7.3. Importance of a three tiered complaints resolution process

Experience from organisations that have effective complaint processes suggest that a three tiered approach to complaints resolution is the most effective (NSW Ombudsman, 2007). In reviewing the complaints process your service currently uses it is useful to consider the extent to which the process operates on the following three tiers:

Tier 1: Frontline complaints resolution

At this level staff are empowered with clear delegations to resolve complaints wherever possible at first contact and log complaints into the system for later analysis. The aim should be to resolve most complaints at this level, as the potential for a growing level of dissatisfaction with the service steadily increases at each point of escalation. To achieve this, a number of strategies need to be in place:

• an easily understood procedure for people to provide feedback to the organisation
• clear delegations to staff that define their responsibility for dealing with complaints and their ability to remedy problems
• staff who are skilled, motivated and empowered to be sensitive to and welcome complaints feedback
• training for staff about the process and the skills of listening, problem solving and conflict resolution
• procedures for resolving and investigating complaints
• performance standards for complaint resolution such as turn around times, progress reports to people making the complaint
• control systems to make sure complaints are dealt with
• database for capturing complaints feedback data to assist trend analysis and service improvement planning.

Tier 2: Internal review or investigation

Where complaints cannot be resolved at the first tier, then more senior staff should review/investigate the issues and assist in the resolution of unresolved complaints. It is important that the principles of natural justice are adhered to in this process.

Tier 3: External complaint resolution options

Information on external options for resolving complaints should also be provided to people who have made a complaint, particularly when a complaint cannot be resolved through the above processes. During NDIS transition, these external options include:

• advice and/or complaint resolution from Disability and Community Services as per the Disability and Community Services Compliments and Complaints Procedure which can be downloaded from DCS's website
• referral to other external complaints and/or universal complaints or dispute resolution systems and bodies, depending on the subject of the complaint
• other resolution options such as mediation or legal remedy.

Responding to complaints is part of the NDIS Quality and Safeguarding Framework released by the Australian Government in February 2017. The Framework requires that at full scheme, registered providers should have effective internal complaints and serious incidents arrangements in place. Requirements will be proportional to the size of provider and the risks inherent within their service model. However, during transition existing jurisdiction quality and safety mechanisms remain in place to ensure the provision of good quality supports.

In Tasmania this is the quality and safeguard working arrangements which can be accessed via the DCS Website.

A new national independent regulatory body, the NDIS Quality and Safeguards Commission will be established to implement the framework.  It will commence on 1 January 2018 replacing the various quality and safeguarding jurisdiction as they reach full scheme.  In Tasmania, this means the Commission will be begin to deal with complaints about NDIS supports from 1 July 2019.

The Australian Standard on Complaint Handling highlights the importance of seeking to resolve complaints at the lowest possible level/tier.

Whilst a complaint resolution process should have these tiers, it cannot be a requirement that people wishing to make a complaint must adhere to an organisation's complaints process.  It is the right of people who are making a complaint to seek the most appropriate resolution to the issue.  Consequently, if for whatever reason they feel they are not being heard or are not comfortable with the suggested process, they may choose to seek external review earlier or indeed skip the front line tier and go to either the internal review tier or an external complaints process immediately.  This will often be prompted by such considerations as level or risk and degree of trust people have with the organisation.

7.3.1. Shared staff responsibility

If you wonder what getting and keeping the right employees has to do with getting and keeping the right customers, the answer is everything. Frederick Reichheld (2006)

Internally, staff at various levels in the organisation will have responsibilities associated with complaints resolution. These could include:

• an executive advocate who leads by modelling or walking the talk
• responsible staff who practise what is preached at the policy/procedures level; encourage positive attitude/ reinforce benefits of proactive complaints mindset, as distinct from being driven by compliance alone
• other staff who practise what is preached at the policy/procedure level and:
  • are receptive to complaints
  • welcome feedback on the organisation’s service delivery
  • are skilled listeners
  • have sound interpersonal skills
  • are problem solvers and adept at conflict resolution.

(Queensland Ombudsman, 2008: 45)

Tips

· Train staff to view complaints positively.

· Invent new ways for people using services to give feedback.

· Randomly ask for feedback.

· Ask for value ratings when seeking feedback on forms .e.g. OK, easy, good.

· Mix with the people you provide a service to so as to provide informal opportunities to receive this feedback.

· Create a staff feedback form to capture staff feedback on the complaints process.

7.3.2. Indicators of a good complaints culture

• All staff are aware of the importance of complaints and care about the service people receive
• All staff are aware of the policy and procedure because they were involved in its development
• People using services know that they have the right to complain, are supported to complain and know how to complain because they were involved in the development and ongoing review of the complaints resolution process
• Procedures are routinely followed by staff
• Organisation leadership receives and acts on complaints data
• People using services complain.

(Adapted from Queensland Ombudsman, 2008:39)

Tips

Always ask the person making the complaint what they want done, what they want to happen, or what they believe should have happened. This clarifies the reason for the complaint and helps to determine an appropriate response.

Resolution can involve giving more information, providing an explanation, suggesting a course of action and a sincere apology, expressing empathy and understanding.

If the organisation knows what people using services expect then they are more than halfway there to producing a positive outcome.

Organisations may have complaints about things that cannot be changed due to resource issues or government policy, but it is still valuable to give feedback to people who have made a complaint and collecting this feedback may be a catalyst for change.

7.3.3. Use of a risk management approach

Risk management is one way of identifying priority areas that an organisation is most likely to receive complaints about. From an understanding of the purpose of the organisation risks can be identified and analysed in order to determine:

1. what complaints have and could arise
2. what has been or could be the consequences of such complaints
3. what has been done and could be done to prevent these complaints?

This approach can be useful in deciding which complaints your organisation would prefer managers to respond to based on the level of risk to people using services, or indeed the reputation of the organisation, if not handled well.

Thought

Everyone needs to look at complaints as feedback and that it is positive that people are stopping to tell you how your service works or doesn’t work for them. Complaints and feedback create an opportunity to review your processes and staff development and to continually learn and re-evaluate.