L2: 10. Employee Relations

10.1. Redundancy and Redeployment: Academic Staff

^{(Updated: April 2007)}

10.1.1. Overview

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 determinations.

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

10.1.2. References

The University of Melbourne Enterprise Agreement 2006
Council Minutes, September 1999
Human Resources Advisory Committee minutes, April 2007

10.1.3. Policy

10.1.3.1. Application of the Redundancy Provisions

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 Section 20.3 and Section 20.4. Academic staff employed on a casual basis are engaged on hourly and may be terminated at the end of an engagement without notice.

10.1.3.2. Grounds for Redundancy

The employment of an academic staff member may be terminated for economic, technological, structural or similar reasons, including:

a decrease in student load in any academic course or subject or combination or mix of courses or subjects conducted on one or more campuses;
a decision to cease offering or to vary the academic content of any course or subject or combination or mix of courses or subjects conducted on one or more campuses;
financial exigency within an organisational unit or cost centre; or
changes in technology or work methods.

Where a decision has been made to terminate the employment of an academic staff member, the University will formally notify the staff member and, if the staff member wishes, a representative, in writing that his or her employment will terminate and the reasons for the termination.

10.1.3.3. Notice period

An academic staff member who has received notification pursuant to Section 10.1.3.2 will be provided with notice of termination determined by a combination of two scales based on age and length of service.

Table 26: Notice Period

Age

Notice

45 or over

22 weeks

40-44

20 weeks

39 or under

18 weeks

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 payment in lieu of notice.

10.1.3.4. Transition Period

An eight week transition period will commence 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 University 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;

to apply to the Vice-Chancellor for a review of the decision to terminate the academic staff member's employment;

and/or

seek redeployment within the University.

10.1.3.5. Election of Early Separation

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

payment in lieu of salary for the unexpired portion of the eight week transition period; and
payment in lieu of the notice period prescribed in Section 10.1.3.3 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.

10.1.3.6. Review

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 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.

10.1.3.7. Redeployment

Should the academic staff member seek redeployment , the academic staff member shall provide the University with details relevant to the skills, experience and work preferences of the academic staff member. The University will take into account the relevant skills, experience and work preferences of the academic staff member and 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;
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 severance benefit in Section 661 of the Workplace Relations Act 1996).
consult with the academic staff member's nominated representative on the above points, at the academic staff member's request.

10.1.3.8. Failure of Redeployment or Review

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:
payment in lieu of 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.

10.1.3.9. Further Periods of Employment after Accepting a Redundancy Payment

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 subclause 10.1.3.9, the term 'same job' includes a role that is identical to the role held by the staff member prior to termintion 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.¹

Procedures concerning the approval of further periods of employment after accepting a redundancy payment are detailed in Section 2.4.3.6 http://www.unimelb.edu.au/ppp/docs/2.html#2.4.3.6.

10.1.4. Procedures

10.1.4.1. Step 1

The Dean recommends to the Vice-Chancellor through the Vice-Principal (Human Resources) that the employment of one or more academic staff members is no longer required and cites the reasons.

10.1.4.2. Step 2

Where the Vice-Chancellor agrees to terminate employment, the Vice-Chancellor, through the Vice-Principal (Human Resources) 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.

10.1.4.3. Step 3

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 Vice-Principal (Human Resources) to seek redeployment within the University.

10.1.4.4. Step 3(a)

If the academic staff member elects early separation, the Dean advises the Vice-Principal (Human Resources).

10.1.4.5. Step 3(b)

If the academic staff member elects to apply for a review, the academic staff member advises the Vice-Chancellor through the Vice-Principal (Human Resources).

10.1.4.6. Step 3(c)

If the academic staff member elects to apply for redeployment within the University, the academic staff member advises the Vice-Principal (Human Resources).

10.1.4.7. Step 4

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.

10.1.4.8. Delegations

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

Table 27: Authorisation

Step

Action

Delegate

Step 1

Recommendation to Vice-Chancellor that academic staff be terminated because of redundancy

Dean

Step 2

Notification to the academic staff member/s and, if requested, the academic staff member's representative of proposed termination of employment

Vice-Chancellor

Step 3 (a)

Decision to accept early separation

Dean

Step 3(b)

Decision to accept request for a review

Decision to accept outcome of review

Vice-Chancellor

Vice-Chancellor

Step 3(c)

Decision to accept request for redeployment

Director of Human Resources

Step 4

Final termination decision

Vice-Chancellor

10.2. Unsatisfactory Performance and Misconduct

^{(Updated: October 2007)}

10.2.1. Overview

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 Human Resources Consultants should be sought prior to implementing this policy.

10.2.2. References

University of Melbourne Enterprise Agreement 2006
University of Melbourne Code of Conduct for Research (17.1.R8) under Statute 17.1
Theft, Fraud and Corrupt Conduct Policy (Section 10.12 of the Personnel, Policy and Procedures Manual)
Responsibilities of University Staff Policy (Section 10.10 of the Personnel, Policy and Procedures Manual).

10.2.3. Definitions

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

Disciplinary action means:

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;
in the case of professional staff on fixed-term contracts and academic staff, termination of employment, provided that termination can only occur in the case of serious misconduct or unsatisfactory performance; or
in the case of professional staff employed on a continuing basis, termination of employment

Disciplinary action includes administrative action, such as physical (but not organisational) relocation or suspension of access to particular University computer applications that may be take, 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:

a. the staff member has been advised in writing of allegations made against her or him, including relevant facts, reasoning and documentation;

b. 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 penalty recommended;

c. findings made against the staff member are made on the basis of a reasonable and accurate assessment of the evidence;

d. any disciplinary action is proportionate to the staff member's alleged conduct or performance; and

e. the allegations have been investigated in accordance with this policy and the law.

Misconduct means:

negligence in the performance of the duties of the position held; or
misbehaviour (which shall include favouritism); or
refusing to carry out a lawful and reasonable instruction that is consistent with the staff member's contract of employment; or
wilful or gross breach of the University's policies, regulations or procedures (including but not limited to University's policy on sexual harassment, research misconduct (see Section 10.2.3.1) or bullying).

Serious misconduct includes:

in relation to professional staff:

a. wilful, or deliberate, behaviour that is inconsistent with the continuation of the staff member's contract of employment; and

b. conduct that causes imminent, and serious, risk, to:
- the health, or safety, of a person; or
- the reputation, viability or profitability of the University.
Conduct that is serious misconduct includes theft, fraud, assault, the staff member being intoxicated at work or the staff member refusing to carry out a lawful or reasonable instruction that is consistent with the staff member's contract of employment.

in relation to academic staff (including research staff):

a. 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

b. serious dereliction of duties (in relation to research misconduct see Section 10.2.3.1); or

c. 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

d. acceptance of payment or other forms of inducement to vary the result of a student.

Unsatisfactory performance occurs for the purposes of this section where performance consistently falls below the expected standard, despite attempts to improve performance in accordance with Section 12.7.5 Performance Improvement Measures.

10.2.3.1. Grounds for Research Misconduct

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 Vice-Princpal (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.

10.2.4. Policy

10.2.4.1. Application

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 Chapter 6 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, Performance Development Schemes and Performance Improvement processes, performance consistently falls below the expected standard.

10.2.4.2. Representation

10.2.4.3. Suspension

Where misconduct or serious misconduct is alleged, the Provost (or nominee) 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.

10.2.4.4. Investigation & recommendation

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

a. the allegations against the staff member have been investigated by an impartial person and a report of the investigation has been forwarded to the Provost (or nominee) and subsequently the Vice-Chancellor;

b. the Review and Appeals process, if invoked, has concluded; and

c. the staff member has been accorded fair treatment.

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

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).

10.2.4.5. Review and Appeal

A staff member may seek a review of a recommendation of the Provost (or nominee) 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.

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.

10.2.5. Procedures

10.2.5.1. Counselling

Staff members displaying poor work behaviours such as absenteeism, continually arriving late at work, neglect of duty of 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 warn 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, Section 12.7.5 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.

10.2.5.2. Allegation of misconduct, serious misconduct or continued unsatisfactory performance

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

Referral to Vice-Principal (Human Resources)

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 the University's Performance Development Framework, Performance Development Schemes and Performance Improvement Processes, performance consistently falls below the expected standard, he or she should refer the matter to the Vice-Principal (Human Resources). 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 Vice-Principal (Human Resources) receives a complaint of alleged research misconduct or serious research misconduct, he or she may consult with the Deputy Vice-Chancellor (Research).

Suspension

Where misconduct or serious misconduct is alleged, the Vice-Principal (Human Resources) may recommend that the Provost (or nominee) suspend the staff member. Such suspension shall be on full pay.

Investigation of allegations of misconduct, serious misconduct or continued unsatisfactory performance

On referral of an allegation of misconduct, serious misconduct or continued unsatisfactory performance, the Vice-Principal (Human Resources) 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 or discrimination is sought to be dealt with by the University as a disciplinary matter than, the matter shall be referred to the Vice-Chancellor. 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 Vice-Principal (Human Resources) 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.

On completion of the investigation, the investigation officer(s) will provide a report to the Vice-Principal (Human Resources) which includes:

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 Vice-Principal (Human Resources) may:

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

b. advise the Provost (or nominee) that it is appropriate that he or she recommend that disciplinary action be taken against the staff member.

Action by the Provost (or nominee)

On receipt of advice from the Vice-Principal (Human Resources) the Provost (or nominee) may:

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

b. seek further information from the Vice-Principal (Human Resources); or

c. accepts the advice of the Vice-Principal (Human Resources) that he or she should recommend that disciplinary action be taken against the staff member.

Where the Provost (or nominee) accepts the advice of the Vice-Principal (Human Resources) that he or she should recommend that disciplinary action be taken against the staff member, the staff member will be provided with a report detailing the allegations made against him or her 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).

Review and Appeals Committee

A staff member may seek a review of the recommendation of the Provost (or nominee) 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 the allegations against the staff member have been investigated by an impartial person and whether that staff member has been accorded fair treatment; and

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

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

Determination by Vice-Chancellor

Following receipt of the report of the Review and Appeals Committee or no sooner that ten days after the recommendation of the Provost (or nominee) to impose a disciplinary penalty, the Vice-Chancellor shall determine the matter and, where applicable, advise the staff member of the grounds for the penalty.

10.3. Research Misconduct

(Updated: October 2007)

Section 10.3 has been removed due to the revision of Section 10.2. Allegations of research misconduct are now handled according to Section 10.2 and accordingly please refer to Section 10.2 for the relevant policy and procedure.

10.4. Review of Actions

^{(Updated: July 2006)}

10.4.1. Overview

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 Human Resources Consultants.

10.4.2. References

The University of Melbourne Enterprise Agreement 2006

10.4.3. Policy

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. reclassification, misapplication of University policy), including a failure or refusal to act, that relates to his or her employment at the University.

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 at the level of the local workplace between the staff member and the supervisor or the person who made the decision which is the subject matter of the grievance.

In circumstances where a 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 may discuss the grievance with the next level of management or supervisor.

In order to facilitate the resolution of staff grievances, the Vice-Chancellor will, following consultation with the Chair of the Staff Consultative Committee, 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;
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 which meet the criteria (including, but not limited to, disciplinary action, academic promotion, sexual harassment or discrimination 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.

10.4.4. Procedures

10.4.4.1. Local Resolution

Before making a formal application for review under this policy, a staff member is required to discuss his or her grievance matter with his or her supervisor or the person who made the decision to which the grievance relates. 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. The supervisor, person who made the decision or the supervisor's supervisor will discuss the grievance with the staff member as soon as practicable after the staff member has raised the matter with them. The supervisor, person who made the decision or the supervisor's supervisor will explain (or, in the case of the supervisor's supervisor, 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 if resolved, an appropriate records of the agreement should be kept by the staff member and supervisor or person who made the decision which is the subject of the grievance.

10.4.4.2. Where Local Resolution Fails

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 appoint a member of the pool of persons from within the University established in accordance with this policy to review the matter, except:

where a grievance relates to employment relations; and
a staff member requests that the matter be reviewed by a member of the pool of persons described above.

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

10.4.4.3. Vice-Chancellor to determine grievance

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 staff member and the supervisor or person who made the decision which lead to the grievance shall be advised of the Vice-Chancellor's decision and the reasons for the decision.

10.5. Dispute Resolution Procedures

^{(Updated: July 2006)}

10.5.1. Overview

This policy shall apply to any dispute regarding the application of clauses of the University of Melbourne Enterprise Agreement 2006.

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

10.5.2. References

The University of Melbourne Enterprise Agreement 2006

10.5.3. Procedures

Disputes over the application of the University of Melbourne Enterprise Agreement 2006 will be settled in accordance with this policy.

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 the Australian Industrial Relations Commission are exhausted:

(a) work shall continue in the normal manner;

(b) no industrial action shall be taken by the University, staff or representatives of staff;

(d) neither the University or staff or their representative will take any action likely to exacerbate the dispute; and

(e) the subject matter of the dispute shall not be taken to the Australian Industrial Relations Commission by either the University or representatives of staff.

The University may seek to refer a dispute directly to the Australian Industrial Relations Commission 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.

10.5.4. Procedures

10.5.4.1. Step One : Discussion at the workplace level

In the first instance the staff member shall discuss the dispute with his or her supervisor or where this is not appropriate, his or her Human Resources Consultant to attempt, in good faith, to reach agreement.

10.5.4.2. Step Two : Referral to the Vice-Principal (Human Resources)

Where a dispute is not resolved under Section 10.5.4.1, the staff member should refer the matter to the Vice-Principal (Human Resources) to assist in the process of resolution. If the dispute is not resolved within five (5) working days of referral to the Vice-Principal (Human Resources) it may be referred in writing by the staff member or the Vice-Principal (Human Resources) to a Disputes Committee for resolution in accordance with Section 10.5.4.3.

10.5.4.3. Step Three : Referral to Disputes Committee

A Disputes Committee shall be convened within five working days of the Vice-Principal (Human Resources) being notified of a dispute, unless agreed otherwise by the staff member and the Vice-Principal (Human Resources). The Disputes Committee shall consist of equal numbers of nominees of the University and equal numbers of nominees of the elected members of the Staff Consultative Committee (SCC).

Any staff member involved in the dispute will be advised that the dispute is to be heard by a Disputes Committee and that he or she is entitled to:

put his/her position to the Disputes Committee; and
be advised of the Committee's deliberations.

The Disputes Committee shall attempt to resolve the matter within five working days of its first meeting (ie ten days after the dispute was notified to the Vice-Principal (Human Resources) but a longer timeframe may be granted at the discretion of the Vice-Principal (Human Resources). Any resolution shall be in the form of a written agreement subject, if necessary, to ratification by the staff member and the University.

10.5.4.4. Step Four : Reference to the Australian Industrial Relations Commission (AIRC)

Should the dispute not be resolved by the processes referred to in Section 10.5.4.1, Section 10.5.4.2 and Section 10.5.4.3 or if the staff member or the University refuses to engage in the dispute process, the matter may be referred to the AIRC by the staff member or the University.

The AIRC shall have regard to whether the parties to the dispute have complied with the procedures set out in Section 10.5.4.1, Section 10.5.4.2 and Section 10.5.4.3. The AIRC may resolve the dispute to the extent that it relates to the application of the Agreement by the processes of conciliation and/or arbitration. The parties to the dispute will implement any decision of the Commission.

10.5.5. Alternative dispute resolution procedure

Nothing in this clause prevents the staff member and the University from agreeing to refer an unresolved dispute to a person or body other than the AIRC for resolution, in which case the staff member and the University shall agree to be bound by any recommendation to resolve the dispute, made by the agreed person or body.

10.6. Redeployment and Redundancy Arrangements - Professional Staff

(Updated: April 2007)

10.6.1. Overview

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

10.6.2. References

The University of Melbourne Enterprise Agreement 2006
Human Resources Advisory Committee minutes, April 2007

10.6.3. Policy

10.6.3.1. Grounds for Redundancy

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.

10.6.4. Preliminary Process

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

10.6.5. Advice to Human Resources Department

Where it is established that a professional staff member is excess to requirements, and with the assistance of the Human Resources Consultant, 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 Dean or Head of the Budget Division must advise the Vice-Principal (Human Resources) :

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 Vice-Principal (Human Resources) then:

advises the Head of Department who then informally advises the professional staff member that the Vice-Principal (Human Resources) is reporting to the Senior Vice-Principal that his or her position is likely to be declared redundant;
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.

10.6.6. Formal Procedures

10.6.6.1. Notice to Professional staff member

The Senior Vice-Principal shall advise the professional staff member that his or her position will be declared redundant and that his or her employment may be terminated. The Senior Vice-Principal will advise of the notice period for termination as specified in Section 10.6.7. At the time of notification of redundancy, the Senior Vice-Principal 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 an entitlement to payment in lieu of salary for the unexpired portion of the notice period (as defined at Section 10.6.7) 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 Section 10.6.7.

At the request of the professional staff member, the Vice-Principal (Human Resources) shall advise the professional staff member's representative of the notification of redundancy.

10.6.6.2. Voluntary Redundancy

Where a professional staff member accepts an offer of voluntary redundancy, the professional staff member shall receive on termination :

payment in lieu of salary for the unexpired portion of the ten (10) working day period in Section 10.6.6.1 ; 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.

10.6.6.3. Redeployment

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 Vice-Principal (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 payment in lieu of salary for the unexpired portion of the notice period as defined at Section 10.6.7 ; 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 section 10-9 no longer applies. 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 Enterprise Agreement 2006) and without payment of any retrenchment benefit.

10.6.6.3.1. Professional staff member elects redeployment

A professional staff member electing to be considered for redeployment must:

supply the Human Resources Department with an up-to-date CV;
actively examine the lists of vacant positions which are circulated prior to advertisement;
contact the Human Resources Department with advice as to those in which they are interested.

10.6.6.3.2. University obligations in redeployment

During the two month redeployment period the Vice-Principal (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.

10.6.6.3.3. Obligations on Departments to accept redeployed professional staff

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 Senior Vice-Principal in writing of the reasons why he or she regards the professional staff member as being not suitable for that position.

10.6.6.3.4. Funds transfer

Where a professional staff member is redeployed to another Department, funds that would have been paid out for the redundancy by the relinquishing department, will be transferred to the receiving department.

10.6.7. Notice of termination of employment

A professional staff member's employment may be terminated on the basis of the following periods of notice :

Table 28: Notice of termination of employment

Where the professional staff member is 45 years of age or more, or has at least 20 years continuous service

12 months

Where the professional staff member is 44 years of age

11 months

Where the professional staff member is 43 years of age

10 months

Where the professional staff member is 42 years of age

9 months

Where the professional staff member is 41 years of age

8 months

Where the professional staff member is 40 years of age

7 months

All other professional staff members

6 months

Provided that the above periods shall not extend employment beyond a date on which the professional staff member has indicated in writing his or her intention to retire.

10.6.8. Payment of Accrued entitlements

When employment is terminated pursuant to this section the professional staff member shall receive payment in lieu of accrued long service leave provided that continuous service is one (1) year or more.

10.6.9. Further periods of Employment after accepting a redundancy payment

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 subclause 10.6.9, 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.

Procedures concerning the approval of further periods of employment after accepting a redundancy payment are detailed in Section 2.4.3.6 http://www.unimelb.edu.au/ppp/docs/2.html#2.4.3.6.

10.7. Major Change

^{(Last amendment: September 1994)}

10.7.1. Overview

If the University makes a decision to introduce major change which has significant effects on its staff, it must notify and consult with the employees affected.

10.7.2. References

University of Melbourne Enterprise Agreement 2006 http://www.hr.unimelb.edu.au/advicesupport/eb.

10.7.3. Policy

The University is obliged to follow these procedures of notification and consultation only if what it proposes amounts to a 'major change' with 'significant effects' on staff. The notion of 'major change' is directed to the impact which alteration to a presently existing situation will have on management and administration. This means major changes in:

the services it provides;
its organisation;
its administrative methods;
its structure;
its form of employment;
its application of technology.

The notion of 'significant effect' is directed to the impact which the alterations are likely to have on staff and their employment. This 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;
the restructuring of jobs.

10.8. Industrial Action

^{(Last amendment: August 2007)}

10.8.1. Overview

Industrial action is participating in action as defined by the Workplace Relations Act 1996 (Cth). Participating in industrial action other than 'protected industrial action' under the Workplace Relations Act 1996 (Cth) is unlawful.

10.8.2. Policy

10.8.2.1. Union meetings and strike action

Attendance at union meetings, protests or demonstrations during working hours, outside of a lunch break, is considered industrial action and will result in a commensurate salary deduction.

Industrial action does not include action authorised by the University or where the failure to perform work is due to a justifiable and reasonable concern about an imminent risk to health or safety.

10.8.2.2. Absence on leave

Any person absent on a day where there is industrial action will be taken to have participated in the industrial action unless a request for annual or long service leave is approved prior to official notification of the proposed industrial action. Sick and family leave requests will require approval and/or certificates in accordance with University policy.

10.8.3. External Industrial Action

10.8.3.1. Policy

When industrial action outside the University, such as power cuts and public transport stoppages, occur on normal working days, staff are expected to attend, unless informed by the Head of their department that they are not required.

10.8.3.2. Taxi fare reimbursement

Departments may reimburse taxi fares when:

there is no public transport available except taxis;
the staff member has informed the Head of Department that they have no means of transport and it has not been possible for the department to arrange a suitable alternative;
the Head of Department wishes the staff member to attend.

Prior approval must be given by the Head of Department for reimbursement of taxi expenses, which will be charged against departmental funds.

If the Head of Department does not agree to authorise the reimbursement, the staff member may apply for special leave, giving a short explanation of why attendance is not possible.

10.9. Children on Campus

^{(Last amendment: August 1997)}

10.9.1. Overview

The University acknowledges that many staff and students combine family with work or educational responsibilities. The University will continue to make all reasonable efforts to ensure that there is no direct or indirect discrimination on the basis of parenthood.

The University recognises that:

the care of children is not confined to the social and private realms of life; and
family responsibilities may be the concern of any adult.

The University aims to provide leave, benefits and child care facilities which reasonably accommodate the competing roles of students and employees with respect to their family responsibilities.

10.9.2. Policy

10.9.2.1. Non-Employees on Campus

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 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.

10.9.2.2. Access to Specific Areas

Certain areas may have supplementary policies or guidelines relating to children that must be in line with overall University policy.

10.9.2.3. Supervision

The University requires that children brought onto the campus be under the supervision of a parent or guardian at all times.

10.9.2.4. Definition

Campus: includes all the University's campuses, field and research stations, buildings, grounds, vehicles, farms, commercial operations and other locations under the University's control.

10.10. Responsibilities of University Staff

^{(Updated: December 2007)}

10.10.1. Overview

It is expected that all staff (including casuals) of the University maintain a high standard of conduct and work performance, and observe standards of equity and fairness in dealing with students, members of the public and other staff. Breaches of the standards set in this document may result in disciplinary action, and possible termination of employment.

The Code of Conduct for Research covers ethical issues which may arise during the course of research, and the Code of Teaching Practice outlines issues relating to teaching.

10.10.2. References

Council Minutes July 2001
The University of Melbourne Staff-Student Relationships Policy
The University of Melbourne Equal Opportunity Policy

10.10.3. Policy

10.10.3.1. Personal behaviour

Staff are expected to:

perform official duties with skill, care and diligence, using authority fairly;
perform their duties professionally, and not physically assault or insult, threaten or malign another University colleague, or behave in such a way that brings the University into disrepute;
observe relevant Acts, regulations, awards and University policies and procedures;
treat students, colleagues and members of the public with courtesy, and with respect for their rights, duties and aspirations.

10.10.3.2. Conflict of interest

Staff should aim to avoid being placed in a situation where there may be a conflict between the interests of the University and their own personal interests or those of family or friends. Should that situation arise, the matter must be discussed with the Head of Department.

The University expects staff not to place themselves in a position where it could be construed that they have:

used University assets, including the University's computing and network facilities or confidential University information for personal gain or a benefit for themselves, their family or friends;
entered into a contractual arrangement to supply goods or services in addition to their normal contract of employment;

If such situations arise, they should be resolved with the Head of Department.

The requirement to declare a conflict of interest still holds in relation to companies or other entities supplying goods or services to the University. A staff member must declare any interest he or she or his or her immediate family has in a company or other entity providing or likely to provide goods or services to the University.

Staff members are occasionally offered favours or gifts. This includes promises of donations, bequests, sponsorship or consultancy payments to the University for the purposes of the faculty, department, projects or work in which a staff member is involved. Staff should exercise caution before accepting such favours or gifts, personally or on behalf of the University, from anyone who could benefit or be perceived to be benefiting by influencing them. For the avoidance of doubt:

except in the case of token gifts which could not reasonably be taken to constitute an inducement, no staff member should invite, discuss or accept a favour or gift in any form from, or on behalf of, a currently enrolled student; and
no staff member should invite, discuss or accept a favour or gift in any form from, or on behalf of, a graduate of the university within two years of the date of their graduation; exceptions to this rule would operate where

(1): the gift was a token gift which could not reasonably be taken to constitute an inducement; or
(2): a favour or gift were offered as part of a formal alumni or other fund-raising program conducted by the University and all negotiations were conducted by members of staff in the University's Development Office.

If a staff member is uncertain about whether to accept a favour or gift, he or she should discuss the matter with her or his Head of Department.

Conflict of interest situations may arise from close personal relationships between staff and students for whom staff have a duty of care. Such relationships may have the potential to cause harm to students, staff and the University.

10.10.3.3. University Finances

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 University Regulation 17.1.R6 (see http://www.unimelb.edu.au/ExecServ/Statutes/pdf/r171r6.pdf) 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 - receipting (see http://www.unimelb.edu.au/FinPPM/0.html).

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 10.12.3.1).

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

10.10.3.4. University equipment

University equipment, including motor vehicles and the University's computing and network facilities, is for official use by staff and students. Other use of equipment, or its use by persons who are not staff or students of the University, should be within policy guidelines and with the approval of the Head of Department.

10.10.3.5. Computer equipment and software

Information technology hardware and software has been purchased or licensed to the University solely for University use. University information technology facilities may not be used:

where copyright would be infringed;
to obtain unauthorised access to systems and data;
to send electronic mail which is illegal, for commercial purposes or which may offend others;
to store, transmit or display material which is pornographic, obscene, offensive, slanderous or illegal;
for personal gain.

10.10.3.6. Personal relationships, employment and other staffing decisions

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 Vice-Principal (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.

10.10.3.7. Equity

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.

10.11. Staff Use of the University's Internet, E-mail and Electronic Communications Policy

(Updated: July 2006)

10.11.1. Policy Scope

This policy sets out the terms and conditions of use for the University of Melbourne's electronic communications system (including E-mail, the intranet and the internet) ('the IT System'). It applies to all users of the University's network, including, but not limited to permanent staff, contractors, casual staff, temporary staff and volunteers of the University.

10.11.2. Overview

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 8.1.R7 have been contravened.

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

10.11.3. Reference

Regulation 8.1.R7 - University Computing and Network facilities available at

http://www.unimelb.edu.au/ExecServ/Statutes/r81r7.htm.

10.11.4. Related Documents

World Wide Web Publishing Policies and Guidelines, available at

http://www.unimelb.edu.au/guidelines/ ;
Personnel Policy and Procedures Manual, available at

http://www.unimelb.edu.au/ppp/docs/ ; and
Copyright Information, available at

http://www.unimelb.edu.au/unisec/copyright/copyrte.htm.

10.11.5. Policy

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.

10.11.6. Breaches of this Policy

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 Chapter 10).

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.

10.11.7. Monitoring Electronic Communication

The University has the right to access electronic communications created, sent or received by staff using University computers or networks. It is not University policy to regularly monitor electronic communications (including E-mails) but it reserves the right to monitor use without notice.

Electronic communications may also be subject to discovery in litigation and criminal investigations. For example, all information produced on computer, including E-mails, may be accessible under the Freedom of Information Act. It should be noted that E-mail messages can sometimes be retrieved from back up systems even after users have deleted those E-mails.

From time to time the Senior Vice-Principal (or delegate) may examine the records of electronic communications for operational, maintenance, compliance, auditing, security or legitimate investigative purposes. For example, random monitoring may occur of web sites visited, or the University may properly investigate a complaint arising from the use of E-mail and may also investigate unlawful use or breach of this policy.

10.11.8. Responsibilities

Table 29: Responsibilities

POSITION

RESPONSIBILITY

Individual Staff Member

To ensure their use of the University's electronic communication system is in accordance with the guidelines provided in this policy.

To report instances of misuse to their Head of Department.

Head of Department

To ensure staff within their Department are aware of this policy.

To investigate (normally in collaboration with the Senior Vice-Principal, or delegate) and discipline the offending staff member, or report instances of misuse to the Provost (or nominee), as appropriate.

Vice-Principal (Human Resources)

To ensure that the persons to whom this policy applies are made aware of this policy.

To support any investigations and disciplinary actions required as a consequence of a breach of this policy.

Provost (or nominee)

To undertake disciplinary action in relation to serious misconduct, as required.

10.12. Theft, Fraud and Corrupt Conduct

^{(Last amendment: July 2004)}

10.12.1. Overview

This entry defines theft, fraud and corrupt conduct, lists the responsibilities of staff, and sets out procedures for reporting.

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.

10.12.2. References

Administrative Committee Minutes, Meeting 3/98
Council Minutes, May 2000
Council Minutes, September 2000
Council Minutes, July 2001

10.12.3. Policy

10.12.3.1. Definitions

Fraud includes theft, criminal deception; making false representations to gain an unjust advantage; and abuse of University property or time.

Theft is the dishonest appropriation of the University's property with intent to deprive the University of it permanently.

Corrupt conduct includes improper use of influence or position and/or improper use of information or other improper acts or omissions of a similar nature.

Examples of some activities covered under these definitions are:

taking inducements, including donations or sponsorships, to mark a student's assessment more favourably or award a contract for the provision of goods or services;
misuse of one's position to gain an unfair or unjust advantage;
misuse or abuse of telephone, fax, computers, and other equipment to run a private business, whether for profit or not-for-profit;
operation of a private business using University facilities and time;
misuse of petty cash;
unauthorised removal of equipment, parts, software, and office supplies from University premises;
submission of fraudulent purchase orders;
submission of fraudulent applications for reimbursement;
submission of exaggerated or wholly fictitious accident, harassment or injury claims;
misuse of days sick or family leave;
using University-paid travel, ostensibly for business, but, in fact, where the principal purpose is private;
falsification of time records; and
damage, destruction or falsification of documents.

10.12.3.2. Responsibilities

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 Vice-Principal (Administration).

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.

10.12.4. Procedures

10.12.4.1. Reporting

Members of staff: Where a member of staff suspects that an act of theft, fraud or corrupt conduct is occurring or has occurred, it is the duty of that staff member to report such suspicions to their Head of Department.

Where the member of staff does not feel comfortable reporting their suspicions to their Head of Department they must report such matters to the Dean, Head of Division or to the Internal Auditor.

Head of Division or Department: On receiving a report of suspected theft, fraud or corrupt conduct the Head of Department, Dean or Head of Division must record details of the report, including the time and date the report is made and details of all matters raised.

Internal Auditor: All reported incidents of suspected theft, fraud or corrupt conduct must be reported to the Internal Auditor immediately and prior to any investigation of such allegations being undertaken.

Anonymous Reports: Anonymous reports, although not encouraged, may be directed to the Internal Auditor where there is adequate supporting information to enable an investigation to be undertaken. Where such reports are directed to other staff of the University, this information is to be forwarded on to the Internal Auditor.

Involving a Senior Officer: Where a report of suspected theft, fraud or corrupt conduct is made and involves a Senior Officer of the University, such a report is to be referred to the Chairperson of Audit Committee by the Internal Auditor.

10.12.4.2. Preliminary Investigation

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 Vice-Principal (Administration) and the Vice-Principal (Human Resources) of the nature and scope of the investigation.

The Vice-Chancellor, Vice-Principal (Administration) and the Vice-Principal (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.

10.12.4.3. Possible Outcomes

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 Vice-Principal (Administration), will report the theft or fraud to the Victoria Police for further action; and/or
he University's Misconduct or Serious Misconduct process may be invoked; 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 Vice-Principal (Administration) 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.

10.12.4.4. Review of Procedures

In all instances where there is a report of fraud or corrupt conduct, whether proven or otherwise, a Head of Department, Dean or Head of Division will review the procedures and controls in operation within the department and advise the Internal Auditor of this review and include any action taken to address any inadequacies found.

10.12.4.5. Records

All records of actual or suspected theft, fraud or corrupt conduct will normally be retained by the Internal Audit Office.

10.12.5. Whistleblowers Protection Act

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 http://www.hr.unimelb.edu.au/advicesupport/whistleblowers who refers the matter to the Protected Disclosure Co-ordinator.

10.13. Staff Welfare Funds

^{(Section 10.18 - Last amendment: September 2007)}

10.13.1. Overview

The Staff Welfare Fund and the Retired Staff Welfare Fund assist current and retired staff members, or their dependent families, in circumstances of special need. This section describes each Fund separately and details the procedures for applying for assistance from either of the Funds. All requests for assistance are treated confidentially.

10.13.2. References

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

10.13.3. Policy

10.13.3.1. Staff Welfare Fund

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 Vice-Principal (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.

10.13.3.2. Retired Staff Welfare Fund

Limited loans or grants from this Fund are available in special circumstances to retired staff members or their dependents. Special circumstances might include:

substantial hospital and medical bills;
any pressing financial obligations;
special circumstances of distress experienced by dependents of retired staff members;
special circumstances of distress experienced by widows, dependent widowers, or dependents of deceased retired staff members.

Interest is normally charged on all loans made from this Fund. In a case of severe hardship, a loan may be made available free of interest or a non-repayable grant may be recommended.

10.13.4. Procedures

10.13.4.1. Staff Welfare Fund

The staff member or dependent/s applies for assistance by writing to the Vice-Principal (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 Vice-Principal (Human Resources), concerning the request.

The Vice-Principal (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 Vice-Principal (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.

10.13.4.2. Retired Staff Welfare Fund

The retired staff member, widow, widower, or other dependant/s applies for assistance by writing to the Manager (Remuneration), Department of 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 Vice-Principal (Human Resources), for approval.

If the recommendation is approved, an agreement is signed.

10.13.4.3. Approval of Loans/Grants from Staff Welfare Fund

The Vice-Principal (Human Resources) approves all grants and loans up to the value of $5,000.

The Head of University Services approves all grants and loans of more than $5,000.

Actions related to the approval of loans by the Vice-Principal (Human Resources), from the Staff Welfare fund shall be reported to the Planning and Budgets Committee (PBC).

10.13.4.4. Approval of Loans/Grants from Retired Staff Welfare Fund

The Vice-Principal (Human Resources), approves loans or grants up to the value of $5,000 from the Retired Staff Welfare Fund.

The Head of University Services approves loans of more than $5,000 on the recommendation of the Vice-Principal (Human Resources).

10.14. Review and Appeals Committee

(Updated: August 2006)

10.14.1. Overview

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 Human Resources Consultants.

10.14.2. References

The University of Melbourne Enterprise Agreement 2006

10.14.3. Policy

10.14.3.1. Composition

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

a person from within the University chosen by the Vice-Chancellor;
an elected member of the Staff Consultative Committee (SCC) nominated by the SCC; and
a chairperson chosen by the Vice-Chancellor.

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 panel of Chairs will be established by the University following consultation with the SCC.

10.14.4. Operation

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 a tape recording of the proceedings, but not its deliberations, which will be made available on request to either party; and
provide reasons for its recommendations to the Vice-Chancellor.

10.14.4.1. Recommendation

A Review and Appeals Committee shall make a recommendation in accordance with the grounds for review to the Vice-Chancellor who shall determine the matter.

10.15. Staff Use Of University Purchased Mobile Telephones

10.15.1. Overview

This policy sets out the terms and conditions of use by staff of any mobile telephone handset and/or contract, purchased by the University, or alternatively for the reimbursement of the cost of mobile telephone calls, made from a staff member's personal mobile telephone on official University business.

10.15.2. References

ISAC minutes - August 2002
PBC minutes - August 2002
Council minutes - July 2003

10.15.3. Policy

10.15.3.1. Approval

Approval for a staff member to be issued with a University purchased mobile telephone handset and contract must be obtained from the Head of Department (or nominated delegate).

10.15.3.2. Eligibility

A University purchased mobile telephone handset and contract may be issued to authorised staff where it is deemed necessary to maintain effective communication for the purposes of official University business.

Alternatively, a staff member may seek authorisation to use his or her personal mobile telephone for official University business.

A mobile telephone handset and/or contract purchase using research grant funds must not contravene the conditions of the grant.

10.15.3.3. Purchase of telephone

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 section 13.2 Attractive Items. 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.

10.15.3.4. Use of mobile telephone

A University purchased mobile telephone is for the exclusive use of the staff member to whom the telephone is issued and should be used primarily for official University business. The Head of Department (or delegate) may approve limited incidental personal use of a University purchased mobile telephone for personal purposes.

Use of the mobile telephone shall be monitored by the Head of Department on receipt of the periodic account. Where it is necessary for an authorised staff member to use the mobile telephone for personal calls, the Head of Department may direct that the cost of such calls (plus taxes and charges) be reimbursed by the staff member to the University.

The Head of Department may request the staff member to identify such calls with reference to the periodic account.

The University will audit the records of a University issued mobile telephone to ensure compliance with this policy as part of its regular audit cycle.

University mobile telephones shall not be used for:

unlawful activities;
commercial purposes not under the auspices of the University; or
personal financial gain.

10.15.3.5. Reimbursement of official calls on personal mobile telephones

Where a staff member uses their personal mobile telephone for official University business, and has obtained prior authorisation to do so, they may submit a claim for reimbursement of such calls.

The staff member should submit a signed copy of the telephone account attached to an Employee Expenses Claim with details of calls being claimed.

10.15.4. Procedures

10.15.4.1. Acceptance of conditions

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/benefits/forms.

10.15.4.2. Access to services

Generally, access will only be provided to land line services or other mobile telephone services within Australia. Access to the following services may only be granted upon written approval by the Head of Department (or nominated delegate):

1300, 1900, 1930 or other information services;
WAP services;
GSM data services;
GPRS data services;
International Roaming; or
Any other non-standard communication service.

10.15.4.3. Cessation of employment

A staff member who leaves the service of the University must return the mobile telephone and all associated equipment.

10.15.5. Responsibilities

10.15.5.1. Staff member

The staff member is responsible for the proper use , care and security of a University purchased mobile telephone. They are also responsible for all calls made using the University mobile telephone.

Should the telephone be lost or stolen, the staff member must immediately report the loss or theft to the service provider, or in the case of a loss or theft overseas, to the University. The staff member is responsible for all calls made on the telephone until the loss or theft is reported.

10.15.5.2. Head of Department

The Head of Department is responsible for ensuring this policy is communicated to their staff and to check that all mobile telephone assets and any associated costs are being managed in accordance with this policy.

10.16. Staff Consultation

(New Section: July 2006)

10.16.1. Overview

The University of Melbourne Enterprise Agreement 2006 (the Agreement) established a Staff Consultative Committee (SCC) of elected members:

to provide an informed group for the University to consult about the management of change;
to provide informed members of committees and panels such as the Review and Appeals Committees or Disputes Committees; and
to perform all other functions assigned to it by the Agreement.

The SCC is an advisory group and has no power of veto over the University's decision-making process.

10.16.2. References

The University of Melbourne Enterprise Agreement 2006

10.16.3. Policy

10.16.3.1. Composition

The Staff Consultative Committee comprises:

a Chairperson elected by all staff to whom the Agreement applies;
two academic staff members elected by all academic staff to whom the Agreement applies;
two professional staff members elected by all professional staff to whom the Agreement applies; and
one professional trades and services staff member elected by all professional trades and services staff to whom the Agreement applies.

The union parties to the Agreement may choose to appoint up to six additional members to the SCC, in which case the University shall also be entitled to appoint an equivalent number of management representatives. A member may not be appointed to a Review and Appeals Committee or a Disputes Committee unless he or she is an elected staff member.

10.16.4. Period of Service

Members shall serve until 31 August 2008 and will be eligible for re-election or re-appointment. Should an elected member cease to be a staff member of the University or resign from the SCC during her or his term, the University will conduct an election commencing within four weeks to replace the member until the next scheduled election, unless it would be unreasonable to do so. The election shall be conducted in accordance with the election process for the University Council.

10.16.5. Time Release

Subject to the operational requirements of the University, time release shall be provided to members of the SCC to perform their functions. In particular it is envisaged that, subject to this clause, members of the SCC will require time release to sit on committees and panels, for consultation.

10.16.6. Managing Change

The University will consult with staff likely to be affected by a proposed change and the SCC on a monthly (unless otherwise agreed) basis, before making the change.

The consultation process will include:

giving prompt consideration to matters raised by the staff member/s;
the provision of a written statement that includes all relevant information about the changes, the expected effects of the changes, and any other matters likely to affect the staff member/s, to all affected staff members

A staff member may choose to act through a representative, in which case the University will also consult, discuss, inform and consider the views of the representative.

Further details underpinning the managing change process are set out at clause 85, Managing Change, of the University of Melbourne Enterprise Agreement 2006.