A good practice guide to handling complaints

*This guide is currently under review and an updated version will be published soon.

Please note this guide contains references to the Australian/New Zealand Standard, Guidelines for complaint management in organizations (AS/NZS 10002:2014) which have been replaced with the Australian Standard, Guidelines for complaint management in organizations (ISO 10002:2018).

The Protected Disclosure Act 2012 has been superseded with the Public Interest Disclosure Act 2012, a copy can be found here Public Interest Disclosures Act 2012 (legislation.vic.gov.au) .

Introduction

If you are working in the public sector today, you will probably need to deal with complaints at some point.

Members of the public rightly expect high quality, timely services from government and decisions that are transparent and fair.

Handling complaints is part of core business and good service delivery. The challenge for public sector agencies is to do it well.

Well-handled complaints offer real benefits. They can:

• restore trust with members of the public when things have gone wrong
• lead to better services and outcomes for individuals
• identify ways to improve services for the public.

Complaints are free feedback about what people think of your agency’s services and decisions. They can highlight the need for changes to your practices, or the need to explain them to members of the public in a different way.

Poorly handled complaints have the opposite effect. They can:

• damage relationships with the public
• damage your agency’s reputation
• escalate and draw in managers, ministers or independent complaint bodies, or generate costly legal disputes
• compromise your agency’s integrity
• lead to missed opportunities to improve performance.

The Victorian Ombudsman has over 40 years’ experience dealing with complaints about state government agencies and local councils. In many cases the people who approach our office are upset, not just about the agency’s decision or actions, but with the agency’s response to their complaint. Common issues include failure to respond to complaints at all, delays and poor communication.

This guide aims to share that experience to improve complaint handling across the public sector.

It reflects the revised Australian and New Zealand standard for complaint handling, Victoria’s public sector values and the Charter of Human Rights and Responsibilities Act 2006 (Vic). You will find references to these and other resources to help you manage complaints.

The terms used in this guide

This guide uses the terms ‘complaint’, ‘complainant’ and ‘complaint handling system’ to describe the work of handling complaints.

The Victorian Ombudsman’s preferred definition of a complaint is as follows.

The term ‘complainant’ is used to refer to a person, organisation or representative who makes a complaint.

The term ‘complaint handling system’ refers to all policies, procedures, practices, officers and resources an agency deploys to manage complaints.

1. Enabling Complaints

This section outlines the practical steps that your organisation can take to enable complaints.

In our experience, organisations with the best complaint handling practices actively encourage and welcome feedback about their performance.

While none of us like to get negative feedback about our work, these organisations recognise that enabling complaints:

• gives them a chance to resolve problems first, before they are escalated to ministers or other bodies
• generates information they can use to improve their services
• promotes the public sector values of integrity and accountability.

The steps in this section are the minimum standards the Victorian Ombudsman looks for when a person approaches us about the way an organisation dealt with their complaint.

1.1. Develop and implement a policy

A complaint handling policy demonstrates that your agency is committed to dealing with complaints.

A policy lays the foundation for good complaint handling by giving your officers information about how to respond to complaints well.

It also ensures all officers apply the same standards, regardless of where they work in your organisation.

Good complaint handling policies cover:

• how, where and to whom complaints can be made
• how the complaint will be handled and the steps involved
• the mechanisms for review if the complainant is dissatisfied with the outcome
• key performance indicators, such as response times
• external bodies that may provide assistance or review matters if the complainant remains dissatisfied eg the Victorian Ombudsman.

You can find an example policy at Appendix 1. It can be adapted to suit your agency including:

• statutory or regulatory requirements
• the value you seek to derive from complaints to improve your operations
• your financial, operational and other organisational requirements
• the number and demographics of the people using your services
• the nature and breadth of your interactions with the public
• the number and types of complaints you receive
• input from your officers and other interested parties.

1.2 Foster a receptive culture

Organisations that are committed to complaint handling also take the time to build a culture that is open and receptive to feedback.

Members of the public want to be listened to and treated with respect when they have a problem. They are unlikely to feel confident about approaching your organisation if they get a defensive or unhelpful response when they contact your officers.

Leaders and managers in agencies can set the tone by:

• ensuring the organisation has a complaint handling policy
• appointing officers skilled in customer service and complaint handling
• empowering officers to resolve complaints by delegating appropriate authority
• providing adequate resources for officers, such as training and support
• seeking regular reports about how the complaint handling system is working.

Skilled, knowledgeable officers are the most valuable resource in any complaint handling system.

All officers in your organisation need at least to be aware of your policy and what to do if someone approaches them with a complaint. Induction and regular training is a good way to achieve this.

Your organisation also needs a range of specialist skills and personal qualities in its complaint handling officers. They include empathy, patience, resilience, problem solving, communication, investigation skills, the ability to remain impartial, knowledge of your organisation’s people and work, and the ability to work with vulnerable communities.

Complaint handling can be difficult and stressful at times and these officers need support to maintain a healthy, positive attitude. This can take the form of access to debriefing or support networks.

1.3 Publicise how to complain

In order to complain, people need to know how to contact you. This can be achieved by:

• publishing your complaint handling policy online and making it available in hard copy upon request
• providing information about your complaint handling system in any service delivery statements
• ensuring your website search tool retrieves your policy and related information when a person types the words ‘complain’ or ‘complaint’
• including a prominent link on your home page
• including information about your complaint process in welcome packs or induction materials for your clients or customers.

1.4 Make your complaint handling system free and accessible

Not everyone can make a written complaint or call your organisation in business hours.

We live in a diverse community where people have different communication preferences and needs. Barriers such as language, disability, homelessness or shift work can inhibit access to your agency.

You can make your complaint handling system accessible by:

• accepting complaints by telephone, letter, email, online and in person
• offering free access to a translation and interpreter service
• using the National Relay Service to communicate with people with hearing or speech impairments
• providing information in accessible formats. You can find information about accessibility in the Victorian Government Accessibility guidelines for government communications
• providing support to members of the public to make a complaint if needed
• accepting complaints from authorised representatives if a person is unable or does not want to complain themselves.

Sophisticated complaint handling systems also recognise that accessibility is about more than means of communication.

Some parts of the community may be less likely to complain for cultural or other reasons. You can identify this by comparing the demographics of the people who use your services, and the demographics of those who complain, to see whether some groups are under-represented. Options include engaging with stakeholder and advocacy groups and outreach activities in under-represented communities.

1.5 Ensure there is no detriment for making a complaint

People sometimes tell our officers that they have not complained to an organisation direct because they fear reprisal. This can be a particular problem where people depend on the organisation for their daily living needs.

You can make it clear in your complaint handling policy and public information that you do not tolerate reprisals against complainants. This can also be reinforced in training for officers.

Any evidence that a person has experienced detriment needs to be dealt with promptly.

2. Responding to complaints

The responsibilities of the Victorian public sector are diverse and there is no ‘one size fits all’ response to complaints.

There are some practices, however, that are common to good complaint handling in every organisation. This section outlines these practices and how you can incorporate them in your work.

2.1 Acknowledge complaints quickly

Every year the Victorian Ombudsman receives hundreds of complaints about delays in complaint handling by agencies.

These types of complaints can be avoided if you acknowledge and respond to complaints promptly.

The Victorian Ombudsman expects public organisations to respond to all complaints unless:

• the complainant is not seeking a response
• you have previously told the complainant that you may not respond (the section on ‘Managing unreasonable complaint conduct’ discusses when this might be appropriate).

It is good practice to acknowledge complaints within 10 business days, unless the complaint is urgent and needs a faster response.

You can find an example acknowledgement letter at Appendix 2.

2.2 Make an initial assessment

Not all complaints require the same level of investigation or priority.

It helps to ‘triage’ complaints at an early stage to determine their priority, and how and who should respond.

Factors to consider include:

• the seriousness of the issues raised
• the complexity of the complaint
• any need for urgent action, for example where there are health or safety concerns for any person
• whether the complaint raises systemic issues, and the impact on the person and broader community
• the potential for the complaint to escalate
• whether the complaint is about an officer/s, and needs to be handled by an independent, impartial person
• whether the complaint involves other agencies
• whether the complaint is subject to special statutory requirements eg a public interest disclosure under the Public Interest Disclosure Act 2012 (Vic).

As part of your assessment, you may need to speak to the complainant to clarify the details of the complaint and the outcome they are seeking.

If a complaint falls outside your organisation’s responsibilities, it is helpful to inform the complainant as soon as possible and refer them to other agencies that may be able to assist.

2.3 Adopt a tiered approach

The most effective and efficient complaint handling systems use a tiered approach:

1. Frontline complaint resolution
2. Investigation if required
3. Internal review
4. Access to external review

Frontline complaint resolution by the officer or area delivering the service is usually the quickest and most effective way to resolve the majority of complaints.

You can encourage and empower frontline officers to resolve complaints through your agency’s complaint handling policy, and by investing in training and resources for officers.

There will be some complaints that need to be escalated for investigation. Your agency’s complaint handling policy can spell out when complaints should be escalated. This might include where:

• the complaint cannot be resolved by frontline officers
• the complaint is complex and requires detailed consideration
• the complaint is about an officer and needs to be handled independently.

If the complainant is dissatisfied with the outcome of this process, the matter can be escalated further, either within the agency or to an external body.

2.4 Explain your process

It is good practice to explain your complaint handling process to complainants at the start so they know:

• who is handling their complaint and how to contact them
• how the complaint will be dealt with
• what issues you are considering
• their likely involvement in the process
• when they can expect a response
• the possible or likely outcomes.

This promotes transparency and ensures the complainant knows what to expect.

In some cases it can help to confirm your advice in writing, for example where the complainant’s expectations are unrealistic.

If you are unable to meet your agency’s standards for any reason, speak to the complainant and explain the reasons. Complainants are less likely to contact a body like the Victorian Ombudsman if you keep them informed about what is happening with their complaint.

2.5 Address complaints promptly

In our experience, complaints get harder to manage the longer they stay open. Complainants can become frustrated with delays. Their expectations of a significant outcome sometimes increase, or they can start to raise new issues.

The Victorian Ombudsman expects agencies to respond to straightforward complaints within 28 days.

If this is not possible because the complaint is complex or needs more detailed investigation, give the complainant an expected timeframe and update them on progress regularly.

It is advisable to review complaints that are older than 28 days and escalate them if necessary to expedite a resolution.

If the complainant does raise new issues, they need to be assessed on their merits. You may need to treat them as a new complaint to avoid delaying your process.

2.6 Protect privacy

Complaints usually involve personal information about:

• the complainant
• the officers who are the subject of the complaint, if any
• in some cases, third parties.

This information needs to be managed in accordance with relevant privacy laws.

As a general rule, the Victorian Ombudsman would expect agencies to:

• only use information to deal with the complaint, or to address any systemic issues arising from the complaint
• only share personal information with officers on a ‘need to know’ basis
• if information about complaints is released to the public, de-identify the information before publication.

2.7 Treat everyone fairly and respectfully

For many complainants, being treated fairly during the complaint handling process is just as important as the outcome. This guide has already discussed some of the ways you can demonstrate fairness, including protecting complainants from detriment, being transparent about your processes, and protecting privacy.

You can also promote fairness by:

• giving the complainant sufficient opportunity to present their position. Checking information and asking questions shows that you are listening.
• dealing with any conflicts of interest e.g. if the complaint is about a particular officer, ensuring the complaint is handled by someone independent
• if possible, putting your agency’s decision or actions on hold until the complaint is finalised.

Your officers are also entitled to be treated respectfully if someone complains about them. Subject to any legislative restrictions like those in the Public Interest Disclosure Act 2012 (Vic), officers are entitled to be:

• informed of complaints about them
• given an opportunity to be heard
• kept informed of progress and the final result.

The focus of the complaint handling process should be about resolving the problem, not assigning blame. Any disciplinary processes should be separate from the complaint handling process.

2.8 Consider fairness and human rights

When the Victorian Ombudsman looks at complaints about public sector agencies, we do not just look at whether the agency’s processes and decisions comply with its laws and policies. We also consider whether the agency’s actions are fair and whether they comply with Victoria’s Charter of Human Rights and Responsibilities Act .

The Charter is a law that requires public authorities in Victoria (including private companies performing functions on behalf of government) to act compatibly with 20 human rights when delivering services or making decisions.

It is unlawful under the Charter for a public authority to fail to consider relevant human rights when making a decision. Any limitation placed upon a person’s human rights has to be in accordance with the law.

Your handling of a complaint is more likely to withstand scrutiny if you ask yourself the following questions:

• Does the outcome meet the minimum standards in your laws and policies?
• Have you considered any discretion available to you under laws or policies in arriving at the outcome?
• Is the outcome fair and reasonable?
• Have you and your agency considered and acted compatibly with the Charter?

You may also be asked to demonstrate that you thought about:

• Are any human rights raised by the decision or action?
• Did the decision or action limit these human rights?
• Were the limitations reasonable?

The following case studies illustrate the importance of considering fairness and the Charter.

2.9 Provide clear reasons

Providing clear reasons for decisions displays fairness, transparency and accountability. It helps the complainant understand why you made your decision, whether or not you upheld their complaint.

When we make enquiries with agencies about complaints, we often find they provide us with convincing explanations for their actions. If this information had been communicated to the complainant, they might not have escalated the complaint to us.

As a general rule, the Victorian Ombudsman expects public sector agencies to provide an outcome letter for all complaints where an investigation has been undertaken.

Good outcome letters:

• briefly describe the complaint and identify the issues
• use plain English and avoid bureaucratic language, acronyms and jargon
• explain the steps you took to investigate or resolve the complaint
• set out any relevant laws or policies in simple language
• clearly identify the outcome and, if you have substantiated the complaint, the remedies you are offering
• provide reasons for your decision
• give the name and telephone number of an officer the complainant can contact to discuss the outcome
• advise the complainant of the Victorian Ombudsman and any other relevant review rights
• are translated into a language other than English where appropriate.

You can find an example of a letter that takes this approach at Appendix 3.

2.10 Find a solution

To be accountable, public sector agencies need to be prepared to admit mistakes and correct them.

It is appropriate to offer a remedy if your agency’s decision, or the process leading up to the decision, was unfair or could have been communicated better.

Options for redress include:

• acknowledging and apologising for the error
• providing a better explanation for your agency’s decision or actions
• explaining why the error occurred and the steps your agency is taking to prevent it happening again
• reversing your agency’s decision
• an ex gratia payment or compensation
• disciplinary action against an officer
• other means of redress sought by the complainant.

The remedy should be fair and practical and proportionate to the seriousness of the issue.

2.11 Explain options for review

As complaint handlers, we are also accountable for our decisions and should submit ourselves to appropriate scrutiny.

Good complaint handling systems allow complainants to request an internal review of the complaint outcome. Your complaint handling policy can document the process.

At the Victorian Ombudsman, we ask complainants to:

• submit the request within 60 days of being informed of the final outcome
• explain why they believe we have made an error, and include any supporting evidence.

Reviews are conducted by senior experienced officers who have not been involved in the matter previously. This ensures the process is as independent as possible.

In appropriate cases, you might also consider using alternative dispute resolution, such as mediation, to try to resolve the complaint.

The Victorian Ombudsman expects agencies to inform complainants of any external avenues of complaint or appeal if they remain dissatisfied with the outcome. These include:

• the Victorian Ombudsman
• specialist complaint bodies eg the Victorian Equal Opportunity and Human Rights Commission if the complaint concerns discrimination, or the Health Services Commissioner if the complaint is about a health provider
• statutory rights of appeal such as merits review at the Victorian Civil and Administrative Tribunal.

You can also include information about internal and external avenues for review in information about your complaint handling system.

2.12 Manage ‘unreasonable complainant conduct’

People can be angry and frustrated when they make a complaint, sometimes for good reasons.

One of the skills involved in complaint handling is dealing with these emotions, while also maintaining a reasoned, evidence-based approach to the complaint.

In a small number of cases the complainant’s conduct can, because of its nature or frequency, raise health or safety issues for officers, or consume a disproportionate amount of your agency’s resources to the detriment of other complainants. Organisations dealing with these issues may find our Dealing with Challenging Behaviour guide useful.

The Victorian Ombudsman does not expect our officers, or officers in other public agencies, to tolerate behaviour that is offensive, abusive, threatening or consumes disproportionate resources.

The guide lists strategies for managing these situations. They aim to manage the impact of the conduct, while recognising that the complainant may still have a valid grievance that needs to be addressed.

We recommend that agencies:

• address how they manage unreasonable complainant conduct in their complaint handling policy
• train officers on how to deal with unreasonable complainant conduct
• support officers where the conduct is affecting their wellbeing.

2.13 Complaints about contractors

Your agency is ultimately responsible for all complaints about your services, irrespective of whether those services are delivered by you or a third party contractor.

You can set out how you manage complaints about contractors in your complaint handling policy.

Some agencies, particularly in the community services sector, are required by legislation to oversee third party service providers.

In other cases, it is still good practice to monitor the way contractors deal with complaints and have clear oversight of their complaint handling process. This includes:

• reviewing and approving the contractor’s complaint handling process. Ideally, it should be consistent with your own policy.
• ensuring you audit the contractor’s complaint handling
• requiring the contractor to collect complaint data, which your agency can access, monitor and report on as part of your own complaint handling system
• ensuring any systemic issues regarding the contractor’s performance are identified and promptly addressed
• requiring the contractor to inform complainants that your agency can review their complaint if they remain dissatisfied. The contractor should provide information about where and how to complain to your agency.

3. Learning and improving from complaints

Your agency will get the most value from complaint handling when you use information from complaints to improve services for the community as a whole.

Complaints are a form of feedback about your agency’s decisions and services, just like client and community surveys or evaluation reports. By linking your agency’s complaint handling system with quality management processes, you can promote accountability and identify where you need to make changes.

This section looks at the practical steps involved.

3.1 Record complaints

Unless you have an effective system for recording complaints, it will be difficult to harness complaint information to improve your services.

A central database is the best way for officers to record and track complaints, regardless of where they work in your agency.

The database can suit your agency’s size and resources and the number of complaints you receive. Smaller agencies that receive few complaints might use a spreadsheet. Larger agencies that receive many complaints may need specialised case management software, or to integrate complaint handling into existing customer service systems.

Your officers will need to know when and how to record complaints so there is consistent practice across your agency.

The Victorian Ombudsman encourages agencies to record as many complaints as possible. Our preferred definition of a complaint, which is set out in the terms used in this guide, covers any expression of dissatisfaction, regardless of how or to whom it is made.

The more complaints you capture, the more representative your data will be, and the more information you will have about what people think about your services.

3.2 Analyse complaints regularly

Analysing complaint information regularly will help you identify areas where your agency’s services may need to improve.

It is useful to consider:

• the number of complaints and any trends over time
• the types of issues or services involved
• the outcomes of the complaints
• the demographics of complainants.

It is good practice to provide quarterly reports to senior managers about complaints, along with any recommendations about how to improve services. It is also good practice to report on complaints in your annual report.

Care needs to be taken when interpreting complaint data. An increase in complaint numbers following a change in your agency’s complaint handling practices may show that your complaint handling system is working well, not that service levels have dropped.

3.3 Assess your complaint handling performance

Your agency’s complaint information can also be used to assess and improve your complaint handling system.

Options for monitoring performance include:

• measuring your complaint data against key performance indicators
• quality auditing
• assessing complainant satisfaction eg through surveys.

You can show you are committed to dealing with complaints by publicising your performance against your key performance indicators, and any service improvements you have made as a result of complaints.

3.4 Review your system

Leaders and managers can demonstrate commitment to good complaint handling by monitoring the performance of their agency’s system. They may need to change resources, systems and training from time to time to ensure complaints are handled well.

The Victorian Ombudsman recommends that agencies conduct regular in-depth reviews of their complaint handling system. This will ensure that your complaint handling system remains effective and up to date with good practice. The review might consider:

• any changes to statutory or regulatory requirements
• changes to your agency’s functions, resources or organisational structure
• technological changes
• current good practice
• the views of your officers
• feedback from complainants.

References

The following publications were referred to in developing this guide. They are recommended reading for officers with responsibility for complaint handling.

Australian/New Zealand Standard^TM, Guidelines for complaint management in organizations , (AS/NZS 10002:2014)

Commonwealth Ombudsman, Better practice guide to complaint handling, April 2009

Department of Justice , Charter of Human Rights and Responsibilities – guidelines for legislation and policy officers in Victoria, July 2008

Independent Broad-based Anti-corruption Commission and Victorian Ombudsman, Investigations guide: conducting internal investigations into misconduct, June 2016 - no longer available

New South Wales Ombudsman, Effective complaint handling guidelines , 2nd edition, December 2010 - updated 2017.

New South Wales Ombudsman, Managing unreasonable complainant conduct practice manual, 2nd edition, May 2012

New South Wales Ombudsman, Managing unreasonable complainant conduct – a model policy and procedure , May 2013

New South Wales Ombudsman, Complaint management framework and model policy , June 2015

Ombudsman Western Australia, Guidelines on complaint handling , revised 2017

Victorian Equal Opportunity and Human Rights Commission, Victoria’s Charter of Human Rights and Responsibilities

Victorian Government, Victorian Government accessible communication guidelines 2014, superseded by Accessibility guidelines for government communications , 2019

Victorian Ombudsman, Councils and complaints – a good practice guide, February 2015 - no longer available.

Victorian Ombudsman, Managing unreasonable complainant conduct practice manual, 2nd edition, May 2012 - superseded by Dealing with Challenging Behaviour , 2018

Victorian Public Sector Commission, Public sector values

Appendix 1 – model policy template

How to use this document

This model policy is intended for use as a guide only. Organisations are encouraged to tailor it to suit their individual circumstances. Suggested wording and tips are in italics and/or brackets.

Name of agency
Title and version number
Record number
Effective date
Responsible officer
Date of Charter of Human Rights review
Date of approval
Review date	[Review complaint handling system regularly, including procedures and key performance indicators]
Relevant legislation	Charter of Human Rights and Responsibilities Act 2006 Freedom of Information Act 1982 Independent Broad-based Anti-corruption Commission Act 2011 Privacy and Data Protection Act 2014 Public Interest Disclosure Act 2012
Related policies	Insert all related policies, for example: Customer service policy/charter Public interest disclosure policy Employee code of conduct Infringements policy Conflict of interest policy, etc.

Introduction

In the introduction, organisations can:

• state that members of the public have the right to complain
• include statements about the organisation’s commitment to complaint handling and creating a culture that encourages feedback and complaints
• affirm that the organisation will learn from complaints to improve its services
• note any factors or demographics specific to the organisation which are relevant to complaint handling.

This policy includes … [summarise what is in this document].

Objectives

This policy aims to:

• put in place an open and transparent complaint handling system
• specify the key performance indicators to which we will hold ourselves accountable
• establish our timeframes for resolving complaints
• clarify the roles and responsibilities of organisation staff
• ensure staff handle complaints fairly and objectively
• set out how staff record and analyse complaint data to identify where we can improve our services.

Guiding principles

This policy is based on seven principles.

1. Commitment
   We are committed to resolving complaints and have a culture that recognises an individual’s right to complain. We value complaints and recognise them as being part of our business of serving our communities and improving service delivery.
2. Accessibility
   People with a range of needs can easily complain and staff actively assist them to navigate the complaints process.
3. Transparency
   We make it clear how to complain, where to complain and how the complaint will be handled. The steps taken to respond to a complaint are recorded and will stand up to scrutiny.
4. Objectivity and fairness
   Complaints are dealt with courteously, impartially, within established timeframes and are assessed on merit.
5. Privacy
   Complaint information is handled according to privacy laws and other relevant legislation. We provide clear information about how we handle personal information. Complaint data is de-identified if reported on more widely.
6. Accountability
   We are accountable internally and externally for our decision making and complaint handling performance. We provide explanations and reasons for decisions, and ensure that our decisions are subject to appropriate review processes.
7. Continuous improvement
   Acting on, learning from and using complaint data helps us identify problems and improve services.

Scope


This policy applies to all organisation staff. It also applies to third party contractors carrying out services on the organisation’s behalf.


Definitions

Complaint: an expression of dissatisfaction with the quality of an action taken, decision made, or service provided by an organisation or its contractor, or a delay or failure in providing a service, taking an action, or making a decision by an organisation or its contractor.


[Define any other key terms that your agency uses, including those closely related to ‘complaint’, such as ‘service request’, ‘comments’ or ‘feedback’]


Roles and responsibilities of agency staff and contractors


Frontline staff
Managers and directors
Chief Executive Officer
Third party contractors

[For each party, enter a general description of their role and responsibilities within the complaint handling system]


How to make a complaint

A person can make a complaint in a number of ways.

Mail:	[Insert name of organisation and postal address]
Telephone:	[Insert telephone number]
Email:	[Insert email address]
In person:	[Insert locations]
Fax:	[Insert fax number]
Internet:	[Insert web address. If you have an online feedback form, include instructions on how to access it from the homepage]

Accessibility

Anyone who has been affected by a decision or action (including a failure to make a decision or take action) can make a complaint.

[Detail the processes/services the agency has in place to assist people with additional needs to make a complaint]

We accept and respond to anonymous complaints, provided we have received enough information to do so.

Complaint handling procedure

Overview

We take a four-tiered approach to complaint handling, as follows:

1. Frontline resolution: frontline staff receive the complaint, assess it, and resolve it immediately, if possible
2. Investigation, if required: if frontline staff cannot resolve the complaint, they will refer it to an officer for investigation
3. Internal review: if the complainant is aggrieved with the process or outcome of the frontline resolution/investigation, they can request an internal review
4. Access to external review: if the complainant is aggrieved with the process or outcome of then internal review, we inform them of any available external review options.

Procedures

[Tailor this section to your individual procedures]

Frontline resolution

• We will acknowledge all complaints within 10 days of receipt.
  
• Frontline staff will receive the complaint.
• Frontline staff will clarify the complaint and the outcome the complainant is seeking.
  
• Frontline staff will assess the complaint to determine how it should be dealt with. [Consider including the criteria upon which complaints will be assessed]
• If the organisation is not the right organisation to respond to the complaint, frontline staff will advise the complainant of an organisation that may be able to help.

Investigation

• If frontline staff cannot resolve the complaint, it will be assigned to an officer for investigation.
• The officer handling the complaint will advise the complainant who the contact person is and how long it will take to respond to the complaint.
• Complaint handling staff will aim to resolve all complaints within 28 days.
• If it takes longer than 28 days to resolve a complaint, the contact person will contact the complainant prior to or at this time and explain why.
• Complaints that are not resolved within 28 days may be escalated if necessary to ensure that a resolution is expedited.
• The officer responsible for handling the complaint will write to the complainant to advise them of the outcome. The outcome letter/report will contain reasons for the decision made and the contact information for the responsible officer.
• The officer handling the complaint may contact the complainant to discuss the outcome of their complaint prior to sending the outcome letter.

Internal review

[Identify the staff member/s who are responsible for internal reviews – an internal review should be escalated to a staff member not involved in the original decision/action/investigation]

[Detail internal review process and timeframes]

An outcome letter signed by the senior officer responsible for the internal review will be provided to the complainant at the conclusion of every internal review.

The outcome letter will advise the complainant of any avenues of external review available in relation to the matter, such as the Victorian Ombudsman.

Complaints about contractors

We recognise that we retain a level of responsibility for services carried out by contractors on our behalf.

[Consider whether you will allow contractors to respond to complaints directly.

When deciding, consider whether you have (or can put in place) appropriate oversight mechanisms for any complaint handling carried out by contractors.

If contractors handle complaints, provide details of any oversight mechanisms and other requirements the contractor will be subject to].

If a complainant is not satisfied with the outcome of the complaint, he or she can ask the agency to review the decision.

All outcome letters written by contractors in relation to complaints will include the name and contact details of an agency staff member to whom the complainant may escalate their complaint if they are not satisfied with the outcome the contractor has provided.

Complaints about specific matters – alternative procedures

Complaints about allegations of corrupt conduct

Where a complaint involves allegations of corrupt conduct, it will be handled in accordance with the [insert name of policy for handling public interest disclosures].

Remedies

Where we have found that we have made an error, we will take steps to redress the situation.

Possible remedies include, but are not limited to [list the remedies and who is authorised to offer them eg

• an explanation of why the error occurred and the steps taken to prevent it happening again
• a reversal of a decision
• an ex gratia payment or compensation
• disciplinary action taken against a staff member
• providing the means of redress requested by the complainant].

Where we identify an error, we will consider offering a genuine apology to the complainant, in addition to any other remedies offered, irrespective of whether the complainant specifically requests this.

Privacy

When gathering information to respond to a complaint, we will only:

• use it to deal with the complaint or to address systemic issues arising from the complaint
• disclose it in a de-identified format when disclosing data to the public
• share it with staff on a need to know basis.

Recording complaints

All complaints are recorded in our [complaint database].

[Insert process for recording complaints]

We analyse our complaint data and provide [annual/more frequent] reports to [insert details of relevant parties to report to] on how we can reduce complaints and improve services.

Senior management is responsible for acting on the recommendations in these reports.

We record the following information for each complaint:

• the complainant’s details
• how the complaint was received
• a description of the complaint
• the complainant’s desired outcome (if known)
• the agency officer responsible for handling the complaint
• any action taken, including contact with the complainant, response times and the outcome
• when the complaint was finalised
• relevant demographic information that could help improve services
• any recommendations for improvement, and who is responsible for implementing them.

Any queries regarding the recording of complaints should be directed to [insert name of responsible officer].

Reporting on performance

To measure our performance, we have the following key performance indicators:

[Insert KPIs associated with complaint handling. These KPIs may be related to:

• complaints upheld, partially upheld, not upheld
• performance against timelines set by the agency i.e. average time to respond
• number of changes made to services as a result of complaints
• number of complaint outcomes overturned on internal review
• customer satisfaction with the complaint handling system
• complaints escalated to the Victorian Ombudsman’s office where the agency’s original decision has been overturned and/or proposals for action have been made by the Ombudsman].

We will report against our complaint handling key performance indicators in our annual report, where we will also detail any service improvements made as a result of complaints received.

Unreasonable complainant conduct

[The New South Wales Ombudsman’s Managing unreasonable complainant conduct practice manual includes guidance for managing unreasonable complainant conduct, which agencies can tailor to their individual circumstances.]

Appendix 2 – acknowledgement letter example


This is an example of an acknowledgement letter for a complaint.

Dear Mr Citizen

Your complaint about your licence application

Thank you for your email dated [date] about the department’s decision not to approve your application for a licence.

I am considering your complaint and will contact you again when more information is available.

If you have any questions, you are welcome to contact me on [phone number].

Yours sincerely

Li Adams

Customer Service Officer


Appendix 3 – outcome letter example

This is a fictional letter that incorporates the elements of a good outcome letter, and takes a receptive attitude to feedback. Remember there is no ‘one size fits all’ response to every complaint, and tailor your letters to suit each complaint.

Dear Ms Citizen

Your complaint about your fine

Thank you again for your email dated [date] about the service you received from one of our enforcement officers and her refusal to revoke your fine.

You complained that the officer refused to withdraw the fine even though you provided evidence that you did not commit the offence, and that she was rude and unhelpful.

We welcome feedback about our service and I would like to thank you for taking the time to contact us.

After reading your email, I considered the Infringements Act 2006 (Vic) which sets out the law on infringements, and our internal policies. I also spoke to the officer involved.

Unfortunately our enforcement officers are not able to revoke fines once they have been issued. The enforcement officer advised me that she was trying to explain this to you, and did not intend to be rude or unhelpful.

The senior review officers in our Appeals section can review and revoke fines, and I have forwarded your letter to them for consideration. If you have any additional evidence to provide, you can send it to the Appeals section by writing to [address] or emailing [email address].

I hope this resolves your concerns about what happened. If you have any questions, you are welcome to contact me on [phone number].

If you are not happy with my response, you can seek an internal review by writing to our Chief Executive Officer. Alternatively you may wish to complain to the Victorian Ombudsman at ombudsman.vic.gov.au/make-a-complaint or by calling (03) 9613 6222 or 1800 806 314 in regional areas.

Yours sincerely

Li Adams

Customer Service Officer