AD03-01COMPLAINT MANAGEMENT POLICY

JUNE 2013

APPROVED

Kevin CocksCommissioner 26 June 2013

Table of Contents

GENERAL INFORMATION........................................................................................................................ 3

PURPOSE...................................................................................................................................................... 3

PRINCIPLES................................................................................................................................................. 3

PROCEDURES AND GUIDELINES........................................................................................................... 4

Interpretation.......................................................................................................................................................... 4File Number...................................................................................................................................................................4Responsible Officer........................................................................................................................................................4Relevant Legislation or Prescription..............................................................................................................................4Effective Date................................................................................................................................................................4Next Review...................................................................................................................................................................4

Introduction............................................................................................................................................................. 4

Resolving Issues & Concerns..................................................................................................................................... 5

Resolving Complaints............................................................................................................................................... 5

Key Roles................................................................................................................................................................. 5

Step1 – Receive Complaint....................................................................................................................................... 5Language Assistance......................................................................................................................................................5Creating a Record of Complaint.....................................................................................................................................5Complaint Co-ordinator.................................................................................................................................................6

Step 2 – Register & Acknowledge Complaint............................................................................................................. 6Registering a Complaint.................................................................................................................................................6Acknowledging a Complaint..........................................................................................................................................6Requesting Further Information....................................................................................................................................7

Step 3 – Investigate Complaint................................................................................................................................. 7Conducting an Investigation..........................................................................................................................................7Outcome of Investigation..............................................................................................................................................7Natural Justice...............................................................................................................................................................8

Step 4 – Respond To Complaint................................................................................................................................ 8

Appeal Process......................................................................................................................................................... 8

FURTHER INFORMATION AND ASSISTANCE..................................................................................... 8

APPENDIX A: COMPLAINT FORM......................................................................................................... 9

APPENDIX B: SAMPLE REGISTER...................................................................................................... 11

APPENDIX C: SAMPLE ACTION SHEET............................................................................................. 12

GENERAL INFORMATION

Policy Name AD03-01 Complaint Management Policy

File Number BNE0143717

Responsible Officer Manager, Corporate Services

Approving Officer Commissioner

Effective Date 26 June 2013

Date Approved 26 June 2013

Next Review June 2016

Review version approved byRelevant Legislation or Prescription

Public Service Act 2008

Directive 13/06 - Complaints Management Systems

Network location G:\SUPPORT SERVICES\Corporate Governance/Policies/Current/AD03-01 Complaint Management Policy

PURPOSE

To provide a single framework for complaint management across the Anti-Discrimination Commission Queensland (ADCQ).

PRINCIPLES

The policy reflects the following principles:

Visibility and access The community will have access to information about the policy, including how and where

to make a complaint. The policy will be available on the ADCQ’s website and information material will be available at service delivery points.

Reasonable assistance will be available to complainants with special needs, including complainants who are unable to lodge a complaint in writing.

Responsiveness Complaints will be resolved in a timely manner. Complainants will receive regular progress

reports during complex or lengthy investigations. Employees will be aware of and have access to the policy on the intranet. New employees

will receive general complaint management training during induction.

Integrity The principles of natural justice will be applied to all complaints. Further information about

natural justice is included in the following section. The Complaint Co-ordinator and Complaint Officers will demonstrate fair and consistent

decision-making. Complaints will be investigated without prejudice to any other right a complainant may have.

Accountability Parties to a complaint will receive information that clearly explains how and why a decision

was made. Complaint data will be analysed to identify systemic issues that need to be addressed in

order to improve performance and reduce the number of complaints received.

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Where potential system improvements are identified, such feedback shall be provided to relevant business units.

The ADCQ will ensure adequate resources, including staff and training, are available to manage complaints.

Complainant privacy The privacy of complainants and any employee named in a complaint will be maintained

where possible.

PROCEDURES AND GUIDELINES

Interpretation

File NumberAll policies must have an associated official file on which previous and current versions are maintained, along with relevant correspondence. Previous versions of a policy need to be on file so that the version applying at a particular period can be identified.

Responsible OfficerAll policies are allocated to a member of the Executive Leadership Team (ELT) responsible for ensuring that they are communicated appropriately to commission staff, implemented and reviewed. This officer would also be the point of contact for major questions of principle and application of the policy.

Relevant Legislation or PrescriptionPolicies will generally be made under State legislation, regulations, directives or government policy. The source of authority and prescription for the policy should be specified.

Effective DateThe date the new or revised version of the policy came into effect.

Next ReviewRevision dates are normally 3 years after approval of policies. A schedule of rolling reviews is maintained by the Manager, Corporate Services.

Introduction

The ADCQ values all forms of feedback as it has the power to drive improvement. Sometimes, this feedback may be an expression of dissatisfaction about a service, procedure, practice or policy.

This document sets out the procedures we use to deal with complaints. However, before a complaint is lodged, every effort must be made to resolve an issue or concern informally and at the initial point of contact.

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Staff are empowered to resolve issues

informally and at the point of service

Complaint lodged only when issue

remains unresolved after

initial contact with the ADCQ

Complainant advised of outcome of

investigation and options for further

review

Resolving Issues & Concerns The single most effective way to resolve an issue or concern is to discuss it with the client. The ADCQ encourages staff to do this in person or by telephone wherever possible. Not only is this the most efficient way to resolve a problem but it is also the most service-focused option.

Often, a simple explanation or apology can go a long way to resolving an issue or concern. In some cases, staff may seek advice or guidance from a supervisor or manager or refer the issue or concern to a third party with the authority to take further action. Frontline staff must be empowered to resolve these issues wherever possible.

Only when this process is unsuccessful in resolving an issue or concern to the satisfaction of the client should a formal complaint be considered.

Resolving ComplaintsIf an issue or concern is unable to be resolved informally the client may lodge a complaint with the ADCQ. There are four steps in the complaint resolution process. This process aims to be simple and straightforward for both clients and staff to use.

Key Roles Complaint Co-ordinator is responsible for managing and investigating complaints; liaising with

complainants; and helping complainants who are unable to lodge their complaint in writing. The Deputy Commissioner responds to complaints received about Community Relations and

Regional Offices in respect to all matters other than complaint management. The State Director (Complaint Management) responds to complaints received about Complaint

Management staff, including Information Officers, and Regional Office staff when performing Anti-Discrimination Act complaint management responsibilities.

The Manager, Corporate Services responds to complaints received about matters relating to the provision of corporate services.

Step1 – Receive ComplaintComplaints can be made verbally or in writing, although complainants are encouraged to submit complaints in writing. In instances where this is not possible, a record of complaint should be created.

A sample complaint form, which is used to create a record of complaint, is provided in Appendix A.

Language AssistanceLanguage assistance is available to non-English speaking complainants through the Translating and Interpreter Service (TIS) on 13 14 50. Auslan translation is available from the Deaf Society on 3892 8500.

Creating a Record of ComplaintWhen creating a record of complaint the officer receiving the complaint should:

Consider arranging an interview or meeting room to document the complaint in private; Work through the complaint form with the complainant, listen carefully and document the

complaint as dictated; Provide further information about the complaint management process; Have the complainant sign the complaint form or acknowledge the complaint details;

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Receive Complaint

Acknowledge Complaint

Investigate Complaint

Respond to Complaint

Provide the complainant with a copy of the form; and Refer the record of complaint to the Complaint Co-ordinator.

Complaint Co-ordinatorThe Complaint Co-ordinator is responsible for:

assessing the complaint and deciding whether it can be actioned by the ADCQ; making decisions about extensions and vexatious complaints; and monitoring complaint data, preparing the annual report, and identifying improvements

opportunities.

The Complaint Co-ordinator should: have the necessary skills, knowledge, experience and training to understand and manage

the complaint; have completed all relevant training; not be the original decision maker or service provider; and have no conflict of interest.

If a conflict of interest does arise the Complaint Co-ordinator is to refer the complaint to the Deputy Commissioner.

Step 2 – Register & Acknowledge ComplaintStep 2 should be completed within 5 working days of the complaint being lodged.

Registering a ComplaintAll complaints – as defined in this Policy – must be recorded on a complaint register. In order to comply with the Directive the register must include:

date complaint received; complaint complexity; issue; method of complaint; outcome of complaint; and date complainant notified of outcome.

A spreadsheet is provided in Appendix B. To maintain privacy and confidentiality, access to the register should be restricted to members of the Executive Leadership Team.

Acknowledging a ComplaintOnce the complaint is registered, the Complaint Co-ordinator must acknowledge receipt of the complaint in writing or by telephone. The acknowledgement should include:

A reassurance that their complaint/feedback is valued; A request for any further information considered necessary to action the complaint; An outline of how the complaint will be managed, including timeframe for resolution; Establishing how and when progress reports will be provided; and Providing contact details for the Complaint Co-ordinator.

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An Important Note…..Frontline staff should refer verbal complaints about the conduct of employees to a supervisor or managing officer.

Requesting Further InformationThe Complaint Co-ordinator may request further information from a complainant if it is necessary to action the complaint. The complaint may not be investigated until additional information is provided. If the ADCQ is unable to action the complaint the Complaint Co-ordinator should explain why and, if possible, refer the complainant to an external agency.

Step 3 – Investigate ComplaintStep 3 should be completed within 20-60 working days of acknowledging the complaint. The exact period required to investigate will depend on the complexity of the issue/s involved.

Conducting an InvestigationComplaints can be investigated in many ways. The service delivered by a business unit will influence how the complaint is investigated. Investigating a complaint may include:

clarifying the details provided in a complaint; identifying actions taken to resolve the issue before the complaint was lodged; gathering and analysing information from relevant file notes, correspondence and/or other

sources; reviewing applications submitted by the complainant; reviewing documentation submitted by the complainant; reviewing previous administrative decisions or actions; interviewing complainants, employees and/or other individuals involved in the complaint; reviewing relevant policies, procedures and/or legislation; or reviewing previous complaints about the same issue.

A sample action sheet is provided in Appendix C. This can be used to record or track the complaints process.Formal investigations require a more structured approach. For further information about conducting a formal investigation contact the Complaint Co-ordinator.

Outcome of InvestigationOutcomes that may result from the investigation of a complaint may include but are not limited to:

amending a decision; a written/verbal apology; an explanation; changes to a service provision; review of policies and procedures; staff training; or disciplinary action.

If in the course of investigating a complaint it becomes apparent that the substance of the complaint has already been investigated and an outcome reached the complainant should be advised that their complaint will be treated as a review.

As a public agency we are bound by policy and legislative requirements. At times, this can make it difficult to resolve some issues or concerns to the satisfaction of our clients. However, this does not diminish our client’s right to lodge a complaint or have their issues dealt with by an objective decision maker – even if the end result is the same.

The Complaint Co-ordinator must demonstrate fair and consistent decision making. To obtain further information about good decision making please refer to the Good Decision-Making Guide by the Queensland Ombudsman.

Natural JusticeNatural justice refers to procedural fairness, ensuring a fair decision is reached by an objective decision-maker. Natural justice requires two rules to be observed:

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1. The hearing rule which states that a person or body deciding a particular matter ensures the affected person knows the case against them and has the opportunity to present their case before any decision is made.

2. The rule against bias which states that a decision-maker should have no personal interest in the matter to be decided, have no bias as to the outcome and acts in good faith throughout the process. Care should also be exercised to exclude perceived bias from the process.

Further information about procedural fairness and natural justice is available in the Code of Conduct – available on Compass.

Step 4 – Respond To ComplaintStep 4 should be completed within 10 working days of completing the investigation. A response must be provided to the complainant once the outcome of the complaint is known.

An appropriate response should include: the outcome of the complaint; a clear explanation of how and why decisions were made; changes implemented as a result of the complaint (if applicable); and options for review.

Appeal Process

If a complainant is unsatisfied with the outcome of their complaint they may request a review of the complaint by the Complaint Co-ordinator or lodge a complaint with the Office of the Queensland Ombudsman.

Privacy complainants have a right to request an internal review if they are not satisfied with the outcome of a privacy complaint. Requests for internal review of a privacy complaint should be referred to the Privacy Co-ordinator.

Furthermore, if you do not agree with our decision, or you have not received a decision from us after 45 days, you may appeal in writing to the Office of the Information Commissioner.  For more information on the Information Commissioner's privacy complaints process, please go to their website.

FURTHER INFORMATION AND ASSISTANCE

Members of the community requiring further information or assistance should contact the ADCQ on 1300 130 670 or email: info@adcq.qld.gov.au

Employees requiring further information or assistance in relation to this policy should contact their Manager or the Responsible Officer.

APPENDIX A: Complaint Form

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APPENDIX B: Sample Register

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APPENDIX C: Sample Action Sheet

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