Contents

1. Purpose

This procedure defines Swinburne University’s approach to handling disclosures and complaints of sexual harm where the respondent is a Swinburne Staff Member and Relevant Persons, contractor, or third-party provider.  

This procedure should be read in conjunction with the Sexual Harm Prevention and Response Policy. 

2. Scope

This procedure applies to all Staff Members and Relevant Persons (including full-time, part-time, casual, and fixed-term staff), contractors and third-party providers engaged in any activities related to the University, whether on-campus, off-campus, or within digital environments. 

It covers all University locations, including offshore partner sites, and incidents involving:

  • Any form of sexual harm, including sexual assault, harassment, image-based abuse, and inappropriate behaviour that occurs within the University context
  • University-related digital platforms, social media, and other online engagements.
     

Where the respondent is a Staff Member and Relevant Persons and a student, the University will apply this Procedure.

If the incident/s involve children under the age of 18, the matter will be addressed in accordance with the University’s child safety and wellbeing framework.

3. Definitions

The following key terms are used throughout this procedure: 

Term Definition (these differ slightly from the policy page - should they be consistent?)
Complaint Refers to a formal report of an incident/s of sexual harm for the purpose of initiating an investigation.
Complainant A person who has made a Complaint under the Sexual Harm Prevention and Response Policy.
Consent Consent is the voluntary and explicit agreement to engage in a specific activity, including sexual activity. It must be freely given and informed and can be reversible at any point during the interaction. Consent cannot be obtained through coercion, manipulation, or if a person is incapacitated due to alcohol, drugs, or other factors that impair their ability to make an informed decision
Disclosure Disclosure occurs when an individual shares their experience of sexual harm with another person, such as a trusted friend, university Staff Member and Relevant Persons, or support service. A disclosure is not the same as a formal report, and the person disclosing may not wish to pursue further action at that time. 
Investigator An investigator is an appointed internal or external person with appropriate qualifications who is independent and carries out a formal investigation and makes findings based on the information available and the evidence gathered.
Procedural fairness Procedural fairness, also known as natural justice, ensures that all parties involved in an investigation are treated justly and without bias, with the right to be heard, to know the case against them and to have decisions made by impartial decision-makers. It guarantees a transparent and fair process, upholding the rights of all individuals involved.
Report A report is a formal notification to the University or an external authority regarding an incident of sexual harm where there is an expectation for a formal response including but not limited to an investigation, disciplinary action, or legal proceedings.
Respondent A respondent refers to a person who has been accused of engaging in behaviour or actions that constitute a violation of this procedure but has not yet been found responsible.
Sexual assault Sexual assault involves when a person is forced, coerced or tricked into sexual acts against their will or without their consent, including when they have withdrawn their consent, or they are unable to give consent. It includes behaviours such as unwanted touching, public exposure and rape. A full definition can be found in the Crimes Act 1958 (Vic), s40.
Sexual harassment Sexual harassment involves when a person makes an unwelcome sexual advance, or an unwelcome request for sexual favours, and/or engages in any other unwelcome conduct of a sexual nature to another person. It includes behaviours such as intrusive questions about a person’s private life, and offensive sexual comments or jokes. A full definition can be found in the Sex Discrimination Act 1984 (Cth), s28A.
Sexual harm Sexual harm is a non-legal, all-encompassing term that refers to any unwanted, non-consensual behaviour of a sexual nature, whether in-person or online. It includes harmful behaviours such as sexual harassment, sexual assault, rape and image-based abuse. 
Staff Member and Relevant Persons Include persons employed by the University under its Enterprise Agreement (staff) and or persons who are contracted to provide goods or services to the University including third party providers and industry partners.
University-related activity Any activity that is connected to Swinburne University of Technology, including those occurring on University-owned or controlled property, off-campus events sponsored or organised by the University (such as study tours, placements, or conferences), and interactions in online or digital spaces affiliated with the University.
Workplace The workplace includes any physical or virtual environment where University-related work occurs. This encompasses on-campus offices, remote work locations, and digital platforms used for work purposes.

4. Principles

Any person who has experienced incident/s of sexual harm is encouraged to make a disclosure or complaint to the University, the police or other relevant agency. Disclosures can be made via the University’s online system, Riskware.

Responses must be trauma-informed, sensitive, and considerate of the victim-survivor’s experience, avoiding re-traumatisation.

The safety and well-being of individuals affected is supported by providing clear information on internal and external support services.

Confidentiality will be maintained as far as legally possible, with clear communication on when disclosure is required.

5. Reporting and disclosure options

Staff Member and Relevant Persons who have experienced an incident of sexual harm is encouraged to make a disclosure or complaint.  Staff Member and Relevant Persons can report or disclose incidents of sexual harm through the following options:

  • Manager or People & Culture Business Partners: Staff Member and Relevant Persons can raise concerns with their direct manager or People & Culture Business Partner, who will provide guidance on the process, available support options, and ensure the issue is managed in accordance with University procedures.
  • Online Incident System – Riskware: Staff Member and Relevant Persons can report an incident through the University’s health and safety incident system, Riskware. There is an option to mark the report as ‘confidential,’ which will direct the incident to the appropriate teams for action. Marking the report as confidential ensures that the Staff Member and Relevant Persons’s manager is not automatically alerted.
  • Anonymous Reporting: Staff Member and Relevant Persons may choose to make an anonymous disclosure using the designated University online form. However, anonymity may limit the University’s ability to take formal action or provide tailored support.
  • Whistleblower: Staff Member and Relevant Persons may choose to make an anonymous disclosure using the Whistleblowers hotline: Improper Conduct and Whistleblowing Guidelines.
     

Staff Member and Relevant Persons who witnesses or becomes aware of an incident involving sexual harm in relation to a member of the University community, may disclose the incident using the University’s health and safety online system, Riskware. Disclosures of sexual harm may also be made via the Whistleblowers hotline: Improper Conduct and Whistleblowing Guidelines.

All reporting and disclosure options follow a 'no wrong door' approach, ensuring that any report made is directed to the appropriate team for a timely and effective response.

6. Support services for complainants and respondents

Individuals in immediate danger or requiring urgent medical assistance should contact Emergency Services on 000 and/or Campus Security (available 24/7) on +61 3 9214 3333 (all campuses) for on-campus support and coordination with Emergency Services.   

Individuals requiring specialist crisis counselling support should contact the: 

7. Managing disclosures

The University will take all reasonable steps to support the individual making a disclosure, recognising that the first disclosure may be the most important and how it is received may influence a decision to proceed to make a Complaint.

The University may investigate a disclosure even when a Complaint has not been made, for example, if:

  • there appears to be a risk to the health or safety of the individual who made the disclosure or to another person or persons; or
  • if the University considers there is sufficient evidence to warrant an investigation on its own motion; or
  • two or more individuals independently name the same person in separate disclosures, or the University is concerned the disclosure may suggest a pattern of behaviour by the person about whom the disclosures are made; or
  • the individual making the disclosure is under the age of 18 (child) or persons affected or involved in the disclosure are likely to include or involve a child; or
  • the disclosure involves allegations of criminal activity including for example rape, sexual assault, physical assault, stalking and child abuse and unlawfully dealing with a child.
     

Prior to investigating a disclosure, the University may provide the individual who made the disclosure with:

  • if appropriate, an explanation for why the matter is being investigated;
  • information relating to support for the individual who made the disclosure;
  • the opportunity to be involved in the investigation process if they wish to do so; and
  • an explanation of the record keeping and confidentiality provisions in this Procedure.

8. Interim measures

Interim measures appropriate to the University’s duty to provide a safe workplace may be implemented while a complaint of sexual harm is being assessed and/or investigated.

Where these measures are implemented, they do not indicate or presume the outcome of an investigation.

Interim measures may include (but are not limited to):

  • temporary changes to work duties or location,
  • modifications to workplace access or contact arrangements; and/or
  • temporary suspension from employment.

9. Managing disclosures

Staff Member and Relevant Persons who choose to escalate a Disclosure to a Complaint,  may do so at any time. There is no time limit on converting a Disclosure to a Complaint.

The University will manage Complaints made about a Staff Member and Relevant Persons in accordance with the Policy and this Procedure, together with other relevant policies, legislation and agreements, including the Sexual Harm Policy, People Culture & Integrity Policy and the People and Culture Manual.

Where a Staff Member and Relevant Persons makes a Complaint about a person who is not a student or Staff Member and Relevant Persons of the University:

  • The University will pursue the matter if practicable for example in accordance with existing participation or affiliation agreements.
  • If a Complaint about conduct occurring at an affiliated college, club or society where the person complained of is not a member of the University, the University will assist the Complainant to make a Complaint to the appropriate governing body, which may conduct an investigation or complaint resolution process independently of the University. 
  • Where possible, the University will seek to facilitate the sharing of relevant information with the other body about the conduct and outcomes of any investigation and protect the wellbeing of its own students or Staff Member and Relevant Persons who are involved in that body’s investigation.
     

Where a Disclosure or Complaint concerns misconduct affecting individuals within the University community who are under the age of 18, mandatory reporting requirements and the University’s child safety and wellbeing framework apply.

10. Preliminary assessment and investigation

In circumstances where a formal complaint is made, a preliminary review will be undertaken consistent with the Complaints Handling Procedure prescribed by the People & Culture manual.

In the course of a preliminary review and/or investigation of a Complaint, making findings of fact and determining any disciplinary outcome, all parties are afforded procedural fairness and natural justice.

The University is unable to investigate complaints where the Respondent cannot be identified, but if appropriate will explore other viable options to address the concerns raised in the Disclosure.

All Complaints will be managed and completed as expeditiously as possible. Complainants and Respondents will be kept informed of the progress of the Complaint, including being advised of any delays that may arise, and will be advised of the outcome as soon as possible.

The University will make an initial assessment of a Complaint to determine next steps, taking account of:

  • the Complainant’s needs and wishes;
  • any wider obligations and duties including obligations relating to occupational health and safety, duty of care and any other legal obligations;
  • whether there is a risk to the health or safety of the individual who made the complaint or another person;
  • whether the Complaint relates to a child;
  • what investigative or other actions, if any, are available to the University;
  • whether two or more people independently name the same Respondent in separate Complaints, or the University is concerned the Complaint may suggest a pattern of behaviour by the Respondent;
  • whether it is required to communicate the nature of the Complaint to other authorities; and/or
  • any relevant processes or sanctions that are available to the University under the terms of any contract between the individual (or their employer) and the University.
     

Where an investigation is required, it will be undertaken either internally or by engaging an external expert, and a report prepared. If an investigation does not proceed, the University will advise the Complainant of the decision and reasons for this immediately and ensure appropriate support is available to them.

The standard of proof applied to the University’s findings of sexual misconduct is on the balance of probabilities. This means that the alleged sexual misconduct is found to be more likely to have occurred than not, based on the available evidence.

The Complainant and Respondent will be provided with a summary of the report and advised of outcomes.

11. Decisions made under the Policy and/or Procedure

Decisions relating to any sanctions that the University will impose on a Respondent following a finding that sexual misconduct has occurred will:

  • be proportionate to the nature and impact of the misconduct that has occurred;
  • consider the University’s duty of care;
  • hold the Respondent accountable for their behaviour; and
  • be consistent with the guiding principles outlined at section 4.3 of this procedure.
     

Sexual misconduct constitutes serious misconduct. The process for determining an outcome of serious misconduct for Staff Member and Relevant Persons and subsequent sanctions that can be imposed are outlined in either the Enterprise Agreement, or for Staff Member and Relevant Persons not covered by the Enterprise Agreement, their contractual terms of employment, and the Fair Work Act 2009 (Cth).

Disciplinary action for Staff Member and Relevant Persons, as determined by the University, may include but are not restricted to:

  • termination of employment with or without notice;
  • demotion or restricting promotion;
  • removal from positions of responsibility;
  • requirement not to attend campus;
  • formal or final written warnings;
  • formal requirement to undertake educative counselling, training or development;
  • written undertakings that inappropriate behaviour has ceased; and
  • preventing further contact with students or Staff Member and Relevant Persons.

12. Appeals and review process

Both the Complainant and the Respondent have the right to appeal the outcome of an investigation if they believe that procedural fairness was not upheld.

Appeals must be submitted in writing within 14 days of receiving the outcome and will be managed according to the relevant Enterprise Agreement.

13. Confidentiality and record-keeping

The University is committed to maintaining the confidentiality of all parties involved. Disclosure of information will be limited to individuals directly involved in the response and support processes. All records will be securely stored in accordance with data protection and privacy legislation, and access will be restricted to authorised personnel. The University may be required by law to produce records to law enforcement agencies and courts.

14. Reporting to Police and/or external agencies 

Complainants may report incidents of Sexual harm to external authorities, including the Police. The University will support any individual who chooses this path and will cooperate with external agencies in their investigations. 

The University will only report instance/s of Sexual harm to the Police with the consent of the Complainant, except where the University has a duty of care or is legally required to do so (i.e. incidents involving individuals under the age of 18). In these cases, the University will inform the Complainant of these requirements and provide support throughout the process. 

If a report is made to both the University and the Police or another external agency, the University may be required to suspend its internal investigation until the external process is concluded. The University will continue to provide support to all parties during this period.

15. Review and continuous improvement

The implementation of this Procedure will be regularly monitored to ensure compliance and effectiveness. An annual review will be conducted in line with the University’s commitment to continuous improvement. De-identified data will be analysed to identify trends and inform future policy and procedural updates.

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