The purpose of this policy is to ensure that all the stakeholders of the University have access to a proper complaint handling mechanism to address their grievances, and to ensure that they can do so without the threat of retaliation. 

Scope

This is an institution-wide policy affecting Trustees, students, and staff. 

Referenced Laws, Regulations, and/or Policies 

This is the University Policy. 

Compliance/Policy Statement 

The University ensures that there are formal complaint mechanisms in place for the affected individuals to file cases and seek remedies. The policy also ensures that the accused party or individual is entitled to a proper appeal mechanism. 

Regarding administrative staff

The Office of Finance and Operations shall develop a formal complaint mechanism to receive, process, investigate and decide on the complaints from the affected administrative staff members. The mechanism shall respect confidentiality and impartiality in its proceedings. If the issue is not resolved at the department level, the staff may appeal the decision at the University Management, which shall handle the matter in accordance with due procedure, and keep or reject the original decision, or make a new decision. The University Management shall also adopt a mechanism to accept and process complaints directly from the staff, if the affected individual chooses to refrain from undergoing department complaint procedures for any reason, including for reasons of conflict of interest and safety. The decision of the University Management is final in the University’s complaint handling mechanism. 

Regarding academic staff

The Academic Department shall develop a formal complaint mechanism to receive, process, investigate and decide on the complaints from the affected academic staff members. The mechanism shall respect confidentiality and impartiality in its proceedings. If the issue is not resolved at the department level, the staff may appeal the decision at the University Management, which shall handle the matter in accordance with due procedure, and keep or reject the original decision, or make a new decision. The University Management shall also adopt a mechanism to accept and process complaints directly from the staff, if the affected individual chooses to refrain from undergoing department complaint procedures for any reason, including for reasons of conflict of interest and safety. The decision of the University Management is final in the University’s complaint handling mechanism. 

Regarding students 

In cases that involve students, the Office of Admissions and Student Affairs shall be the focal office that accepts and processes the formal complaints directly, or accepts and transfers to the appropriate 14 offices. It may mean the complaints are transferred to the Academic Department, or the Office of Finance and Operations depending on the case. However, to help students avoid bureaucratic complexity, the Office of Admissions and Student Affairs may act as the primary recipient of all forms of complaints, academic or non-academic, from the students, with a student affairs officer assigned to support the affected student in the procedures. Relevant units of the University––those in the Academic Department and those in the Administrative Department––shall develop complaint handling procedures in place to accept and process complaints relevant to them, including cases that relate to academic conduct, refund, privacy, and discrimination and harassment. For both academic and non-academic matters, appeals shall be made to the University Management. The University Management shall adopt an independent complaint handling procedure as well as an appeal mechanism for the cases involving students. The decision of the University Management is final in the University’s complaint handling mechanism. 

Informal resolution 

Students, administrative staff or academic staff may wish to undergo an informal discussion and resolution process, before filing formal written complaints. Resources may include relevant department heads for staff, and the Office of Admissions and Student Affairs for the students. However, no individual involved in the informal resolution process shall prohibit the affected individual from pursuing the formal complaint process under any circumstances. 

External remedies 

The University shall not prohibit the affected member(s) of the University from seeking remedies outside of the University at law enforcement or other agencies. 

Non-retaliation 

With regards to claims that are made in good faith, barring wrongful and deliberate accusations without sufficient proof, the University and members of the University are prohibited from taking retaliatory action in terms of adverse academic and employment consequences as well as any form of verbal and non-verbal intimidation, threats, discrimination and harassment to create hostile learning and working environment. 

Whistleblower Policy 

The University does not prohibit anyone with the knowledge of any offence or violation of the policies of the University from reporting the incidents at any level of the University. The reporter may file incidents at the department, University Management or Board of Trustee levels according to relevant complaint mechanisms, and relevant agencies are required to take measures, such as inquiry, investigation, hearings, according to the due processes. The University ensures that no Trustee, officer, employee, student, or volunteer of the University who in good faith reports any action or suspected action taken by or within the University that is unlawful, fraudulent, or in violation of any adopted policy of the University shall suffer intimidation, harassment, discrimination or other retaliation or, in the case of employees, adverse employment consequences, or in the case of students, adverse academic consequences. The Finance, Audit, Risk, and Compliance Committee of the University Board of Trustees is a standing committee that is primarily responsible for accepting incident reports by anyone that seeks resolutions 15 from the Board, and the Committee shall ensure impartial investigation of the reports received, as well as protection of the reporter of suspected improper conduct from retaliation. 

Review

The Board of Trustees is responsible for ensuring compliance with this policy in various offices of the University. 

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