Grampians Region
Complaints Management
and Safety and Security in Schools
May 2011
Grampians Region Complaints Management
Page
1
Introduction
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Principles of Good Complaints Management
a. Standards Council of Australia
b. Ombudsman Victoria’s Features of a Good Complaints Handling System
c. Ten Principles of Good Complaints Management
d. Compliance Checklist
e. School Policy Template
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Roles in Management of Complaints
a. Role of Schools
b. Role of the Region
c. Professional Development Strategy to Support Schools
d. Role of Conduct & Ethics Unit
e. Role of Emergency Security Management Branch
f. Role of Student Critical Incident Advisory Unit
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Complaint Management Process
a. Overview of Department of Education Process
b. Department of Education Advice to Parents
c. Regional Complaints Resolution Process
d. School Level Complaints Management Summary Steps
e. Regional Critical Incident Evaluation and Feedback Form
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Safety and Security
a. Principles of Safety & Security in Complaints Management
b. Safety & Security in Small Schools
c. Summary Flow Chart – Management Steps for Coping with People who are Angry
d. Ideas for Coping with People who are Inappropriately Angry
e. How to Deal with Difficult People
f. Other Considerations when Dealing with Difficult People
g. Sample Safety & Security Risk Assessment Checklist
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Sample Letters
a. Sample School Council Procedures for Managing Complaints
b. Sample Acknowledgement of Complaint
c. Sample Letter Regarding Complaint Outcomes
d. Sample Managing Complaints Letter Warning 1
e. Sample Managing Complaints Letter Warning 2
f. Sample Trespass Letter
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Sample Documents
a. Dignity and Respect Statement
b. Notice to Parents on Raising Concerns with the School
c. Statement on Natural Justice and Procedural Fairness Definition
d. Developing School Emergency Management Procedures in Relation to Local
Complaints Management
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Legislation and Policy
a. Legislation
b. DEECD Policies and Procedures
c. Support Policies – Complaints Management School Level
d. References
e. Useful Phone Numbers
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Grampians Region Complaints Management
f.
Grampians Region Complaints Resolution Policy
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1. INTRODUCTION
Generally schools provide a safe environment for all members of the school community, however, this is not
to say that conflict and critical incidents will not occur. The reality is that the management of people and
difficult situations is an integral component of our leadership role. Subsequently, there is a need for clarity
in roles and accountabilities when difficult situations arise, including the need for a clear set of agreed
protocols for the management of conflict.
In the development of policy and protocols, it is important to clarify underlying principles and values which
underpin our roles and accountabilities, including the recognition that complaints/conflict management is a
shared responsibility.
These include:

Right of all members of the school community to a safe, secure and caring environment.

Right of access of teachers, parents and students in relation to issues of concern, including right to
active listening, courtesy and consideration.

Right to confidentiality regarding issues of declared sensitivity.

Right of all members of the school community to clarity in terms of roles expectations/accountabilities,
decision making and communication processes.

Right of all members of the school community to appropriate support in response to issues.

Recognition of individual differences and diversity of all members of the school community.

Recognition of need for teachers and Principals to develop skills in relation to management of difficult
people, including appropriate recognition and referral skills, and investigation skills.
 Right to honest and appropriate feedback.
Given these principles and values, the DEECD has a responsibility to ensure that high standards of conduct
are maintained by Principals, staff and students. These standards are reflected in the DEECD policies and
guidelines, School Strategic Plans and Federal and State legislation. An appendix of relevant legislation is
attached to this document.
The following protocols have been developed in response to requests from principals for support in relation
to complaints management and principals have provided significant input into the content of the policy
framework.
Every school needs to educate staff and the community in regard to appropriate procedures and protocols
for raising issues and concerns at the local level. In addition schools should ensure that school community
members fully understand their rights and responsibilities.
All issues and complaints should be resolved at the school level if possible with the Principal the key person
involved in seeking a satisfactory outcome.
Any suggestions for modification/improvement to the above protocols are welcome. Please contact your
Regional Network Leader if you wish to provide feedback.
MALCOLM MILLAR
Regional Director
Grampians Region
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Grampians Region Complaints Management
2. PRINCIPLES OF GOOD COMPLAINTS MANAGEMENT
(a) Standards Council of Australia
Australian Standard AS 4269 is a proprietary document prepared by the Standards Council of Australia
(Standards Australia 1995). The Standard specifies 13 essential elements, which are required to make an
effective complaints handling process.
These elements are:
1. Commitment.
The organisation should be committed to an efficient and fair resolution of complaints. The policy
on complaints handling shall be in writing.
2. Fairness.
The recognition that fairness relates both to the complainant and the complainer.
3. Resources.
Adequate resources must be available to resolve complaints.
4. Visibility.
The process must be made known to interested parties.
5. Access.
The complaints management process must be accessible to all, including being available in plain
language.
6. Assistance.
This must be made available to complainants to enable them to formulate and lodge complaints.
7. Responsiveness.
The process must be quick and involve courtesy to the complainant.
8. Charges.
Complaints management should be free.
9. Remedies.
The process must include the capacity to implement remedies.
10. Data Collection.
Systematic recording of complaints and their outcomes.
11. Systematic and Recurring Problems.
These should be identified to enable systemic rectification.
12. Accountability.
Reporting of complaints handling against documented performance standard.
13. Reviews.
The process must be reviewed regularly for efficiency and effectiveness.
(Source AS 4269 Standards Australia p6)
(b) Ombudsman Victoria’s Features of a Good Complaints Handling System
a. COMMITMENT
Demonstrates a commitment to an effective complaints handling system that reflects the needs,
expectations and rights of complainants. A dedicated system is in place to address a
complainant’s concerns.
b. FAIRNESS
Recognises the need to be fair to the complainant and the person against whom the complaint is
made. The rules of natural justice are applied to all parties.
c. TRANSPARENCY & ACCESS
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Grampians Region Complaints Management
d.
e.
f.
g.
h.
Process is well publicised to clients and staff of the agency and include information on how to do it,
where to do it and how the complaint will be handled.
RESPONSIVENESS
Complaints are dealt with quickly, courteously, fairly and within established timelines.
PRIVACY AND CONFIDENTIALITY
Complaint information is handled according to the relevant privacy legislation and other relevant
acts.
ACCOUNTABILITY
Process is open to scrutiny by clients, the responsible minister, agency staff, Ombudsman Victoria
or other reviewing body. A complaints register is maintained.
BUSINESS IMPROVEMENT
Has a systematic approach to recording complaints and outcomes to achieving business
improvement This data is collected in sufficient detail to allow analysis to guide business
improvement.
INTERNAL REVIEW
Has the means to deal with a complainant’s expression of grievance about how a complaint was
handled.
(c) Ten Principles of Good Complaints Management
C
Communication
Communicate effectively with all parties.
Ensure that the complainant and the subject/s of complaints are kept informed of
the process, the decision and the outcomes.
O
Objectivity
Treat all complaints objectively.
At the end of the process use the experience as an opportunity for school
improvement whenever possible.
M
Management
The Principal is responsible for managing complaints about the school.
Resolve complaints at the school level if possible. The investigation may be
delegated, but not the ultimate responsibility. Of significant importance is the
judgement that is to be made to initial response(s), and processes, and
outcome/follow-up action.
P
Policies &
processes
The school should have a complaints policy that is clearly documented, with well
understood processes.
L
Listen
Listen carefully to complainants and follow the principles of natural justice for both
the complainant and those complained against.
* STAR – Stop, Think, Acknowledge, Respond.
A
All
All complaints should be followed up. Small complains can “grow” if not treated
seriously, and often unresolved complaints have a cumulative effect.
* There is no such thing as a small transaction.
I
Informal
Informal processes are preferable to formal processes in some cases, depending
on the issue.
As a general rule, written complaints should be replied to in writing, both at the
beginning and finalisation of the process.
N
Notes
Document all complaints.
Making notes of the complaint, interviews, processes followed, findings of the
investigation, the decision, the outcomes and supports put in place.
T
Timeliness
Ensure complaints are dealt with in a reasonable timeline.
If there is a delay in the investigation process, inform the complainant and other
parties involved as appropriate.
S
Support
The need for support should be separated from the complaints process.
It is often the case that all parties to a complaints process require some form of
support including the complainant. Judgements need to be made in relation to the
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Grampians Region Complaints Management
nature and level of support. The Region is willing to assist and provide support and
advice as appropriate.
(d) Compliance Checklist For Schools
(from W.A. Department of Education & Training Complaints Management Toolkit)
1. Commitment
Complaints handling procedures are compliant with the essential element ‘commitment’ if the following
criteria are met:
 Relevant staff receive training in effective complaints handling, including the use of relevant policies
and procedures from the Department and other agencies as appropriate.
 New staff are oriented in complaints handling procedures.
 Complaints handling processes are listed in relevant school documents.
 Complaints handling processes are promoted within the school and community.
2. Fairness
Complaints handling procedures are compliant with the essential element of ‘fairness’ if the following
criteria are met:
 All complaints are taken seriously, for example, by being managed through the formal complaints
handling processes.
 Expectations of staff with respect to confidentiality are set and made known.
 Recognition that the principle of fairness applies both to the complainant and where relevant, the
person or persons being complained about.
 All parties to a complaint are informed of the decision and the reason for it.
 Processes for handling complaints are demonstrably fair, transparent and capable of review.
3. Resources
Complaints handling procedures are compliant with the essential element resources if the following
criteria are met:
 There are identified school staff who have complaints handling as part of their brief.
 Identified staff have sufficient power to handle complaints OR quick access to those who do have the
necessary power.
 Physical resources are available to accommodate complaints management.
4. Visibility
Complaints handling procedures are compliant with the essential element of ‘visibility’ if the following
criteria are met:
 Complaints handling processes are promoted within the school community.
 The process is made available through applicable school documentation.
 School-specific pamphlets describing the complaints handling processes exist, are on display at the
school and are readily available to those who want one.
5. Access
Complaints handling procedures are compliant with the essential element of ‘access’ if the following
criteria are met:
The following ways to make a complaint exist:
 (a) verbal, both in person and by phone;
 (b) email;
 (c) written.
 Information on the lodging of complaints is available in plain language.
 Sensitivity in the management of complaints is evident, for example, culturally appropriate procedures,
supported access for people with disabilities and those from culturally and linguistically diverse
backgrounds.
6. Assistance
Complaints handling procedures are compliant with the essential element of ‘assistance’ if the
following criteria are met:
Advice on the process is available for example:
 (a)Telephone advice
 (b) Written advice such as an explanatory brochure.
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Grampians Region Complaints Management
 Complainants are not required to repeat their information to a number of different staff.
 An officer from the school is available to facilitate the lodgement of a complaint, including helping the
complainant frame the complaint.
 Specific support is available for people with disabilities, those from culturally diverse backgrounds and
any other complainants who may have special needs.
7. Responsiveness
Complaints handling procedures are compliant with the essential element of ‘responsiveness’ if the
following criteria are met:
 Benchmarks are established for the time taken for each stage required in the complaints handling
process.
 The processes at the school meet these benchmarks.
8. Charges
 No charges are to be applied to complaints handling.
9. Remedies
Complaints handling procedures are compliant with the essential element ‘remedies’ if the following
criteria are met:
 Acknowledgement/apology when a complaint has substance.
 Providing options for the resolution of the complaint.
 Providing a complainant with evidence that a complaint has been addressed in an open and
transparent manner.
10. Data Collection
Complaints handling procedures are compliant with the essential element ‘data collection’ if the
following criteria are met:
 Complaints are recorded systematically and in a standard way.
Records of complaints include sufficient information to allow subsequent analysis. This information
should include:
 (a) The nature of the complaint.
 (b) Source of complaint.
 (c) Response times as per section 7 above.
 (d) Action taken.
11. Systematic and Recurring Problems
Complaints handling procedures are compliant with the essential element of addressing ‘systematic
and recurring problems’ if the following criteria are met:
 Recorded complaints are analysed to determine what, if any patterns and consistencies appear in
complaints made to the school.
 There are demonstrable changes to school practices as a result of such data analysis.
12. Accountability
Complaints handling procedures are compliant with the essential element ‘accountability’ if the
following criteria are met:
Performance criteria are set. For example, criteria related to:
 (a) Number of complaints received.
 (b) Responsiveness to managing complaints.
 (c) Monitoring and evaluation processes.
 There is reporting on complaints handling against these criteria, for example in the school’s annual
report.
13. Reviews
Complaints handling procedures are compliant with the essential element ‘reviews’ if the following
criterion is met:
 Reviews occur regularly on a known timetable.
 Reviews result in demonstrable changes in practices.
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(e)
School Parent Complaints Policy Template
This template is designed as a guide to assist schools in formulating a new or revised Parent Complaints
policy.
It is recognised that some schools may already have policies in place or may wish to use a different format.
The school can make the policy and procedures document as formal or informal as required. However,
schools are required to include all elements as advised in the policy document, Addressing Parents’
Concerns and Complaints Effectively: Policy and Guidelines.
1. Handy Hints:

use short statements and paragraphs when drafting local policy and procedures

use position titles rather than names

use a flowchart to explain the schools process

provide easy to use forms where appropriate

ensure information on the schools complaints procedures are readily accessible

provide a web link to the Department’s Parent Complaints web page on school websites

ensure the procedures are reviewed regularly

schools should include information about how to raise concerns or complaints in at least one school
newsletter each year. See sample advice below.
2. Sample Advice for Newsletter
I extend a reminder to all that if at any time you find that you have a concern about anything to do with your
child’s education of the school more generally; you are encouraged to contact the school and tell someone
so that your concern can be addressed. It is our aim to work with all of our school community to ensure
that we do the very best we can to ensure a productive, safe and enjoyable learning experience for our
students. Information on how you can raise concerns with the school can be found on the schools website,
on posters throughout the school or just drop into the school office for a brochure.
3. The school’s values
In this section: summarize relevant school values. Write a purpose statement. Be sure to include:

the value of positive parent - school partnerships

the importance of providing a safe and supportive learning environment

the schools focus on the best interests of the student in all cases

a brief introduction to the schools procedures for addressing parent complaints
4. Concerns and complaints covered by the procedures
In this section: list the types of concerns and complaints covered, and not covered, by these procedures.
Complaints not covered by these procedures may include the same as provided in the Departments
broader policy document – example below.
Concerns and complaints covered by these procedures include:
 (insert)
Matters not covered by this policy, for which there are existing rights of review or appeal include:

student discipline matters involving expulsions

child protection issues
 criminal matters
The principal or Regional Office can advise you about specific procedures for complaints of these types.
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5. Ownership and scope
In this section: provide information on:

the Department’s policy for managing concerns and complaints;

to whom the policy and procedures relate;

how the school’s procedures will be developed and implemented

the mechanism by which the school will receive feedback on its policy and procedures; and

any limitations on the application of the policy.
6. Expectations
In this section: explain the school’s expectations of the person with a concern or complaint and their
responsibilities.

what are the expectations that apply to all parties

what is expected of the parent

what is expected of the school
7. Raising concerns or complaints
In this section: provide information on the Department’s policy for addressing complaints and ensure
parents are made aware of whom to address their concern or complaint to, and in what form.
Specify the role of school staff in the complaint process. Consider the possible role of:

class teacher

home group or form teacher

year level coordinator

student welfare officer

assistant principal

principal

other staff as necessary
8. Help with raising concerns and complaints
In this section: provide information on support (advocacy, mediation) available to parents and staff involved
in a complaint.
9. Managing parent concerns and complaints information

In this section: provide information on how the school will:

record complaints received,
 record the progress of a complaint and its final outcome
Outline:

what constitutes a record

who will be responsible for compiling complaint records

where records will be held and what records will be kept
10. Addressing concerns or complaints
In this section: explain how parents make a complaint?

what steps do they take

whom should they contact
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Grampians Region Complaints Management

how are written complaints made

how are verbal complaints made

who will deal with the matter

how will the school acknowledge receipt of a complaint

how long will the process take
 when and how will the parent be told of the outcome of the complaint and any further action
Consider how parents may be able to make contact with the school and explain the informal and formal
steps available to them.
Explain each step of the process and provide contact details where appropriate. Statements should not
include reference to a person’s name but should be limited to the use of position titles only where this is
possible.
Document how the complaint will be treated and any timelines associated with the process.
Outline the step by step process
11. Remedies
In this section: explain the types of actions which might be undertaken if a complaint is found to be
justified; including a possible timeline for when the remedy will be implemented.
list all possible outcomes/remedies
provide possible timelines or other pertinent information
12. Referral of concerns or complaints
In this section: include information on the Departments complaints policy. Provide web site details and
provide information on external complaints options parents have in initial and later stages of the process.
Only if a formal complaint to the Principal fails to resolve the matter should a complaint be made to the
Regional Office. Describe the role of the regional office and provide contact details – phone and postal
address.
Describe the role of the central office and provide contact details
outline review options
13. Communication and training
In this section: provide information on how the policy and procedures will be communicated to the school
community.
Also provide information on the Departments expectations in relation to the provision of training for all
school staff involved in the complaints management process.
14. Review
In this section: state the Department’s policy about reviewing the procedures and the outcomes of reviews.
Outline how the school will:

review report results

use the outcomes of the review to improve practices and inform polices and procedures.
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3. ROLES IN MANAGEMENT OF COMPLAINTS
a) Role of Schools in Complaints Management
All issues and complaints should ultimately be resolved at the school level to provide the best possible
outcomes for all stakeholders. Therefore it is important to develop strategies at the school level to support
all parties involved and effectively manage situations that arise.
The specific roles of the school Principal are:
1. To ensure the school has developed a complaints resolution policy and procedures within Department
of Education and Early Childhood Development guidelines. The complaints management process
should:
2.
3.
4.
5.
6.
7.
8.
9.

Show a commitment to an effective complaints handling system that reflects the needs,
expectations and rights of complainants.

Recognise the need to be fair to the complainant and the person against whom the complaint is
made.

Ensure the rules of natural justice are applied to all parties.

Ensure complaints are dealt with quickly, courteously, fairly and within established timelines.

Ensure complaint information is handled according to the relevant privacy legislation and any other
act that prescribes how information should be handled.

Be open to scrutiny by clients, the responsible Minister, agency staff, Ombudsman Victoria or other
reviewing body.

Include processes to record complaints, such as a complaints register.

Use complaints data to allow analysis to guide school improvement.

Have the means by which a complainant’s expression of grievance about how a complaint was
handled can be dealt with.
To ensure the policy and processes are clearly understood by the school community.
To investigate complaints against staff members.
To resolve complaints in a positive manner, using an informal process where appropriate.
To provide information regarding outcomes for all parties involved.
To inform the Region of complaints that are of a serious or potentially serious nature.
To seek advice from the Region, Conduct and Ethics Unit, Legal Unit etc when appropriate.
To inform Police in case where a complaint involves unlawful activity.
To develop processes to deal with aggressive, abusive or threatening persons making complaints.
These processes would involve a whole-school approach to risk management including:

Identification and analysis of risks and analysis of resources available to the school

Raising awareness in the school community of the appropriate and acceptable way of making
complaints to the school.

Environmental design.

Emergency response plans.

Building partnerships with police and other agencies (such as mental health services).

Incident management – roles of staff, strategies for diffusing incidents, training staff to deal with
incidents.

Post incident – arranging debriefing as required and identify possible learnings from incidents.
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b) Role of the Region in Complaints Management
The role of the Region is to provide additional advice, support and feedback to the school in seeking a
positive solution. The Region is committed to working proactively and responsibly in support of schools as a
key improvement strategy.
The Region will:
1. Provide briefings and Professional Development as appropriate for Principal Class personnel and
leadership teams:
a. to ensure that all Principals are aware of their roles and responsibilities in complaints
management.
b. to develop a range of skills in relation to negotiation and conflict management
2. Support schools in the development of relevant policies to meet legislative and Department
Requirements
3. Support schools in the development of policy and protocols for managing complaints
4. Support schools in the provision of training in mediation, conciliation, negotiation and conflict
management as appropriate.
5. Support schools in the follow up to critical incidents as appropriate, including role as a “critical friend”
in management of difficult complaints.
6. Support principals to fulfill responsibilities to provide a healthy, positive and safe school environment
that is free from discrimination and harassment
7. Refer complainants back to the school principal for complaints, other than complaints about principals.
8. Inform schools when complaints are received by the Region.
9. Investigate complaints made about Principals.
10. Provide advice and support in mediation and conciliation processes between complainants and
schools.
11. Provide advice and support in debriefing staff involved in critical incidents.
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c) Professional Development Strategy to support Schools.
Examples of Regional programs to support complaints management is as follows:
Target Group
New Principals
Focus of Program

Induction – Overview as in Induction Template.
Region

Briefings on knowledge of system and legislative
requirements and support for policy and procedure
development.
Region

Skill development PD, eg
o
o
o
o
o
o
o
Principals
and/or
Leadership
Teams

Giving and receiving feedback.
Interviews.
Negotiation.
Questioning.
Managing ongoing conflict situations.
Dealing with difficult people.
Understanding Poverty.
Regional Staff
Regional Network
Leaders
Investigation Processes.
“Responding to Critical Incidents” workshop.
Emergency and
Security Management
Unit

“Safety and Security in Schools” workshop.
Centre

“Understanding Poverty” program.
Regional Staff

Complaints and conflict management – system
requirements and school processes.

Skill development, eg –
o
o
o
o
o
o
o
o
Teachers
Education
Support
Officers
Who delivers
Giving and receiving feedback.
Interviews.
Personal interactions – formal and informal.
Reporting to parents.
Role and responsibilities.
Privacy and confidentiality.
Conflict management.
Understanding Poverty.

Complaints and conflict management – system
requirements and school processes.

Skill development.
o
o
Personal interactions – office and telephone.
Admin and school organisation in relation to
conflict situations or complaints.
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Regional & Network
personnel and/or
Principals or
facilitators.
Regional Network
personnel
Principals or
facilitators
Grampians Region Complaints Management
Note:
Schools should develop professional learning / training programs as a component of their complaints
management policy.
An RNL or the Community Liaison Officer is able to provide advice on this policy if required.
d) Role of Conduct and Ethics
The role of Conduct and Ethics is to provide advice in relation to complaints and unsatisfactory
performance of DEECD employees. In particular, the role of the Conduct and Ethics Branch is to provide
advice on formal processes where the complaint is to be dealt with as a serious misconduct issues. These
issues include:
1.1
1.2
1.3
Allegations of sexual offences.
Allegations of criminal behaviour.
Allegations of other serious incidents. Examples of serious incidents include:
o Harassment of other staff members, students or the public.
o Serious negligence.
o Behaviour which endangers others.
o Striking a student, other employee or member of the public, or otherwise inflicting pain
e) Role of Emergency and Security Management Branch
Emergency and Security Management Branch staff are trained to assist schools by providing advice about
security risks schools face and how to manage them. Emergency and Security Management staff are
trained to assist schools in planning for emergencies and in providing support during and following
emergencies.
All critical incidents should be reported promptly to the Emergency and Security Management Branch. If
appropriate, they will also immediately notify the Student Critical Incident Advisory Unit who will make direct
contact with the school.
f) Role of Student Critical Incident Advisory Unit
The role of the Student Critical Incident Unit (SCIAU) is to:

Ensure principals, schools and Regional staff are supported to respond appropriately to alleged sexual
assaults and/or severe physical assaults involving students.

Ensure that all schools provide an appropriate duty of care to all students.

Provide advice to principals and Regional staff to ensure continuity of care to students and staff.

Maintain close networks with external agencies, both government and non-government, that have a
shared responsibility and interest in the prevention and/or support of students who have been involved
in alleged sexual assaults and/or serious physical assaults.

Improve student resiliency by addressing issues affecting student health and wellbeing.
The SCIAU works in partnership with schools and the Regional Director (or nominee) in the case of
allegations of sexual assault, including student-to-student sexual assault. This partnership is responsible for
managing the response. In cases of alleged sexual assault, Principals are required to report the alleged
sexual assault to:

The Regional Director.

Police - who are the investigating body, not school Principals or staff.

Emergency & Security Management Unit – who will report the allegation to SCIAU.

DHS Child Protection Unit, under mandatory reporting procedures.
Note: Media enquiries should be directed to the DEECD Media Unit.
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4. COMPLAINT MANAGEMENT PROCESS
a) Overview of Department of Education and Early Childhood Development Process
As indicated in:

Guidelines for Managing Complaints, Unsatisfactory Performance and Serious Misconduct in Relation
to Principals.

Guidelines for Managing Complaints, Unsatisfactory Performance and Serious Misconduct in Relation
to Teachers.
COMPLAINT
Complaints
Procedures
Initiated.
Informal
Process.
-
Formal
Process.
OUTCOME
Complaint dismissed.
Complaint resolved.
Unsatisfactory performance procedures commenced (contact to
Conduct & Ethics Branch).
Serious misconduct procedures commenced (contact to Conduct &
Ethics Branch).

For an Informal Process a verbal or written response to complainant.

For a Formal Process the complaint is acknowledged in writing and a report provided by the Regional
Director following the investigation. There will also be written follow-up to the complainant and the
subject of the complaint.
15
Grampians Region Complaints Management
b) Department of Education Advice to Parents
The following is the information provided by the Department of Education on the “Parents” section of the
eduweb website and on its “Parent Complaints Information Sheet” for parents wishing to make a complaint.
The Department of Education is committed to good communication and treating everyone with dignity and
respect.
The Department has developed this information to improve communication for us all when addressing
concerns or making a complaint that is related to the school or your child’s education.
• Do you have any questions about the school or something you would like to discuss?
• We are happy to talk to you.
• Your views and suggestions are important to us.
• Remember, teaching and learning works best when there is a partnership between you and your child’s
school.
How do I raise an issue or make a complaint?
Parents and caregivers are strongly encouraged to contact their child’s school in the first instance on all
matters involving their child’s education.
Step 1
Identify your topic or issue. Making notes is a good idea as it ensures that you cover all points.
Think about the resolution you would like to see as an outcome.
Step 2
Contact the school and speak to the Principal or Assistant Principal. They will discuss an
appropriate way forward with you. This may include organising a meeting for a mutually
convenient time.
Meet with the school’s principal or assistant principal or teacher. If a classroom teacher is to be
present it is more convenient for a meeting to occur outside of classroom hours.
Contact your local Department of Education Regional Office. If the matter is unresolved at the
school level, you may wish to discuss if further with the Community Liaison Officer at your regional
office. Contact numbers for regional offices can be accessed at
http://www.education.vic.gov.au/about/structure/regions.htm or phone 1300 641 943 ????
If the matter is unresolved at the regional level you can address your complaint in writing to the
Deputy Secretary, Office of School Education, c/o Manager, Community and Stakeholder
Relations Branch, 33 St. Andrews Place, East Melbourne VIC 3000
Step 3
Step 4
Step 5
General Information
You may be supported at any meeting by a friend, colleague or a representative from a support
organisation.
Parents and caregivers have a number of rights including the right to obtain copies of Departmental or
school policies and procedures.
For further information for parents and caregivers visit
http://www.education.vic.gov.au/parents/default.htm
Support Organisations
• Parents Victoria (03) 9380 2158 Outside Melbourne: 1800 032 023
• Association of School Councils in Victoria (ASCIV) (03) 9808 2499
• School Council parent representatives that have been elected to represent you 1300 641 943
• Victorian Council of School Organisations (VICCSO) (03) 9429 5900
• Victorian Multicultural Commission (03) 96513884
• Victorian Aboriginal Education Association Inc. (VAEAI) 9416 3833
16
Grampians Region Complaints Management
c) Regional Complaints Resolution Process
School has developed a
clear complaints
resolution process.
All members of school
community provided
with copies.
Regular promotion of
the complaints process.
Initial Incident
Complaint/Concern
Raised by Complainant to School.





SCHOOL RESPONSE
Outcome negotiated using locally.
developed Policy and protocols.
Documentation is appropriate.
Degree of seriousness determined.
Complainant provided with complaints
resolution procedures.
Issue resolved.
No further
action.
Documentation
retained.

Issue Unresolved.

Principal informs
Regional Office.
As part of local procedures seeks
mediation at local level.
Complainant Contacts Region.

REGIONAL RESPONSE






Initial Screening.
Complaint received, clarified and documented by Community Liaison Officer or RNL.
Complaint process explained and Regional role clearly re-stated.
Accurate record of complaint, nature and degree of seriousness is made.
Complaints against Principals are referred to the Regional Director to manage.
For complaints against schools, teachers, staff, students etc, complainant referred back
to school Principal for issue resolution.
RNL briefed on complaint.

Regional Officers’ Roles
Provide initial advice to complainant.
Inform Principal regarding dialogue with complainant.
Where appropriate negotiate strategy/support for successful resolution of issue and
becomes involved in Principal's request for advice, support, follow-up.









FOLLOW UP
Regional Officer contacts complainant for follow-up. Issue again referred to school if
necessary.
Principal completes Critical Incident Feedback form (on following page).
Regional Network Leader provides17debrief, feedback to Principal as required.
Documentation retained at school and/or Region.
Grampians Region Complaints Management
d) School Level Complaints Management Summary Steps
In managing a complaint, the following summary steps provide a useful framework:

Witness present whenever possible.

Physical Environment – select a location and consider where you position yourself.

Follow a process (“No transaction is a small transaction”) Active listening is essential. Listen without
prejudice….as though it is the first time you have heard the message.

Documentation – document/recap main points before interview is over.

Outline a process that will occur following the conversation/interview with the complainant.

Do not make promises other than to follow a process/investigation.

Anticipate consequences of your reactions – physical, personal etc. on others.

Raise confidentiality / privacy issues wherever appropriate.

Make early contact with the Region when appropriate. Use the Regional Network Leader as a critical
friend, especially in relation to investigation processes.

Make early contact with Conduct and Ethics and Region for issues of serious misconduct, alleged
sexual or criminal offences.

Use letters (proformas) as appropriate (see attachments) Clarity and transparency in communication of
outcomes is most important. Use a critical friend to proof read letters/communications.

Timely feedback to all involved in the process is essential, including process followed and outcomes
used.
Note:
The above steps are a sample process. It is important for each school to work through the development of
their own policy and processes.
18
Grampians Region Complaints Management
e) Regional Critical Incident Feedback Form
GRAMPIANS REGION CRITICAL INCIDENT FEEDBACK
The aim of this form is to provide an opportunity for Principals to provide written feedback and/or request a
meeting with a Grampians Region senior officer in relation to Regional support for the management of a
critical incident/conflict situation in your school. Please complete this form following Regional
intervention/support in relation to an incident in your school. A critical incident may be a parent complaint,
an issue concerned with student enrolment, student wellbeing, emergency or security management,
teacher performance, teacher complaint, media etc. In fact, any issue which involved intervention by the
Region and/or advice may be called a “critical incident” for the purpose of the feedback process. This
process will enable us to monitor the role of the Region as well as develop a data base of the nature and
management of such issues in schools.
Thank you for your input.
NAME OF SCHOOL
DATE OF INCIDENT
NATURE OF INCIDENT
REGIONAL SUPPORT/INTERVENTION – FEEDBACK
Please rank the Region on the following 6 point scale in relation to effectiveness of support/advice
provided to your school.
1
2
3
4
5
6
ineffective
support/advice
highly effective
support/advice
Comments: Please provide comment in support of your evaluation, as appropriate.
I request a meeting with Regional Office representative(s) in order to discuss this incident.
General comments and suggestions (as appropriate).
NAME OF PRINCIPAL
SIGNATURE OF PRINCIPAL
DATE
19
YES / NO
Grampians Region Complaints Management
Thank you for your feedback. Please send your response to the Regional Director, Grampians Region.
5. SAFETY AND SECURITY
a) Principles of Safety & Security in Complaints Management
1.
Prevention

Negotiated and agreed process to minimize/manage conflict.

Clarity in relationships, policy, roles and processes.

Systematic management and defusing of potential incidents with prompt follow up action.

Appropriate PD in conflict management and related areas.

NB: See Appendix – An excellent support process includes the development of a School Council policy
in relation to Complaints Management. This could include policies in relation to appropriate language
and behaviour.
2.
Preservation (Self and others) –Clear and direct protocols are required.

Apply conflict management procedures/methods.

Have a witness if possible.

Put physical distance between aggressors and avoid entrapment.
NB: Postpone the conversation if you deem it necessary, eg “You are obviously very angry. I am
closing this conversation. I will be happy to renew the conversation at a later date.”

Alert others verbally or physically.

Apply procedures to ensure the safety of all others.

Warning systems and support mechanisms/persons in place.

Call police as appropriate. (This may be step one in the case of serious critical or anticipated incidents).

Containment of Critical Incident.
3.
Secure the situation

Appropriate removal of aggressor from the scene to a secure area.

Ensure the safety of all others.

Limit access of others to incident area.
4.
Follow up (As appropriate to the situation)

Timely feedback to all involved in the process is essential.

Appropriate documentation essential.

Reporting of Critical incidents.

Reporting to other appropriate organizations ie Emergency Management, Police.

Meeting with appropriate personnel.

Revisit Critical Incident procedures, protocols, policies and plans.

Debrief staff/Provide appropriate support.

Seek DEECD legal advice as appropriate.

Determine future steps, develop solutions and/or invoke trespass order.

NB: Trespass Act and Intervention orders are possible, but discretion and judgment is required because
these actions limit access.

Seek collegiate and Senior Education Officer support as appropriate.

Referral of principal and staff to appropriate support staff / professionals if necessary.

Colleagues who are aware of an incident should offer support.

Consult OH&S DEECD unit to analyze future risks/solutions.

Seek advice on managing future potential Critical Incidents as required.
20
Grampians Region Complaints Management

Seek ongoing support if required.
b) Safety & Security in Small Schools
Small or isolated schools may feel particularly vulnerable to aggressive or threatening behaviour from
parents or others in particularly the case of one-teacher schools. There may also be concerns in smaller
schools where the Principal is away from the school and an inexperienced teacher or a CRT is left in charge.
The following should be considered:

Smaller schools should follow the same principles as larger schools in adopting preventative measures,
developing clear emergency procedures and ensuring all members of the school community are
familiar with them.

Schools with fewer than two teachers should arrange their timetables to ensure there are always two
adults on site. This could mean timetabling ES staff, parent helpers etc on days when only one teacher
is present.

Regular discussions should be held with the local police in regard to developing practical emergency
procedures, and actions to be taken in the case of threatening or abusive behaviour.

Small schools might develop partnerships with their nearest schools or network to develop co-operative
processes and to provide mutual support in case of safety or security threats. For example when the
Principal of a small school is absent, a larger school might release an experienced teacher to take the
Principal’s place in return for a CRT.

Consideration may be given to making arrangements with School Council members, parents or nearby
residents to provide support if safety or security concerns are raised. Adults with special expertise, for
example first aid training, might be useful to use.

Emergency plans for remote or isolated schools should take account of the possibility of delayed
attendance from emergency services.

Advice on development of emergency procedures can be sought from Emergency and Security
Management Unit at any time.

All regular staff members and CRTs should be regularly updated with the school’s emergency
procedures and provided with training on dealing with difficult situations. The EEMS program can be
used for this.

Students should be trained in simple emergency procedures, for example ringing 000 and contacting
other adults if required.

The school should ensure its communication system between classrooms and the office is operational,
and that emergency phone numbers are clearly displayed in every room.
If working at the school outside school hours, staff should ensure that all outside doors are locked.

21
Grampians Region Complaints Management
c) Summary Flow Chart Management Steps for Coping with People Who are Angry

Keep a strong sense of yourself and try to remain calm.


Acknowledge the person’s anger. Keep eye contact and hear them out if possible. Do not invade
personal space.


Question and reflect back on what the person says, clarify, demonstrate interest in their concerns.
Be non-judgmental.


Summarize and write down the main issues, paraphrase your understanding of their concerns.
Make no promises.


Provide a clear response on the investigation and follow-up process, including communication of
outcomes.


Bring the conversation to a close.


Afterwards, attend to your own self-care.
Note:
If you deem it absolutely necessary, postpone the conversation eg “You are obviously very angry. I am
closing the conversation and will renew the communication at a later date”. In serious cases, the police
may have to be called.
22
Grampians Region Complaints Management
d) Ideas for coping with people who are inappropriately angry.

Above all 'Keep a strong sense of yourself'. Be centered, appear calm, focused and breathe in a
controlled calm way (rather than pant, or hold your breath).

Keep a sense of emotional separation or semi-detachment. Try to imagine a glass wall between you
and the other person. Sir Humphrey Appleby style of nodding 'Yes Minister' is a useful role model. Think
of yourself as standing with the angry person but not being part of their anger. Try not to reflect their
anger rather take a semi-detached, impartial stance.

Reflect back what they say in a way to clarify and distill the meaning down to the main points. If
possible use who, what, where, when, questions to clarify. Be non-judgmental. Maintain eye contact,
nod and give the message that you are listening. If you have a note pad take a few points down,
pausing to make sure you write down what they say (also this is pausing to give them a few seconds to
calm down and you a few seconds to think) use their words not your own. Checks with them that you
have written down what they said, correct it as often as needed.

Try to bring the issues into the present, not the past or future. Keep your own issues out of the
'discussion' and focus on the central immediate points being made.

Make no promises about being able to fix the problem. In fact try not to talk much at all, rather let them
'ventilate'. (This also means that the 'discussion' does not go on and on).

Sit down or take a lower physical position. Maybe with a barrier between you both, such as a note pad,
book, or coffee table. (Be aware of the layout of the room and where the exit is, be nearest the exit if
possible). If there are two, or more, try to have someone with you (possibly to just stand next to you and
say nothing so that you are in control but not alone).

If possible start the conversation on a safe, equal topic, the weather, football or humour about
something that does not provoke. If it's a parent talking about their child say something, anything,
positive about him/her. (Do not laugh at the angry person, only use humour if appropriate).

If the issue goes on for too long (five minutes may even be too long) say calmly 'At the moment I have
another person waiting to see me, can we make an appointment.”

Afterwards attend to your own self-care. Find a trusted friend or colleague for debriefing, or supervision
(in the mentoring sense). Say what you felt like saying or doing at the time but held down. Give voice to
the emotions that you were experiencing but not showing. This is connecting the two sides of your brain
and linking your emotions (right side) with verbal (left side) expression so that denial, or repression, of
unresolved inner conflict is reduced and therefore reducing the chance of unresolved issues emerging
the next time you meet an angry person, or an unwitting passer-by. Aim not to take the conflict home
with you.

Above all 'Keep a strong sense of yourself, their anger is not your anger. You are a separate person,
possibly the human face of a big powerful system that the other person cannot control or influence. It's
not about you. Even if they 'play the man' don't play it back.

If you are brooding on the confrontation, not sleeping, or aware of other non-coping indicators being
present for more than a week, seek psychological counselling. Consider attending an assertiveness
training program or individual coaching where you can practice and develop your style, skills, own
sense of self and identity.
Neil Blick
6/10/03
23
Grampians Region Complaints Management
e) How to Deal with Difficult People
There are many techniques to be found in books, journals and training programs. Some are long, many are
complex and most are difficult to recall in the stress of a conflict situation.
The approach below appears to be at the heart of all of these techniques. It has the advantage of being
short, easily remembered and suitable for all forms of conflict situations.
A
Acknowledge
Pay attention to the other person.
Acknowledge their right to have their problem.
Listen to them.
Make eye contact (but do not stare fixedly at them).
Make listening noises (Aha, Yes, I see, Go on, etc.)
Hear them out.
Ask questions to:
 fill in the gaps in their story.
Q
Question
 explain the parts you found confusing.
 to uncover further relevant information.
This demonstrates that you have been listening
and are interested in them and their issue.
This is where you demonstrate your
understanding of their problem. You paraphrase or
summarise what they have said, for example:
U
Understand

“Let me see if I’ve got this right…”

“OK. So as I understand it…”
People don’t care how much you know until they know
how much you care.
A
Advise/Assist
Provide the appropriate options, advice or assistance.
When the other person knows that you know and
understand what their problem is, they are far more
likely to accept and follow your advice.
Strangely enough, this approach is also the foundation of all sales techniques.
24
Grampians Region Complaints Management
f) Other Considerations when Dealing with Difficult People
Verbal

Keep your voice calm and steady.

Talk slightly slower and softer than normal.

Use a firm and strong manner of speaking - do not verbally cower.

Use assertive statements (i.e. using "I" or I feel" is non-threatening).

Use open questions (be careful with "'Why?". stick to "'facts").

Get specific information.

Terminology - make sure that you both have the same meanings.

Do not take abuse or ridicule personally - ignore it (if it continues you may want to point out the
annoying behaviour and ask for it to stop).

Rephrase aggression in acceptable words.

Avoid excitement.

Avoid deception.

Ask the other person for their opinion or ideas.
Non-Verbal

Maintain eye contact; remove your sunglasses.

Stand with your feet at 45 degrees to the difficult person; this decreases the physical threat.

Do not invade the "personal space" of the other person.

Avoid clenched fists, arms folded across your chest or hands on hips.

Do not point your finger at a person.

Avoid placing a clipboard between you and the other person.

Sit down with the difficult person.

Do not display doubt, even non-verbally.

Write information down - this shows the other person that you are taking their concern seriously.

Do not touch the other person.

Break defensive gestures by asking them to hand you something or shaking their hand.
Physical

Separate yourself and the person from an audience. A person will generally be more forthcoming in
private. An audience provides the opportunity for 'grandstanding" and increases tension and
emotions.

Put distance and a barrier (e.g. a counter) between you.

Identify and keep open an escape route.

Do not block the other person's escape route or exit path. To do so can make them feel trapped and
become more agitated.
Other

Ignore the behaviour and focus on the issue, problem or difficulty.

Take a deep breath.

Let the aggressor vent or run out of steam.

Do not antagonise the aggressor.

Observe if the person is affected by alcohol, drugs or is behaving in a bizarre manner – positive
Intervention at this point is probably fruitless, so call for police on 000 and merely listen until support
arrives.

Call for support when needed.
25
Grampians Region Complaints Management
g) Sample Safety & Security Risk Assessment Checklist
Staffing
Is there someone responsible for safety & security?
Are staff informed who is responsible for safety & security at school?
Is there support structure for individual staff in a conflict situation?
Is there a “buddy” system for staff in potentially dangerous situations?
Is the parking area secure?
yes
yes
yes
yes
yes
no
no
no
no
no
sometimes
sometimes
sometimes
sometimes
sometimes
Training
Are school staff trained in the emergency response plan?
Are staff trained to report violent incidents or threats?
Are staff trained in how to handle difficult students or visitors?
Are staff trained how to prevent or defuse potentially violent situations?
yes
yes
yes
yes
no
no
no
no
sometimes
sometimes
sometimes
sometimes
Facility Design
Are there enough exits and adequate escape routes?
Can exit doors only be opened from inside, to stop unauthorised entry?
Is lighting adequate to see clearly in indoor areas?
Are there employee only areas separate from public areas?
Is access to work areas only through a reception area?
Are reception and work areas designed to prevent unauthorised entry?
Are there areas where staff are vulnerable or left working alone?
Can school staff observe students or visitors in waiting areas?
Do interview areas allow staff to observe any problems?
Does room layout allow staff to exit quickly and freely?
Are waiting and work areas free of objects that are potential weapons?
Is furniture in rooms arranged to prevent employees being trapped?
Are waiting areas designed to maximise comfort and minimise stress?
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
no
no
no
no
no
no
no
no
no
no
no
no
no
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
Security Measures – does the workplace have
Physical barriers (plexiglass partitions, elevated counters etc)
Security cameras or closed circuit TV in high risk areas
Panic buttons / distress alarms
Alarm systems
Door locks
Internal phone system to activate emergency assistance
Phones with an outside line programmed to call 000
Two-way radios, pagers or mobile phones
Secured entry to staff areas (buzzers / intercom)
yes
yes
yes
yes
yes
yes
yes
yes
yes
no
no
no
no
no
no
no
no
no
Outside the facility
Do staff feel safe walking to or from the school?
Is the school reception area clearly visible from the street?
Is the area around the school free of bushes or other hiding places?
Is video surveillance provided outside the building?
Is there enough lighting to see clearly outside the building?
Is there clear signage at entry points to direct visitors to the office?
Is there clear signage of appropriate behaviours in school grounds?
Have neighbours experienced violence or crime?
yes
yes
yes
yes
yes
yes
yes
yes
no
no
no
no
no
no
no
no
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
Car Parks
Is there a nearby car park reserved for staff only?
Do staff feel safe accessing carpark after hours?
Is the parking area free from bushes or other hiding places?
Is there enough lighting when walking to and from the school buildings?
yes
yes
yes
yes
no
no
no
no
sometimes
sometimes
sometimes
sometimes
26
Grampians Region Complaints Management
Workplace Procedures
Is public access controlled and displaying appropriate signage?
Are floor plans posted, showing entrances, exits and staff locations?
Are floor plans visible only to staff and not outsiders?
Is other emergency information posted, such as phone numbers?
Are special security measures taken at night (escorts, locked doors)?
Are visitors escorted to offices and meeting rooms for appointments?
Are authorised visitors registered and required to wear ID?
Are identification tags required for staff?
Are staff notified of past violent acts by particular students, visitors?
Do yard duty staff have a “Kit” – communication device, note pad etc?
Is there an established liaison with Police?
Are people waiting assured their concerns will be addressed?
Are waiting times kept as short as possible?
Are broken windows and locks repaired promptly?
Are security devices tested on a regular basis and repaired if needed?
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
no
no
no
no
no
no
no
no
no
no
no
no
no
no
no
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
sometimes
Training
Are staff briefed about the school community in which they work?
Can the school effectively communicate with the school community?
Are staff briefed about security precautions for working out of hours?
yes
yes
yes
no
no
no
sometimes
sometimes
sometimes
Work Environment
Is there sufficient lighting to see clearly in areas staff must go?
Are there safe places for staff to eat, toilet, store valuables etc.?
Are there places staff can go for protection in an emergency?
Are safety procedures available for out of school activities (eg camps)?
yes
yes
yes
yes
no
no
no
no
sometimes
sometimes
sometimes
sometimes
Special Training (in conflict management and de-fusing) for school staff:
Performing disciplinary functions.
Performing enforcements (expulsions, locker inspections).
Performing confiscations (phones, jewellery etc).
Having contact with people who are known to behave violently.
Performing duties in peoples homes
yes
yes
yes
yes
yes
no
no
no
no
no
sometimes
sometimes
sometimes
sometimes
sometimes
Emergency Management Plan
Does the school have an Emergency Management Plan?
Does the Emergency Plan need updating (after this survey)
Is the School Emergency Management Plan tested at least each term?
yes
yes
yes
no
no
no
sometimes
sometimes
sometimes
Note: If any items on this checklist are answered NO, these area should addressed
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Grampians Region Complaints Management
6. SAMPLE LETTERS
a) Sample School Council Procedure for Managing Complaints
Smith St Primary School / Secondary College
Procedure for Managing Parent Complaints
From time to time parents may have concerns that they wish to take up with the school. At Smith St Primary
School / Secondary College we welcome feedback and encourage parents to raise any issues so that they
can be dealt with in a timely and professional manner.
The following procedure should be used to assist parents in addressing any concerns within the school
community. These procedures have been developed in consultation with the school community and
approved by school council.
1. Raise the matter by verbal or written communication to the school. Please remember that the person
you wish to speak to (Principal, Assistant Principal, Year Level Coordinator or teacher) may have other
commitments at the time of your communication. You should make an appointment to see the
appropriate person especially if the matter is of a serious nature. Outline the seriousness of your issue
with the person you initially speak to if you believe an urgent response is necessary.
2. If you feel the issue is not resolved make an appointment to see the Principal. Inform them of the
nature of the issue when you make the appointment.
3. Following your meeting with the Principal you may need

to provide further information.

be available for further discussion with appropriate people within the school.

to consider the involvement of DEECD guidance officers, psychologist, social workers or personnel
from community agencies.
All issues and complaints must ultimately be resolved at the school level for us to provide the best possible
outcome for students.
We are committed to seeking a resolution to all concerns sensitivity and with a commitment to listening and
responding to your concerns positively and professionally.
Therefore we ask that all parties conduct any interactions in a positive manner and those involved refrain
from verbal abuse and/or threatening behaviour.
If any interaction between parents or members of the public and school based personnel involves such
unacceptable behaviour any discussion or meeting will be terminated. Discussion may only continue at an
appropriate time when an agreement to continue in a professional and positive manner is given.
We wish to work with school community members to support each students needs. We can only do this
through a cooperative approach.
Principal ____________________________________
School Council President ____________________________________
Date _____________
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Grampians Region Complaints Management
b) Sample Acknowledgement of Complaint Letter
Smith St Primary School / Secondary College
CONFIDENTIAL
Date _____________
Dear _____________________ (parent who made complaint)
Thank you for your letter dated ____________ where you expressed your concern regarding the actions of
_________________ (teacher’s name) in relation to your child _______________ (child’s name)
The Department of Education has clear procedures when complaints against teachers are made. Your
complaint is being managed in accordance with these procedures.
I will inform you of the outcome of your complaint as soon as the process is complete.
Yours sincerely
_____________________________________________
(Principal)
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Grampians Region Complaints Management
c) Sample Letter Regarding Complaint Outcomes
Smith St Primary School / Secondary College
CONFIDENTIAL
Date _____________
Dear _________________________ (parent who made complaint)
Thank you for your letter dated ______________ where you expressed concerns in relation to the alleged
actions of _____________ (Teachers Name) in relation to your child ___________ (child’s name).
I have thoroughly investigated your complaint in accordance with Department Guidelines.
This process has involved interviews with persons involved with the alleged incident, as appropriate, and
examination of other available evidence.
On the basis of the outcomes of my investigations I have found that your allegation(s) ____________ is
confirmed / is not able to be confirmed in this instance.
The teacher has been informed of the outcomes of this investigation, and appropriate action has been
taken.
Should you have any further queries in relation to this matter please contact me for further assistance.
Yours sincerely
(Principal)
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Grampians Region Complaints Management
d) Sample Managing Complaints Letter Warning 1
Smith St Primary School / Secondary College
Date _____________
Dear _________________________
I am writing in relation to the incident that occurred on Wednesday _____________ when you verbally
assaulted __________________ at _____________________________ School.
This assault was witnessed by a number of staff members as well as ____________________.
It is not acceptable to address any staff or members of the School Community in this way, and I cannot
condone such behaviour in this school. It is not consistent with School Council policy for management of
school complaints.
It is my desire to work professionally and cooperatively to resolve any issues at the school level. However if
behaviour such as that which occurred last Wednesday is repeated I may need to implement Department
Guidelines in relation to Trespassers on School property.
Please contact me and make an appointment if you wish to discuss this matter further.
Yours sincerely
(Principal)
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Grampians Region Complaints Management
e) Sample Managing Complaints Letter Warning 2
Smith St Primary School / Secondary College
Date _____________
Dear _________________________
I have received some reports concerning the way you have approached staff at the school. Last Friday, for
example, it was reported to me that you were verbally aggressive and abusive in the way you dealt with a
matter concerning your son. Your approach made it virtually impossible to resolve the issue and both the
front office staff and the staff you were dealing with expressed serious concerns over your manner and
approach.
Unfortunately, this has happened on previous occasions and has sometimes also involved students, other
parents and visitors to the school being exposed to unpleasant and unacceptable behaviours. While I
understand that you have legitimate concerns you wish to discuss with members of staff, it is not
unacceptable to address front office and other staff in this way.
It is my desire to work professionally and cooperatively with you to resolve any issues concerning (student’s
name). I am asking, therefore, that in future you desist from such behaviour.
As has been said to you on previous occasions, you can communicate your concerns in a reasonable
manner and they will be treated seriously by the school. I would also appreciate it if you could make a prior
appointment with relevant staff rather than assuming they will be immediately available.
However, I must inform you that if such behaviour as occurred last Friday is repeated, any interview will be
immediately terminated and I may need to implement the Department Guidelines in relation to Trespassers
on School Property.
Please contact me and make an appointment if you wish to discuss this matter further.
Yours sincerely
(Principal)
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f) Sample Trespass Letter (To be used on the school's letterhead)
Smith St Primary School / Secondary College
WARNING UNDER SECTION 9 OF THE
SUMMARY OFFENCES ACT 1966
TO:
_______________________ insert name (and if known the address) of person to whom warning is
being given]
I am authorised to exercise the powers of the occupier of the _____________________ (insert
name of school) and 1 am authorised to permit and deny entry to the above premises.
You are hereby warned not to enter onto the premises of __________________ (insert name and
address of school) for a period of one year from the date of this notice, unless you have a legitimate
purpose or lawful excuse.
If you breach this notice, you may be charged with the offence of trespass under section 9 of the Summary
Offences Act 1966.
Signed: _______________________________
Position: ________________________
Print name: ____________________________
Date ___________________________
Notes:
1 Where the principal head teacher has authorised another person (such as a teacher) to give a warning
and the warning is given by that person, the following should be added: This warning is given on
behalf of and with the authority of the principal (or, where appropriate, head teacher).
2.
It is optional to give any reason why the notice is being issued. Reasons can be given if they are
available, however it is important not to make the notice depend on the validity of the reasons. An
example of reasons is as follows Without affecting the validity of the warning in this notice, on _______________________ [insert
date/s of alleged trespassing] you were seen on the premises of this school without authority,
legitimate purpose or lawful excuse, and causing a disruption.
See Executive Memo No 97/041 Trespassers in schools.
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Grampians Region Complaints Management
7. SAMPLE DOCUMENTS
a) Dignity and Respect Statement
A Dignity and Respect Statement has been approved and is now available for inclusion in school strategic
plans and codes of conduct and for display at schools to ensure the whole school community is aware of
the Department’s philosophy.
The Department of Education is committed to providing safe and supportive work environments where
diversity is valued and everyone is treated with respect, fairness and dignity.
Discrimination, sexual and other forms of harassment, bullying, violence and threatening behaviour are
unacceptable.
All employees, students, parents and visitors in schools and other DEECD workplaces are expected to act
accordingly.
The Department (which includes schools) and school councils will act to ensure that the safety, security,
health and wellbeing of all employees, students, parents and visitors in schools and other DEECD
workplaces are protected.
b) Sample Notice to Parents on Raising their Concerns with the School
Our school welcomes feedback and encourages parents to raise issues so they can be dealt with speedily
and resolved to the satisfaction of all concerned.
The following guidelines have been developed to assist parents in addressing such concerns:
1. Raise the matter with the school via telephone, entry in diary or communication book or note.
2. Remember that you have one side of an issue, others may have another version.
3. Contact with the school will best advise you as to who is the most appropriate person to speak with.
This may be a Class Teacher, Coordinator, Assistant Principal or the Principal.
4. Staff at the school will be able to explain school policy or Education Department requirements that may
relate to your concerns. They may also refer you to the wide range of educational information on the
school’s website or the Department’s website at www.education.vic.edu.au.
5. If the issue is not resolved, make an appointment to see the Principal. To further discuss the matter.
The Principal has the responsibility to ensure all issues are appropriately addressed and resolved. After
this meeting you may need to:

Be prepared to monitor the situation with follow up phone calls or meetings to relevant staff
member(s)

Be available for further discussions with appropriate people at school as required

Consider involving the support of outside agencies such as advocates, guidance officers or
social workers. This can be arranged through the school.
6. If the matter is still unresolved you may seek advice from the Grampians Regional Office, phone 5337
8444. The role of the Region is to provide additional advice, support and feedback to the school in
seeking a positive solution.
7. All issues and complaints must ultimately be resolved at the school level and the principal is the key
person in reaching a satisfactory outcome. Schools are committed to seeking a resolution to all
concerns sensitively and with a commitment to listening and responding positively to all concerns.
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Grampians Region Complaints Management
c) Statement on Natural Justice and Procedural Fairness Definition
Natural justice is the right of a person to be heard before an unbiased decision maker before decisions are
made and actions taken which affect that person. The more commonly used term of procedural fairness is
broader and more comprehensive than natural justice. It is based on principles of good administrative
practice and good decision making. It establishes an ethical and rational framework for administrators who
have responsibility for making decisions that affect other people’s rights, interests or legitimate
expectations.
The basic principles of natural justice are as follows:

informing the person affected of the case against them.

allowing the person affected to exercise their right to provide a response to that case.

allowing individuals to exercise their right to representation.

ensuring that individuals are given a fair and impartial hearing in any internal process. For
example, it is up to the Department to prove a case against employees, not for employees to prove
their innocence, and

informing individuals of progress and the outcome of the process.
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Grampians Region Complaints Management
d) Sample Developing School Emergency Management Procedures in Relation to Local Complaints
Management
Issues to Consider
1. The physical layout/plan of the buildings and grounds. eg:
a) Where are access points? Do these all need to be opened all of the time? (eg given
consideration of OH & S can some be closed at some times during the day?)
b) Visual access by administration personnel, staff, principal class to specific areas of the school.
c) Signage – Directions to office signs which warn trespassers of the potential for prosecution.
2. Establish a clear policy in consultation with school council in relation to complaints management.
3. Communications across the school buildings and grounds. eg:
a) Access to telephones.
b) Access to other staff.
c) Process for accessing immediate support in a specific area (eg classroom) or for removal of
class and teacher from a specific area.
d) Process for contacting police emergency management region.
4. Establish school processes with staff and students for referral of complainant or members of the public
to an administration area.
5. Establish, document and circulate school processes to all of the school community.
6. Assess potential risks to self, staff and students. Take preventative measures. eg initiate a positive
relationship/process for interaction. Where potential for misunderstanding/conflict.
7. Establish processes that will occur in the event of an abusive or threatening situation. eg:
a) Listen and let them run out of steam or point out in a calm way that you cannot listen or assist
when they are behaving like this and we need to meet at another time. You need to decide
what is comfortable for you. When you feel your safety is at risk never continue.
b) Use of Trespassers in Schools processes.
c) Have a “lockdown” procedure.
d) Contact with police and emergency management and region.
e) If students were involved a process to debrief counsel etc may be necessary.
f) Communication to parents/school community may be necessary.
g) Debrief and support for those involved.
h) Possible follow-up with police.
i) Plan for a possible reoccurrence. Evaluate your processes.
See – Emergency & Security Management site on eduweb
https://edugate.eduweb.vic.gov.au/services/schools/infrastructure/Emergency/Pages/default.aspx
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Grampians Region Complaints Management
8. LEGISLATION & POLICY
a) Legislation

Equal Opportunity Act 1995.

Public Sector Management and Employment Act 1998 (Vic.).

Disability Discrimination Act 1992 (Cwlth).

Human Rights and Equal Opportunity Act 1986 (Cwlth).

Sex Discrimination Act 1984 (Cwlth).

Racial Discrimination Act 1975 (Cwlth).

Whistleblowers Protection Act 2001.

Information Privacy Act 2000.

Health Act 2001.
b) Department of Education policies and procedures.

Guidelines for Managing Complaints, Unsatisfactory Performance and Serious Misconduct in Relation
to Principals.

Guidelines for Managing Complaints, Unsatisfactory Performance and Serious Misconduct in Relation
to Teachers.

Guidelines for Managing Complaints, Unsatisfactory Performance and Serious Misconduct in Relation
to SSOs.

Sexual Harassment policy (see attachment 1).

Equal Opportunity policy (see attachment 2).

Community Code of Conduct.

Staff Code of Conduct.

Student Code of Conduct and anti bullying policies.

Risk Management (see attachment 3).

Workplace Bullying / Harassment.
c) Support Policies- Complaints Management School Level

Relevant policies and processes in line with department documents and state and Commonwealth
legislation (eg Equal Opportunity Act 1995, Vic Public Sector Management and Employment Act 1998,
Disability Discrimination (c) Act 1992 (c) Human Rights and Equal Opportunities Act 1986 (c), Sex
Discrimination Act 1986 (c) Racial Discrimination Act 1995 (c) Whistleblowers Act, Information Privacy
Act 2000, Health Act 2001)

Risk Management Policies.

Codes of Practice – Community, Staff.

Code of Conduct – students.

School Council Procedure for Managing Complaints (see attachment 4).

School organization and processes to support complaints management (eg office procedures, student
management procedures, role clarity, Managing School Emergencies (Folder), managing complaints
against teachers.

Communication processes across the school community in relation to complaints management. eg
Links between school personnel/who to go to.

Physical Environment – signage, communications eg: in caring for our children, we also care for our
staff. Bad language and threatening behaviour is not acceptable.

Identification and use of student support services personnel and other agencies.

Professional Development for all staff – eg
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Grampians Region Complaints Management
o
o
o
o
o
o
o
o
o
o
o
o

Interview Skills – formal and informal.
Office procedures.
Reporting skills – formal.
Interpersonal skills when dealing with challenging or confrontational behaviour.
Questioning and responses.
Documentation.
School processes and roles and responsibilities.
Investigations.
Privacy and confidentiality issues.
Role clarity – specific statements for all personnel in relation to their role in complaints
management.
Establish and practice your response/action for termination of an interview/telephone
conversation.
Interviews – have some key questions and responses in your repertoire.
Emergency Management Plan – ensure that procedures for inappropriate behaviour by community
members are included (see attachment 3).
d) References

Emergency & Security Management Branch.
https://edugate.eduweb.vic.gov.au/services/schools/infrastructure/Emergency/Pages/default.aspx

Student Critical Incident Advisory Unit.
http://www.education.vic.gov.au/healthwellbeing/safety/childprotection/sciau.htm

Complaints Resolution Policy and Guides.
http://www.education.vic.gov.au/about/contact/pcschoolinformation.htm

Workforce Management – Performance Management.
http://www.eduweb.vic.gov.au/hrweb/workm/perform/conduct.htm
To view up to date versions of any State legislation, go to the Victorian Legislation and Parliamentary
Documents Home Page by clicking on the link below or by typing the following address into your Web
Browser:
http://www.legislation.vic.gov.au/
Select the Victorian Law Today button and then use the alphabetical list to find the Act or Regulation you
want.
e) Useful Phone Numbers
Emergency & Security Management Unit.
Student Critical Incident Advisory Unit.
Legal Unit.
Conduct & Ethics Branch
Liability Unit.
Employee Assistance Program.
Employee Health Unit.
Media Unit.
Child & Family Services.
Child Protection.
Police Communications.
Police SOCA Unit.
Grampians Regional Office.
9589 6266
9637 2934
9637 3146
9637 2594
9637 3033
1800 337 068
9637 2367
9637 2871
5337 3388
5333 6669
5331 2717
5336 6055
5337 8444
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Grampians Region Complaints Management
f) Grampians Region Complaints Resolution Policy
1) Values
As an organisation the Grampians Region values:
 Respect - in all of our dealings we are considerate of, and respect, others.
 Inclusiveness - we respect diversity and promote non-discriminatory practices.
 Honesty - we are honest and transparent in our dealings and in providing feedback and advice.
 Fairness - we treat everyone fairly and according to their need.
 Learning - we value and encourage learning.
2) Concerns and complaints covered:
The Grampians Region will deal with the following concerns and complaints in accordance with DEECD
policy:
 Complaints against Principals.
 Complaints that involve complex issues, such as those involving more than one school or ongoing
complaints/issues over an extended period of time.
 Matters referred by the Minister’s office, Ombudsman Victoria or Central DEECD.
 Matters involving school staff that if substantiated could lead to disciplinary action.
The Region does not deal with issues for which there are existing rights of review or appeal including:
 Child protection issues.
 Criminal matters.
3) Principles
In managing concerns and complaints, the Grampians Region will adhere to the following principles:
 Commitment – the Region is committed to implementing an effective complaints management system
that reflects the needs, expectations and rights of complainants. A dedicated system is in place to
address a complainant’s concerns in accordance with DEECD policies.
 Fairness -the Grampians Region recognizes the need to be fair to both the complainant and the person
against whom the complaint is made. The rules of natural justice are applied to all parties at all times.
 Transparency & Access – the Region ensures that the process to lodge a complaint is well publicized
and includes information on how to make a complaint, where to lodge it and how the complaint will be
managed.
 Responsiveness - complaints will be dealt with courteously and in a timely fashion.
 Privacy & Confidentiality - complaint information will be managed in accordance with the relevant
privacy legislation and other relevant acts.
 Accountability – the Grampians Region’s complaints management process is open to scrutiny by the
responsible minister, DEECD, Ombudsman Victoria or other reviewing body.
 Communication – All parties involved in the complaints process will receive appropriate communication
and response within the framework of DEECD policy
 Improvement- the Region has a systematic approach to recording complaints and outcomes to allow
analysis to support improvement in the Region and in schools
 Internal Review – The Region has a clear policy and strategy to deal with a complainant’s grievance
about how a complaint was managed.
4) Expectations
It is expected that complainants will:
 Have made all reasonable attempts to resolve issues at the school level.
 Put their concern or complaint in a reasonable and civil manner.
 Not make unreasonable complaints.
 Make complaints clear and concise and be specific enough to be investigated.
 For formal complaints against Principals, be put in writing and addressed to the Regional Director.
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Grampians Region Complaints Management
5) Support available for processes related to raising concerns and complaints
Parents wishing to lodge a complaint can obtain further information from:
 The DEECD website.
 The Grampians Region’s Community Relations Manager, RNLs and the ARD-Operations.
 An Information pamphlet available from the Regional Office.
6) How will concerns / complaints be addressed?
Concerns and complaints will initially be received by the ARD-Operations and the Region’s Community
Relations Manager who will discuss the complaint with the complainant to determine:
 The details of the complaint, including appropriate parties to the complaint.
 Who the complaint is against.
 The outcome desired by the complainant
 Whether the complainant is making an informal or formal complaint
 Any other relevant information, eg steps taken to resolve the complaint to date.
The complaint will be recorded electronically and/or on the appropriate form.
Anonymous complaints will be investigated
The complainant will be advised of the process that will be followed.
If the complaint is about a school, school staff member, student, school policy etc,
 The complainant will be advised to contact the school Principal to resolve the issue in the first instance.
 The school Principal will be advised of the complaint by the Region.
 If appropriate the Region will discuss with the Principal the policy and processes, including possible
courses of action, and support available from the Region and Central DEECD or other relevant bodies.
 The school will report to the region, as appropriate, and the steps taken / outcome of the process
established to resolve the complaint.
If the complaint is an informal complaint about a Principal, the Region will:
 Contact the Principal and discuss the matter with a view to resolving it.
 Contact the complainant and discuss the outcome/response from the Principal, and advise on the
process related to any further action eg formal complaint process.
If the complainant wishes to lodge a formal complaint about a Principal the Region will advise the
complainant of the process:
 The complaint needs to be in writing to the Regional Director and be very clear and specific in relation
to any allegations.
 The Regional Director will write to the complainant to acknowledge receipt of the complaint.
 The Regional Director will write to the Principal seeking a response to the allegations.
 The Principal will be provided with a copy of the complaint.
 Following the Principal’s response, the Regional Director will decide if further investigation or action is
warranted.
 At the conclusion of the investigation, the Regional Director will make a decision on the outcome and
what action if any will be taken.
 The Regional Director will write to the complainant and the Principal informing them of the outcome of
the investigation.
7) Possible outcomes / actions
If a formal complaint in relation to a Principal is found to be substantiated, the Regional Director may
initiate a number of outcomes in accordance with DEECD policy, such as:
 An appropriate communication from the Principal to the complainant.
 A change of decision.
 A change of policy, procedure or practice.
 Agreement on what constitutes acceptable behaviour.
 An undertaking that unacceptable behaviour will change.
 The undertaking of counselling, professional development or other support.
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Grampians Region Complaints Management
8) Referral of concerns or complaints
If a complainant does not believe the complaint has been resolved satisfactorily, he/she can lodge a
complaint to:
 DEECD Community and Stakeholder Relations Branch on 9637 3124.
 Ombudsman Victoria on 9613 6222 or toll Free: 1800 806 314 (regional only).
9) Communication and training
 This policy will be made available to Regional staff, schools and members of the general public who
require information regarding the complaints management process.
 Training on complaints management will be made available to schools and Networks as appropriate.
 The Grampians Region will provide all schools with a copy of its ‘Grampians Region Complaints
Management’ handbook and regularly review and update it as necessary.
 Principal Reference Group (PRG) will be provided with opportunity for input / evaluation.
10) Review
 The Grampians Region’s Manager- Community Relations will compile data on the nature and quantity
of complaints received and the schools about which complaints are made.
 The Region will identify common or recurring issues that may need to be addressed.
 The broad information will be reported to the Regional Executive, school Principals, PRG and Networks
to enable improved practices and to inform polices and procedures.
 The Grampians Region will regularly review its complaint management procedures to ensure they are
consistent with DEECD policy and guidelines, including input from the PRG as required.
11) Complaints regarding Early Childhood facilities
There are a number of ways complainants can raise any concerns they have about their child. They can:
 Visit the centre where their child is being cared for.
 Enter the service at any time during operational hours to talk to staff about their child or any concerns
they have about their child’s care.
 Ask to see the centre’s written procedures for dealing with complaints.
All children’s services must have a written procedure that states who complainants need to speak to
about their complaint, how they will respond and which complaints the Department must be advised of.
The name and the telephone number of the person who deals with complaints must also be displayed
at the entrance to the service.
 Contact the Department directly.
A complaint can be made directly to the Department regarding the operation of a children's service at
any time. In this situation, a Children's Services Adviser from the Grampians Regional office will assess
how serious the complaint is and then take further action.
A Children’s Services Adviser will always investigate any complaints that allege a child’s health, safety
or wellbeing has been compromised or there has been a contravention of the Children’s Services Act
1996 or the Children’s Services Regulations 1998. Among other things, the children’s services adviser
may telephone the proprietor, inspect the service, question staff members, take written statements,
conduct formal interviews, or seize evidence when investigating complaints. The Grampians Regional
Office can be contacted on 5337 8444
 Contact the Licensed Children's Service help line on 1300 307 415.
 Children’s services staff have an obligation to deal with issues in a positive, constructive and
professional manner.
 Similar behaviour is expected of complainants.
12) Things for complainants to consider before making a complaint
Before a complainant approaches their child's kindergarten teacher or child care provider they should:
 Be clear about the topic or issue they want to discuss.
 Focus on the things that are genuinely affecting their child.
 Always remain calm and remember they may not have all the facts relating to the circumstances of the
topic or issue they wish to discuss.
 Think about what would be an acceptable outcome for them and their child.
 Be informed; check the Departments regulations, policies or guidelines, where relevant.
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Grampians Region Complaints Management
13) How complainants can lodge a complaint in writing
 Complainants can use the written procedures, that the children's service their child attends can
provide, to help them to put together all the information they need to submit a complaint in writing.
 If they are having difficulties filling out the form complainants can contact a children’s services adviser
in the Regional Office or speak to the Licensed Children’s Service help line on 1300 307 415.
14) What Happens when a formal complaint is made?
 Writing down the complaint is a useful way for complainants to put all of the information together and
clarify their concerns. It also means they will have a clear record of the complaint.
 All notifications to the Department are treated confidentially. The complainant’s identity cannot be
disclosed unless they give written consent or a court grants leave for this to occur.
 If a complainant provides their name and contact details when they make a complaint, the Department
will provide them with details of the outcome of their investigation.
42