7.5. Complaints policy and procedures

The complaints resolution process should be supported by written policies and procedures. It should be noted that whilst clear policy and procedures are important foundations, a positive attitude that views complaints as opportunities for improvement is also required.

7.5.1. Developing a policy statement

In approaching complaints it is important to acknowledge their significance through a brief statement of policy which recognises the importance of this feedback to your organisation. The statement should state clearly and simply the organisation’s commitment to receiving and responding to complaints as part of a commitment to continuously improving the service (AS 4608–2004: 9). This statement should be written in a way that instils staff commitment and the confidence of people using services. This can be helped by the use of active language wherever possible and by the involvement of staff and people using services in the development of the statement so that there is a shared ownership (Queensland Ombudsman, 2008: 11).

A complaints policy statement would acknowledge the importance of feedback/complaints to your organisation and include:

• a statement of principle
• recognition of the capacity to fail
• what you are going to do
• how you are going to do it
• why you think it is important.

It should be signed by the Chief Executive Officer.

Most importantly, you need to mean what you say.

Tips

Listed below are some examples of policy statements from a number of different organisations:

• All management and staff at … are committed to providing an organisation and workplace where people feel free to speak about any problems or concerns that they may have.
• We recognise we provide a personal service. In the event service expectations are not met, we will conduct a prompt investigation to resolve the issues and maintain communication with you. Feedback allows us to constantly improve our service to you.
• We believe all feedback is great feedback. We are committed to delivering outstanding service and acknowledge we are not always perfect (yet!). One of our team members will call you within 24 hours, because without you, we have no business.
• At … we are committed to providing people using our services with a better level of service. If we make a mistake, or our service doesn’t meet your expectations, we want to know. Most likely we’ll be able to solve the problem on the spot. If it can’t be resolved in 48 hours, your concern will be referred to more senior staff within our organisation who will take responsibility for the matter. We’ll send you a letter to acknowledge your complaint and let you know how long we expect it will take to resolve. We aim to resolve all complaints from people using our services within ten working days.
• This organisation is committed to ensuring simple, flexible and accessible arrangements for people who use this service to complain. All staff can respond to complaints and people who have made a complaint will be given regular updates on the progress of their complaint.

7.5.2. Developing a complaints policy

Having developed a clear policy statement you then need to provide a more detailed explanation of why complaints are important to your organisation. This is distinct from your procedures, which provide the how or the specific steps your organisation will take to give effect to the policy.

A complaints policy should contain:

• reason for the policy (including benefits to the people using your services and staff)
• aims and objectives of the system
• definition of a complaint (refer Australian Standard ISO 10002: 2006, MOD as an example)
• guiding principles (these could include the principles mentioned previously), such as:
  • person-centred focus – people who use our services are valuable and the heart of our business
  • complaints are an opportunity, not a nuisance
  • people who use our services will be helped and supported to make complaints
  • resolution will be provided wherever possible
  • principles of natural justice
• confidentiality of complaint information
• safeguards against retribution
• reporting and review obligations.

Tips

Listed below are some examples of policy statements from a number of different organisations:

• All management and staff at … are committed to providing an organisation and workplace where people feel free to speak about any problems or concerns that they may have.
• We recognise we provide a personal service. In the event service expectations are not met, we will conduct a prompt investigation to resolve the issues and maintain communication with you. Feedback allows us to constantly improve our service to you.
• We believe all feedback is great feedback. We are committed to delivering outstanding service and acknowledge we are not always perfect (yet!). One of our team members will call you within 24 hours, because without you, we have no business.
• At … we are committed to providing people using our services with a better level of service. If we makea mistake, or our service doesn’t meet your expectations, we want to know. Most likely we’ll be able to solve the problem on the spot. If it can’t be resolved in 48 hours, your concern will be referred to more senior staff within our organisation who will take responsibility for the matter. We’ll send you a letter to acknowledge your complaint and let you know how long we expect it will take to resolve. We aim to resolve all complaints from people using our services within ten working days.

Concepts you may wish to include in your policy:

(a) Privacy

Privacy applies to personal information and requires that reasonable steps are taken to protect this information from loss, unauthorised access, use, unauthorised disclosure or any other misuse during a complaints process.

(b) Confidentiality

While there is some similarity between privacy and confidentiality they are not the same. Confidentiality is imposed to protect information, and the information does not have to be of a personal nature. A person given an assurance of confidentiality is being told that the organisation will put controls around how and when certain information will be used within the organisation and/or disclosed to an outside agency or person.

(c) Natural justice

Natural justice means providing a person who may be affected by a decision about a complaint with a fair hearing before the decision is made. There are essentially three elements to natural justice:

The notice requirement – any person likely to be affected by a decision should be given notice of the issues and relevant information.

The fair hearing rule – the person should be given a reasonable opportunity to respond to the issues/ information, and the decision maker needs to be able to show that they have given genuine consideration to the affected person’s submission.

The lack of bias rule – the person making the decision must act impartially (without bias) in considering the complaint. Bias could arise if the decision maker has some financial or other personal interest in the outcome or has given the impression that they have prejudged the decision ahead of time.

(Queensland Ombudsman, 2008: 12)

(d) Staff awareness

There is little value in having a complaints resolution process if staff are not aware of it or are unsure of how to use it. Your policy should therefore reflect that staff are thoroughly trained in the application of your complaints policy and relevant procedures.

Tip

In writing your policy try to choose active language wherever possible so that it helps to instil staff commitment and public confidence.

(e) Delays

Obviously complaints need to be dealt with quickly, effectively and appropriately, and the time frames should reflect this. However it is also acknowledged that complaints may range in seriousness and complexity, which can cause delays.

(f) Audience

You should consider such things as complexity of language, writing style, content and formatting as well as being sufficiently succinct for your audience.

Tip

Avoid getting bogged down in the detail. Remember that your policy is only one component of your overall complaints resolution process, and its purpose is unique.

7.5.3. Developing a complaints handling procedure

Your procedures should identify the steps needed to handle complaints – the ‘how’ of managing the complaints resolution process. The procedures should explain how the principles contained in the policy statement and how the policy will be put into practice.

Complaint procedures should contain:

• how complaints can be made (verbal, written, email, anonymous etc)
• how feedback from people using services will be sought
• who is responsible for taking, recording, resolving and analysing complaints
• how complaints and outcomes will be recorded
• time frames for resolution, and guidance on what happens if these are not met (you may need different
• turn-around times and priorities for urgent and complex complaints)
• forms of redress, including delegation levels
• procedure for closure of files – closure process should include seeking feedback from the person who made the complaint on their experience of the process
• process for dealing with serious issues raised by complaint, e.g. criminal charge, risk to health etc.
• review mechanisms if the person who made the complaint is not satisfied
• internal reporting and review mechanisms.