These procedures must be read with the department’s:

• Complaints handling policy – details how the department assesses, resolves and follows up complaints to improve its delivery of education programs and services
• School community charter – outlines the responsibilities of parents, carers, educators and school staff in NSW public schools to ensure our learning environments are collaborative, supportive and cohesive.

People in the community have a responsibility to:

• treat others with respect to create a trustworthy environment and behave in ways that are ethical and lawful
• aise their concern directly with the decision maker, principal or manager at the time of the event or situation (or as soon as reasonably possible afterwards), noting that action may not be taken to address concerns relating to a situation that occurred more than 12 months ago or could reasonably be considered too long ago to allow meaningful inquiries or opportunities for resolution
• provide information that is clear, concise and without unrelated or unnecessary detail
• be clear about the relevant facts with a focus on resolution
• be willing to work cooperatively to resolve concerns and actively participate in any related complaint handling processes
• respond promptly and cooperatively when a complaint manager or reviewer requests information
• maintain confidentiality and only share information with those who need to know
• know, understand, and comply with the School Community Charter
• ask for further information and support (if required)
• ask for help if it is needed.

People in the community have a right to:

• access information about the process for raising and addressing concerns
• be heard and have their concerns genuinely considered
• be provided with sufficient time to engage a suitable support person to be available at the time of a scheduled meeting and who can monitor their psychological and cultural safety
• seek advice from another person or organisation to assist them to address their concerns
• be informed whether or not action will be taken as a result of their complaint
• receive regular and appropriate communication throughout the complaint process
• a reasonable complaint process with impartial decision-making
• make a complaint without being subject to detrimental action.

Managers, principals and their delegates have a responsibility to:

• create a positive culture that encourages feedback and open discussion about concerns
• identify, respond and promptly address concerns and issues that arise, with a focus on resolution
• inform community members of and provide access to these procedures
• suggest available support services that may help a person raising a complaint
• suggest available support services that may assist an employee, including the Employee Assistance Program, a union or a professional association where appropriate
• address concerns with the least possible disruption
• declare and manage a conflict of interest (actual or perceived), including by excusing themselves from managing a complaint where appropriate
• refer a complaint to a specialist area of the department as specified in these procedures
• address underlying and/or systemic issues arising from a complaint.

Managers, principals and their delegates have a right to:

• ask people to resolve concerns and issues directly and informally wherever possible
• ask for more information to better understand a concern or issue
• decide on the management of the concern while considering the circumstances and ensuring reasonable consultation with relevant parties
• manage a complaint or appoint a complaint manager to handle a complaint in accordance with these procedures
• set conditions about the way we communicate with a person when there is clear evidence that they have behaved in a way that is not reasonable or has unreasonably diverted department resources from their intended purpose
• restrict or extinguish access to department premises through the provisions of the Inclosed Lands Protection Act 1901.

Complaint managers and reviewers have a responsibility to:

• be professional and instil trust and confidence in the department’s complaint handling process by following these procedures
• address concerns promptly and confidentially while focusing on a resolution
• declare and manage any conflicts of interest (actual or perceived), which includes withdrawing themselves from managing a complaint or review where appropriate
• understand and address the concern or issue effectively, fairly and impartially
• actively listen and respond with sensitivity
• identify and effectively manage risks arising from a complaint, including risks to employee or student health, safety and wellbeing, which may include taking immediate action before a complaint is finalised
• provide regular and appropriate communication to relevant parties about the progress and finalisation of a complaint
• suggest available support services that may assist a person raising a complaint
• suggest an acceptable support person
• suggest available support services that may assist an employee involved in the complaint process, including the Employee Assistance Program, a union or a professional association
• apply sound problem solving and decision-making skills
• make practical, sensible and ethical decisions to address a complaint
• record and store securely and confidentially details of the concerns and the action taken to a level that is commensurate with the nature, seriousness and complexity of the concerns
• communicate the outcome to parties who participated in the complaint process, taking into consideration the level and nature of information that is appropriate to the person's role and circumstances
• identify and promptly report allegations of serious employee wrongdoing, including misconduct and breaches of privacy that are deliberate and more than trivial to a manager, principal or Professional and Ethical Standards (PES)
• report data breaches to Legal Services and take action to manage the breach
• act promptly on any reports of unfair treatment or detrimental action by an employee that may be linked to a complaint and refer the reports to PES for assessment.

Complaint managers and reviewers have a right to:

• ask a person to summarise or identify their main concerns
• ask for information within a specified timeframe to inform an assessment of a complaint, including an assessment of risk, the concerns raised and reasonable outcomes
• decide if a support person is acceptable
• recommend or decide a course of action (which may not be the preferred outcome of one or more parties) or decline to take further action, after fair consideration of the circumstances

Professional and Ethical Standards has a responsibility to:

• promote clear and accessible pathways for community members to raise their concerns
• assess and refer complaints received through the department’s online complaint forms to the appropriate area
• provide guidance to complaint managers handling complex and/or high risk complaints
• provide employees and their workplaces with the training and resources needed to implement these procedures correctly
• implement and manage these procedures
• engage with relevant stakeholders when reviewing these procedures
• manage and record data in the department’s Feedback and Complaints System, where relevant.

Professional and Ethical Standards has a right to:

• seek information to inform its assessment of a concern or issue.

The Department of Education has a responsibility to:

• receive feedback and complaints from community members about the department’s products, services and/or complaint handling
• provide a fair, efficient and accessible complaint handling process
• provide support services to employees and their workplaces where student/learner and/or employee health, safety and wellbeing may be impacted
• ensure compliance with these procedures.

Alleged criminal conduct

Managers must report:

• allegations of criminal conduct to the NSW Police and the department’s Incident Report and Support Hotline (staff only)
• potential misconduct by an employee to Professional and Ethical Standards (PES) (staff only).

Refer also to the Code of conduct policy (employees only).

Child protection concerns

Managers must report:

• the risk of significant harm to a child or class of children to the Child Protection Helpline
• an allegation of criminal conduct to the NSW Police
• the risk of harm that is not considered significant to the department’s Child Wellbeing Unit
• child protection concerns relating to an employee to PES
• allegations of problematic or harmful sexualised behaviours between students to the department’s Child Wellbeing Unit.

Information relevant to the safety, welfare and wellbeing of a child or young person may be shared with a third-party entity, such as a parents and citizens (P&C) association or an out of school hours care provider, under Chapter 16A of the Children and Young Persons (Care and Protection) Act 1998 (NSW).

If there are any concerns related to child protection, the manager or principal must complete the Mandatory Reporter Guide. They should record the outcome and take any required action.

Refer to:

• Child protection - sharing information (staff only)
• Guidelines for schools: Children with problematic or harmful sexual behaviours (staff only) (PDF 2.2 MB).

Legal proceedings and requests for payment of damages

Legal proceedings and requests for payment of damages by a person in the community must be emailed to Legal Services: LSCorro@det.nsw.edu.au.

Misconduct by an employee

The department’s Code of Conduct obliges employees to be accountable for their professional and personal conduct. There are a range of consequences for breaching the code depending on the nature and seriousness of a breach.

Allegations of misconduct should be reported to Professional and Ethical Standards (PES), which is responsible for maintaining appropriate standards of conduct and performance across the department.

Managers are responsible for determining whether a report to PES is required. They can use the PES Reporting Guide (staff only) to inform this decision, and the guide considers areas such as:

• allegations of a child protection nature against an employee. If there is a risk of harm, a report must also be made to the Child Protection Helpline, the Child Wellbeing Unit (staff only), and/or the NSW Police (refer to 1.2.3 Complaints from employees below).
• reports that allege serious wrongdoing that may constitute a public interest disclosure, such as corruption, maladministration or serious waste
• allegations of other misconduct by an employee, including alleged racism, bullying, harassment or discrimination.

Refer to:

• Professional and Ethical Standards (PES) (staff only)
• Code of conduct.

Public interest disclosure (PID)

Reports that allege serious wrongdoing should be reported to PES.

A decision about how the department will deal with a public interest disclosure, or a decision not to deal with a report as a voluntary disclosure, can be reviewed in accordance with the Public Interest Disclosures Act 2022.

Refer to the Public interest disclosures procedures for more information.

Racism and religious intolerance

The department does not accept any form of racism or religious intolerance. Any person may report racism or religious intolerance to any employee.

Reports of racist behaviour and religious intolerance in schools displayed by students towards other students, teachers or community members are managed using the Anti-racism policy and Student behaviour policy.

Reports of racist behaviour and religious intolerance by employees may constitute misconduct. Managers are responsible for determining whether a report to PES is required. They can use the PES Reporting Guide (staff only) to inform this decision.

Refer to:

• Reports of racism
• Anti-Racism Policy – Information for parents and carers (PDF 151 KB)
• Professional and Ethical Standards (PES) (staff only).

The manager or principal must address concerns about the behaviour of students and other learners in accordance with the Student behaviour policy and any other relevant policies and procedures.

Managers or principals must report:

• incidents and injuries involving students and other learners to the Incident Report and Support Hotline (staff only) and inform the Director, Educational Leadership of the report
• allegations of problematic or harmful sexualised behaviours between students or other learners to the Child Wellbeing Unit.

Refer to Guidelines for schools: Children with problematic or harmful sexual behaviours (staff only) (PDF 2.2 MB) for more information.

Complaints from employees about workplace issues are managed under the staff complaint procedures if they relate to:

• the application of a workplace policy, procedure or process, including perceived unfairness in relation to workplace decisions, the implementation of decisions and/or how work is allocated or managed
• a workplace policy, procedure, process or system, including the perceived fairness, efficiency or effectiveness of policy, procedure, process or system.

Other concerns employees raise about workplace issues are governed by the relevant procedure or process for addressing the specific nature of the concern.

Complaints from employees about their experience as a consumer of the department’s services are handled under the community complaint procedures, rather than the staff complaint procedures. This includes complaints from employees when they are engaging with the department as the parent or carer of a child who attends a public school or uses department services.

Refer to:

• Guidance on Staff Complaints (staff only)
• Staff complaint procedures (staff only)

Complaints about services provided by organisations that are external to, but regulated by, the department are managed under the relevant organisation’s complaint handling processes. This includes the early childhood education and care sector, as well as vocational education and training providers (except for employees working in department-operated preschools and out of school hours care).

Risk of significant harm to a child or class of children must be reported to the Child Protection Helpline. Alleged criminal conduct must be reported to the NSW Police.

Refer to Making a complaint about other education services for more information.

Concerns raised about early childhood education (ECE) and outside school hours care (OSHC) services (also known as out of school hours [OOSH] services) must be managed in accordance with the Children(Education and Care Services National Law Application and the Education and Care Services National Regulations (the regulations).

Suggestions, concerns and complaints about the services provided by an ECE or OSHC service must be raised with the director, manager or other staff at the service in the first instance. It is the responsibility of the service to manage and respond to complaints. The service is required to notify the department as soon as possible if it is alleged that:

• a child’s health, safety or wellbeing has been compromised
• the National Law or regulations have been contravened.

Risk of significant harm to a child or class of children must be reported to the Child Protection Helpline. Alleged criminal conduct must be reported to the NSW Police.

Concerns about the Early Childhood Education directorate

The Early Childhood Education directorate is the regulatory authority responsible for regulating early childhood education and care services in NSW. The directorate decides whether it is necessary to investigate a service’s compliance with the National Law and regulations.

Concerns raised by parents, carers, students or other community members about how an issue was addressed by the directorate are managed under these procedures.

Refer to Regulation and compliance for more information.

A parent, carer or student may appeal a decision to suspend or expel a student. Appeals can be lodged with the local Education Office using the department’s Form to appeal a suspension or expulsion decision (PDF 944 KB). The manager or principal must refer suspension and expulsion appeals to the Director, Educational Leadership of the relevant principal network.

A parent, carer, student or other learner may appeal out of area enrolment decisions. Appeals:

• should be in writing to the principal
• must set out the grounds of the appeal.

The manager or principal must refer out-of-area-enrolment appeals to either:

• the principal of the relevant preschool or school
• the relevant Director, Educational Leadership.

Refer to:

• What do I need to know if my child is suspended?
• What do I need to know if my child is expelled?
• What do I need to know if I want to appeal a suspension or expulsion?
• Student behaviour policy
• Out-of-Area Enrolments
• General enrolment procedures (PDF 298 KB), pp 18 to 20.

If a principal or manager prevents a person from accessing the department's premises using the provisions of the Inclosed Lands Protection Act 1901, such as Ban Notices issued by the NSW Police, the person has the right to request a review of the decision.

A person can request a review through the Director, Educational Leadership of the relevant principal network or the relevant line manager for the decision maker.

Refer to Legal Services Bulletin on Unauthorised entry onto departmental premises (staff only).

Data breaches

Employees must report suspected data breaches involving the unauthorised access or disclosure of personal information, or the loss or theft of personal information where unauthorised access or disclosure is likely to occur, to Legal Services.

Refer to Reporting and managing data breaches (staff only) for more information.

Privacy breaches

Reports of privacy breaches that are deliberate and more than trivial may amount to misconduct and must be reported to PES according to the outcome of the PES Reporting Guide.

Refer to Breaches of privacy or misuse of information (staff only) for more information.

Access applications under the Government Information (Public Access) Act 2009 (NSW) must be referred to the Right to Access unit (Legal Services).

Refer to the Right to access - agency information guide for more information.

If a person has concerns about:

• a department’s service, the relevant principal, manager of the service or delegate manages those concerns
• a policy, procedure, process or system, the owner or delegate manages those concerns
• the application of a policy, procedure or process, the decision maker, principal, manager or delegate manages those concerns
• a student’s or employee’s behaviour or conduct, the report is managed according to the nature and seriousness of the behaviour or conduct.

The owner of a procedure, process or system specific to a school or service is usually the principal or manager responsible.

In many circumstances, a respectful conversation will allow the decision, policy, process or system to be explained or for the decision to be reconsidered and the complaint process finalised.

Community members can raise their concerns:

• in person
• by telephone
• by email
• via the online Complaint, compliment and suggestion form.

The person raising the concern should:

• raise their concern as soon as possible
• outline their concern politely and respectfully
• provide details of their concern, including the nature of the concern, the current situation and who was involved (without extraneous material)
• outline the outcome(s) sought
• provide any relevant and available information about the situation.

The person receiving the concern may ask for clarification or a summary of the main issues to determine the appropriate procedure or process to address them.

Multiple complaints about the same or substantively the same concern(s), or those made directly to the Secretary or other senior employees, will be referred to the relevant principal or manager for response.

Refer to Your feedback for more information.

Anonymous complaints can be made by telephone, in writing or through the department’s online Complaint, compliment or suggestion form.

If a person makes a complaint without providing their details, it is an anonymous complaint. It is not considered anonymous if they provide their details but request their identity is not disclosed.

If a complaint is anonymous, information cannot be provided to the person making the complaint about what action, if any, is taken. The complaint manager may find it more difficult to address the complaint if insufficient details are provided.

While the department will take reasonable steps to keep the person’s details from being disclosed, the department must respond appropriately, and this may mean the identity of the person making the complaint will be revealed.

Refer to 4.3.7 Manage an anonymous complaint for more information under section 4. ‘Managing and closing a complaint'.

The complaint manager:

• uses the PES Reporting Guide to ascertain whether they report the conduct to PES
• manages locally if PES is not involved.

When deciding what action to take the complaint manager must consider a range of factors, including:

• the nature and seriousness of the concerns
• the time passed since the event occurred
• the availability of information to confirm the facts and lead to a resolution
• the impact on current employees and students or other learners
• the potential risks.

Below are exceptions to the privacy principles outlined in these procedures or legislation:

• complaint managers must report allegations of criminal conduct to the NSW Police and the Incident Report and Support Hotline
• complaint managers must report child protection concerns to the NSW Department of Communities and Justice and/or the department’s Child Wellbeing Unit
• the department will refer concerns received through the department’s online Complaint, compliment or suggestion form to the relevant workplace manager or principal.

Managers must address any unacceptable, improper or unreasonable behaviour by a complainant or other party involved in the complaint that raises substantial health, safety, resource or equity issues. This behaviour includes:

• aggressive or intimidating actions, language or tone
• treating employees differently due to aspects such as their identity, religion or disability
• raising complaints repeatedly that lack substance
• inappropriate and excessive communication.

The complaint manager may use the department’s restorative practice approach to build, maintain and restore a positive relationship with the person raising the concern.

If a complaint requires unreasonable and substantial diversion of resources (which outweigh the substantive concerns) and/or the complainant does not reasonably participate in the complaint process, complaint managers may decide:

• to finalise a complaint on the available information
• not to take action
• to limit the scope of inquiries.

Managers can decide to limit communication, for example, by advising that further communication that does not raise substantively new information will be noted and filed without further response.

Unacceptable or improper conduct by an employee may constitute misconduct. Managers and principals must report any potential misconduct to PES and follow the department’s advice and guidance on managing challenging behaviour in the workplace.

Complaint managers must:

• acknowledge a complaint within 3 business days
• finalise a complaint within 20 business days
• follow up actions arising from the complaint within 20 business days of being finalised
• advise the person making the complaint of their right to request an internal review and that this request must be made within 10 business days.

Note: business days exclude weekends, public holidays and holiday periods. Expected timeframes are a guide and may be impacted by individual circumstances.

Factors that may impact expected timeframes:

• school holidays
• employee availability
• advice seeking
• concerns raised that are complex and the involvement of multiple parties or other processes underway
• concerns raised additionally by the complainant during the course of the complaint
• competing workplace priorities
• employee health, safety and wellbeing.

Refer to Guidance on community complaints for more information.

Who can acknowledge a complaint:

• the complaint manager
• the person receiving the complaint (manager or another appropriate person).

How to acknowledge a complaint:

• in person
• by telephone
• by email
• in writing
• in the same way it was received or as a complainant prefers.

What to include:

• information on these procedures and next steps
• information on the complaint manager’s role
• advice on the level of involvement the complainant will have with their complaint
• information on anticipated timeframes and how they will be kept up to date on the progress of their complaint
• information on privacy and confidentiality obligations.

Complaint managers can refer to Acknowledging the complaint (staff only) for more information.

Some complaints may include multiple concerns. The complaint manager decides which aspects of the complaint should be managed under these procedures and which aspects should be managed through other processes.

As a first step, the complaint manager engages with the complainant to identify and understand the nature of the concerns. They can do this by:

• listening carefully, clarifying the concerns and asking for more information when needed to identify the reason(s) for their concern, particularly when a complaint is raised verbally
• explaining the process, and how and when information will be communicated
• asking the complainant what outcome they are seeking and explaining possible outcomes
• asking the complainant what action has been taken previously to address their concerns, such meetings or alternative dispute resolution
• explaining to the complainant that information may be sought from other parties to inform the assessment of the complaint
• asking the complainant what adjustments they may need to be able to participate in the complaint process.

For ongoing management, the complaints manager can:

• summarise the concerns and seek the complainant’s agreement about the nature of the complaint, particularly where clarifying information indicates that the complaint issue is different from the original
• request the complainant summarise their main concerns to ensure the complaint has been accurately recorded
• document additional information provided by the complainant
• organise information using timelines or mind maps when there are multiple concerns or where the situation has evolved over time
• consider whether a PES report is required using the PES Reporting Guide (staff only).

At all times, the complaint manager must:

• manage the complainant’s expectations from the outset by explaining what can be done to address their concern and why this is the case
• consider whether the concerns raised in the complaint have previously been addressed, including whether the complainant is entitled to an internal review of the handling of a previous complaint
• clearly state what will and will not be considered in the complaint.

If a complainant does not respond to requests for information within a reasonable time, the complaint manager can assess and finalise the complaint with the available information. What is reasonable will depend on the circumstances and will include consideration for illness, accessibility barriers, religious holidays, and cultural obligations such as Sorry Business.

When a complainant identifies themselves but asks that their identity not be provided to the relevant school or service, the complaint is not an anonymous complaint. The complaint manager should:

• make it clear that, although the department will take reasonable steps to keep the person's details from being disclosed to the school or service, they may be identified through other means
• explain that their details will be recorded
• provide information about the complaint handling process and what will happen in response to the complaint.

Refer to:

• Gathering information - complaints from families and community members
• Complex complaints - identifying issues/ particulars for resolution (staff only)

The complaint manager can decide to:

• limit the scope of inquiry to exclude concerns that are reasonably assessed to
  • be of low risk
  • be without substance
  • have been considered and finalised previously
  • relate to a situation that occurred more than 12 months ago or could reasonably be considered too long ago to allow meaningful inquiries or opportunity for resolution
• address complaints made by a group of people on an individual basis
• limit the scope of inquiry or finalise a complaint if the complainant indicates that they do not wish to proceed, taking into consideration the nature and seriousness of the concern(s)
• refer complaints to another organisation if they are misdirected to the department.

Refer to 4.5 Determine the outcome of a complaint management process for more information on assessing the available information.

The complaint manager must take reasonable steps to ensure cultural and psychological safety in the complaint process by:

• eliminating barriers or biases, either conscious or unconscious, that may prevent a person from raising concerns or impact the successful resolution of issues
• being open, focusing on a mutually desirable outcome and normalising complaints as part of the improvement process.

This may be addressed by asking the person, ‘What do you need?’ or ‘What will work for you?’.

Cultural safety exists when there is no challenge or denial of a person’s identity, of who they are, and what they need. It is about the experience of working together and having shared respect, meaning and knowledge.

Psychological safety exists when a person feels safe speaking up and can freely share ideas, suggestions, and concerns respectfully. It is also when a person can encourage others to do the same.

When responding to complaints, the department commits to:

• understanding that all families are different and these differences will affect family choices and practices
• considering the needs of students and other learners who may live in traditional or non-traditional families, or in other circumstances
• being open to families, communities, Kinship groups and Elders being involved in the complaint process, with the written consent of the student or learner’s legal guardian
• acknowledging and being responsive to the history of dispossession, racism and institutional mistrust, which may be a barrier to Aboriginal families engaging with the department
• acknowledging and being responsive to the culture and experience of people from culturally and linguistically diverse communities
• respecting Aboriginal ways of knowing, protocols and communication.

A complainant can choose to have either a support person or advocate present at a meeting related to a complaint. The complainant is responsible for arranging a support person or advocate. The complaint manager may suggest a support person or advocate if the complainant has not organised support themselves.

An advocate is authorised to speak and make decisions for the person making the complaint to assist in reaching a resolution. A support person may speak at a meeting but must not speak on behalf of, advocate for, or make decisions for, the complainant.

A suitable support person is someone over 18 years who may be an employee, a family member, a friend, a union representative, or a legal representative who has no special rights or status while in the role of a support person. A person is not suitable as a support person if they are under 18 years, may pose a risk to the safety of others, and/or someone who is unable to commit to maintaining confidentiality.

A complaint manager can decide that a person's nominated support person is not suitable after considering potential risks, perceived or actual conflicts of interest (for example, direct involvement with the complaint concerns), or other factors that may suggest the nominated support person's involvement would be unreasonable in the circumstances. The complaint manager should explain why the person is not suitable and ask the person to nominate an alternative support person.

Refer to:

• Information about support persons and advocates
• Promoting accessibility (staff only)
• Working with community advocates and support persons (staff only)

The department provides reasonable adjustments to support people to communicate a concern. Adjustments may be required to support people with disability or culturally, linguistically and religiously diverse communities. This may include interpretation and translation services (refer to Interpreting and translations) or a meeting with a complainant to clarify and record the details of the concern.

The department provides reasonable adjustments for students to ensure that they do not experience disadvantages or barriers when raising or resolving a concern. Complaint managers should ask the student: ‘What do you need?’ or ‘What will work for you?’.

Adjustments may include changes to the physical environment, assistive technology and/or student engagement to ensure that they feel included and understand the complaint process requirements.

The department may provide adjustments for parents, carers, family or community members to accommodate specific needs when raising or resolving a concern if it is fair and reasonable to do so, noting that the department has no legal duty to provide adjustments to parents, carers, family and community members.

Interpreting and translation services are available to support communication between the department and families who don’t speak English well, or who are deaf or speech impaired.

Telephone interpreting is available for meetings with the department for languages other than English, some Aboriginal languages, and Auslan. The National Relay Service can assist a person who is deaf or has a speech impairment.

Refer to:

• Support with making a complaint
• Video: making a complaint, providing feedback or a compliment
• Complaint handling responsibilities (staff only)
• Promoting accessibility (staff only)
• Working with community advocates and support persons (staff only).

The department is responsible for addressing concerns that are received anonymously. Anonymous complaints are managed in the same way as any other community complaint where practicable, noting that a response cannot be provided to the person raising the concern.

The complaint manager:

• must assess the complaint and report concerns that require specialist handling, including alleged criminal conduct, child protection concerns or potential misconduct by an employee
• must take reasonable steps to address the concerns and address any underlying issues identified through the complaint process

The complaint manager can decide to address the concerns or finalise an anonymous complaint based on the available information, after considering:

• the nature and seriousness of the concern
• the available avenues of inquiry
• the time that has passed
• whether further information can reasonably be obtained to adequately understand and address the concern.

A situation where a person provides their details but requests that their identity is not disclosed to others is not considered to be an anonymous complaint.

The complaint manager:

• must evaluate the potential risks associated with the complaint, including those related to the individuals involved, and use the available information to determine the possible impact on the complaint process
• is responsible for effectively managing risks associated with a complaint and maintaining relevant records, considering the nature and seriousness of the concerns.

When to complete a risk assessment:

• at the initial assessment of a complaint, and
• at any stage of the complaint process.

Things to consider:

• risk of harm to children and young people
• safety and wellbeing (personal and cultural) for employees, students and other parties
• a person’s vulnerability and capacity to self-advocate for a fair or good outcome
• risks to the department, such as reputational, financial or other that include the possibility of the complaint being escalated internally or externally
• controls currently in place
• whether a concern should be referred to a specialist area for advice and handling
• conflicts of interest; perceived or actual.

How to complete a risk assessment:

• review the available information to inform the assessment
• ask the complainant and other relevant parties for more information (if required)
• use the department’s risk matrix to guide the risk assessment
• create a record of significant risks that are identified and action taken to mitigate them.

Manage or refer risk:

• confirm any existing controls in place for the duration of the complaint process
• develop new controls to manage the risk during the complaint process
• refer risk(s) to a specialist area within the department for advice or management

Refer to:

• Assessing, gathering information and addressing complaints (staff only)
• Enterprise risk management framework (PDF 1235 KB) (staff only)

After clarifying the issues of concern with the complainant, the complaint manager gathers any further information to determine the most appropriate option(s) for prompt finalisation.

Further information can include:

• action taken previously to address the concerns, such as details of meetings or alternative dispute resolution
• firsthand accounts from people about what they saw, heard and/or know (not what others have told them)
• copies of policies, procedures or processes
• copies of previous correspondence or other departmental documents such as forms, reports and student records.

The complaint manager decides what information is necessary to inform a decision or outcome (the scope of inquiry) and how information should be gathered, taking into consideration:

• the nature of the concern
• the time that has passed since the situation arose
• the circumstances of the people involved.

The complaint manager can engage an appropriate third party to clarify information, inform a decision, or address aspects of a complaint.

The complaint manager must provide information about the concerns to any person who is being complained about and give them the opportunity to respond and participate in resolving the issues.

The person who is being complained about has the right to know the nature of the concerns. However, they are not entitled to a copy of the complaint or any evidence gathered by the complaint manager, such as accounts from other parties. The complaint manager can provide a written summary of the concerns to inform the person’s response.

The complaint manager decides if information about the concerns will be provided to any other parties, considering their need to know and level of involvement in resolving the issues.

Refer to Gathering information - complaints from families and community members (staff only) for more information.

Complaints about services include the perceived fairness, efficiency or effectiveness of the services provided or contracted by the department.

The complaint manager must consider whether the service provided to the recipient was reasonable in the circumstances and whether action can now be taken to address the concerns.

The complaint’s outcome is whether the service provided was reasonable and if there needs to be a change in the service provided to the recipient.

Complaints about the application of policy, procedure or process include perceived unfairness in decisions and/or the implementation of decisions where there is no applicable appeal or review process.

The complaint manager must consider whether to maintain or change decisions raised in the complaint. These considerations include whether:

• the decisions were reasonable in the circumstances
• the decisions were made following policy, procedure or process
• the decisions were reasonable in the context of all the circumstances when no existing policy, procedure or process was available to guide the original decision maker.

The complaint’s outcome is whether to maintain or change any decisions that were the subject of the complaint.

Complaints about policy, procedure, process or systems include the perceived fairness, efficiency or effectiveness of policy, procedure, process or systems.

The complaint manager must form a view as to whether:

• the policy, procedure or process itself is reasonable
• the policy, procedure or process should be reviewed.

If a review of the policy, procedure, or process is necessary, the policy, procedure, or process owner will determine when and how to consider the information related to the complaint.

The complaint’s outcome is whether to review and/or amend policy, procedure, process or systems.

The complaint manager must also consider the option(s) for addressing any underlying issues relevant to the complaint.

Actions may include:

• take action to fix the matter or improve the situation
• apologise
• provide an explanation
• acknowledge that the situation could have been handled better or differently
• hold a facilitated conversation to assist the parties to move forward
• offer alternative dispute resolution approaches, such as conflict coaching and mediation
• offer training, coaching or mentoring support to employees
• undertake to review policies, procedures or processes as a result of the complaint or provide relevant information to the owner of the policy, procedure or process so it can be taken into account when it is next reviewed
• report allegations of misconduct to Professional and Ethical Standards (PES)
• make an incident report to the Health, Safety and Staff Wellbeing directorate if the information identifies concerns about student or employee health, safety or wellbeing.

Refer to Findings and possible outcomes (staff only) for more information.

The complaint manager must communicate the outcome to the complainant and other relevant parties involved in the complaint process. The level of information provided:

• must consider the person’s role in the complaint process and their need to know
• should be sufficient to demonstrate that the complaint has been addressed fairly and impartially.

While the complainant needs to know the nature of the action taken to address their concerns, they do not receive a copy of reports or other documents relating to the complaint’s management, or direct evidence gathered by the complaint manager, such as accounts from other parties. In many situations, a meeting or a brief email summarising details of the complaint’s outcome is sufficient.

Communication must be accessible, readable and understandable. The complaint manager maintains a record of any verbal advice to a complainant and relevant parties in relation to the outcome.

How to communicate the outcome:

• in person, for example, a meeting
• by telephone
• by email
• in writing
• in the same way the complaint was received or as a complainant requires to support their understanding of the outcome.

What to include in the communication:

• the outcome and reason(s) for the decision
• the action (if any) that is going to be taken, by whom and when
• a brief summary of what the complaint was about
• a brief summary of the action taken to obtain and assess information about the complaint
• the information, policies, procedures and processes that were considered
• an acknowledgement of the person’s perspective about their experience and the impact of the issues they raised
• an apology (if appropriate to the circumstances)
• an acknowledgement of the person’s contribution to addressing and resolving the complaint
• an invitation to make contact if they want to discuss the decision
• a contact name and contact details for the complaint manager
• the advice about the internal review option
• the process of what will happen after the complaint is finalised.

The complaint manager closes the complaint when:

• a decision has been made
• the outcome has been communicated to all relevant parties
• the information about the complaint has been recorded
• the outcome has been stored securely following these procedures.

Expected timeframes

A complaint should be finalised within 20 business days (business days exclude weekends, public holidays and holiday periods).

Refer to Sample outcome paragraphs and advice (staff only) for more information.

A complainant can request a review of the handling of the complaint within 10 business days if they can explain:

• why the outcome of a complaint was incorrect
• how the complaint handling process was unfair and how this contributed to an incorrect complaint outcome.

A manager can decide whether to undertake a review and the scope of any inquiries. The manager must consider the information provided to support the request for review, the time passed, and the individual circumstances.

A request for review must be made in writing to the complaint manager or their supervisor within 10 business days of receiving the complaint outcome, unless there are special circumstances (for example, illness).

The request for review must include:

• what aspect of their complaint is the subject of the review request
• what aspect of the outcome is incorrect
• how the policy, procedure or process was incorrectly applied.

The complaint manager may request that this information is provided before commencing a review.

A reviewer may decide not to conduct or continue the review in the following circumstances:

• the complainant’s request for review substantively relates to disagreement with the outcome and there is no information to support that the outcome was incorrect or the process was unfair
• the information is insufficient to proceed and reasonable inquiries were made to obtain that information
• the situation leading to the complaint occurred more than 12 months before the request for review, or the information provided is outdated or no longer applicable
• the complainant has not responded to reasonable requests for information, including requests to clarify or summarise information provided
• the timeframe for review has lapsed with no special circumstances identified
• a review would involve an unreasonable and substantial diversion of the department’s resources when balanced with the seriousness of the concern.

The reviewer must consider whether to maintain or change decisions made by the complaint manager.

The review’s outcome is the decision(s) the reviewer made about whether the original complaint’s outcome was reasonable in the circumstances.

The reviewer:

• declares and manages actual or perceived conflicts of interest
• confirms the original complaint outcome or decides on a different outcome
• completes the review or advises the complainant of a decision not to conduct a review within 20 business days after receiving the request where possible
• communicates the review outcome in writing to relevant parties
• provides a copy of the review letter to the original complaint manager and addresses any issues about the handling of the complaint
• provides constructive feedback to the complaint manager about their handling of the complaint
• suggests any action required to address underlying concerns, including training or counselling. In some circumstances a reminder of the Code of Conduct is required.

Refer to:

• Checklist for reviewers (staff only)
• Reviews (staff only)
• Scaffold for a review outcome letter (staff only)

How to communicate the outcome:

• in person, for example, a meeting
• by telephone
• by email
• In writing
• in the same way the complaint was received or as a complainant requires to support their understanding of the outcome.

What to include in the communication:

• the outcome and reason(s) for the decision
• the action (if any) that is going to be taken, by whom and when
• a brief summary of what the complaint was about
• a brief summary of the action taken to obtain and assess information about the complaint
• the information, policies, procedures and processes that were considered
• an acknowledgement of the person’s perspective about their experience and the impact of the issues they raised
• an apology (if appropriate to the circumstances)
• an acknowledgement of the person’s contribution to addressing and resolving the complaint
• an invitation to make contact if they want to discuss the decision
• a contact name and contact details for the reviewer
• the process of what will happen next.

The reviewer closes the review when:

• a decision has been made
• the outcome has been communicated to all relevant parties
• the information about the review and its outcome has been recorded and stored securely in accordance with these procedures.

Expected timeframes:

A review should be finalised within 20 business days (business days exclude weekends, public holidays and holiday periods).

Refer to Reviews (staff only) for more information.

Complaint managers decide which records to keep in relation to:

• concerns raised by the complainant
• key steps taken to manage a complaint
• information gathered
• outcome(s) of the complaint
• steps taken to follow up and monitor outcome actions, including details of any reviews of work processes or systems.

The complaint manager records details of verbal interactions through email, diary/case notes or meeting records.

A person can request an amendment of meeting records, such as minutes, if they can give reasons why the record is inaccurate. The complaint manager can decide to amend the meeting record or to attach a copy of the request but not amend the record.

Managers must implement a secure system for retaining community complaint records (electronic or paper based).

Complaint records must be retained for 7 years and destroyed in compliance with the State Records Act 1998.

Details of certain complaints are held in the department’s Feedback and Complaints System, including:

• complaints or reviews managed by Directors Educational Leadership, Executive Directors School Performance and their delegates
• complaints or feedback made through the department’s online complaint forms
• complaints or feedback where specialist advice is provided on their management by PES.

Records to be retained in the Feedback and Complaints System include correspondence relating to the complaint, details of any action taken and the outcome.

Refer to:

• Keeping records (staff only) and GIPA and complaint management (staff only) for information about record keeping as part of the complaint process and a complaint register template
• Right to access - agency information guide for information about the department's obligations under the Government Information (Public Access) Act 2009
• General Retention and Disposal Authority: GA28 (Personnel) for information on retaining and disposing of records.

• Guidance on community complaints (staff only).

• Anti-Discrimination Act 1977
• Aboriginal education policy
• Anti-racism policy
• School Community Charter
• Code of Conduct policy (Employees only)
• Inclosed Lands Protection Act 1901
• Multicultural education policy
• Privacy and Personal Information Protection Act 1998
• Public Interest Disclosures Act 2022
• Student behaviour policy

Executive Director, Professional and Ethical Standards
02 7814 3722
PES@det.nsw.edu.au

Director Feedback and Complaints
02 7814 3722
PES@det.nsw.edu.au