Document Number: OP3400Approved By: HNSW CEO

Original Issue Date: January 2020Last Amended: January 2020

HOCKEY NSW

2019COMPLAINT & INCIDENT MANAGEMENT GUIDE

Which Procedure for Which Complaint/Incident

DISCIPLINARYMatters

Disciplinary matters deal with offences that may arise in the conduct of hockey competitions and or events organised, controlled or sanctioned by Hockey NSW and/or its Member Associations.

Hockey NSW and or its Member Associations have the right to delegate the power ofinvestigating or determining charges against a participant for disciplinary breaches to its Disciplinary Tribunal or equivalent.

Examples of disciplinary matters include breaching or not complying with;o Constitutiono Codes of Conducto Rules, Regulations and By Laws including competition ruleso other duly authorised policies

REFER ATTACHMENT A1 – DISCIPLINARY PROCEDURE

A

MEMBER PROTECTION

Matters

Member Protection complaints can be about an act, behaviour, omission, situation or decision that someone thinks is unfair, unjustified or unlawful. Complaints will always vary. They may be about an individual or group behaviour; they may be extremely serious or relatively minor; they may be about a single incident or a series of incidents; and the person about whom the allegation is made may admit to the allegations or emphatically deny them.

A member protection matter should always be heard at the local level wherever possible. For instance, an incident that occurs at club level and involves people at club level should be handled by the relevant club in the first instance.

Member Protection complaints must fall within the following classifications;o Discriminationo Harassmento Bullyingo Child Protection/Harm to a Child or Young Person

REFER ATTACHMENT B1 - MEMBER PROTECTION COMPLAINTS PROCEDURE

B

PERSONAL GRIEVANCES &

DISPUTES

Personal grievances and or disputes are matters that are outside the scope of Member Protection and or Disciplinary Action. Personal grievances & disputes deal primarily with complaints between members of an Affiliate or between members and an Affiliate (internal disputes).

Examples of personal grievances and or disputes are:o Issues between members and Affiliates regarding selection of teams and/or coaches and

other officials which didn’t follow procedures as set out in their policieso Issues between members and Affiliates regarding the application of local competition rules

conducted by an Affiliate

REFER ATTACHMENT C1 - PERSONAL GRIEVANCES & DISPUTESPROCEDURE

C

REMEMBER if you feel your immediate safety is at risk, contact ‘000’ in an emergency situation or your local police

DISCIPLINARY ProcedureA1

Refer to policeRefer to tribunal

INCIDENT REVIEWOnce the report has been submitted, the Judicial REVIEW Committee or Judiciary Chair will acknowledge receipt of the report in writing and decide what action should be taken;2

REPORT SUBMITTED 1If a disciplinary incident occurs a report should be submitted to the Judicial REVIEW Committee usually within 7 days of the incident. It can be reported by the Umpire, Technical Official, Team manager or Club official. The report should include the following:

WitnessesIncident timeand location

Peopleinvolved

Incidentdetails

Your contact details

FORMING JUDICIAL COMMITTEE

The Judicial Committee should consist of the following:3

Min. 3 People Knowledge of hockey and

suitably skilled

Impartial (no relationship with

either party)

Not from the same club as the offender

Chairperson

AUTHORITY OF JUDICIAL COMMITTEE

4

The Judicial Committee has the power to suspend, disqualify, reprimand, ban, or impose another appropriate sanction.The committee must ensure the tribunal process is based on the principles of natural justice (or procedural fairness). Natural justice (or procedural fairness) requires that:

Irrelevant matters should

not be taken into account

Any penalties imposed must

be fair

All relevant submissions or

evidence must be considered

The person charged has the right to know full details of alleged charge & what has

been breached

Panel must be unbiased, fair and

just

JUDICIAL COMMITTEE PREPARATION

Judiciary members are to be provided a copy of all relevant, correspondence, reports or information relating to the charge. The judiciary should be held as soon as practicable but must allow adequate time for the person charged to prepare.

5

INFORM CLUB OF PERSON CHARGED

6 The person charged is to be notified via their club in writing that a judiciary hearing will take place. The charged person is usually given between 7 to 10 days notice of a hearing. The notice will outline the following;

Details of charge incl rules alleged to be

broken

Right to appear & DEFEND the

charge

Date, time & venue of hearing

Verbal or written submissions from person

chargedOutline possible penalties

Legal representation is

not allowed

Witnesses can be organised to attend to support response

Serious allegations may necessitate the charged

person to be immediately suspended/excluded from hockey activities while the

matter is heard

No further action

DISCIPLINARY Procedure cont…A1INFORM OTHER

RELEVANT PEOPLE 7Any other relevant persons including the person making the report are to be notified in writing that a judiciary hearing will take place. The notice will outline the following;

Details of charge incl rules alleged to be

broken

The need or not to appear

Date, time & venue of hearing

NON-ATTENDANCEIf the person charged is not present at the HEARING, and the Chairperson considers no valid reason has been presented for their absence, the hearing will continue. If there is a valid reason the hearing will be scheduled for a later date.

9

TRIBUNAL OPENING 10

The Chairperson will read out the charge, ask if the person understands what they are charged with and if they agree or disagree with the charge.If they plead GUILTY – the person charged can provide any evidence that should be considered when determining any disciplinary measures.If they plead NOT GUILTY, the process will be as follows

Judiciary committeemay question

charged person or witnesses

Charged person may call

witnesses

Judiciary committee may call

witnesses e.g. match official

Charged person to respond to

charge

If there is unreasonable orintimidating behaviour from anyone, the Chairperson

may deny further involvement of the person

in the hearing. Furthermore the hearing may be

recessed, adjourned to a later date and/or will proceed

in their absence.

The charged person may be present when evidence is presented. Witnesses may

be asked to wait outside the hearing until required.

TRIBUNAL DELIBERATION 11

After all of the evidence has been heard the judiciary committee will make its decision in PRIVATE, based on a majority vote. The judiciary must decide whether the charge has been substantiated on the balance of probabilities (i.e. more probable than not). As the seriousness of the charge increases, so too must the level of satisfaction of the judiciary that the charge has been substantiated. The charged person will be given an opportunity to address the judiciary on disciplinary measures which might be imposed.

TRIBUNAL DECISION

The judiciary chairperson will announce the decision at the hearing or may advise that the decision is reserved and will handed down in written form later.Within 48 hrs the chairperson will:- Provide a notice of the decision including any disciplinary measures to the committee that formed the panel- Provide the charged person with a letter confirming the decision and any disciplinary measure imposed.

12

The Tribunal does not need to provide written reasons

for its decisions

JUDICIARY ATTENDEES The following people can attend the judiciary hearing:8

Witnesses- Called by person charged

- Called by committee

Parent/guardian or support person

non legal

Person charged

Other relevant people such as match officials

Member Protection Complaints Procedure

INFORMALTalk with other person

If you feel confident to do so, you can approach the other person to discuss the issues and try and resolve the problem directly.1

INFORMALTalk with Member

Protection Information Officer (MPIO)

2If Step 1 is not possible or reasonable, we encourage you to talk with a Member Protection Information Officers (MPIO).An MPIO can provide you with what options are available to resolve the problem

FORMALAppeal decision

You may appeal a decision made at a tribunal hearing if it meets the grounds for appeal.ATTACHMENT R56

FORMALDocumenting resolution

The complaint will be recorded including the steps taken to resolve it and the final outcome. This information will be stored in a confidential and secure place.7

FORMALMake formal written

complaint4

If your complaint is not resolved or informal approaches are not appropriate or possible, you may make a formal written complaint.On receiving a formal complaint, it will be reviewed based on material provided and one of the following courses of action taken;

No further action

Investigatematter

ATTACHMENT R3

Refer to tribunal

ATTACHMENT R4

Refer to police

Refer to mediation

ATTACHMENT R2

FORMALInvestigation of complaint

In some cases, an investigation may be required to determine the facts surrounding the complaint. The investigator will provide a written report which will be reviewed and one of the following courses of action taken;

Refer to tribunal

ATTACHMENT R4

Refer to police

5

No further action

Refer to mediation

ATTACHMENT R2

B1

No Problem Resolve problem yourself

Resolve problem with

someone impartial

Resolve through

formal process

INFORMALResolve problem

After talking with the MPIO, you may decide one of the following:3

Minor Problem – No further action

To ensure fairness for everyone involved, full details of a complaint need to be provided to the person or people against whom the complaint has been made and ask for their response. As a result, it may be difficult to resolve complaints made anonymously.

PERSONAL GRIEVANCES & DISPUTES Procedure

INFORMALTalk with other person

If you feel confident to do so, you can approach the other person to discuss the issues and try and resolve the problem directly.1

INFORMALAssisted resolution 2

If Step 1 is not possible or reasonable, you may wish to seek assisted resolution by looking to resolve the issue with the help of an agreed independent person from within the association or club. The goal is to assist both parties with resolving possible misunderstandings, miscommunication or lack of clarity concerning the issue.

FORMALDocumenting resolution

The complaint will be recorded including the steps taken to resolve it and the final outcome. This information will be stored in a confidential and secure place.5

C1

No Problem Problem has been resolved

INFORMALResolve problem

After participating in an assisted resolution, you may decide one of the following:3

Minor Problem – No further action

Resolve through

formal process

FORMALMediation 4

If the parties are unable to resolve the grievance or dispute it is to be referred to a Community Justice Centre for mediation.

REFER ATTACHMENT R1 – COMMUNITY JUSTICE CENTRES fact sheet

COMMUNITY JUSTICE CENTRES (CJC) Fact SheetR1

Community Justice Centres (CJC) can help you resolve your dispute quickly and for FREE using mediation.

WHAT IS MEDIATION?Mediation is where people come together to talk about their dispute and trying to reach an agreement that everyone can live with.Trained mediators who don’t take sides help you to talk to each other.

CJC mediation services are: FREE Quick – there are no waiting lists Convenient – mediations are held at a venue

near you Voluntary Confidential

WHAT HAPPENS IN MEDIATION?The process typically takes between two (2) and four (4) hours and generally follows these steps:1. Everyone introduces themselves and

mediators explain the process and ‘ground rules’ for the mediation.

2. Everyone takes turns expressing their point of view and what has brought them to the mediation. Each person is listened to without interruption.

3. Mediators’ help the people involved in the dispute explore the issues on the agenda by encouraging and guiding the discussion.

4. Mediators see each person in a confidential private session, while the other person or people thing about their options.

5. Everyone is then brought back together and the mediators help them to negotiate future arrangements.

6. If everyone agrees on some or all of the issues, the mediators can write an

agreement and give a copy to each person as a record of what was decided. Agreements are not normally legally binding, but it may be possible to have them made legally binding if everyone agrees.

7. If no agreement is reached, but everyone agrees further mediation may help, another session can be arranged.

WHY MEDIATE?Mediation is a safe and informal environment for you to talk to each other and sort out your problems.Over 80% of mediations at CJC lead to an agreement.Even if it is not possible to reach an agreement on all the issues, mediation can help everyone involved understand the issues and see things from the other person’s point of view. This can improve relationships and may lead to some agreement at a later time.Mediation works because it helps people commit to the decision making process and the outcome.

FOR MORE INFORMATIONVisit the website www.cjc.justice.nsw.gov.auFreecall: 1800 990 777Email: cjc@justice.nsw.gov.au

MEDIATION Procedure

NOTIFY RESPONDENTThe MPIO will notify the respondent/s that a formal complaint has been made, provide them with the details of the complaint and notify/confirm that the matter has been referred to mediation for a resolution.

2

MEDIATORCOMMUNICATIONS 4 The mediator will advise the Complainant and Respondent of the mediation process. At a

minimum, the mediator will prepare an agenda of the issues to be discussed.

Appropriately skilled person e.g. Police officer,

Counsellor

Community Justice CentreRefer attachment R1

CJC

APPOINT A MEDIATOR 3If mediation is agreeable to both parties, a mediator to mediate the complaint will be organised. The Mediator will be an independent person in the context of the complaint. Which may be one of the following:

DURING MEDIATION 5All issues raised during mediation will be treated confidentially. Respect the rights of the Complainant and the Respondent/s to pursue an alternative process if the complaint is not resolved.

R2Mediation is a process that allows the people involved in a complaint to talk through the issues with an impartial person – the mediator – and work out a

mutually agreeable solution.The mediator does not decide who is right or wrong and does not tell either side

what they must do.

WHEN TO USE MEDIATION

Mediation can be a very useful process to resolve complaints. It is also not appropriate in some instances. The following is provided as guidance as to when mediation is and isn’t appropriate.1

RECOMMENDEDComplainant and Respondent have had a chance to tell their version of events to the MPIO on their ownMediations looks like it will work – it is possible for each party to understand the others point of viewAllegations do not warrant any form of disciplinary action – serious allegations will not be mediated

NOT RECOMMENDEDThe respondent has a completely different version of events and won’t deviateComplainant and Respondent are unwilling to attempt mediationIf there is a real or perceived power in balance between the people involvedThe complaint is not suitable for mediations

MEDIATION OUTCOMES 6If the complaint is resolved by mediation, the mediator will prepare a document that sets out the agreement that has been reached. This agreement will be signed by Complainant and the Respondent/s.

INVESTIGATION Procedure

INVESTIGATORS ROLE 2 The person investigating the complaint will perform the following:

Interview complainant

Interviewrespondent so

they can respond to complaint

Obtainstatements from

witnesses

Collectrelevant evidence

Provide details of complaint

to Respondent

INVESTIGATIONREPORTING 4 The person investigating will provide a report detailing the following:

The complaint The key findings

Investigationprocess

APPOINT INVESTIGATOR Once the need for an investigation has been determined, someone will need to be appointed to investigate the complaint. Select and appoint an investigator based on their skills and experience investigating including a lawyer, a police officer, a school principle who may be a member of the sport but holds no formal role within the sport and who declares him or herself to be free of conflict. This person should be appropriately skilled with the following:

1

Excellentcommunicator

Good listenerAbility to relate

Respected by their peers

Commonsense

R3

INVESTIGATIONCOMMUNICATION 5

A report will also be provided to the Complainant and the Respondent(s) documenting the complaint, the investigation process and summarising key points that are substantiated, inconclusive, unsubstantiated and/or mischievous.

It is not the role of the investigator to seek to resolve the matter, nor to impose a penalty. Any determinations, finding or recommendation arising out of the investigation will be referred back to whoever appointed the investigator

INVESTIGATION FINDINGS The person investigating will make a finding as to whether the complaint is:3

Substantiatedi.e. sufficient evidence to

support complaint

Knowinglyuntrue

Unsubstantiatedi.e. Sufficient

evidence to show complaint is unfounded

Inconclusivei.e. insufficient

evidence either way

MEMBER PROTECTION TRIBUNAL Procedure

FORMING THE TRIBUNAL PANEL

The first step will be to appoint a Tribunal panel, comprising the following;1

Suitably skilled Does not have a conflict of

interest

Chairperson with sufficient skills &

experience to chair proceedings

Usually 3 members but anywhere between 2-5

Members

Impartial, with no relationship with

either party before the tribunal

TRIBUNAL PREPARATION

Panel members are to be provided a copy of all relevant, correspondence, reports or information relating to the complain/allegations. The Tribunal will be held as soon as practicable, but must allow adequate time for the Respondent/s to prepare but no later than two weeks following the notice to convene the Tribunal

3

Details of complaint incl alleged breaches

Right to appear & DEFEND the

complaint

Date, time & venue of tribunal

Verbal or written submissions

from respondent

Outline possible penalties

INFORM COMPLAINANT

The Complainant is to be informed in writing that a tribunal hearing will take place, the notice will outline the following;If the Complainant believes the details of the complaint are incorrect, they should inform tribunal as soon as possible.

5

INFORM RESPONDENT 4The Respondent/s is to be notified in writing that a tribunal hearing will take place. The notice will outline the following;

R4

Legal representation is

not allowed

Witnesses can be organised to attend to support response

Details of complaint incl alleged breach

Right to appear & SUPPORT the

complaint

Date, time & venue of tribunal

Verbal or written submissions from

complainant

Legal representation is

not allowed

Witnesses can be organised to attend to support position

Serious allegations may necessitate the charged

person to be immediately suspended/excluded from hockey activities while the

matter is heard

AUTHORITY OF TRIBUNAL 2

The tribunal has the power to suspend, disqualify, reprimand, ban, direct a verbal or written apology or another appropriate sanction.The Tribunal must ensure the tribunal process is based on the principles of natural justice (or procedural fairness). Natural justice (or procedural fairness) requires that:

Irrelevant matters should

not be taken into account

Any penalties imposed must

be fair

All relevant submissions or

evidence must be considered

Both parties know full details of what

is said against them and can respond

Panel must be unbiased, fair and

just

MEMBER PROTECTION TRIBUNALProcedure Continued….

TRIBUNAL ATTENDEES The following people can attend the Tribunal hearing:6

Witnesses- Called by panel

- Called by respondent- Called by complainant

Parent/guardian or support person

non legal

Respondent Complainant

TRIBUNAL DELIBERATION 10

After all of the evidence has been heard the Tribunal will make its decision in PRIVATE, based on a majority vote. The Tribunal must decide whether the complaint has been substantiated on the balance of probabilities (i.e. more probable than not). As the seriousness of the allegation increases, so too must the level of satisfaction of the Tribunal that the complaint has been substantiated. The Respondent will be given an opportunity to address the Tribunal on disciplinary measures which might be imposed.

TRIBUNAL DECISION

The Tribunal chairperson will announce the decision at the hearing or may advise that the decision is reserved and will handed down in written form later.Within 48 hrs the chairperson will:- Provide a notice of the Tribunal decision including any disciplinary measures to the committee that formed the panel- Provide both parties with a letter confirming the Tribunal decision and any disciplinary measure imposed.

11

R4

NON-ATTENDANCEIf the Respondent is not present at the tribunal, and the Chairperson considers no valid reason has been presented for their absence, the hearing will continue. If there is a valid reason the tribunal will be scheduled for a later date.

7

ADDITIONAL INFORMATION

The Tribunal may do any of the following;9

Require witness

attendance

Question person giving

evidence

Consider evidence

Act inquisitorial

Limit witnesses

The Complainant and Respondent may be present when evidence is presented

to the Tribunal.Witnesses may be asked to wait outside the hearing until

required.

TRIBUNAL OPENING 8

The Chairperson will read out the complaint, ask the Respondent/s if they understand the complaint and if they agree or disagree with the complaint.If respondent AGREES – respondent to provide any evidence that should be considered when determining any disciplinary measures.If respondent DISAGREES, the process will be as follows

Respondent may question complainant

and witnesses

Complainant to describe complaint

circumstances

Complainant may call

witnesses

Respondent to respond to

complaint

Respondent may call

witnesses

Complainant may question respondent

and witnesses

If there is unreasonable orintimidating behaviour from anyone, the Chairperson

may deny further involvement of the person

in the hearing. Furthermore the hearing may be

recessed, adjourned to a later date and/or will proceed

in their absence.

The Tribunal does not need to provide written reasons

for its decisions

MEMBER PROTECTION APPEALS Procedure

REASON FOR APPEAL 2

If a complainant or a Respondent/s is not satisfied with the outcome of mediation, investigation or Tribunal decision they can lodge ONE APPEAL and ONLY on following grounds:- Denial of natural justice has occurred- Disciplinary measure/s imposed were unjust and/or unreasonable- That the decision was not supported by the information/evidence provided

APPEALS DECISION

The Tribunal chairperson will announce the decision at the hearing or may advise that the decision is reserved and will handed down in written form later.Within 48 hrs the chairperson will:- Provide a notice of the decision including any disciplinary measures to the committee that formed the panel- Provide the respondent with a letter confirming the Tribunal decision and any disciplinary measure imposed.

5

APPEAL TRIBUNALS AUTHORITY

4 An Appeal Tribunal shall have the power to:

Invite witnesses

Dismiss the appeal

Uphold the appeal

Impose Penalties

Vary penalties given in the

initial hearing

R5

The Appeals Tribunal follows the same procedure as the

Tribunal hearing

Serious allegations may necessitate the charged person to be immediately

suspended/excluded from hockey activities

while the matter is heard

The Appeal Tribunal does not need to provide written reasons for its decisions

Did not sit on the original

Tribunal panel

Do not have a conflict of

interest

Chairperson with sufficient

skills & experience to chair Appeal

ImpartialMin. 3 People

APPEAL PANEL The first step will be to appoint an APPEALS panel, comprising the following;1

APPROVAL For an appeal to be approved it must meet the requirements below:3

Received within 5

business days

Lodged in writing

Meet sufficient grounds

Dictionary

COMPLAINANT A person making the complaint

NATURAL JUSTICE

Requires that:- Both the complainant and the Respondent must know the full details of what is being said

against them and have the opportunity to respond- All relevant submissions must be considered- Irrelevant matters should not be taken into account- No person may judge their own case- The decision makers must be unbiased, fair and just- The penalties imposed be fair

HARASSMENTIs any type of unwelcome behaviour which has the effect of offending, humiliating or intimidating the person harassed

R6

VILIFICATIONInvolves a person or an organization doing public acts to incite hatred towards, serious contempt for, or severe ridicule of a person or group of people having any of the characteristics listed under the definition of “Discrimination”

DISCRIMINATIONOccurs when someone is treated (or is proposed to be treated) unfairly or less favourable than another person in the same or similar circumstances because of one of the personal characteristics covered by anti-discrimination laws. E.g. gender, race etc

RESPONDENT The person whose behavior is the subject to the complaint

SEXUAL HARASSMENTMeans unwanted, unwelcome or uninvited behaviour of a sexual nature which could reasonably be anticipated to make a person feel humiliated, intimidated or offended

VEXATIOUSMeans and action or the bringer of an action that is brought without sufficient grounds, purely to cause annoyance to the defendant

VICTIMISATION

Means subjecting a person or threatening to subject a person to any unfair treatment because that person has or intended to pursue their right to make any complaint including a complaint under government legislations or under this policy, or for supporting another person to make a complaint