination of employment.

At the time of notification of redundancy, the Executive Director Human Resources may, following consideration of the potential for the redeployment of the professional staff member:

• invite the professional staff member to accept a voluntary redundancy payment in which case the professional staff member shall have ten (10) working days in which to accept the offer with immediate effect; and/or
• invite the professional staff member to be considered for redeployment in which case the professional staff member shall have ten (10) working days in which to accept the offer with immediate effect; or
• terminate the professional staff member's employment with a genuine redundancy payment equivalent to the unexpired portion of the notice period (as defined at Section 6.7 Notice of termination of employment) which will commence on the day on which the professional staff member is formally notified that his/her position is redundant.

Should the professional staff member not accept an invitation within ten (10) working days to be retrenched voluntarily or be considered for redeployment, the Senior Vice-Principal may terminate the professional staff member's employment in accordance with Section 6.7 Notice of termination of employment.

At the request of the professional staff member, the Senior Vice-Principal shall advise the professional staff member's representative of the notification of redundancy.

Where a professional staff member accepts an offer of voluntary redundancy, the professional staff member shall receive on termination a genuine redundancy payment calculated as follows:

• the unexpired portion of the ten (10) working day period in Section 6.6.1 Notice to Professional staff member; and
• a sum equal to three (3) weeks salary for each completed year of continuous service, plus a pro rata payment for completed months of service since the last completed year of continuous service, provided that the maximum sum payable shall be 52 weeks’ salary and the minimum sum payable shall be four (4) weeks salary.

Provided that the sum payable to the professional staff member shall not exceed the salary that would be payable if the professional staff member continued in employment to a date on which the professional staff member had indicated in writing his or her intention to retire.

Where a professional staff member accepts an offer to be considered for redeployment, a two (2) month redeployment period will commence on the day on which the professional staff member is formally notified that his or her position is redundant. During the redeployment period, the Executive Director (Human Resources) shall examine options for redeployment.

Where, at the expiry of the redeployment period, redeployment has not been achieved the University may either:

• terminate the professional staff member's employment with an entitlement to a genuine redundancy payment equivalent to the unexpired portion of the notice period as defined at Section 6.7 Notice of termination of employment; or
• transfer the professional staff member to a position of equivalent classification and salary for which the professional staff member is suitable having regard to their qualifications and experience, in which case this policy and its procedures no longer apply. Where such a transfer is rejected, the Senior Vice-Principal may terminate the professional staff member on ten (10) working days' notice (or such period as specified in The University of Melbourne Collective Agreement 2010) and without payment of any retrenchment benefit.



A professional staff member electing to be considered for redeployment must advise the Executive Director (Human Resources) and:

• supply an up-to-date CV;
• actively examine the lists of vacant positions which are circulated prior to advertisement; and
• advise the Executive Director (Human Resources) as to those in which they are interested.

During the two month redeployment period the Executive Director (Human Resources) shall take into account the relevant skills, experience and work preferences of the professional staff member and shall:

• examine options for retraining;

• arrange counselling for the professional staff member as necessary;

• monitor and circulate a list of all vacant positions;

• offer the professional staff member redeployment to a suitable vacant position where such a position exists.

The University shall also provide the professional staff member with:

• reasonable leave with pay to attend employment interviews; and

• reasonable travel and incidental expenses incurred in attending such interviews.

Professional staff will normally be redeployed to continuing positions. If redeployment is to a fixed-term position, and the professional staff member holds a continuing position, the redundancy/redeployment process will be frozen at that time, and will recommence at the end of the fixed term contract.

If the Head of Department considers the professional staff member who is to be redeployed to a vacant position is not suitable for that position, the Head of Department must advise the Executive Director (Human Resources) in writing of the reasons why he or she regards the professional staff member as being not suitable for that position.

A professional staff member's employment may be terminated with an entitlement to a genuine redundancy payment equivalent to the unexpired period of the notice period as defined in Section 6.7.1 Table 3 Notice of termination of employment, provided that the notice periods shall not extend employment beyond a date on which the professional staff member has indicated in writing his or her intention to retire.

 A professional staff member who has accepted a redundancy payment which attracts concessional tax treatment, must not be re-employed in the same job. For the purposes of this Section 6.9, the term "same job" includes a role that is identical to the role held by the staff member prior to termination of their employment and any role that whilst not identical is substantially the same involving similar duties to be performed within the same department at the same or similar classification level to the role held by the staff member prior to termination.

At the time of the termination, there must be no agreement, arrangement or understanding (including any informal arrangement) between the staff member and the University, or the University and another person, to employ the staff member after the termination time (see Note 1 below).

Procedures concerning the approval of further periods of employment after accepting a redundancy payment are detailed in Policy 101 Section 4.3.6 Authorisation.

Note 1 - "Agreement" is defined in section 27A(1) of the Income Tax Assessment Act 1936 to mean "any arrangement or understanding whether formal or informal, whether express or implied and whether or not enforceable, or intended to be enforceable, bylegal proceedings".

(Last amendment: June 2010)

If the University is considering any major change which may have significant effects on its staff, it must seek feedback from and consult with the employees affected in accordance with the provisions of this policy.

• The University of Melbourne Collective Agreement 2010

Consultation includes a bona fide opportunity to influence the decision maker and requires the decision maker to give genuine consideration to, and take into account, the views of staff and the relevant unions and any alternatives proposed during the consultation period. It does not give staff or unions a right to joint decision making.

Major change refers to significant changes that the University is proposing to:

• the services it provides (including contracting out),
• administrative methods or structure,
• the structure of the academic year,
• the organisation,
• forms of employment,
• application of technology,

that may have significant effects on staff.

Significant effects includes:

• termination of employment;
• major changes in the composition, operation or size of the University's work force or in the skills required;
• the elimination or diminution of job opportunities or job tenure;
• the alteration of hours of work;
• the need for retraining or transfer to other work or location; and
• the restructuring of jobs

Unions  means unions who are party to The University of Melbourne Collective Agreement 2010 who have coverage of the staff referred to in the application of this policy.

When contemplating major change, the University will seek feedback from and consult with affected staff in accordance with Section 7.5 Procedures.

The University is obliged to follow these procedures only if what it proposes amounts to a major change  that may have significant effects on staff.

Nothing in this policy or its procedures constitute a power of veto over the University’s decision making processes.

Where a Budget Division is considering changes that may have a significant effect on staff within that Budget Division and which it considers are likely to lead to a formal change proposal under Section 7.5.2, it will provide a draft change proposal to staff likely to be directly affected and the relevant union(s), prior to developing a formal change proposal. The draft change proposal may include different options under consideration by the Budget Division.

The affected staff and union(s) will have the opportunity to provide feedback on the draft change proposal and can suggest alternatives. 

The draft proposal and feedback will be kept confidential to the staff members involved and the relevant union(s).

Prior to making a decision to introduce major change, the University will consult with staff likely to be affected by the proposed change and the relevant unions.

The University will discuss with the affected staff members and the relevant unions:

• the introduction of the major change, and
• the effects the changes are likely to have on staff members.

The University will give prompt consideration to any matters raised by the affected staff members and relevant unions in relation to the proposed changes.

In conducting these discussions the University will provide a written formal change proposal to the affected staff members and relevant unions, including:

• all relevant information about the changes such as the nature of the changes proposed,
• the rationale for the proposed changes,
• the expected effects of the changes on staff members, and
• any other matters likely to affect staff members.

If the proposed major change is to contract out or outsource a whole or a part of a particular service or function of the University, the formal change proposal will also include costings and statements of required standards of service.

The consultation period will normally be two weeks and will reasonably reflect the nature and scope of the proposed change.

Industrial action is participating in action as defined by the Fair Work Act 2009 (Cth). Participating in industrial action other than 'protected industrial action' under the Fair Work Act 2009 (Cth) is unlawful.

Staff and students may, when it is appropriate and safe to do so, bring one or more children to the University to enable the parent to attend classes or the workplace.

Requests by staff or students to bring their child(ren) to the workplace or classroom shall be treated sympathetically by supervisors and teachers. Staff should request permission from their Supervisor (level 1 delegate) to bring their child(ren) to work while students should request permission from their lecturers.

Supervisors and lecturers must fully consider the University's legal obligations not to put at risk the health and safety of both children and staff when considering requests. The ultimate responsibility for the safety of all persons on campus resides with the University, and the University cannot accommodate a child where this could create a situation of danger, stress or undue irritation to the child, the parents, other staff or students. The University therefore reserves the right to decide whether a child should be permitted in, or should be allowed to remain in, any particular location.

Children are not permitted in practical classes held in laboratories, workshops or clinics.

Financial procedures and systems are designed to ensure the University is publicly accountable for expenditure of moneys it receives and for its diligent management and stewardship.

Any commitment or expenditure of University finances must be authorised by the appropriate delegation as outlined in the Financial Delegations Policy (Policy 383 Financial Delegations) and must only be expended for University purposes. This includes the use of University Purchasing Cards.

All moneys received must be duly receipted and banked as outlined in Finance Policies and Procedures Manual Policy 139 Receipting.

Money and assets entrusted to the University by way of benefaction must be managed in accordance with the provisions of the Australian Tax Act and Trust law. The University must not and will not accept 'donations' which are offered by the donor (for instance, a student or staff member) in order to obtain advantages or favours. Acceptance of such payments may constitute fraudulent or corrupt conduct (see Section 12.3.1 Definitions).

Fraud or theft by a staff member will normally result in dismissal and, where appropriate, legal action will be taken.

As a broad guiding principle, it is undesirable that personal relationships should intrude or be seen to intrude on or influence staffing decisions.

Staff members should be neither advantaged nor disadvantaged because of a personal relationship with another member of staff or a member of a University committee.

In the context of staffing decisions, personal relationships are defined as relationships which extend beyond professional relations, based on factors irrelevant to the working competencies of staff.

Examples of personal relationships are:

• family relationships (siblings, parent/child, husband/wife, cousins, relations by marriage such as brother or sister-in law); and,

• emotional relationships (which might include de-facto spouses, other sexual relationships and close friendships).

The University strongly encourages staff members to make every effort to avoid situations within the workplace where personal relationships may lead to questionable staffing decisions.

Whilst a close personal relationship with another staff member or an applicant for an employment opportunity within the University does not itself preclude a staff member from making staffing decisions, it is imperative that such decisions are based solely on the criteria of merit, the needs of the University and are consistent with the procedures set out below.

Normally, it is inappropriate for a member of a Head of Department's or Head of Budget Division's family to work in the same Department. In these circumstances, the appointments and payments must be approved by an appropriate delegate with a higher level of delegation than the Head of Department or Head of Budget Division directly affected by the conflict of interest.

Procedures to preserve professional relationships in the workplace

A staff member or committee member should declare the existence of an interest and the potential for a conflict of interest to the relevant Head of Department or Chair, who must put in place arrangements to obviate the apparent or real conflict of interest.

Selection panels should not contain anyone who is in a personal relationship with an applicant for a position, unless the proposed panel member has specialist skills directly relative to the selection process, not readily available elsewhere in the University community. In such cases, the Chair of the selection panel must approve participation and ensure probity in the conduct of the selection process. This is particularly important where the nature of the funding for the position or research to be undertaken necessitates the appointment of a person with particular and specific skills or capabilities, without advertising.

If necessary, the appropriate Head of Department or Chair shall declare the existence of a potential conflict of interest to the Executive Director (Human Resources), so that an appropriate selection panel can be convened.

For unadvertised positions where an appointment may be made through an informal process (eg. casual positions), supervisors should obtain approval from the appropriate Head of Department before appointing a person with whom she/he has a personal relationship. The Head of Department will be accountable for ensuring that no staffing decision outlined in this policy is undertaken by a staff member who may be affected by a personal relationship.

Normally, it is inappropriate for a member of a Head of Department's or Head of Budget Division's family to work in the same Department. In these circumstances, the appointments and payments must be approved by an appropriate delegate with a higher level of delegation than the Head of Department or Head of Budget Division directly affected by the conflict of interest.

The University is committed to a work environment free of discrimination on grounds including race, gender, disability, religion or sexual orientation and where decisions on employment and promotion are made on the basis of merit. In all their dealings, staff should abide by these policies. Behaviour or actions which constitute sexual harassment, or physical or any form of intimidation, are unacceptable.

The University has procedures for dealing with allegations of sexual harassment and unlawful discrimination. Staff should become familiar with these procedures, abide by them, and where allegations of sexual harassment or unlawful discrimination arise, ensure that those procedures are followed.

Information about the University's sexual harassment and discrimination procedures can be found at http://www.hr.unimelb.edu.au/advicesupport/dm.

University staff are entitled to use the University's computing and network facilities only for legitimate University business and for limited personal use. This use should fall within the boundaries of normal appropriate practice.

Breaches of this policy are regarded as a serious matter and the University may take disciplinary or legal action where the conditions stated in Regulation 8.3.R2 - Computing and Network Facilities Rules have been contravened.

The University has the right to access electronic communications created, sent or received by staff using University computers or networks.

Regulation 8.3.R2 - University Computing and Network Facilities Rules available at http://www.unimelb.edu.au/ExecServ/Statutes/pdf/r83r2.pdf.

• Guidelines to Regulation 8.3.R2 - Computing and Network Facilities Rules, available at http://www.unimelb.edu.au/infostrategy/policies/guidelines.html;
• World Wide Web Publishing Policies and Guidelines, available at http://www.unimelb.edu.au/guidelines/;

• Human Resources Personnel Policy and Procedures Manual available from the Policy Library (http://policy.unimelb.edu.au/category/Human+resources); and

• Copyright Information, available at http://www.unimelb.edu.au/copyright.

The University permits the use of the University's electronic communication network through local and remote (dial in) access by staff who have valid accounts which uniquely identify the user of the account.

Staff are granted access to the University's electronic communication network on the condition that these facilities are used for legitimate work or study purposes related to academic, teaching and research enterprises of the University, or for limited personal use.

Excessive personal use constitutes a breach of this policy. Excessive personal use is defined as use that negatively impacts on an individual's ability to perform their role efficiently or effectively. In addition, personal use should not create additional cost to the University.

Use of the University's electronic communication system must fall within the boundaries of normal appropriate practice. (The term 'use' includes storage, transmission, downloading or display of material).

Actions which are not within the boundaries of normal appropriate practice include, but are not limited to:

• Use that contravenes any state or federal law, including but not limited to Equal Opportunity, Occupational Health and Safety and Sexual Harassment legislation;

• Use of the system for a purpose which constitutes an infringement of copyright. The copyright material of third parties (for example, software, database files, documentation, cartoons, articles, drawings, graphic files, text and down-loaded information) must not be used without specific authorisation to do so or in accordance with the University's copyright licence;

• Communication activities which defames an individual, organisation, association, company or business;

• Communications that are obscene, offensive or involve the use of illegal material;

• Use that contravenes a University policy, procedure, statute or regulation;

• Use that directly or indirectly interferes with or conflicts with lawful University business;

• Communication activities which are intended to bring the University or its officers into disrepute;

• Any attempt to circumvent the user authentication or security of any host, network or account;

• Gambling on-line;

• Use of electronic communications for sending 'junk mail', for profit messages, or chain letters;

• Use to run a private business whether for profit or not-for-profit;

• Use to publish a journal or magazine (or any other publication) which is not authorised by the University or associated with the University; and

• Participation in on-line conferences, chat rooms, discussion groups or other like services for purposes other than legitimate University business.

Electronic communications can create legal binding commitments. Electronic communication system users are not permitted to authorise transactions or agreements except as provided in University procedures.

Any staff member found to be using another person's account details or reading another person's E-mail without express consent, or on authorisation from the Senior Vice-Principal, may be subject to disciplinary and/or legal proceedings.

Personal views, transmitted or published using the IT system must be clearly identified as personal views, and not those of the University.

Any failure to abide by this policy may result in disciplinary action including revoking or restricting access to the electronic communication network, cautioning, or more serious disciplinary action in accordance with University disciplinary policies. (These policies are outlined in Section 2 Unsatisfactory Performance and Misconduct). A Head of Budget Division can authorise an investigation of alleged misuse of the University's IT facilities.

Electronic communications must not be used in any manner contrary to the law or likely to contravene the law. Offenders may be referred to the police or other relevant authority and their employment may be terminated.

(Last amendment: June 2010)

This entry defines theft, fraud and corrupt conduct, lists the responsibilities of staff, and sets out procedures for reporting. Theft, fraud and corrupt conduct are all forms of serious misconduct and this policy should be read in conjunction with Section 2 Unsatisfactory Performance and Misconduct.

The University is actively committed to minimising, preventing and deterring theft, fraud and corrupt conduct throughout the organisation.

Thorough checking of referees before employment and having in place good audit systems are the preferred methods for avoiding these problems.

• The University of Melbourne Collective Agreement 2010

• Unsatisfactory Performance and Misconduct Policy (Policy 109 Section 2)

• Administrative Committee Minutes, Meeting 3/98

• Council Minutes, May 2000

• Council Minutes, September 2000

• Council Minutes, July 2001

Prevention: All staff must be committed to minimising, preventing and deterring theft, fraud and corrupt conduct throughout the University.

Documented Policies and Procedures: The University has a duty to:

• ensure that there are adequate documented policies and procedures covering all areas of University operations and staff activities;

• disseminate policy and procedural information; and

• conduct appropriate training programs with respect to those policies and procedures.

All University staff are bound by and must adhere to University policies and procedures. Where aspects of current policies and procedures are considered inappropriate, staff must continue to abide by them but refer these matters to the Senior Vice-Principal.

Quick Action: When confronted with an allegation a supervisor must act quickly. Failure to do so could invalidate the result, waste time and increase the expense of the investigation. The longer it takes to investigate an allegation, the more likely it is that memories fade, and evidence is lost.

Confidentiality: All participants who are involved in or become aware of a fraud, theft or corrupt conduct investigation must keep the details and results of the investigation confidential. However, the Internal Auditor and the police may discuss the investigation with any person if such discussion would further the investigation.

In particular, no suspicion of or proven case of fraud, theft or corrupt conduct is to be discussed with or reported to the media except with the approval of the Vice Chancellor.

Where information received by the Internal Auditor is assessed to warrant investigation, arrangements for such an investigation will be made with the Head of Department, Dean or Head of Division. These arrangements will include securing all related documentation and advising the Senior Vice-Principal and the Executive Director (Human Resources) of the nature and scope of the investigation.

The Vice-Chancellor, Senior Vice-Principal and the Executive Director (Human Resources) will be kept informed by the Internal Auditor of all incidents where evidence of fraud or corrupt conduct is found.

Normally the staff member about whom the allegations are made will be interviewed during the course of the investigation and given the opportunity to put their case.

There are three possible outcomes of an Internal Auditor's investigation into alleged theft, fraud or corrupt conduct:

• where evidence of theft or fraud is found to be of a serious nature and, once a prima facie case has been established, the Internal Auditor, on advice from the Senior Vice-Principal, will report the theft or fraud to the Victoria Police for further action; and/or

• the University's Misconduct or Serious Misconduct process may be invoked (see Section 2 Unsatisfactory Performance and Misconduct); or

• no action will be taken.

Where an external supplier of goods and services to University is involved, appropriate notification must be issued to relevant sections of the University.

A deliberate false allegation of fraud or corrupt conduct must be dealt with in accordance with the above disciplinary procedures.

Note: Where the alleged theft, or fraud involves the misappropriation of money, stores or property, the Senior Vice-Principal on behalf of the Vice-Chancellor will report the matter to the Victorian Minister of Tertiary Education and Auditor-General of Victoria as required under the Financial Management Act, 1994.

Persons wishing to make disclosures of suspected or alleged improper conduct and receive protection under the Whistleblowers Protection Act 2001, or persons receiving disclosures of improper conduct made under the Act, must refer the detailed guidelines found at http://www.hr.unimelb.edu.au/advicesupport/whistleblowers.

A person wishing to make a protected disclosure may contact a Protected Disclosure Officer at http://www.hr.unimelb.edu.au/advicesupport/whistleblowers whorefers the matter to the Protected Disclosure Co-ordinator.

• University Regulation 7.76: Edward Stevens Trust (Staff Welfare Fund) - http://www.unimelb.edu.au/Statutes/r7076.pdf

• Council Minutes, September 1999

• Council Minutes, April 2000

Limited assistance to meet pressing financial obligations is available from this Fund as a loan or grant. In circumstances of special need, members of staff or their dependent families, or the parents, widows or children of deceased members of staff, may apply for assistance. Special circumstances might include:

• lengthy absence from work due to illness, where all paid leave credits have been expended;

• being on sick leave without salary and needing to maintain contributions to a superannuation scheme;

• any other circumstances so judged by the Head of Department or Executive Director (Human Resources).

A loan of not more than one month's salary may be made to an appointee from another country on commencement of appointment. Such a loan would be repayable by equal monthly deductions from the appointee's salary during the first year of service. If the appointment is less than one year, the loan is repayable by a salary deduction of the total amount during the last month of service.

Interest is normally charged on all loans made from this fund. In an emergency or in very special circumstances a short-term loan, repayable with interest by deductions from salary, may be available from the Fund. In a case of severe hardship, a loan may be made available free of interest, or a small non-repayable grant may be recommended.

The staff member or dependent/s applies for assistance by writing to the Executive Director (Human Resources), normally via the Head of Department setting out:

• the purpose of the loan,

• amount sought, and

• proposed details of repayment (for example, salary deductions over a specified period).

The letter should be marked 'Personal and Confidential'. The Head of Department makes a recommendation to the Executive Director (Human Resources), concerning the request.

The Executive Director (Human Resources), arranges an interview with the staff member or dependent/s to ascertain the financial situation and background to the problem. On this basis the Executive Director (Human Resources), makes a decision.

After approval an agreement is signed. The original agreement is retained in the staff member's personal file and serves as the necessary authority to make subsequent salary deductions. A copy is given to the staff member with the loan cheque.

The retired staff member, widow, widower, or other dependant/s applies for assistance by writing to the Manager (Employee Remuneration and Benefits), Human Resources (the contact person for the Social Worker employed by the Staff Welfare fund) setting out:

• the purpose of the assistance,

• the amount sought, and

• details of suggested repayment.

The letter should be marked 'Personal and Confidential'. An interview is arranged with the applicant and the Social Worker to ascertain the financial situation and the background to the problem.

A recommendation is submitted to the Executive Director (Human Resources), for approval.

If the recommendation is approved, an agreement is signed.

The Executive Director (Human Resources) approves all grants and loans.

Actions related to the approval of loans from the Staff Welfare fund shall be reported to Senior Executive.

The Executive Director (Human Resources), approves loans or grants from the Retired Staff Welfare Fund.

(Updated: June 2010)

In accordance with Section 2 Unsatisfactory Performance and Misconduct, the Review and Appeals Committee will hear requests for review arising from decisions relating to:

• unsatisfactory performance;

• misconduct;

• serious misconduct; and

• non-confirmation of continuing academic staff.

Advice and assistance on the procedures of the Review and Appeals Committee are available from local Human Resources Consultants.

• The University of Melbourne Collective Agreement 2010

The Review and Appeals Committee shall consist of three (3) members:

• a person from within the University chosen by the Vice-Chancellor;
• a person from within the University nominated by the relevant union; and

• a chairperson chosen by the Vice-Chancellor in accordance with Section 14.3.2 Chairpersons of Review and Appeal Committees.

Chairs appointed to the Review and Appeal Committee are required to have relevant experience, be independent and command the confidence of management and staff.

A pool of Chairs will be established by agreement between the University and the National Tertiary Education Industry Union (the NTEU). Once the pool is established, the University and the NTEU can add additional persons to the pool by agreement.

The Chair of each Review and Appeal Committee will be agreed between the University and the NTEU by the following process.

• The Vice-Chancellor will nominate an individual from the pool of Chairs referred to above. If the NTEU does not object to this nominee, he or she will be appointed as Chair.

• The NTEU may object to the Chair nominated by the Vice-Chancellor if the NTEU considers that the nominee does not have relevant experience, is not independent and does not command the confidence of management and staff. The NTEU will provide a written statement to this effect to the University within five (5) working days of the nomination.

• The University will consider the NTEU’s written objection and the Executive Director (Human Resources), or nominee, will meet with the NTEU to discuss the objection within five (5) working days of receiving the written objection with a view to resolving the matter. 

• If the matter cannot be resolved through these discussions, the NTEU may refer the matter to Fair Work Australia (FWA) for conciliation within three working days of the discussion, requesting FWA convene a conference of the University and the NTEU as soon as possible to assist the parties to reach agreement on the Chair to be appointed from the pool. In the absence of agreement, the University and the NTEU agree to comply with any recommendation of FWA regarding the Chair to be appointed from the pool.

• If the NTEU does not apply to FWA within the timeline above the agreed and appointed Chair for the purposes of this clause will be the Vice-Chancellor’s initial nominee.

The Review and Appeals Committee must:

• act quickly, fairly, impartially and confidentially;

• only consider the case brought before it in the light of the grounds for review;

• provide a reasonable opportunity for the University and staff member and if they so wish, their representatives:

  • to make representations and answer any matters in person or in writing;

  • to question any witnesses; and

  • to present and challenge evidence.

• consider all the material relevant to the matter, including all material considered in any initial investigation, and any other material it thinks fit;

• permit the University and staff member and if they so wish, their representatives , to be present at all hearings where evidence is taken or submissions are being made;

• at the request of the staff member or the University, keep an audio recording of the proceedings, but not its deliberations, which will be made available on request to either party; 

• provide reasons for its recommendations to the Vice-Chancellor; and

• provide a copy of its report to the staff member.

Approval for a staff member to be issued with a University purchased mobile telephone handset and contract must be obtained from the relevant level 2 delegate.

All University purchased mobile telephones remain the property of the University and should be recorded in the Asset Register in accordance with the Finance Policy and Procedures manual Policy 145 Section 3 Expensed Assets. All invoices relating to the use of a University mobile telephone remain the property of the University.

The Information Division is responsible for providing advice on the purchase of mobile telephone equipment and services.

A staff member who is issued with a University purchased mobile telephone is required to complete, and have authorised, an Authority for use of University mobile telephone form HR38 located at http://www.hr.unimelb.edu.au/aboutus/forms.