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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.
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:
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:
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:
Tips
Listed below are some examples of policy statements from a number of different organisations:
Concepts you may wish to include in your policy:
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.
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.
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)
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.
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.
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.
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:
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