Complaints and Appeals Policy

1. Purpose

This policy outlines AUSTSWIM Limited’s (AUSTSWIM) approach to managing complaints and appeals in a fair, transparent, consistent and timely manner. As a Registered Training Organisation (RTO), AUSTSWIM complies with the Standards for RTOs 2025 and regulatory requirements of the Australian Skills Quality Authority (ASQA).

This policy applies to:

• Academic complaints and appeals
• Assessment and competency outcomes
• Administrative and non-academic matters
• Licensing and accreditation decisions

This policy does not replace processes under the AUSTSWIM Teacher Code of Conduct and its disciplinary procedures, which are managed separately.

2. Policy Principles

AUSTSWIM is committed to ensuring that:

• Complaints and appeals processes are publicly available and easily accessible
• All parties are treated fairly and with respect
• Natural justice and procedural fairness are applied
• Complaints and appeals are handled confidentially
• There is no victimisation or disadvantage to any individual who lodges a complaint or appeal
• Matters are resolved as quickly as possible
• Outcomes are documented and used for continuous improvement

3. Scope

This policy applies to:

• Students and course participants
• Prospective learners
• Employers/ Swim schools (where applicable)

4. Definitions

Complaint
An expression of dissatisfaction with AUSTSWIM’s training, assessment, services or staff where a response or resolution is expected.

Complaints may relate to, but are not limited to:

• Training delivery and quality
• Assessment processes or outcomes
• Fees, refunds or charges
• Marketing or enrolment information
• Customer service
• Discrimination, harassment or bullying
• Access and equity matters
• Administrative decisions

Appeal
A formal request for a review of a decision made by AUSTSWIM.

Appeals may include:

• Assessment outcome appeals
• Complaints outcome appeals
• Licensing or accreditation decisions

Complainant/Appellant
The person lodging the complaint or appeal.

5. Responsibilities

The Head of Education & Quality (or delegated officer) is responsible for:

• Ensuring compliance with the Standards for RTOs 2025
• Managing and monitoring the Complaints & Appeals Register
• Ensuring timely investigation and resolution
• Maintaining secure and accurate records
• Identifying systemic issues for continuous improvement

All staff and third parties must cooperate fully in complaint and appeal investigations.

6. Lodging a Complaint or Appeal

Complaints and appeals must:

• Be submitted in writing via the designated Complaints and Appeals form. (Click Here)
• Be lodged directly by the affected individual (unless authorised representation is provided)
• Include sufficient detail to allow investigation

There is no cost to the complainant or appellant for accessing the internal process. Where required, individuals may be supported by a representative or support person at any stage of the process.

7. Complaints Process

Upon receipt of a formal complaint:

• Written acknowledgement will be provided within 5 business days.
• The Head of Quality & Education (or delegated officer) will be appointed to investigate.
• All parties will be given the opportunity to present their case.
• Evidence will be reviewed objectively.
• A written outcome, including reasons for the decision, will be provided within 30 calendar days.

If the matter is complex and cannot be resolved within 30 days, AUSTSWIM will:

• Inform the complainant in writing
• Provide reasons for the delay
• Provide regular updates on progress

All complaints and outcomes will be recorded in the Complaints & Appeals Register.

8. Appeals Process

An appeal must be lodged within 10 working days of the original decision.

Upon receipt of an appeal:

• Acknowledgement will be provided within 10 business days.
• The appeal will be reviewed by a person not previously involved in the decision.
• The appellant will be given the opportunity to present additional evidence.
• A written decision, including reasons, will be issued within 30 calendar days.

9. Natural Justice and Procedural Fairness

AUSTSWIM ensures:

• No decision is made without hearing both sides
• Decision-makers are impartial and free from conflict of interest
• Decisions are evidence-based
• Reasons for decisions are documented and communicated

10. Record Keeping and Continuous Improvement

AUSTSWIM will:

• Maintain a secure Complaints & Appeals Register
• Analyse complaint trends for systemic issues
• Implement corrective and preventative actions where required
• Review this policy regularly to ensure ongoing compliance

Records are managed in accordance with AUSTSWIM’s Privacy Policy and the Australian Privacy Principles under the Privacy Act 1988.

11. Policy Review

This policy will be reviewed regularly to ensure compliance with the Standards for RTOs 2025 and regulatory guidance issued by ASQA.