Licensing and registration of construction companies in Victoria

CPCCBC4009B Apply legal requirements to building and construction projects

NEW CONSTRUCTION LEGISLATIVE REQUIREMENTS
(Name)
Subject: Property Law
(Professor)
(University)
(City)
(Date)

PART A: LEGISLATIVE REQUIREMENTS
1. licensing and registration legislation in Victoria
A building company working in Victoria needs to be registered with CBA which runs the
registration of construction companies. Different people in the company should be registered under
different categories like a building surveyor, a building inspector, an engineer, managers, and
supervisors. There are instances when an employee who is working with a registered company and
does not hold a supervisory position does not necessarily need registration. 190-206).
Builders registered as a builder.
Supervisors- Registered as a supervisor or a manager
Managers/Qualified Supervisors registered as managers or qualified supervisors
Business registration requirements for a Company
To register a building company in Vitoria one will need to select a business structure, have a
business name, have a bank account, obtain city licenses and permits and get necessary legal
requirements (Wong, 2015, pp.
2. Key OHS/WHS legislation and regulations to be implemented include:
a) Management of risks and health of workers at a given workplace.
b) Ensure the health of the customer, visitors, and suppliers at the construction site.
c) Ensure that workers have workers compensation insurance policy
d) Monitor the health of working and working conditions.
e) Provide information, instruction and necessary training for the safety of workers.
f) Provide and maintain enough safety facilities for the employees
g) Ensure that machines are safe to be used by workers.
Monitoring site compliance
The methods which need to be used to monitor the site for compliance in this area include
entails using a safety and health assessment programs, reviewing activities to identify potential risks,
investigation of incidences as they occur, frequent and regular inspection of equipment to check out
on safety matters, correction of dangerous equipment and training of staff of safety issues.

The key site safety signage which must be erected and visible at all times at the site include:
a. Prohibition and fire signage
b. Mandatory signage
c. Caution signage
d. Safe condition signage
Standards
a. development and adoption standards of international standards
3. Codes, Acts, Regulations, and Standards specific
The codes, acts, regulations and standards that should be adhered to by Sullivan in the
construction of a 3 story building include the following(Ayers, 2013, pp. 542-567):
a. Building Act of 1975
b. Building code of Australia
c. National Construction Code volume one
d. Plumbing and Drainage Code of Australia
e. Codes of practice
f. Scaffolding Code of Practice
4. Building and Construction Obligations
Contract type: Sullivon can go for the Australian Building industry contract because this is a
big contract (Bailey, 2011, pp.35).
Key obligations
Sullivon
As the construction company, Sullivon has the following obligations towards the project:
a. Plan for the entire project
b. Manage risks appropriately
c. Manage budgets
d. Distribute resources available for the project

e. Manage communication with the staff and key parties to the project
f. Supervise the work of the sub-contractors hired.
Contractors
a. Project planning
b. Project management
c. Project tracking
Client
The client has the following obligations after the contract has been signed by both parties (Bailey,
2011, pp.35):
a. Make sure that appropriate management arrangements for the project have been made.
b. Select and appoint a qualified designer.
c. Select and appoint the principal contractor for the project.
d. Provide basic information necessary for construction.
e. Manage the procurement process
f. Initiate the project and see it running.
g. Decide what is to be constructed.
Conditions the contract must meet
The construction contracts signed by the parties concerned in this case has to meet some key and
essential conditions so that it can be applied effectively. Mandatory or even limited prohibition in the
contraction process includes the scope of work to be done by the company, the payment plan after the
work has been done, security requirements, indemnity and provisions about dispute resolution,
management of damages and relief if it is available. The scope of work will provide a detailed
explanation of work that needs to be done while security requirements will outline safety measures
that have to be undertaken or what should be done to ensure that there is security at the construction
site(Randle, 2016, pp. 138-149). The payment plan will explain how the payment will be done in
terms of amount and periods when everything has to be settled.
5. Industrial Relation Policies
As a sub-contractor one should work without or with minimal supervision. A contractor will
hire a subcontractor who will play a crucial role in the completion of a certain aspect of the project

like electrical fittings, plumbing or bricklaying. When a subcontractor is hired they are responsible for
the work assigned to them by the contractor. A subcontractor agreement should contain all duties,
liabilities, and responsibilities of the subcontractor. In case some conditions should guide the
relationship between the contractor and the sub-contractor then they should be outlined in this
agreement.
Different awards can be given to industry contractors which include mega projects,
commercial and community service. The megaproject is a reward given to a project whose value is
more than $100 million. The commercial awards include the award for office buildings and any other
structure whose value is not large and community service entail an award for philanthropic projects.
6. Insurance Requirements
The following are the insurance requirements which should be met by Sullivon Company by an
insurance company like Allianz Australia Insurance Limited are(Khalfan, 2015, pp. 940-947):
a. Domestic building insurance
b. Professional indemnity insurance with the following classes
i. Building surveyor which can be limited or unlimited
ii. Building inspector which can be limited or unlimited
iii. Quantity surveyor
iv. Engineer
v. draftsman
c. Public insurance
7. Fair trading and common law principles
In Victoria State, fair trading and common law principle agitate for fair contracts which must be clear
and compensation for employees has to be fair according to the tasks they undertake. A receipt must
be provided for payments above $50 or when an individual asks for such a receipt. The refund policy
for any given company should be clear and there will be no unfair market practices by Sullivon. When
adverts are designed, a description of products should be true and there should be no unsociable
behavior from the company or any other person representing the company. A better part of these laws
and regulations applies to Sullivon.
8. Payroll system

There are legislative requirements which have to be followed in the setup and administration
of a payroll system(Kitsakis, 2019, pp. 85) and they include:
a. The system should run alongside ATO’s requirements
b. Be able to apply tax correctly based on awards of employees
c. The system should be able to specific payroll periods for employees
d. Generate a report of wages to the taxation department
e. Management of fair work system for appropriate remuneration
All these legal requirements can be met by making sure that Sullivon has selected the right payroll
system with the ability and capability to meet all the requirements as stipulated in the legal
requirements.
1. Provide a list of the current legislative requirements which need to be followed when setting
up and administering a payroll system to ensure compliance, and in particular, what needs to
be implemented to meet GST legislation and reporting. Also, briefly outline (maximum 100
words) how you could ensure the Sullivon Constructions payroll system meets these
requirements.
PART B: WORKIN WITH OTHERS
Task 1: workplace agreements
A workplace agreement is a written document that contains terms and conditions upon which
an individual has been employed. This is an agreement between an employer and an employee to vary
the terms of employment and the terms reached in such an agreement tenant agreement tent to guide
and govern the employment. There are three types of workplace agreements namely single enterprise
agreement, multiple enterprise agreements and the Greenfields agreement (Lamond, 2013, pp. 247).
A single enterprise agreement is that which can be created between two or more employers
just provided they have a common interest. The fact that their interest in a given venture is common
then it makes it be a single enterprise agreement. If in case the employers decide to enter into a joint
venture even though they are running different companies then such an agreement will be regarded as
a single enterprise agreement. These employees can come together for negotiations on the terms upon
which a collection of their employees will be treated and an agreement is reached.
A multi-enterprise agreement is that agreement reached by two or more employers and their
employees on the terms and conditions of employment (Mannakkara, 2014, pp. 267-290). The
difference between a single enterprise agreement and a multi-enterprise agreement is that in the multi-

enterprise, it is not a must for the employers to have a common interest during their negotiations but
they can come together and bargain on the terms and conditions of employment.
A Greenfields enterprise agreement is a special agreement which is only available to new
projects or new enterprises. An agreement has to be reached before a new project is begun or before a
new employer starts working with people. There are high possibilities that a Greenfields agreement
can be a single enterprise or a multi-enterprise agreement and remain a Greenfields enterprise
agreement (Georgiou, 2010, pp.11).
Task 2:
1. Email to all sub-contractors
Send
To: [e-mail]
Cc… [e-mail],
[e-mail]
Bcc...
Subject TRAINING PROVISIONS AND HARASSMENT POLICY
Dear Jake,
Following the enactment of new training provisions by Sullivon Constructions company, I am
writing to bring to you to inform you that the training has to be done through apprenticeships by
all sub-contractors to those employees working under them.
As a company, we have enacted an anti-harassment and discrimination policy that prohibits
verbal and non-verbal harassment, sexual harassment whether it is verbal, non-verbal or physical
and intimidations of any nature. The policy also encourages a courteous approach to tasks and
relationship with others and stresses on zero discrimination of colleagues at the workplace
irrespective of it being based on the hierarchy in the company, age, gender, race, disability or
any other aspect which might make one feel intimidated at the workplace.
Sincerely Yours,
[Name]

PART C: Managing disputes
Complaints Procedure
1. How complaints should be dealt with effectively to meet legislative and industrial relations
standard practices and addressing cultural differences.
Workplace grievances and complaints will arise because of one reason or another but whenever
such a thing happens the company will be at the forefront in ensuring that it has been resolved
amicably. Such complains will be handled with a lot of caution starting with an investigation into the
matter till resolution of the matter is done. This will be done on time, appropriately and fairly to all
parties which feel aggrieved. A grievance policy will be enacted and it will outline the procedure to be
followed when solving a dispute among employees (Rajagopalan, 2014, pp.76). This will be done in a
manner that allows the person resolving the conflict to talk to the employee offended, then talk to the
alleged offender, get extra evidence and maintain confidentiality throughout the process.
2. The process is followed to document and record all disputes and outcomes.
Whenever a conflict arises there will be some steps to be followed in resolution of the conflict and
they include:
Clarify the disagreement
This will entail digging deep into the disagreement with the help of the warring parties so that the
cause of the disagreement can be brought to the surface. Every party will have a chance to explain
their side of the story so that the person helping in its resolution can get a proper understanding of
what had transpired.
Establish a common goal
A goal should be set so that as the conflict resolution starts the parties should be directed towards a
common interest. This goal should be set in a manner that all the parties agree to it so that after the
resolution no single party feels aggrieved or mistreated (Chen, 2012, pp. 103-119).
Discuss ways to meet the set goals
There will be a discussion between the warring parties and the third party on how the goal set should
be achieved. A consensus has to be reached when it comes to how the parties will meet the set
goals(Gabriel, 2010, pp. 1-38).
Determine barriers to the goal

If some barriers are inhibiting the achievement of the goals then they should be identified and an
appropriate way to handle them be sort for. If they are not dealt with then there are high chances that
the resolution process might not be successful.
Agree on the ways to resolve the conflict
With the help of the warring parties, the best ways to solve the conflict should be sort with a
consideration of the views from the warring parties (Burr, 2016, pp. 37). This means that a final
solution has to be reached at this point and appropriate steps taken to implement the solution.
Acknowledge the reached solution
The reached solution should be acknowledged with each party undertaking its duties and
responsibilities to ensure that all appropriate tasks have been done to aid in the smooth resolution of
the issue at hand.
References
Ayers, G.F., Culvenor, J.F., Sillitoe, J. and Else, D., 2013. Meaningful and effective consultation and
the construction industry of Victoria, Australia. Construction Management and
Economics, 31(6), pp.542-567.
Bailey, J., 2016. Construction Law: Volume II. Informa Law from Routledge.
Bell, M., 2011. Security of payment: Can Victoria offer insights into the re-shucked Oyster of judicial
review?. Building and Construction Law Journal, 27.
Burr, A., 2016. Delay and disruption in construction contracts. Informa Law from Routledge.
Chen, G., Zhang, G., Xie, Y.M. and Jin, X.H., 2012. Overview of alliancing research and practice in
the construction industry. Architectural Engineering and Design Management, 8(2), pp.103-
119.
Gabriel, M., Watson, P., Ong, R., Wood, G. and Wulff, M., 2010. The environmental sustainability of
Australia's private rental housing stock (Vol. 125, pp. 1-38). Australian Housing and Urban
Research Institute (AHURI).
Georgiou, J., Love, P.E.D. and Smith, J., 2010. A review of builder registration in the State of
Victoria, Australia. Structural Survey.
Khalfan, M., Noor, M., Maqsood, T., Alshanbri, N., Rahmani, F. and Sagoo, A., 2015. Perceptions
towards sustainable construction amongst construction contractors in the state of Victoria,
Australia. Journal of Economics, Business, and Management, 3(10), pp.940-947.

Kitsakis, D., Kalantari, M., Rajabifard, A., Atazadeh, B. and Dimopoulou, E., 2019. Exploring the 3rd
dimension within public law restrictions: A case study of Victoria, Australia. Land use
policy, 85,
Lamond, J., Proverbs, D., Booth, C., Mannakkara, S. and Wilkinson, S., 2013. Build back better
principles for post‐disaster structural improvements. Structural Survey.
Mannakkara, S., Wilkinson, S. and Potangaroa, R., 2014. Build back better: implementation in
Victorian bushfire reconstruction. Disasters, 38(2), pp.267-290.
Rajagopalan, P., 2014. Energy performance of aquatic facilities in Victoria, Australia. Facilities.
Randle, E.J. and Hoye, R., 2016. Stakeholder perception of regulating commercial tourism in
Victorian National Parks, Australia. Tourism Management, 54, pp.138-149.
Wong, P.S., Wang, Z.H. and Do, D., 2015. Use of the Security of Payment Act in Resolving Disputes
in Victoria, Australia. Journal of Legal Affairs and Dispute Resolution in Engineering and
Construction, 7(1), p.A4514001. pp.195-206.
Appendix 1: Sample workplace agreement
<insert business name>
EMPLOYMENT CONTRACT
(For Permanent Award Employees of National System Employers)
This is an employment contract
BETWEEN <insert company name/partnership/other name > the Employer
AND
<insert employee’s full name>the Employee
1 Commencement Date
This employment contract commences on the <insert commencement date>.
2 Probation (See Note 1)
2.1 Employment is subject to the satisfactory completion of a three-month probation period.
2.2 The purpose of the probation period is to enable the employer and the employee to assess
their suitability and capability to work together.
2.3 During the probation period the employer or the employee has the right to terminate the
employment with one week’s notice for any reason and without any repercussions.
3 Award

The <insert name of award>Award and the federal industrial laws govern this employment
contract.
4 Employment Category (See Note 2)
The employee is employed as a full-time permanent/part-time[delete where not
applicable]<insert position title>to undertake the duties as outlined in the attached position
description. [attach position description.]
5 Employment Classification (See Note4)
The employee is classified as a <insert classification>.
6 Ordinary hours of work (See Note 3)
The ordinary hours of work are <insert ordinary hours of work>.
7 Overtime/Additional hours (See Note 3)
7.1 The employee will be expected to work reasonable additional hours.
7.2 This contract anticipates that the employee will work <insert number of overtime/additional
hours anticipated to be worked >
8 Remuneration (See Note 4)
8.1 The rate of pay is <insert pay rate> per hour/per week [delete where not applicable].
8.2 The rate of pay for overtime is <insert pay rate>.
8.3. The employer will pay the employee weekly/fortnightly [delete where not applicable] into a
bank account/by cheque/in cash [delete where not applicable].
9 Annual Leave (See Note 5)
[full-time employees]
9.1 The employee is entitled to four weeks paid annual leave for each completed year of service
with the employer. Annual leave accrues throughout the year and from year to year.
OR
[part-time employees]
The employee) is entitled to annual leave of four weeks per year calculated on a pro-rata
basis according to the number of hours worked each week. Annual leave accrues throughout
the year and from year to year.
9.2 The employee is entitled to an annual leave loading of 17.5% for all annual leave taken or
paid out upon termination of employment.
10 Personal/Carer’s leave and Compassionate Leave (See Note 6)
“Immediate family” is defined as follows:
a) A spouse, child, parent, grandparent, grandchild or sibling of the employee;
b) A child, parent grandparent, grandchild or sibling of a spouse of the employee.
[full-time employees]
10.1 The employee is entitled to 10 days paid personal/carer’s leave per year for personal injury or
illness. Personal/carer’s leave accrues throughout the year and from year to year.

OR
[part-time employees]
The employee is entitled to paid personal/carer’s leave of 10 days per year calculated on a
pro-rata basis according to the number of hours worked each week. Personal/carer’s leave
accrues throughout the year and from year to year.
10.2 The employee can use their personal/carer’s leave as paid carer’s leave for the purpose of
caring for a member of the employee’s immediate family or household who requires care or
support because of personal injury, illness or an unexpected emergency.
10.3 The employee is entitled to two days unpaid personal/carer’s leave per occasion for the
purpose of caring for a member of their immediate family or household who requires care or
support because of personal injury, illness or an unexpected emergency.
10.4 The employee is entitled to two days paid compassionate leave per occasion for the purpose
of attending the funeral of a member of the employee’s immediate family or a member of the
employee’s household or for spending time with a member of the employee’s immediate
family or a member of the employee’s household who has a personal injury or illness which
poses a serious threat to his or her life.
10.5 The employer may require medical evidence or a statutory declaration for any period of
personal/carer’s leave or compassionate leave.
11 Public Holidays (See Note 7)
[full time employees]
11.1 In accordance with the National Employment Standards, the employee is entitled to a day’s
paid leave for public holidays which fall on days when the employee would ordinarily work.
OR
[part time employees]
In accordance with the National Employment Standards, the employee is entitled to be paid
for the hours they would ordinarily work on public holidays which fall on days when the
employee would ordinarily work.
11.2 If the employee works on a public holiday he/she is entitled to be paid at double time.
12 Community Service Leave (See Note 8)
The employee is entitled to 10 days paid jury service leave or unpaid leave to attend a
voluntary emergency management activity as provided for in the NES. The employee must
provide evidence of the need for the leave if required to do so by the employer.
13 Long Service Leave (See Note 9)
The employee is entitled to long service leave as provided for in the National Employment
Standards or state legislation.
14 Parental Leave (See Note 10)

The employee is entitled to Parental Leave in the form of Maternity, Paternity or Adoption
Leave as provided for in the National Employment Standards.
15 Flexible Working Arrangements (See Note 11)
The employee is entitled to make a written request for flexible working arrangements once the
employee has completed 12 months continuous service.
16 Family and Domestic Violence leave (See Note 12)
The employee is entitled to 5 days’ unpaid leave per year to deal with family and domestic
violence in accordance with clause 26A of the Pastoral Award 2010.
17 Superannuation
The employer will make superannuation contributions to a fund nominated by the employee.
The superannuation contribution will be not less than that required under the Superannuation
Guarantee (Administration) Act.
18 Termination (See Notes 13 & 14)
18.1 The following minimum notice periods apply to termination of employment:
Employee’s period of continuous service with
the employer at the end of the day the notice
is given
Period
1 Not more than 1 year 1 week
2 More than 1 year but not more than 3 years 2 weeks
3 More than 3 years but not more than 5 years 3 weeks
4 More than 5 years 4 weeks
18.2 If the employee is over 45 years of age and has worked at least two years of continuous
service with the employer the period of notice will be increased by one week.
18.3 Payment in lieu of notice will be made if the appropriate notice period is not required to be
worked.
18.4 The employee is required to give the employer the same amount of notice as a minimum.
This does not include the extra week based on age of the employee. If the employee does not
give the employer notice the employer can deduct one week’s pay from the employee’s
termination payments.
18.5 If the employee has been given notice of termination he/she is entitled to up to one day off
without loss of pay to look for work.
18.6 The period of notice to be given by the employer will not apply in the case of dismissal for
serious misconduct that justifies instant dismissal, including conduct which causes imminent
and serious risk to the health or safety of a person or the reputation, viability or profitability of
the employer’s business; attendance at work under the influence of alcohol or drugs; theft,
fraud, assault in the course of employment or refusal to carry out a lawful and reasonable
instruction.

19 Other Benefits
[Other benefits e.g. accommodation can be listed here.](See Note 15)
SIGNED
..........................................................................................THE EMPLOYER
..........................................................................................THE EMPLOYEE
DATED
..........................................................................................
Appendix 2; sample complains procedure
Resolving Workplace Grievances and Complaints
Procedure
jcu.edu.au/policy/procedures/procedurespdfs/resolving-workplace-grievances-and-complaints-procedure
Intent
This procedure provides a fair and transparent process for the resolution of grievances and
complaints raised by staff regarding employment related matters that meet the
requirements of the James Cook University Enterprise Agreement.
Scope

This procedure applies to all staff covered by the James Cook University Enterprise
Agreement.
This procedure may apply to grievances and complaints raised by staff regarding
employment related matters.
However, this procedure does not apply to matters relating to the Enterprise Agreement or
the NES, which are able to be dealt with under the disputes procedure of the Enterprise
Agreement.
Where JCU is required under legislation to deal with a particular matter in another way, this
procedure will not be available. In this case an authorised officer from Human Resources will
advise the aggrieved staff member of the alternative procedures required.
Definitions
Complaint/grievance means a complaint or grievance under this procedure.
NES – National Employment Standards.
Representative – A staff member or a delegate or staff member of a union that is a party
to the Agreement and not a practising solicitor or barrister. The Representative should not
be a person involved in the complaint/grievance or a party to the complaint/grievance.
Introduction
Principles
In managing and resolving complaints/grievances the following principles will be
appropriately applied, taking into account the nature of the complaint/grievance:
Where possible complaints/grievances should be resolved informally and locally;

Negotiation and conciliation are the guiding principles to be applied by all parties
when attempting to resolve complaints/grievances;
This procedure emphasises a collegial approach to grievance and complaint resolution
through informal procedures and mediation that are designed to lead to a prompt and
fair resolution of difficult problems;
At any stage during the workplace complaint/grievance, the complainant/s and/or the
respondent/s may nominate a Representative to accompany and support them;
Complaints/grievances will be treated seriously;
Complaints/grievances should be dealt with within a reasonable timeframe;
Neither party should be subject to victimisation;
Support should be available to all parties to the complaint/grievance;
Appropriate communication should occur throughout the process;
Appropriate documentation will be maintained;
Confidentiality must be maintained; and
Principles of natural justice will guide the application of this procedure.
General Provisions
Where a University decision, action or inaction, gives rise to a grievance, JCU will, where
possible, refrain from such action, inaction, policy change or decision during the period that
it takes for the grievance to be resolved. The status quo of the parties concerned shall,
where possible, remain unchanged in all other respects.

Where two (2) or more staff members believe they have a common grievance or complaint
they may initiate these grievance and complaint resolution procedures jointly and the matter
shall be dealt with as a single grievance.
Grievance resolution procedures shall not be used to challenge decisions of JCU Council,
or/and procedures required by industrial legislation, regulations, awards or duly executed
agreements between the employer, the employee/s and a relevant Union.
Matters raised under this procedure may be withdrawn by the staff member or their
Representative, by notice in writing to the Director Human Resources (or authorised
officer).
Offers of compromise as well as agreements reached during this grievance and complaint
resolution procedure shall not constitute precedents in regard to other similar grievances and
are without prejudice to positions which the staff member, their

Representative or JCU might take in the future.
Where the Director Human Resources (or authorised officer) determines that the grievance
and/or complaint would be better addressed under another JCU policy and/or procedure, all
parties will be advised of this and no further action will be taken under this procedure. For
example complaints/grievances relating to bullying and harassment and/or sexual
harassment will be dealt with under the JCU Workplace Bullying and Intimidation Policy
and/or the JCU Discrimination and Harassment Policy and Procedure.
If the complaint/grievance has already been dealt with under another applicable
policy/procedure, then the Director Human Resources (or authorised officer) will advise all
parties of this and no further action will be taken under this procedure.
The time limits set out in these procedures may be extended by mutual agreement or where
in the reasonable opinion of the Director Human Resources (or authorised officer) the nature
of the complaint/grievance requires an extension of time to be managed.
Nothing in this procedure prevents JCU from acting to address:
the safety and/or well being of a staff member; or
a vexatious, frivolous or false complaint/grievance; or
misconduct or serious misconduct in accordance with the Enterprise Agreement.
JCU may have an obligation to refer certain complaints/grievances to the Crime and
Misconduct Commission or other external government agencies/independent statutory
authorities in accordance with its legislative obligations. Where that arises, nothing in this
procedure will prevent JCU from dealing with the matter in accordance with those legislative
obligations.
Confidentiality
All parties to the grievance/complaint must ensure confidentiality is maintained
throughout the entire grievance process.
All parties to the grievance/complaint will be informed of:

the nature of the grievance/complaint
the steps taken or to be taken to resolve the grievance/complaint; and
the outcome of the process.
Record Keeping
Accurate and appropriate confidential records will be kept by the person/s responsible at
the particular level during the process. These records will be kept by Human Resources.
3/9

Vexatious, Frivolous or Improper Complaints
While the majority of staff complaints/grievances are motivated by genuine concern about
perceived or actual inappropriate or unfair behaviour or actions, on some occasions a
complaint/grievance may be vexatious, frivolous or improper. A vexatious or frivolous
complaint is one which has the ability to harass or annoy, to cause delay or detriment, or is
for any other improper purpose. Any complaint/grievance that is found to be vexatious,
frivolous or made for an improper purpose may constitute grounds for disciplinary action.
Procedure
First Level: Facilitation
Step Action
1. Where a staff member wishes to raise a complaint/grievance with JCU
under this procedure the staff member must initially attempt to resolve the
complaint/grievance informally themselves at the workplace level, by
raising their concern with the other party or parties involved in the
grievance, if they feel able to do so.
2. If a staff member does not feel able to raise concerns with the other party or
parties involved in a grievance, the staff member should raise their concerns
with the line manager.
Where the staff member claims to have been aggrieved by their line
manager, the staff member should instead inform their line manager’s
supervisor.
3. The parties should (if possible) arrange a discussion to try and informally
resolve the complaint/grievance within 10 working days. Where the staff
member or line manager requests, assistance with informal resolution
and/or documentation of an agreed resolution, Human Resources is
available to facilitate discussions and to record any agreed outcome.

4. If the matter is able to be informally resolved the resolution reached
between the parties should be recorded in writing and will be adhered to by
the parties and provided to Human Resources for filing.

Second level: Assisted Resolution
Step Action
1. If the complaint/grievance is not resolved at the first level, the staff
member or, where requested, their Representative, may notify the
Director, Human Resources or authorised officer, of the unresolved
complaint/grievance. This written notification must be provided no later
than 5 working days following the meeting and/or failure to meet to resolve
the complaint/grievance. The notification should include the following
information:
The details of the complaint/grievance and any supporting
documentation;
Any attempts made to resolve the complaint/grievance informally;
Any response that was provided during or following the attempts at
informal resolution;
Any solutions or remedies discussed; and
The preferred remedy to resolve the complaint/grievance and any
alternative remedies that may be acceptable.
2. The Director Human Resources (or authorised officer) will seek a response
from the staff member and such response is to be provided within 5 working
days of the request from the Director Human Resources (or authorised
officer).
3. Within 20 working days the Director, Human Resources (or authorised
officer) will attempt to resolve the complaint/grievance. Possible
resolution may include but is not limited to:

making further inquiries into the complaint/grievance;
conducting a facilitated discussion; and/or making
suggestions for resolution.

4. The Director Human Resources (or authorised officer) may during or
following the 20 working days: confirm with the parties any agreed
resolution of the complaint/grievance (which shall be recorded in
writing and adhered to by the parties);otherwise notify the parties:
of any resolution that the Director Human Resources (or authorised
officer) recommends be accepted by the parties;
of any further steps the Director Human Resources (or authorised
officer) intends to take which may include but are not limited to
initiating a formal investigation and/or recommending formal ADR
under the third level; and/or
that the Director Human Resources does not intend to take any
further steps.
Where the Director Human Resources (in response to a request or
otherwise) has advised of further steps that will be taken to resolve the
dispute, which may include a formal investigation or other steps, those
steps will be undertaken in a timely manner and the parties to the
complaint/grievance advised of the outcome.
Third level: Formal resolution (alternative dispute resolution -
ADR)
Step Action

1. Within 5 working days of the notification by the Director Human
Resources (or authorised officer), if the complaint/grievance is still not
resolved and/or the complainant/s who made the original
complaint/grievance is dissatisfied with the second level outcome, the
complainant may request that the parties participate in alternative
dispute resolution (ADR).
Requests are to be made to the Director, Human Resources. The Director
Human Resources (or authorised officer) will consider the request and
advise the parties of the further steps (if any) that the Director Human
Resources considers appropriate to attempt to resolve the
complaint/grievance.
2. Where the Director Human Resources considers it appropriate in the
circumstances and given the nature of the grievance/complaint, the
Director Human Resources may direct the parties to participate in a form of
ADR. Confidential ADR of the grievance or complaint will be provided by a
mediator/conciliator/facilitator who is independent of the
complaint/grievance. The ADR will occur within 10 working days where
reasonably practicable.
The Director, Human Resources will ensure that appropriate
arrangements and processes are put in place for the ADR.
Any agreed resolution of the complaint/grievance shall be recorded in an
ADR outcome agreement and adhered to by the parties.
Where the parties have already participated in ADR in the Second Level of
the procedure (Assisted Resolution) ADR will not be considered at this level
and the staff member may refer the matter to the Fair Work Commission
under the Fourth Level of the procedure.
Fourth Level: Referral to the Fair Work Commission
Step Action

1. Where the complaint/grievance remains unresolved following completion of
any formal resolution process under the third level either party to the
complaint/grievance process may refer the matter to the Fair Work
Commission (FWC).
2. The decision made by the FWC will be binding on the parties involved in
the complaint/grievance and will constitute a settlement of the matter.
Related policy instruments
James Cook University Enterprise Agreement
Administration
NOTE: Printed copies of this policy are uncontrolled, and currency can only be assured at the
time of printing.
Approval Details
Approval Authority: Deputy Vice Chancellor, Services and
Resources
Approval date: 31/3/2014
Date for next review: 30/12/2017
Revision History
Approval date - the date the approval authority approved the establishment, minor or major
amendment or disestablishment

Implementation Date - the date the procedure was published in the Policy Library and is
the date the procedure takes effect
Version Approval Implementation Details Author
date date

17-1 23/06/2017 14/07/2017 Next Review date extended Deputy
to align with Enterprise Director,
Agreement negotiations Human
Resources
16-1 30/11/2016 1/12/2016 Minor administrative
amendments: references
to Director HRM amended
to Director Human
Resources; references to
'nominee' replaced with
'authorised officer';
approval authority
amended to DVC Services
and Resources, and
administration details
amended in accordance
with the Policy and
Delegations Framework.
1.0 Procedure Established Belinda
Pope

BUILDING AND CONSTRUCTION 30