Australian Centre for Advanced Studies

Standard 6. Complaints and appeals are recorded, acknowledged and dealt with fairly, efficiently and effectively.

Standard Comments

6.1. The RTO has a complaints policy to manage and respond to allegations involving the conduct of:
a) the RTO, its trainers, assessors or other staff;
b) a third party providing services on the RTO’s behalf, its trainers, assessors or other staff; or
c) a learner of the RTO.

See ACAS policy. We have had extremely few formal complaints (about 2 in nearly twenty years).
Although not an SRTO requirement, you should also check on informal complaints, which are often more common. These are usually verbal or email comments, and they should be followed up.

6.2. The RTO has an appeals policy to manage requests for a review of decisions, including assessment decisions, made by the RTO or a third party providing services on the RTO’s behalf.

See ACAS policy. (Very few. Included in the formal complaints above.) Appeals and complaints are very similar.

6.3. The RTO’s complaints policy and appeals policy:
a) ensure the principles of natural justice and procedural fairness are adopted at every stage of the complaint and appeal process;
b) are publicly available;
c) set out the procedure for making a complaint or requesting an appeal;
d) ensure complaints and requests for an appeal are acknowledged in writing and finalised as soon as practicable; and
e) provide for review by an appropriate party independent of the RTO and the complainant or appellant, at the request of the individual making the complaint or appeal, if the processes fail to resolve the complaint or appeal.

See ACAS policy

6.4. Where the RTO considers more than 60 calendar days are required to process and finalise the complaint or appeal, the RTO:
a) informs the complainant or appellant in writing, including reasons why more than 60 calendar days are required; and
b) regularly updates the complainant or appellant on the progress of the matter. See ACAS policy

6.5. The RTO:
a) securely maintains records of all complaints and appeals and their outcomes; and
b) identifies potential causes of complaints and appeals and takes appropriate corrective action to eliminate or mitigate the likelihood of reoccurrence. Done by ACAS centre

6.6. Where the RTO is an employer or a volunteer organisation whose learners solely consist of its employees or members, does not charge fees for the training and/or assessment, and does not have in place a specific complaints and appeals policy in accordance with Clauses 6.1 & 6.2, the organisation has a complaints and appeals policy which is sufficiently broad to cover the services provided by the RTO. N/a

Standard	Comments
6.1. The RTO has a complaints policy to manage and respond to allegations involving the conduct of: a) the RTO, its trainers, assessors or other staff; b) a third party providing services on the RTO’s behalf, its trainers, assessors or other staff; or c) a learner of the RTO.	See ACAS policy. We have had extremely few formal complaints (about 2 in nearly twenty years). Although not an SRTO requirement, you should also check on informal complaints, which are often more common. These are usually verbal or email comments, and they should be followed up.
6.2. The RTO has an appeals policy to manage requests for a review of decisions, including assessment decisions, made by the RTO or a third party providing services on the RTO’s behalf.	See ACAS policy. (Very few. Included in the formal complaints above.) Appeals and complaints are very similar.
6.3. The RTO’s complaints policy and appeals policy: a) ensure the principles of natural justice and procedural fairness are adopted at every stage of the complaint and appeal process; b) are publicly available; c) set out the procedure for making a complaint or requesting an appeal; d) ensure complaints and requests for an appeal are acknowledged in writing and finalised as soon as practicable; and e) provide for review by an appropriate party independent of the RTO and the complainant or appellant, at the request of the individual making the complaint or appeal, if the processes fail to resolve the complaint or appeal.	See ACAS policy
6.4. Where the RTO considers more than 60 calendar days are required to process and finalise the complaint or appeal, the RTO: a) informs the complainant or appellant in writing, including reasons why more than 60 calendar days are required; and b) regularly updates the complainant or appellant on the progress of the matter.	See ACAS policy
6.5. The RTO: a) securely maintains records of all complaints and appeals and their outcomes; and b) identifies potential causes of complaints and appeals and takes appropriate corrective action to eliminate or mitigate the likelihood of reoccurrence.	Done by ACAS centre
6.6. Where the RTO is an employer or a volunteer organisation whose learners solely consist of its employees or members, does not charge fees for the training and/or assessment, and does not have in place a specific complaints and appeals policy in accordance with Clauses 6.1 & 6.2, the organisation has a complaints and appeals policy which is sufficiently broad to cover the services provided by the RTO.	N/a