7.2. Key principles that inform effective complaints resolution processes

To ensure that an effective complaints resolution process, check that your approach covers the following key principles:

• Accessible – you are accessible to people with disability and other key stakeholders through clear and effective communication that is easy to use and understand. You provide clear information about the right to complain, how to complain, where to complain and how complaints will be handled
• Person centred – you respect and value the knowledge, abilities and experience of people with disability and support them to make choices about their lives to enable each person to live the life they want to live. You take actions  that seek to achieve the best possible outcomes for people with disability
• Responsive – you provide timely assistance to people with disability, their families, carers and advocates. You keep people informed of the progress of complaints with the emphasis on addressing the issue within established timeframes.
• Accountable – You work to clear objectives in a transparent manner accepting  responsibility for decisions made, being open to appropriate levels of scrutiny and ensuring all conflicts of interest are disclosed and acted upon
• Excellence – You continually seek ways to improve how you do things and promote a learning culture in your organisation that ensures that complaints are vital to continuous improvement.

The self-audit tool provided at the end of this guide has been organised under these various principles, and can assist you to identify what you currently have and what you may need to develop.

7.2.1. Accessible

People who use the service know how to make a complaint. There is easy to understand information in accessible formats on the complaints process, and different ways to make a complaint. People can get support to make a complaint if they need it.

This is about letting people know what complaint process you have and where they can access it, as well as ensuring that people are able to complain. For example:

• are there posters, brochures and information in accessible formats on your website that explain how people can complain?
• are all staff aware of the organisation’s commitment to and processes for handling complaints?
• are there flexible methods for making a complaint?
• is the complaints handling process easy to use and understand?

7.2.2. Person centred

The process used to respond to complaints ensures the perspective of the person with disability is heard and considered in how the matter is resolved. People are treated respectfully, courteously and sensitively. This includes treating information confidentially.

The complaints process is sufficiently flexible to respond to individual needs and consider what is important to the person using the service, as distinct from what is important for them.

• is your organisation seen by staff and people using services as being open to feedback, including complaints?
• do you show commitment to resolving complaints through your actions?
• are you sufficiently flexible in the way you respond to complaints?
• is there a clear set of published values of the organisation and its role?
• are the executive leadership group and staff actively seen to be implementing the values? i.e. ‘walking the talk’.

7.2.3. Responsive

There is a clear process for ensuring that complaints are handled in a timely way and people are kept informed of the progress of their complaint. Part of being responsive is recognising this as an opportunity to maintain/improve the relationship between the provider and the person with disability. A key part of being responsive is ensuring that staff are empowered to respond to complaints quickly and fairly.

This is about responding to the complaint in a timely, non-judgemental and respectful way. For example:

• is the receipt of each complaint acknowledged to the person who made the complaint immediately?
• are challenging but realistic time frames set and clearly communicated to staff and people using services for handling complaints?
• are people who have made a complaint kept informed of the progress of their complaint?

7.2.4. Accountable

Your process for resolving complaints is clearly outlined so people know what to expect. You approach each complaint reasonably, objectively and act in good faith. People are informed of the decision in relation to their complaint. There is a clear process of review and appeal in relation to complaint decisions. The principles of natural justice (see 7.5.2) are applied to the investigation of complaints. The service provider has clear processes to ensure that people who complain are not adversely affected.

This is about the process you use being objective, fair and consistent. For example:

• is equal weight given to the views of all?
• are all complaints considered on their merits?
• is the emphasis on resolving the issue and not assigning blame?
• where necessary, is it dealt with by a person not connected to the complaint?
• are there reporting processes on complaints and improvement initiatives?
• where systemic problems are identified, do the relevant people report back on the implementation of corrective remedial action?
• is personally identifiable information concerning the person who made the complaint only available for the purpose of addressing the complaint within the organisation and actively protected from disclosure?

7.2.5. Excellence

The complaints resolution process is part of a quality culture which sees complaints as an opportunity for improvement. Information is collected from complaints and provided to those who can take operational and policy decisions on improving the service.

This is about seeking to continually improve the quality of the service through effective complaints resolution processes. For example:

• do you regularly review the system and complaints data?
• do you explore, identify and apply best practice in complaints handling?
• do you foster a focus on the person using the service within the organisation?
• do you encourage/reward innovation in complaints-handling behaviour?
• do you seek feedback from people who have made a complaint on their experience with your complaint system?

(Slater, 2008)

Today’s problems cannot be solved if we still think the way we did when we created them. Albert Einstein