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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:
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:
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.
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:
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.
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:
(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.
(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.
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:
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.
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