COMPLAINTS AND GRIEVANCES POLICY

Mandatory – Quality Area 7

PURPOSE
This policy will provide guidelines for:
• receiving and dealing with complaints and grievances at Deepdene Pre School
• procedures to be followed in investigating complaints and grievances.
Note: This policy does not address complaints relating to staff grievances or employment matters. The
relevant awards provide information on the management of such issues.

POLICY STATEMENT
1. VALUES
Deepdene Pre School is committed to:
• providing an environment of mutual respect and open communication, where the expression of
opinions is encouraged
• complying with all legislative and statutory requirements
• dealing with disputes, complaints and complainants with fairness and equity
• establishing mechanisms to promote prompt, efficient and satisfactory resolution of complaints and
grievances
• maintaining confidentiality at all times.

2. SCOPE
This policy applies to the Approved Provider, Nominated Supervisor, Certified Supervisor, educators,
staff, students on placement, volunteers, parents/guardians, children and others attending the
programs and activities of Deepdene Pre School.

3. BACKGROUND AND LEGISLATION

Background
Complaints or grievances may be received from anyone who comes in contact with Deepdene Pre
School including parents/guardians, volunteers, students, members of the local community and other
agencies.

In most cases, dealing with complaints and grievances will be the responsibility of the Approved
Provider. All complaints and grievances, when lodged, need to be initially assessed to determine
whether they are a general or a notifiable complaint (refer to Definitions).

When a complaint or grievance has been assessed as 'notifiable', the Approved Provider must notify
Department of Education and Training (DET) of the complaint or grievance. The Approved Provider
will investigate the complaint or grievance and take any actions deemed necessary, in addition to
responding to requests from and assisting with any investigation by DET.

There may be occasions when the complainant reports the complaint or grievance directly to DET. If
DET then notifies the Approved Provider about a complaint they have received, the Approved Provider
will still have responsibility for investigating and dealing with the complaint or grievance as outlined in
this policy, in addition to co-operating with any investigation by DET.

DET will investigate all complaints and grievances it receives about a service, where it is alleged that
the health, safety or wellbeing of any child within the service may have been compromised, or that
there may have been a contravention of the Education and Care Services National Law Act 2010 and
the Education and Care Services National Regulations 2011.

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Legislation and standards
Relevant legislation and standards include but are not limited to:

• Charter of Human Rights and Responsibilities Act 2006 (Vic)

• Children, Youth and Families Act 2005 (Vic)
• Education and Care Services National Law Act 2010: Section 174(2)(b)
• Education and Care Services National Regulations 2011: Regulations 168(2)(o) and 176(2)(b)
• Information Privacy Act 2000 (Vic)
• National Quality Standard, Quality Area 7: Leadership and Service Management
− Standard 7.3: Administrative systems enable the effective management of a quality service
− Element 7.3.4: Processes are in place to ensure that all grievances and complaints are
addressed, investigated fairly and documented in a timely manner
• Privacy Act 1988 (Cth)
• Privacy Regulations 2013(Cth)

The most current amendments to listed legislation can be found at:

• Victorian Legislation – Victorian Law Today: http://www.legislation.vic.gov.au/
• Commonwealth Legislation – ComLaw: http://www.comlaw.gov.au/

4. DEFINITIONS
The terms defined in this section relate specifically to this policy. For commonly used terms e.g.
Approved Provider, Nominated Supervisor, Regulatory Authority etc. refer to the General Definitions
section of this manual.

Complaint: (In relation to this policy) a complaint is defined as an issue of a minor nature that can be
resolved promptly or within 24 hours, and does not require a detailed investigation. Complaints include
an expression of displeasure, such as poor service, and any verbal or written complaint directly related
to the service (including general and notifiable complaints).
Complaints do not include staff, industrial or employment matters, occupational health and safety
matters (unless related to the safety of the children) and issues related to the legal business entity,
such as the incorporated association or co-operative.

Complaints and Grievances Register: (In relation to this policy) records information about
complaints and grievances received at the service, together with a record of the outcomes. This
register must be kept in a secure file, accessible only to educators and Responsible Persons at the
service. The register can provide valuable information to the Approved Provider on meeting the needs
of children and families at the service.

Dispute resolution procedure: The method used to resolve complaints, disputes or matters of
concern through an agreed resolution process.

General complaint: A general complaint may address any aspect of the service e.g. a lost clothing
item or the service's fees. Services do not have to inform DET, but the complaint must be dealt with as
soon as is practicable to avoid escalation of the issue.

Grievance: A grievance is a formal statement of complaint that cannot be addressed immediately and
involves matters of a more serious nature e.g. the service is in breach of a policy or the service did not
meet the care expectations of a family.

Mediator: A person (neutral party) who attempts to reconcile differences between disputants.

Mediation: An attempt to bring about a peaceful settlement or compromise between disputants

through the objective intervention of a neutral party.

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Notifiable complaint: A complaint that alleges a breach of the Act or Regulation, or alleges that the
health, safety or wellbeing of a child at the service may have been compromised. Any complaint of this
nature must be reported by the Approved Provider to the secretary of DET within 24 hours of the
complaint being made (Section 174(2)(b), Regulation 176(2)(b)). If the Approved Provider is unsure
whether the matter is a notifiable complaint, it is good practice to contact DET for confirmation. Written
reports to DET must include:
• details of the event or incident
• the name of the person who initially made the complaint
• if appropriate, the name of the child concerned and the condition of the child, including a medical or
incident report (where relevant)
• contact details of a nominated member of the Grievances Subcommittee/investigator
• any other relevant information.
Written notification of complaints must be submitted using the appropriate forms, which can be found
on the ACECQA website: www.acecqa.gov.au

Serious incident: An incident resulting in the death of a child, or an injury, trauma or illness for which
the attention of a registered medical practitioner, emergency services or hospital is sought or should
have been sought. This also includes an incident in which a child appears to be missing, cannot be
accounted for, is removed from the service in contravention of the Regulations or is mistakenly locked
in/out of the service premises (Regulation 12). A serious incident should be documented in an
Incident, Injury, Trauma and Illness Record (sample form available on the ACECQA website) as soon
as possible and within 24 hours of the incident. The Regulatory Authority (DET) must be notified within
24 hours of a serious incident occurring at the service (Regulation 176(2)(a)). Records are required to
be retained for the periods specified in Regulation 183.

5. SOURCES AND RELATED POLICIES

Sources
• ACECQA: www.acecqa.gov.au
• Department of Education and Early Childhood Development (DET) – Regional Office details are
available under ‘Contact Us’ on the DET website: www.education.vic.gov.au
• ELAA Early Childhood Management Manual: www.elaa.org.au
• The Kindergarten Guide (Department of Education and Early Childhood Development) is available
under early childhood / service providers on the DET website: www.education.vic.gov.au
Service policies
• Code of Conduct Policy
• Incident, Injury, Trauma and Illness Policy
• Inclusion and Equity Policy
• Interactions with Children Policy
• Privacy and Confidentiality Policy
• Staffing Policy

PROCEDURES
The Approved Provider is responsible for:
• being familiar with the Education and Care Services National Law Act 2010 and the Education and
Care Services National Regulations 2011, service policies and constitution, and complaints and
grievances policy and procedures
• identifying, preventing and addressing potential concerns before they become formal
complaints/grievances

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• ensuring that the name and telephone number of the Responsible Person (refer to Staffing Policy)
to whom complaints and grievances may be addressed are displayed prominently at the main
entrance of the service (Regulation173(2)b))
• ensuring that the address and telephone number of the Authorised Officer at the DET regional
office are displayed prominently at the main entrance of the service (Regulation 173(2)(e))
• advising parents/guardians and any other new members of Deepdene Pre School of the complaints
and grievances policy and procedures upon enrolment
• ensuring that this policy is available for inspection at the service at all times (Regulation 171)
• being aware of, and committed to, the principles of communicating and sharing information with
service employees, members and volunteers
• responding to all complaints and grievances in the most appropriate manner and at the earliest
opportunity
• treating all complainants fairly and equitably
• providing a Complaints and Grievances Register (refer to Definitions) and ensuring that staff record
complaints and grievances along with outcomes
• complying with the service's Privacy and Confidentiality Policy and maintaining confidentiality at all
times (Regulations 181, 183)
• establishing a Grievances Subcommittee or appointing an investigator to investigate and resolve
grievances (refer to Attachment 1 – Sample terms of reference for a Grievances
Subcommittee/investigator)
• referring notifiable complaints (refer to Definitions), grievances (refer to Definitions) or complaints
that are unable to be resolved appropriately and in a timely manner to the Grievances
Subcommittee/investigator
• informing DET in writing within 24 hours of receiving a notifiable complaint (refer to Definitions) (Act
174(4), Regulation 176(2)(b))
• receiving recommendations from the Grievances Subcommittee/investigator and taking appropriate
action.
The Nominated Supervisor, Certified Supervisors, educators and other staff are responsible
for:
• responding to and resolving issues as they arise where practicable
• maintaining professionalism and integrity at all times
• discussing minor complaints directly with the party involved as a first step towards resolution (the
parties are encouraged to discuss the matter professionally and openly work together to achieve a
desired outcome)
• informing complainants of the service's Complaints and Grievances Policy
• recording all complaints and grievances in the Complaints and Grievances Register (refer to
Definitions)
• notifying the Approved Provider if the complaint escalates and becomes a grievance (refer to
Definitions), is a notifiable complaint (refer to Definitions) or is unable to be resolved appropriately
in a timely manner
• providing information as requested by the Approved Provider e.g. written reports relating to the
grievance
• complying with the service's Privacy and Confidentiality Policy and maintaining confidentiality at all
times (Regulations 181, 183)
• working co-operatively with the Approved Provider and DET in any investigations related to
grievances about Deepdene Pre School, it's programs or staff.

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Parents/guardians are responsible for:
• raising a complaint directly with the person involved, in an attempt to resolve the matter without
recourse to the complaints and grievances procedures
• communicating (preferably in writing) any concerns relating to the management or operation of the
service as soon as is practicable
• raising any unresolved issues or serious concerns directly with the Approved Provider, via the
Nominated Supervisor/educator or through the Grievances Subcommittee/investigator
• maintaining complete confidentiality at all times
• co-operating with requests to meet with the Grievances Subcommittee and/or provide relevant
information when requested in relation to complaints and grievances.
Volunteers and students, while at the service, are responsible for following this policy and its
procedures.

EVALUATION
In order to assess whether the values and purposes of the policy have been achieved, the Approved
Provider will:
• regularly seek feedback from everyone affected by the policy regarding its effectiveness
• monitor complaints and grievances as recorded in the Complaints and Grievances Register to
assess whether satisfactory resolutions have been achieved
• review the effectiveness of the policy and procedures to ensure that all complaints have been dealt
with in a fair and timely manner
• keep the policy up to date with current legislation, research, policy and best practice
• revise the policy and procedures as part of the service's policy review cycle, or as required
• notify parents/guardians at least 14 days before making any changes to this policy or its
procedures.

ATTACHMENTS
• Attachment 1: Terms of reference for Grievances Subcommittee
• Attachment 2: Dealing with complaints and grievances

AUTHORISATION
This policy was adopted by the Approved Provider of Deepdene Pre School on 7 August 2017.

REVIEW DATE: MARCH 2020

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ATTACHMENT 1
Terms of reference for Grievances Subcommittee

DATE ESTABLISHED: 7 August 2017

PURPOSE
• A Grievances Subcommittee has been established by the Approved Provider of Deepdene Pre
School to investigate and resolve grievances lodged with Deepdene Pre School.

MEMBERSHIP
Three people are nominated by the Approved Provider, and membership must include a minimum of
one Responsible Person (refer to Definitions). The members are Pia Smillie (President), Erin Boyd
(Secretary) and Natasha Webb (Social Representative).

TIME PERIOD NOMINATED

The Grievances Subcommittee shall be appointed for the remainder of 2017.

MEETING REQUIREMENTS
The subcommittee convenor/investigator is responsible for organising meetings as soon as is
practicable after receiving a complaint or grievance.

DECISION-MAKING AUTHORITY
The subcommittee is required to fulfil only those tasks and functions as outlined in these terms of
reference.

The Approved Provider may decide to alter the decision-making authority of the
subcommittee/investigator at any time.

BUDGET ALLOCATION
All expenditure to be incurred by the subcommittee must be approved by the Approved Provider. A
request in writing must be submitted by the subcommittee.

REPORTING REQUIREMENTS OF THE COMMITTEE

• The subcommittee is required to keep minutes of all meetings held. These are to be kept in a
secure file.
• The convenor is required to present a written report to the Approved Provider about the grievance,
ensuring that privacy and confidentiality are maintained according to the service's Privacy and
Confidentiality Policy.

TASKS AND FUNCTIONS OF THE GRIEVANCES SUBCOMMITTEE

• Responding to complaints in a timely manner
• Investigating all complaints received in a discreet and responsible manner
• Implementing the procedures outlined in Attachment 2 – Dealing with complaints and grievances
• Acting fairly and equitably, and maintaining confidentiality at all times
• Informing the Approved Provider if a complaint is assessed as notifiable
• Keeping the Approved Provider informed about complaints that have been received and the
outcomes of investigations
• Providing the Approved Provider with recommendations for action
• Ensuring decisions are based on the evidence that has been gathered
• Reviewing the terms of reference of the Grievances Subcommittee/investigator at commencement
and on completion of their term. Suggestions for alterations are to be presented to and approved
by the Approved Provider

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ATTACHMENT 2
Dealing with complaints and grievances

DEALING WITH A COMPLAINT

When a complaint is received, the person to whom the complaint is addressed will:
• inform the complainant of the service's Complaints and Grievances Policy
• encourage the complainant to resolve the complaint with the person directly, or to submit their
complaint in writing
• enter the complaint in the Complaints and Grievances Register (refer to Definitions) together with
the outcome
• comply with the service's Privacy and Confidentiality Policy with regard to all meetings/discussions
in relation to a complaint
• inform the Approved Provider if the complaint escalates and becomes a grievance (refer to
Definitions), a notifiable complaint (refer to Definitions) or is unable to be resolved appropriately in
a timely manner.

DEALING WITH A GRIEVANCE

When a formal complaint or grievance is lodged with the service:
• the staff member receiving the formal complaint or grievance will record all relevant details
regarding the grievance in the Complaints and Grievances Register (refer to Definitions) and
immediately inform the Approved Provider
• the Approved Provider must inform the service's Grievances Subcommittee, if there is one, or
appoint an investigator(s) to investigate the grievance
• the Grievances Subcommittee/investigator will assess the grievance to determine if it is a notifiable
grievance (refer to Definitions)
• if the grievance is notifiable, the Approved Provider will be responsible for notifying DET. This must
be in writing within 24 hours of receiving the complaint (Regulation 176(2)(b))
• the written report to DET needs to be submitted using the appropriate forms from ACECQA and will
include:
− details of the event or incident
− the name of the person who initially made the complaint
− if appropriate, the name of the child concerned and the condition of the child, including a
medical or incident report (where relevant)
− contact details of a nominated member of the Grievances Subcommittee/investigator
− any other relevant information
• if the Approved Provider is unsure if the complaint is a notifiable complaint, it is good practice to
contact DET for confirmation.

GRIEVANCES SUBCOMMITTEE/INVESTIGATOR RESPONSIBILITIES AND PROCEDURES

In the event of a grievance being lodged, the Grievances Subcommittee/investigator will:
• convene as soon as possible to deal with the grievance in a timely manner
• disclose any conflict of interest relating to any member of the subcommittee/panel of investigators.
Such members must stand aside from the investigation and subsequent processes
• consider the nature and the details of the grievance
• identify which service policies (if any) the grievance involves
• inform the Approved Provider if their involvement is required under any other service policies
• if the grievance is a notifiable complaint (refer to Definitions), inform the complainant of the
requirements to notify DET of the grievance and explain the role that DET may take in investigating
the complaint

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• maintain appropriate records of the information and data collected, including minutes of meetings,
incident reports and copies of relevant documentation relating to the grievance
• respect the confidential nature of information relating to the grievance. The Approved Provider and
the subcommittee/investigator must handle any grievance in a discreet and professional manner
• store all written information relating to grievances securely and in compliance with the service's
Privacy and Confidentiality Policy.

INVESTIGATING THE GRIEVANCE AND GATHERING RELEVANT INFORMATION

When investigating the grievance and gathering relevant information, the Grievances
Subcommittee/investigator will:
• meet with individual witnesses, and give right of reply to the person against whom the allegations
are made in relation to any accusation or information relating to an alleged incident
• offer the complainant the opportunity of meeting with the subcommittee/investigator to discuss the
complaint and provide additional information where relevant
• nominate a subcommittee member to inform the complainant of the procedures for dealing with the
grievance if the complainant does not take up the opportunity to attend a meeting
• document the time, date and detail of meetings/discussions, and follow this up with a letter to the
complainant outlining the information discussed
• be available to meet with DET staff, if required, and provide additional information as requested
• review relevant information and documents
• obtain any other relevant information or documentation that will assist in resolving the grievance
• seek advice, where appropriate, from individuals and organisations that may be able to assist in
resolving the grievance (any cost in seeking advice will require prior approval by the Approved
Provider).

FOLLOWING THE INVESTIGATION

Once the investigation of the grievance is complete, the Grievances Subcommittee/investigator will:
• endeavour to resolve the grievance by mutual agreement of the parties involved
• meet to discuss the information gathered and determine further action, including generating
recommendations to be presented to the Approved Provider
• ensure that any recommendations or actions are in accordance with relevant legislation and
funding requirements including, but not limited to:
− Education and Care Services National Law Act 2010
− Education and Care Services National Regulations 2011
• The Kindergarten Guide (refer to Sources)report outcomes that may include relevant information
gained in investigations and consultations to the Approved Provider and, where required, provide
any recommendations for consideration by the Approved Provider
• inform the Approved Provider on the involvement of DET and the outcomes of any investigation by
DET. The Approved Provider will review the report and any subcommittee/investigator
recommendations and will be responsible for making decisions on the action to be taken (if any),
including relevant review mechanisms
• advise the complainant and other relevant parties of any decisions made by the Approved Provider
in relation to the grievance
• follow up to ensure the parties involved are satisfied with the outcome and monitor progress on any
actions taken by the Approved Provider.

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