03 _ Complaints and appeals policy and procedure

Purpose of the policy

This policy and procedure provides an outline of the process for Stakeholders to have their complaints and appeals addressed effectively, efficiently, and fairly as well as inexpensively and in a timely manner.
The procedures set out in this policy adopt the principals of natural justice and procedural fairness. They do not replace or modify procedures or any other responsibilities which may arise under other policies or under statute or any other law. Nothing in this policy and procedure limits the rights of individuals to act under Australia's Consumer Protection laws and do not circumscribe an individual's rights to pursue other legal remedies.

Policy

In the conduct of its services, Allara Learning ensures that stakeholders have easily accessible processes for making a grievance, complaint and appeal and that the handling of each is done in a way that is: constructive; timely; fair; unbiased and equitable.

Where a participant chooses to access this policy and procedure, Allara Learning will maintain the participant’s enrolment while the complaints and/or appeals process is underway.

The complaints and appeals process will be provided at no cost to the complainant unless external services and/or legal action is required to resolve the complaint.

Fair and equitable procedures

During all stages of this procedure Allara Learning will take all necessary steps to ensure that:

The complainant and/or appellant and the respondent will not be victimised or discriminated against;
The complainant and/or appellant and the respondent will be informed of the allegations brought forth; and
The complainant and/or appellant and the respondent are given the opportunity to formally present their case.

Each party to the complaint may be accompanied and assisted by a support person at any relevant meetings. If the Stakeholder is under 18 years old, a parent or guardian is requested to attend the interview/discussion.

Grievances (informal) & complaints (formal)

A grievance or complaint may be either an academic or non-academic nature.

Academic

Grievances and complaints of an academic nature include matters related to:

the enrolment or induction process;
the quality of education provided;
student progress,
the conduct or outcomes of assessment,
curriculum and awards in a VET course of study;

Non-academic

Grievances and complaints of a non-academic nature cover all other matters including in relation to:

personal information that Allara Learning holds in relation to the Stakeholder, or
allegations involving the conduct of:
- Allara Learning, its trainers, assessors or other staff;
- a third-party providing services on the RTO’s behalf, its trainers, assessors or other staff; or
- a learner of the RTO.

Complaints procedure

If a stakeholder feels that their grievance has not been resolved, they can lodge a formal complaint through sending written notification of their complaint by:

Submitting a Complaints and Appeals Form; or
Emailing the RTO General Manager outlining the details of the complaint.

Complaints and appeals forms can be downloaded from the Allara Learning website at https://allaralearning.com.au/policies

Receipt of formal complaint

Upon receipt of a formal complaint or appeal, the RTO General Manager is to:

Enter the received complaint into the complaints register; and
Advise all parties of the complaint brought forth in writing, and
Commence review of the complaint.

Review of a formal complaint

The review of a formal complaint will commence within five (5) business days of receipt of the written complaint. All reasonable measures will be taken to finalise the process as soon as practicable.

The RTO General Manager or their nominee will seek to clarify the outcome that the complainant seeks to achieve. Such clarification may be sought by:

Written (letter/email), or
Verbal request (phone call), or
Face-to-face interview with the complainant.

Where more than sixty (60) calendar days are required to process and finalise the complaint or appeals process the complainant and/or appellant, and respondent will be notified of this in writing.

Outcome of complaint

The RTO General Manager or their nominee will endeavour to resolve the complaint, and provide within ten (10) business days of the initial review process commencing, a written report to the complainant advising the:

outcome of the complaint:
steps taken to address the complaint: and
reasons for the decision/outcome.

The report will advise the complainant of their right to access the appeals process if they are not satisfied with the outcome of their formal complaint.

Appeals process

Lodging an appeal

If a complainant is dissatisfied with the outcome of their formal complaint, they may lodge an appeal with the CEO (who is senior to the original decision maker).

Appeals must be lodged in writing via a Complaints and appeals form.

Appeal review

The CEO will convene an independent review panel (who are not party to the original complaint) within five (5) business days of receiving the written request for appeal.

The review panel will review the dispute between Allara Learning and the appellant; reporting to the CEO within ten (10) business days.

Outcome of appeal

The CEO will provide within thirty (30) working days of an appeal application, a written report to the appellant advising the:

outcome of the appeal;
additional steps taken to address the issue; and
reasons for the decision.

The report will advise the appellant of their right to access the external appeals process, which may take more than sixty (60) calendar days to complete, if they are not satisfied with the outcome of their appeal.

External appeals process

Request for external appeal

If the matter remains unresolved after the review panel presents its findings, the appellant may make a written request to the CEO that they seek for the matter to be dealt with through an independent external dispute resolution process.

Within ten (10) business days of receipt of written application for external appeals, Allara Learning in consultation with the appellant, will appoint a mutually agreed independent mediator.

Where the external appeals process is accessed Allara Learning will bear any costs associated for independent mediation.

Independent mediation

The independent mediator will attempt to resolve the complaint between the appellant and the other party through the mediation process, where the appellant or the respondent may ask another person to accompany them to meetings with the mediator.

The independent mediator will report to the CEO the outcome of the mediation including any recommendations arising.

Within ten (10) working days of receipt of a report from the independent mediator the CEO will provide a written report to the appellant advising the:

recommended actions to resolve the complaint;
timeframe for implementation of actions; and
any follow up required by the appellant.

Costs for external appeals

Allara Learning will bear any costs associated with the independent mediation.

Where the matter is not resolved through mediation and additional external legal services are required additional costs may apply to the appellant.

Outcome, actions and implementation

For all grievances, complaints and appeals, regardless of the decision and outcome, Allara Learning will:

implement any decision and corrective action required within thirty (30) business days of receipt of a written report; and
notify all relevant Stakeholders of the decisions and recommendations.

Record keeping

Allara Learning will document the grievance, complaint or appeal in the Complaints Register stored and, where applicable, in the Continuous Improvement Register.

Hard copy records relating to the grievance, complaint and/or appeal will be stored in a secure location, including but not limited to:

Complaints forms
Appeal forms
Supporting documents
Written reports from:
- General Manager, or
- CEO, or
- Independent mediator.