Complaints and Appeals Policy and Procedure

Policy Schedule

Relevant Legislation

• Anti-Discrimination Act 1977 (NSW)
• Anti-Discrimination Act 1991 (Qld)
• Anti-Discrimination Act 1992 (NT)
• Anti-Discrimination Act 1998 (Tas)
• Australian Consumer Law, Schedule 2 to the Competition and Consumer Act 2010 (Cth)
• Australian Human Rights Commission Act 1986 (Cth)
• Australian Privacy Principles under the Privacy Act 1988 (Cth)
• Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS) requirements
• Disability Discrimination Act 1992 (Cth)
• Discrimination Act 1991 (ACT)
• Education Services for Overseas Students Act 2000 (Cth)
• Education Services for Overseas Students Regulations 2019 (Cth)
• Equal Opportunity Act 1984 (SA)
• Equal Opportunity Act 1984 (WA)
• Equal Opportunity Act 2010 (Vic)
• National Code of Practice for Providers of Education and Training to Overseas Students 2018
• National Vocational Education and Training Regulator Act 2011 (Cth)
• Notifiable Data Breaches Scheme under the Privacy Act 1988 (Cth)
• Occupational Health and Safety Act 2004 (Vic)
• Occupational Health and Safety Regulations 2017 (Vic)
• Ombudsman Act 1976 (Cth)
• Privacy Act 1988 (Cth)
• Racial Discrimination Act 1975 (Cth)
• Sex Discrimination Act 1984 (Cth)
• Standards for Registered Training Organisations (RTOs) 2025
• Student Identifiers Act 2014 (Cth)
• Student Identifiers Regulation 2024 (Cth)
• Work Health and Safety Act 2011 (ACT)
• Work Health and Safety Act 2011 (Cth)
• Work Health and Safety Act 2011 (NSW)
• Work Health and Safety Act 2011 (Qld)
• Work Health and Safety Act 2012 (SA)
• Work Health and Safety Act 2012 (Tas)
• Work Health and Safety Act 2020 (WA)
• Work Health and Safety (National Uniform Legislation) Act 2011 (NT)
• Work Health and Safety (National Uniform Legislation) Regulations 2011 (NT)
• Work Health and Safety Regulation 2011 (ACT)
• Work Health and Safety Regulation 2011 (Cth)
• Work Health and Safety Regulation 2011 (Qld)
• Work Health and Safety Regulation 2012 (SA)
• Work Health and Safety Regulation 2025 (NSW)
• Work Health and Safety Regulations 2022 (Tas)
• Work Health and Safety (General) Regulations 2022 (WA)

1. Purpose

This policy ensures that Thrive Training and Education provides a fair, accessible, and transparent process for managing complaints and appeals. It is designed to uphold the principles of natural justice and procedural fairness, ensuring that all students and stakeholders have the opportunity to raise concerns and have them addressed in a respectful and timely manner.

The policy aims to foster a positive and supportive learning environment by encouraging open communication, resolving issues constructively, and using feedback to drive continuous improvement across all areas of service delivery. This policy also supports Thrive Training and Education’s commitment to self-assurance by using feedback and complaints data to evaluate service quality and inform strategic improvements.

2. Scope

This policy applies to:

• All students, staff, contractors, and third-party providers associated with Thrive Training and Education.
• All academic and non-academic complaints, including appeals against decisions made by Thrive Training and Education (e.g., assessment outcomes, enrolment decisions, refunds).

3. Policy Statement

Thrive Training and Education is committed to:

• Providing a supportive and responsive environment where feedback, complaints, and appeals are welcomed and addressed promptly.
• Ensuring all complaints and appeals are handled confidentially, without prejudice or victimisation.
• Upholding the principles of procedural fairness, including the right to be heard and the right to an unbiased decision.

Using complaints and appeals data to inform continuous improvement of services and systems. Thrive ensures that information about how to provide feedback, lodge complaints, and appeal decisions is publicly available and accessible to all students, including those with language or literacy barriers.

Related Policy: 4.6 Continuous Improvement Policy.

3.1 Definitions

Complaint: A formal expression of dissatisfaction with a service, decision, or action taken by Thrive or its representatives.

Appeal: A request for a review of a decision made by Thrive Training and Education, including assessment outcomes or disciplinary actions.

The following are examples of issues for which students may lodge a complaint:

• Enrolment issues and concerns.
• Training delivery issues and concerns.
• Training and/or Assessment decisions, including Recognition of Prior Learning (RPL).
• Any other activities associated with the delivery of training and assessment services.
• Issues such as discrimination or sexual harassment.

4. Complaints Procedure

4.1 Informal Resolution

Individuals are encouraged to raise concerns directly with the relevant staff member. If unresolved, the matter should be escalated to the Director, Thrive Training and Education, who will provide a Complaint Form.

4.2 Formal Complaint

Complainants should submit a Complaint Form to the Director, Thrive Training and Education. Individuals may access the Complaint Form from the Director, Thrive Training and Education, via Cloud Assess, via website download, or by requesting it from Thrive Training and Education administration or support staff.

Complaints shall be acknowledged within 2 business days, and the assessment of any complaint will be commenced within 10 business days. Investigations shall be conducted in a professional, fair and transparent manner. All parties shall be given the opportunity to present their case and may be accompanied by a support person in a virtual setting.

A written outcome shall be provided within 20 business days. The outcome shall be recorded in the Complaints and Appeals Register.

Where complaints are not resolved to the satisfaction of the complainant, Thrive Training and Education will provide clear information about further avenues for review, including external authorities, at no or low cost to the complainant.

Personal information collected through complaints and appeals will be handled in accordance with the Privacy Act 1988 (Cth), the Australian Privacy Principles and 4.1 Privacy and Confidentiality Policy. Where an eligible data breach occurs, the organisation will respond in accordance with the Notifiable Data Breaches Scheme. Unauthorised disclosure, misuse or publication of personal information, including conduct that may constitute unlawful doxxing or related privacy offences, will be managed in accordance with applicable law.

Related Policy: 4.1 Privacy and Confidentiality Policy.

4.3 Escalation

If unresolved, an independent third party (e.g., mediator, legal representative, or relevant authority) may be engaged. Costs associated to this escalation process will be advised to the appellant. If the appeal is upheld, then the associated costs will be reimbursed.

Any person appointed to investigate or review a complaint or appeal must declare any actual, potential or perceived conflict of interest. Where a conflict exists, an alternative independent decision-maker will be appointed.

If the process exceeds 60 calendar days, the complainant will be informed in writing of the delay and provided with regular updates.

4.4 Recordkeeping

All complaints are recorded in the Complaints and Appeals Register including:

• Date of complaint.
• Complainant’s name.
• Nature of complaint.
• Outcome and resolution date.

Complaints must be updated within the register as soon as is possible, no later than 2 working days after the complaint is received. The outcome of the complaint must be recorded in the Complaint Register soon as possible, no later than 2 working days after the outcome determined.

An individual file for each complaint will be created to house complaint related documents on the Thrive Training and Education MS Teams site.

Records shall be securely stored for a minimum of 5 years. Complaint records will be protected using appropriate physical, electronic and access controls. Access is limited to authorised personnel with a legitimate business need. Records of investigations, evidence and outcomes will be retained securely in accordance with legislative and organisational recordkeeping requirements.

5. Appeals Procedure

5.1 Grounds for Appeal

Appeals may be lodged for decisions relating to:

• Assessment outcomes, including RPL outcomes.
• Refund refusals.
• Enrolment or extension denials.
• Any other administrative or academic decision.

5.2 Lodging an Appeal

Appellants should submit an Appeal Form to info@thrivetraining.com.au within 5 business days of receiving the decision.

All appeals are recorded in the Complaints and Appeals Register including:

• Date of appeal.
• Appellant’s name.
• Nature of appeal.
• Outcome and resolution date.

Appeals information is made available in multiple formats to ensure accessibility for all students, including those with disability or limited digital literacy.

5.3 Internal Review

A senior staff member not involved in the original decision will be appointed by the Director, Thrive Training and Education to review the appeal.

A written outcome will be provided within 10 business days.

5.4 Director Review

If dissatisfied, the appeal is escalated to the Director, Thrive Training and Education, who may convene a review panel.

The student will be notified of the outcome within 10 business days.

5.5 External Review

If still unresolved, an independent third party may be engaged to review the matter.

Costs associated with an external review will be advised to the appellant prior to the commencement of the review process. If the appeal is upheld following the review process, the associated costs of the review will be reimbursed to the appellant.

Thrive Training and Education maintains a list of independent third-party reviewers and ensures that students are informed of their right to request external review at any stage of the process.

Students will be provided with information about appropriate external review or complaint bodies relevant to their circumstances, including ASQA and, where applicable, overseas student pathways under the ESOS framework or relevant consumer protection agencies.

5.6 Delays

If the appeal process is expected to exceed 60 calendar days, the appellant will be notified in writing and kept informed of progress.

6. Accessibility and Support

Information about this policy is publicly available and accessible via our website.

Thrive Training and Education will provide support to students who require assistance in lodging a complaint or appeal, including language or literacy support. Staff responsible for managing complaints and appeals are trained in procedural fairness and trauma-informed practices to ensure respectful and impartial handling of sensitive matters.

Where complaints are submitted electronically, Thrive Training and Education will implement reasonable cyber security measures to protect submitted information from unauthorised access, alteration or disclosure.

Related Policy: 3.3 Student Support and Reasonable Adjustment Policy.

7. General Procedure Guidelines

Students may also exercise their right to express dissatisfaction to Australian Skills Quality Authority (ASQA) by completing the complaints form at http://www.asqa.gov.au/complaints/making-a-complaint.html

All Employees/Contractors and prospective Students are provided with a copy of the Complaints and Appeals Procedure.

All appeals against assessment must be lodged within five (5) working days of receipt of the outcome.

All complaints and appeals are to be handled professionally and confidentially in order to achieve a satisfactory resolution. All parties are to have a clear understanding of the steps involved in the procedures.

Each Appellant/Complainant will be provided with the opportunity to present his or her case at each stage of the process.

All complaints and appeals will be managed fairly and equitably and as efficiently as possible.

All discussions relating to formal complaints and appeals are to be recorded in writing and the Appellant/Complainant provided with a written statement of the outcomes, including reasons for the decision.

Thrive Training and Education will provide Trainers and/or Students with details of external authorities that they may approach with respect to their complaint if required.

Thrive Training and Education will endeavour to resolve any complaint referred to it by ASQA within ten (10) working days of its receipt of the complaint.

This policy provides an avenue for most complaints and appeals to be addressed. However, in some cases, alternative measures may need to be explored.

Thrive Training and Education will encourage all parties to approach a complaint or appeal with an open view and attempt to resolve issues through discussion and conciliation. Where resolution cannot be achieved through discussion and conciliation Thrive Training and Education will acknowledge the need for an appropriate external and independent agent to mediate between the parties.

During any internal or external complaints or appeals process relating to course progress, attendance, deferral, suspension or cancellation, Thrive Training and Education will maintain the student’s enrolment until the appeal process is completed, unless there is a serious risk to the health or safety of the student or others.

Once finalised a review of the appeal is to be undertaken, and actions implemented to reduce the likelihood of the same issue occurring in the future.

Records relating to the complaint or appeal including the associated registers are to be securely retained.

8. Continuous Improvement

Complaints and appeals data is reviewed annually to identify trends and systemic issues.

Outcomes are used to improve training delivery, assessment practices, and student support services.

Thrive Training and Education uses root cause analysis to identify systemic issues from complaints and appeals data. Actions taken are documented and reviewed for effectiveness as part of the continuous improvement cycle.

Related Policy: 4.6 Continuous Improvement Policy.

9. Third Party Arrangements

Where third-party arrangements are in place, the procedures outlined in Thrive Training and Education’s Third Party Arrangements Policy shall be in effect. Regular reviews of third-party performance are conducted to ensure alignment with RTO standards.

Related Policy: 4.7 Third Party Arrangements Policy.

10. Supporting Documents

• Complaint Form.
• Appeal Form.
• Complaints & Appeals Register.
• 3.3 Student Support and Reasonable Adjustment Policy.
• 4.1 Privacy and Confidentiality Policy.
• 4.6 Continuous Improvement Policy.
• 4.7 Third Party Arrangements Policy.