Complaints and Appeals Policy

Principle Alignment

This policy embodies:

• Bushidō (Way of Integrity): Commitment to fairness, impartiality, and justice in complaint/appeal handling, with protection from reprisal.
• Omoiyari (Anticipatory Compassion): Respectful, prompt engagement that prioritises the welfare of all parties—including the option for indirect process in sensitive cases, and support from the Wellbeing Advisor.
• Kaizen (Continuous Improvement): Systemic analysis of complaint/appeal data to drive ongoing quality improvement in College systems and relationships.

1. Purpose

To ensure all complaints and appeals regarding ASC services, decisions, conduct, or assessments are managed impartially, confidentially, proportionately, and in compliance with the Standards for RTOs—supporting wellbeing, transparency, and continuous improvement.

2. Scope

Applies to all ASC students (Diploma, short courses, CPD, online), staff, contractors, and clients with a direct interest in College functions, services, or decisions.

3. Definitions

4. Policy Statement

1. ASC maintains clearly defined, accessible complaints and appeals procedures for all members of the community—students, staff, or clients—covering conduct, decisions, assessments, and service delivery.
2. The ASC Complaints and Appeals Policies and Procedures are designed to be fair and just throughout the process by being:
   • Easily accessible to all parties through the resource area of the website
   • Clear in the procedures for making complaints or requesting appeals
3. All parties (applicant and respondent) are treated with fairness and respect, and no one is disadvantaged or penalised for raising or responding to a bona fide complaint or appeal.
4. The ASC includes the option for external 3^rd party review of the outcomes of a complaint/appeal upon request of the affected party in the event that resolution of the complaint/appeal has failed through internal processes
5. Records of all complaints/appeals, and their outcomes, are kept confidential and securely filed in accordance with the Records Retention & Archiving Policy.
6. Internal resolution pathways must be exhausted before external processes are invoked; multiple, simultaneous channels will be consolidated.
7. Vexatious, frivolous, or abusive complaints will not be processed after reasonable assessment, and applicants may be subject to disciplinary measures if the process is being misused.
8. ASC is committed to identifying the root causes of complaints/appeals to support lasting improvement appeals and undertake appropriate corrective action to prevent or minimise the likelihood of recurrence.

5. Procedures

5.1 Local/Informal Resolution

• All community members are encouraged to address concerns initially at the local level, directly and privately with the relevant person/department, if safe and appropriate.
• Mediation may be offered with the involvement of a Director, Wellbeing Advisor (for student or sensitive matters), or a designated independent facilitator.
  • ASC recognises that in some situations (especially for discrimination, vilification (including antisemitism, Islamophobia, racism, or other religiously or ethnically motivated conduct), bullying, harassment, or trauma, or complex power imbalances), a face-to-face meeting may not be appropriate. In these cases, written-only, indirect, or third-party supported resolution is available.
• Informal complaints, even when verbally raised and resolved, must be logged by Admin in the Complaints & Appeals Register for audit and improvement analysis.

5.2 Formal Complaints

Who may lodge:
Any ASC student, staff member, or client may submit a formal complaint and reasonably expect their complaint will be managed fairly and confidentially, with no cost for internal processes.

How to submit:

• Complete the Complaints & Feedback Form.
• Lodge within 21 days of the complaint event (14 days for academic matters). Late cases require demonstration of exceptional circumstance.

Acknowledgement & Initial Steps:

• Complaints involving vilification, antisemitism, or religiously/ethnically motivated conduct may be directed to the Wellbeing Advisor in the first instance, who can provide support and assist the complainant in navigating the formal process. The Wellbeing Advisor is available at any stage of a vilification complaint.
• Complaints are acknowledged within 7 days, logged by the Director – Student Services & Administration (or delegate to avoid conflict).
• Applicant should identify themselves, clearly define the matter, provide relevant info, and be responsive to requests for clarification.
  • If these expectations are not fulfilled, ASC may determine not to investigate or respond to a complaint until further information is provided.
• Sensitive cases: If the nature of the complaint involves discrimination, harassment, or wellbeing, the applicant may request—through Admin or the Wellbeing Advisor—not to meet directly with the respondent. The Wellbeing Advisor may assist at any stage.
  • The applicant must be willing to be identified to the alleged respondent.

Investigation:

• If a matter has already been dealt with, unless it is established to the satisfaction of ASC that there is a further, unresolved issue to be considered, ASC will not process or investigate the complaint.
• The responsible officer (Director – Student Services & Admin, or alternate/Board if conflict exists) meets/interviews the complainant, and if needed, the respondent, ensuring all parties have the right to:
  • Present information verbally or in writing
  • Be accompanied by a support person (incl. Wellbeing Advisor)
  • Not be compelled to meet face-to-face if inappropriate (as above)
• An investigation is conducted, determining facts on the balance of probabilities and documenting all actions.
• ASC may arrange for an external person to conduct or review the investigation process for transparency.

Respondent Rights:

• The person about whom the complaint is made will be given written details and a chance to provide a written response, participate in discussion/negotiation, or present their position in an appropriate manner.

Decision & Notification:

• Once a decision is reached (typically within 28 days), all parties are notified in writing, including reasons and next steps (incl. right to appeal).
• All outcomes are recorded in the Complaints & Appeals Register.
• Outcomes and patterns are discussed at regular Directors’ meetings for continuous improvement.

5.3 Submitting an Appeal (Non-Academic)

• An appeal may be started if the applicant is dissatisfied with a formal complaint result, where reasonable grounds exist (unfairness, bias, new evidence, etc.).
• Appeals must be submitted in writing within 14 days of receiving the outcome, stating:
  • The grounds/reasons for appeal,
  • Why the initial decision was unfair/unreasonable.
• Appeals are referred to the Board of Directors or to a suitable Director not involved in the earlier decision, for independent review and/or additional investigation.
  • The Board/assigned Director may choose to seek further clarification, meet with either party, or involve third-party mediation.
• The final decision of the appeal (including supporting reasons) is given in writing within 21 days of appeal initiation, and options for external review (see below) are outlined.
• All appeals and outcomes are registered in the Complaints & Appeals Register.

5.4 Academic Appeals (Assessment Decisions)

• Step 1: Student first raises the assessment decision with the relevant teacher/assessor and may request clarification, remarking, or reconsideration.
  • Teacher/assessor may, if warranted, re-assess, moderate with a second marker, or issue a formal written response with rationale.
• Step 2:
  If not resolved, escalate in writing to Director – Educational Services & Academic Quality, who may consult with the Board or another qualified assessor for further review/reassessment. A new assessment is conducted if warranted.
• Final Step:
  Written notification of the outcome is provided within 21 days of formal appeal; if unresolved, guidance for external appeal is included.

5.5 External Review

• After completion of internal processes, if an applicant remains dissatisfied with the outcome of the appeal, they may seek external/independent review/mediation through:
  • ASQA: https://www.asqa.gov.au/complaints
  • Victorian Ombudsman: https://www.ombudsman.vic.gov.au/
  • Consumer Affairs Victoria, Safe Work Australia, or other agencies as appropriate
• For complaints involving discrimination, vilification, or hate-based conduct, external review may also be sought through:
  • Victorian Equal Opportunity and Human Rights Commission (VEOHRC): www.humanrightscommission.vic.gov.au
  • Australian Human Rights Commission (AHRC): www.humanrights.gov.au
• ASC will support external review with records/process evidence as required.

5.6 Special Considerations/Safeguards

• Sensitive complaints (discrimination, vilification (including antisemitism, Islamophobia, racism, or other religiously or ethnically motivated conduct), bullying, harassment, or trauma) do not require face-to-face meetings; Wellbeing Advisor involvement is available and recommended.
• Accessible, culturally respectful communication will be supported for all parties.
• Where a complaint involves vilification, antisemitism, Islamophobia, or conduct motivated by race, religion, or ethnicity, ASC will take particular care to ensure the complainant feels safe and supported throughout the process. This includes access to the Wellbeing Advisor, the option for written-only communication, and sensitivity to the cultural or religious dimensions of the matter. ASC recognises that vilification complaints may have a significant impact on the complainant’s sense of safety and belonging within the College community.

5.7 Vexatious, Frivolous, or Serial Complaints

• ASC will not pursue complaints identified (with care) as vexatious, harassing, or intended to disrupt College functions; complainants may face disciplinary consequences under the Code of Conduct if using the framework maliciously.
• Where repeated complaints on the same issue are made after exhaustion of all avenues, the Board/Executive may close further action with written notification.

6. Confidentiality, Records, and Reporting

• All documentation related to complaints/appeals is confidential and stored securely for at least 7 years as per the Records Retention & Archiving Policy.
• Access to complaint records is restricted to Directors, relevant managers, or as legally mandated.
• Register and process outcomes are reviewed at Board/Directors meetings for continuous improvement.

7. Quality Assurance and Continuous Improvement

• The Complaints and Appeals Register is analysed for patterns, systemic improvement, and policy/procedure updates as part of the Quality Assurance and Continuous Improvement Policy cycle.