Policy – Complaints and Appeals Policy

Complaints and Appeals Policy 

1. Purpose 

The purpose of this policy is to provide a fair, equitable and confidential means of resolving learners’ complaints relating to Aspen Medical Training Academy, this policy will outline the steps for handling complaints and appeals received from learners, employees, third parties and stakeholders of the registered training organisation (RTO). 

For the purposes of this policy, the RTO encompasses the Training Academy Team, and all relevant stakeholders with the responsibility for delivering training and assessment services in their respective areas of specialty (for example, Operational Projects) 

2. Scope 

A complaints process has been implemented to ensure that all complaints are dealt with in a timely manner. 

This policy should be read in conjunction with: 

• Training Academy Learner Handbook 

The RTO manages complaints and appeals in a transparent manner which enables learners to be informed of, and to understand their rights and obligations and the RTO’s responsibilities in relation to complaints and appeals under the Standards for Registered Training Organisations (RTOs) 2015 (the Standards). 

The Training Academy (the RTO) manages and responds to complaints in relation to the quality of training and assessment; the quality of client service; and compliance with the VET Quality Framework, including allegations involving the conduct of: 

• the Training Academy (the RTO), its Trainers and Assessors or employees 
• a Learner of the Training Academy (the RTO). 

The Training Academy (the RTO) manages appeals or requests for a review of decisions, including assessment decisions made. An appeal is an application by a learner or complainant for reconsideration or review of an unfavourable decision or finding during training and/or assessment or investigation. 

3. Definitions and Abbreviations 

Appeals: A learner or interested party disputes a decision made by the RTO.
AQF – Australian Qualifications Framework: Is the national policy for regulated qualifications in the Australian Education and Training system, the framework incorporates the qualifications from each education and training sector into a single comprehensive national qualifications framework.
ASQA – Australian Skills Quality Authority: The national regulator for Vocational Education and Training (VET) sector, its purpose is to ensure quality vocational education and training. ASQA’s regulatory approach is risk-based and aims at achieving quality education outcomes that balance the interests of the VET sector and students.
Complaints: This is an expression of dissatisfaction of a process, person, equipment, environment, or safety of an individual in relation to training conducted by the RTO.
RTO – Registered Training Organisation: A provider and assessing institution of nationally recognised training which has been registered and authorised by ASQA to (i) deliver and assess nationally recognised training, (ii) issue nationally recognised qualifications and statements of attainment, an (iii) apply for government funding to provide VET services.
SOA – Statement of Attainment: A statement issued to a person confirming that they have satisfied the requirements of a specified unit or units of competency. 
The Standards – Standards for Registered Training Organisations (RTOs) 2015: The legislation that forms the organising framework that supports the development of industry training packages. 
UoC – Unit of Competency: The specification of the standards of performance required towards the achievement of Unit of Competency.  

4. Policy 

A complaint is an expression of dissatisfaction, this can be against the following areas: 

1. Learner raises a complaint against another learner 

1. Learner raises a complaint against the RTO 

1. Learner raises a complaint against a Third Party 

1. RTO staff raises a complaint against a Third Party 

1. RTO staff raises a complaint against another staff member or a learner 

1. A complaint is raised against a process of the RTO 

1. A complaint is raised against the training equipment or resources of the RTO 

1. A complaint is raised against the training environment or safety during training 

If a learner, trainer or staff member is experiencing any difficulties, they are encouraged to discuss their concerns with a Senior Manager of the RTO. The Senior Manager will make themselves available at a mutually convenient time. 

If a learner or staff member wishes to make a formal complaint, they are required to complete a Complaints and Appeals Form, this is included in the Learner and Trainers Handbook. The form must be completed and submitted to the Training Academy Manager for actioning, the Training Academy Manager has ten (10) working days to acknowledge receipt of the complaint or appeal. 

If required, the learner has the right to have a third party/support person assist them through the Complaints Process, this may be due to language barriers or simply at the learners’ request. 

4.1 Informal complaints and appeals 

It is expected that prior to initiating a formal complaint and appeal process, the parties involved will attempt to resolve concerns directly wherever possible. It is anticipated that many concerns may be resolved through an informal process in the first instance. 

All parties will participate in good faith in resolving concerns so that the RTO maintains a respectful learning environment, with learners encouraged to raise concerns directly with the Trainer, particularly where the concerns are adversely affecting the learning environment. 

4.2 Right to Appeal 

If a complainant decides to appeal a determination, they must lodge a further Complaints and Appeals form within ten (10) working days of receiving a final determination. 

For more information on the right to appeal, please refer to the Aspen Medical Training Academy Learner Handbook. 

Should you disagree with the result of the appeal by the RTO, you can lodge a complaint to: 

• ASQA – Complaints about training providers | Australian Skills Quality Authority (ASQA) 
• National Training Complaints Hotline (National Training Complaints Hotline – Department of Employment and Workplace Relations, Australian Government (dewr.gov.au))
  Phone: 13 38 73, Monday–Friday, 8am to 6pm nationally.  

This website has the online Complaints Form, as well as individual state and territory information for additional resources. 

There is no cost involved with lodging a complaint with Aspen Medical Pty Ltd. 

5. Implementation, Roles and Responsibilities 

5.1 Implementation 

Following is the process for managing complaints: 

1. Formal complaint is received from the complainant to the RTO, 

1. If not already submitted with the complaint, a Complaints and Appeals Form is completed and submitted to the Training Academy Manager, 

1. A written acknowledgement of receipt of the Complaints and/or Appeal will be forwarded to the complainant following receipt by the Training Academy Manager within ten (10) days, 

1. The Complaint is discussed with ALL parties involved in the grievance, and ALL parties are notified in writing of the complaint, which will ensure the requirements of natural justice and procedural fairness are met, 

1. Grievances must be kept confidential, to protect the complainants, 

1. All Complaints and Appeals Form are to be reviewed at the monthly Quality and Compliance Meetings, 

1. The Training Academy Manager is to follow the Complaints and Appeals Form for the process under “Recommended Action Required for Improvement”, 

1. An initial meeting is to be held within 10 business days, 

1. If further investigation is required, this should be completed within 60 calendar days, 

1. Each appellant: 

1. Has an opportunity to formally present their case, 

1. They are given a written statement of the complaint outcomes, including reasons for the decision, 

1. If the Complainant wishes to appeal the Complaint outcome, the student can bring the complaint before the CEO for resolution, agreeable to all parties. 

1. If Senior Management is party to the grievance, they will not take part in any discussions or decisions made and the appeal will be referred to the CEO. 

1. If a solution has not been reached to the benefit of all parties the complainant has the right to request a review by an independent party, who is not part of the RTO 

1. The RTO is responsible for acting upon the subject of any complaint found to be substantiated. 

1. Complaints and Appeals Forms received are to be entered onto the Complaints and Appeals Register 

1. If the RTO determines that the complaint process cannot be finalised within 60 calendar days, the Training Academy Manager will: 

1. Confirm this in writing to the complainant, including reasons why more than 60 calendar days is required 

1. Will regularly update the complainant or appellant on the progress of the matter 

Complaints and Appeals Forms are to be actioned by the Training & Compliance Coordinator and filed into the Complaints and Appeals Register and a scanned copy saved onto the student file in the database. 

All Complaints and Appeals Forms are to be reviewed during the monthly Quality and Compliance Meetings and improvements are to be identified and implemented according to the Policies and Procedures of the RTO. 

5.2 Roles and Responsibilities 

5.2.1 Complainant 

1. Read through this AMTAP08 Complaints and Appeals Policy. 

1. Read and complete the AMTAF07 Complaints and Appeals Form. 

1. Submit the complete AMTAF07 Complaints and Appeals form along with any additional documents and references. Email [email protected].   

1. If there is an appeal to a complaint resolution, the learner must lodge the AMTAF07 Complaints and Appeals form along with any additional documents and references. Email [email protected].   

5.2.2 Aspen Medical Training Academy 

1. Record the complaint on the AMTAR06 Complaints and Appeals Register. 

1. Acknowledge receipt of the complaint or appeal in writing to the complainant via AMTAF08 Complaint Acknowledgement Letter. 

1. Investigate and validate the complaint.  

1. Notify the complainant resolution in writing via AMTAF09 Complaint Closure Letter.  

1. If there is an appeal to a complaint resolution, the Chief Executive Officer will review all evidence to either accept or dismiss the appeal.  

1. Record the appeal on the AMTAR06 Complaints and Appeals Register. 

6.        Resourcing, Administration and Record Keeping 

6.1 Resources Required for Implementation 

AMTAF07 Complaints and Appeals Form 

AMTAF24 Complaint Report Form 

AMTAF08 Complaint Acknowledgement Letter 

AMTAF09 Complaint Closure Letter 

AMTAR06 Complaints and Appeals Register 

6.2 Administration 

The Training & Compliance Coordinator will be responsible for monitoring this policy. 

6.3 Record Keeping 

All complaints and appeals must be recorded on AMTAR06 Complaints and Appeals Register, including the following information: 

• Complaint Number 
• Date complaint/appeal was received 
• Who the complaint/appeal was from 
• The project/site (if applicable) 
• Contents of the complaint/appeal 
• Date the complaint/appeal was acknowledged 

• Name of the investigator of the complaint/appeal 
• Action taken for resolution of the complaint/appeal 
• Outcome receipt/acknowledgement date of the outcome 
• If the complaint/appeal was resolved 
• Date the complaint/appeal was closed 

7. References 

Standards for Registered Training Organisations (RTOs) 2015 (legislation.gov.au)  

Users’ guide to the Standards for Registered Training Organisations 2015 (asqa.gov.au)