C:\Users\smaheshwari\Desktop\amended_complaints_management_process_procedure_with_flow_chart_originally_approved_29_9_2011_20_jul y_2012.doc Page 1 of 18 TITLE: Complaints Management Process Procedure Version number: 1.3 Document Number: FCS-16 Procedure Author: Corporate Governance Branch, Finance & Corporate Services Department Objectives: Council recognises the need for an open and responsive Complaints Management System (CMS). A CMS will provide Council with an enhanced ability to resolve complaints, identify trends and eliminate causes for complaint. Such a process improves customer satisfaction and provides complainants with a simple and effective process. While Council endeavours to resolve issues before they become complaints, there are instances where this may not be possible. This procedure sets out the processes to be used to deal with Administrative Action, Privacy and Publication Scheme complaints to ensure they are managed in a confidential, responsible, efficient, effective, fair, transparent and economical manner. Regulatory Authority: Ipswich City Council Complaints Management Policy Local Government Act 2009 (LGA) Local Government (Operations) Regulation 2010 (LG Operations Regulation) Local Government (Finance, Plans and Reporting) Regulation 2010 (LG Finance Regulation) Right to Information Act 2009 (RTI) Information Privacy Act 2009 (IPA) Ministerial Guidelines made under the Right to Information Act 2009 Scope: Officers should note that issues regarding requests for services or information are to be dealt with under Council’s normal business processes, recorded appropriately in Council’s Customer Request System and resolved in accordance with agreed service levels. Such requests are not covered by this Procedure and should not be escalated to the Complaints Officer or the Chief Executive Officer (CEO) unless determined by the relevant Department Head. This procedure applies to all Council officers and deals with Administrative Action, Privacy and Publication Scheme complaints. The part of this procedure relating to Administrative Action Complaints has been written in accordance with section 119(3) and (4) of the LG Operations Regulation and forms, together with Ipswich City Council's Complaints Management Policy, Council's Complaints Management Process.
Procedure Author: Corporate Governance Branch, Finance & Corporate Services Department Objectives: Council recognises the need for an open and responsive Complaints Management System (CMS). A CMS will provide Council with an enhanced ability to resolve complaints, identify trends and eliminate causes for complaint. Such a process improves customer satisfaction and provides complainants with a simple and effective process. While Council endeavours to resolve issues before they become complaints, there are instances where this may not be possible. This procedure sets out the processes to be used to deal with Administrative Action, Privacy and Publication Scheme complaints to ensure they are managed in a confidential, responsible, efficient, effective, fair, transparent and economical manner. Regulatory Authority: Ipswich City Council Complaints Management Policy Local Government Act 2009 (LGA) Local Government (Operations) Regulation 2010 (LG Operations Regulation) Local Government (Finance, Plans and Reporting) Regulation 2010 (LG Finance Regulation) Right to Information Act 2009 (RTI) Information Privacy Act 2009 (IPA) Ministerial Guidelines made under the Right to Information Act 2009 Scope: Officers should note that issues regarding requests for services or information are to be dealt with under Council’s normal business processes, recorded appropriately in Council’s Customer Request System and resolved in accordance with agreed service levels. Such requests are not covered by this Procedure and should not be escalated to the Complaints Officer or the Chief Executive Officer (CEO) unless determined by the relevant Department Head. This procedure applies to all Council officers and deals with Administrative Action, Privacy and Publication Scheme complaints. The part of this procedure relating to Administrative Action Complaints has been written in accordance with section 119(3) and (4) of the LG Operations Regulation and forms, together with Ipswich City Council's Complaints Management Policy, Council's Complaints Management Process.
1. COMPLAINTS DEALT WITH UNDER THIS PROCEDURE 1.1. Administrative Action Complaints Section 268 of the LGA defines an Administrative Action Complaint as a complaint that –
(a) is about an administrative action of a local government, including the following, for example –
(i) a decision, or a failure to make a decision, including a failure to provide a written
statement of reasons for a decision; (ii) an act, or a failure to do an act; (iii) the formulation of a proposal or intention; (iv) the making of a recommendation; and
(b) is made by an affected person.
1.2. Privacy Complaints Section 164 of the IPA defines a privacy complaint as-
A complaint by an individual about an act or practice of a relevant entity in relation to the individual’s personal information that is a breach of the relevant entity’s obligation under the IPA to comply with –
the privacy principles; or
an approval under section 157 of the IPA.
1.3. Publication Scheme Complaints Ministerial Guidelines made under the RTI allow for complaints to be made when information included in a Publication Scheme is not available or able to be accessed as required by legislation.
Staff are to ensure Complaints are dealt with in accordance with this Procedure. The Chief Executive Officer has determined that the Corporate Governance Manager will undertake the responsibilities of the Complaints Officer as specified in this procedure and will manage all Complaints. All complaints are to be:
assessed and categorised by the Complaints Officer
referred to external agencies where appropriate
dealt with fairly and objectively
dealt with in accordance with natural justice where practical
resolved without formality and conflict where possible
kept private and confidential The following Complaints are not to be dealt with under this procedure and should be referred to the CEO in the first instance:
complaints regarding Mayor and Councillors Complaints regarding the CEO should be referred to the Mayor in the first instance and complaints of a personal nature regarding staff members are to be dealt with in accordance with the Human Resources Management Framework and should be referred to the Human Resource Manager. To assist officers in determining what type of complaint they have received a Complaints Administration Guide (Attachment A) has been developed.
2. HOW COMPLAINTS ARE TO BE MADE A Complaint must be made on the Approved Form addressed to:
The Complaints Officer Ipswich City Council PO Box 191 Ipswich Qld 4305 Email: [email protected] Facsimile: (07) 3810 6731
The Approved Form is available from Council’s Customer Service Centre.
3. TIMEFRAMES FOR INVESTIGATING ADMINISTRATIVE ACTION, PRIVACY AND PUBLICATION SCHEME COMPLAINTS
The Complaints Officer will acknowledge, in writing, all Administrative Action, Privacy and Publication Scheme complaints within 5 business days of receipt of complaint. The standard timeframes for investigating Complaints is outlined below (please note that the timeframes for Administrative Action Complaints may differ (eg be shorter) according to categorisation by the Complaints Officer):-
Type of Complaint Acknowledgement Investigation Response
Administrative Action 5 days 10 days 20 days*
Privacy 5 days 20 days 45 days
Publication Scheme 5 days 10 days 20 days * This refers to the timeframe in which Stage 1 of Managing an Administrative Action Complaint must be finalised.
The Complaints Officer will diarise timeframes for acknowledgement, investigation and review of complaints and will monitor each complaint process to ensure timeframes are adhered to.
For Administrative Action Complaints, the Complaints Officer will categorise all complaints according to the assessment criteria below:
Negligible No impact or risk to the organisation
Minor Resolvable at department level
Moderate Requires more comprehensive assessment and investigation
Major Significant issues causing permanent detriment that requires investigation
Extreme Issues about serious adverse events, long-term damage or death that requires investigation.
Dependent on the categorisation the Complaints Officer will determine the appropriate investigation and response timeframe for the Administrative Action Complaint.
4. MANAGING A COMPLAINT 4.1 Commencing an Investigation – issues to consider When investigating a Complaint and preparing a response to a complainant the following should be undertaken:
the relevant evidence and whether it has been appropriately analysed and recorded
reasons given with the initial decision
the true nature of the complaint issues
relevant legislation, policies and procedures
potential sources of information
assessment of information and sources impartially and without bias
proper recording of information during investigation
observing natural justice where possible
ensure their decisions are sound, provide a written Statement of Reasons and offer appropriate remedies where appropriate.
Officers should at all times maintain open communication with the Complaints Officer while managing Complaints. 4.2 Managing Administrative Action Complaints The Complaints Officer will acknowledge receipt of valid Administrative Action Complaints within 5 business days. Refusal to investigate an Administrative Action Complaint The Complaints Officer may refuse, under section 119(3) of the LGA to accept and investigate an Administrative Action Complaint if they consider that the complaint is:
The Complaints Officer must provide a written Statement of Reasons to the complainant regarding their refusal to investigate within 14 working days of making their decision to refuse to investigate the Administrative Action Complaint. Stage 1 of Managing an Administrative Action Complaint Wherever appropriate, the Complaints Officer will refer the complaint to the Supervisor of the relevant officer who made the original decision. The Supervisor will be responsible for investigating the complaint and responding to the complainant. The Supervisor, when investigating and determining their decision, regarding the complaint should consider the matters listed in sections 4.2 of this procedure: The Supervisor must finalise their investigations within 20 business days. The Supervisor is to provide all details of their investigation (including the Complaints Data Form) and response to the complainant to the Complaints Officer. The Complaints Officer is responsible for recording all details in the Complaints Recording System (refer Section 6 of this procedure). If the Complainant is satisfied with the response, no further action is required. If the issue is not resolved to the complainant’s satisfaction, the complainant may request the Supervisor to refer the matter to the Complaints Officer to be considered under Stage 2 of the Managing an Administrative Action Complaint Process. Stage 2 of Managing an Administrative Action Complaint Stage 2 requires the complaint be investigated by the Complaints Officer. The Complaints Officer will consider the matters listed in section 4.2, together with the contents of the Supervisor's written Statement of Reasons to the complainant. The Complaints Officer must finalise their investigation within 20 business days. If the complainant is satisfied with the response, no further action is required. If the issue is not resolved to the complainant’s satisfaction, the complainant may request the Complaints Officer to refer the matter to the Chief Executive Officer to consider under Stage 3 of the Managing an Administrative Action Complaint Process.
Stage 3 of Managing an Administrative Action Complaint Stage 3 requires the complaint to be investigated and responded to by the Chief Executive Officer. The Chief Executive Officer will consider the following on each review stage already conducted:
relevant legislation, policies and procedures
evidence considered and whether it has been appropriately analysed and recorded
whether natural justice has been observed
any reasons given with the initial decision
the contents of the Statement of Reasons previously provided to the complainant by the Supervisor and Complaints Officer
The Chief Executive Officer must finalise his/her investigation within 20 business days.
The Chief Executive Officer is to provide the details of his/her investigation (including the Complaints Data Form) and response to the complainant to the Complaints Officer for recording in the Complaints Recording System. If the Complainant is satisfied with the response, no further action is required. If the Complainant is not satisfied, it may be necessary to refer the complainant to an external agency. Such appropriate agencies may include the Queensland Ombudsman, QCAT (if applicable) or the Courts (e.g. Judicial Review). 4.3 Managing Privacy Complaints Privacy Complaints may be made to Council pursuant to section 166(3)(a) of the IP Act. The complainant should make their complaint in accordance with section 2 of this Procedure – How Complaints are to be Made. The Complaints Officer will acknowledge receipt of the Privacy Complaint within 5 working days. The Complaints Officer will consider the matters in section 4.1 and will provide the Complainant with a written Statement of Reasons within 45 business days. If the Complainant is satisfied with the response, no further action is required. If the Complainant is not satisfied with the response received or a response has not been provided within 45 days, they may refer their complaint to the Office of the Information Commissioner. 4.4 Managing Publication Scheme Complaints Section 21 of the RTI Act requires Council to have a Publication Scheme that complies with any guidelines about publication schemes published by the Minister on the Minister's website. The Ministerial Guidelines provide that a Complaint can be made when information included in Council’s Publication Scheme is not available. The complainant should make any Publication Scheme Complaint in accordance with section 2 of this procedure – How Complaints are to be Made. The Complaints Officer will acknowledge receipt of the complaint within 5 working days. All Publication Scheme Complaints are to be investigated by the Complaints Officer. The Complaints Officer will investigate and provide a response to the complainant within 20 days from the date the complaint is received. The Complaints Officer will provide the complainant with a written Statement of Reasons.
5. CONSIDERING A REMEDY FOR A COMPLAINT When considering a remedy for a particular complaint, the Supervisor and the Complaints Officer should take into account the following:
Remedies may include the following: admission of fault, explanation, apology, change of decision, change to Council policies or procedures etc. The Supervisor and the Complaints Officer have the authority to offer any remedy except a monetary payment which includes repair or replacement etc. If this is offered the Chief Executive Officer must authorise.
6. HOW COMPLAINTS, INVESTIGATIONS AND RESPONSES ARE TO BE RECORDED All details and documentation concerning investigation and response to complaints, including the Approved Form and Complaints Data Form are to be completed and provided to the Complaints Officer for entry into the Complaints Record System. The information entered into the Complaints Recording System will be used for monitoring and reporting purposes.
7. ACCESSING INFORMATION REGARDING THE CMS Council seeks to ensure the public, customers, clients and staff can readily find out:
where to complain
how to complain
what information is required
what assistance is required
how complaints will be managed
where policies and procedures are located. Information on the CMS and how to lodge a complaint are publicly available by contacting the Council’s Customer Service Centre.
8. IDENTIFYING AND TRAINING STAFF IN THE CMS Department Heads will identify and advise the Complaints Officer of relevant staff to be involved in the CMS. These officers will be informed of appropriate policies, procedures, forms and information regarding the CMS. They will be required to attend Complaints Management training covering general operational issues such as:
how to receive complaints
responsibilities of council officers, Supervisors, the Complaints Officer and the CEO under the CMS
policies and procedures
timelines for dealing with complaints
categories of complaints and response requirements
tracking and recording complaints
9. MONITORING EFFECTIVENESS OF THE COMPLAINTS MANAGEMENT SYSTEM The Complaints Officer will report to Senior Management, when required, regarding the operation of the CMS. In relation to Administrative Action Complaints, this will meet the requirements of section 119(4)(c) of the LG Operations Regulation which requires internal reports to be made occasionally to Senior Management about the Complaints Management Process for Administrative
Action Complaints. Pursuant to section 115 of the LG Finance Regulation, Council will include particular information relating to its Complaints Management Processes and Administrative Action Complaints in its Annual Report.
10. WHO IS RESPONSIBLE FOR THE COMPLAINTS MANAGEMENT PROCESS Maintenance of this Procedure is the responsibility of the Corporate Governance Manager.
11. DEFINITIONS The following definitions are to be applied when interpreting this procedure:
TERM DEFINITION
Administrative Action Complaint
Is a complaint about an administrative action of a local government as outlined in section 268 of the Local Government Act 2009.
Affected Person An affected person is a person who is apparently directly affected by an administrative action of a local government.
Approved Form Means the form approved by the Chief Executive Officer/Complaints Officer for complaints.
Complaints Refers to either an Administrative Action, Privacy or Publication Scheme Complaint
Complaints Data Form Means the form approved by the Chief Executive Officer/Complaints Officer for recording complaints data.
Complaints Officer Corporate Governance Manager
Complaints Record System Means RTIPs and Dataworks
Complainant The person who makes the complaint.
Days Any reference to days means business days
Ministerial Guidelines Guidelines published by the Minister on the Minister's website in accordance with section 21 of the Right to Information Act 2009
Publication Scheme A publication scheme sets out the classes of information that the agency has available and the terms on which it will make the information available, including any changes. The information should be easy for any person to find and use. As routinely published information is available as part of an agency’s normal business, the information should be simple to access through the agency website or be easily and quickly sent out by an officer of the agency.
Publication Scheme Complaint
When information included in a Publication Scheme is not available or able to be accessed as required by legislation.
Privacy Complaint A complaint by an individual about an act or practice of a
relevant entity in relation to the individual's personal information that is a breach of the relevant entity's obligation under the IPA to comply with the privacy principles or an approval under section 157 of the IPA.
Senior Management Means the Executive Management Team of Council.
Statement of Reasons Means written reasons for a decision. (a) setting out the findings on material questions
of fact; and (b) referring to the evidence or other material on
which those finding were based.
Supervisor The person in charge of the relevant officer who made the original decision.
Date of approval: 25 July 2012 Title of Manager: Chief Financial Officer Date to be reviewed: 25 July 2013
Council wants to provide you with an easy way to lodge a complaint. Complete this form and forward it to The Complaints Officer, Ipswich City Council, PO Box 191, Ipswich, Qld, 4305.
PERSONAL DETAILS
Title: __________Last Name: _______________________ First Name/s: _____________________
Do you have a disability or other special need that we need to be aware of?
Yes No
If yes, please specify: ________________________________________________________________________________
COLLECTION NOTICE
Ipswich City Council is collecting your personal information for the purpose of dealing with your complaint and meeting Council’s statutory reporting obligations. We will not disclose your personal information outside of Council unless we are required by law or you have given your consent. However, in order to perform the above functions, we may need to disclose your personal information to agencies, such as the Office of the Information Commissioner and the Queensland Ombudsman, and/ or other third parties (for example, to an agent you have authorised to act on your behalf). In addition, the information supplied on this form may be kept on a database for reporting/ statistical purposes. Any information used for statistical reporting will be de-identified. By completing and signing this form and returning it to Council, we will consider that you have given us your consent to manage your personal information in the manner described in Council’s Privacy Statement, Personal Information Digest and this collection notice.
Have you raised your complaint with us before: Yes No If yes, tell us who you spoke to, what you were told and why you are still dissatisfied. Attach any documents you have from your previous contact. Use a separate sheet if needed.
Type of Complaint being made:
Administrative Privacy Publication Scheme
For NEW complaints, tell us WHAT happened? WHO was involved? WHEN and WHERE it happened? (E.g. Does your complaint involve a decision or action that impacted you or perhaps the quality of our service? Please be specific about the area the problem occurred. Attach a separate sheet if necessary).
What would you like to see happen as a result of your complaint?:
Have you done anything about your complaint already? E.g. have you sought assistance from a solicitor, professional advisor, MP or investigation agency? If yes, please provide details such as person you spoke to, when and advice given:
-ICC Complaints Management Procedure-ICC Complaint Management Policy-LGA 2009 (s268)-LGA (Ops) Reg 2010-IP Act 2009 (s164)-Ministerial Guidelines: Right to information Publication Scheme-AS ISO 10002-20006
-ICC Code of Conduct for Employees- ICC Code of Conduct for Councillors-Public Sector Ethics Act 1994-Public Interest Disclosure Act 2010-ICC Management of Public Interest Disclosure Policy-ICC Management of Public Interest Disclosure Procedure-LGA 2009 (s.13)
-ICC Procedure 43/48-ICC Code of Conduct for Employees-ICC Code of Conduct for Councillors-LGA 2009 (s.174 – Crs)-LGA (Ops) Reg 2010 (s.20 – stolen)- Crime and Misconduct Act 2001 (s.39(i))
-ICC Procedure 43/15-ICC Code of Conduct for Employees-ICC Code of Conduct for Councillors-Public Interest Disclosure Act 2010-ICC Management of Public Interest Disclosure Policy-ICC Management of Public Interest Disclosure Procedure
-Public Interest Disclosure Act 2010 (s.4)-LGA 2009 (s.176 & 177)-Public Sector Ethics Act 1994-ICC Management of Public Interest Disclosure Policy-ICC Management of Public Interest Disclosure Procedure-ICC Code of Conduct for Employees-ICC Code of Conduct for Councillors-Public Service Commission: Public Interest Disclosure Standard No. 1 (Jan 11)
-ICC Local Laws (various)-Public Health Act 2005-LGA 2009-Fire & Rescue Act 1990-Environmental Protection (Waste Management) Regulation 2000
-ICC Home Assist Complaints Disputes and Review Policy-ICC Home Assist Complaints Disputes and Review Procedure-ICC Home Assist Refusal of Service Policy
CORRESPONDING COUNCIL POLICY / PROCEDURE AND RELEVANT LEGISLATION
Is it a Service Request? If so enter into Oracle
CRM system.If not, could it be another type of
complaint named above?
READ: Home Assist Complaints Disputes & Review Procedure
(Intranet)
READ: Management of Public Interest
Disclosure Procedure (Intranet)
READ: Code of Conduct for
Employees and/or Code of Conduct for Councillors
READ: Procedure 43/15 EEO and
Workplace Harassment Grievance Procedure
READ: Complaints Management
Process Procedure (Intranet)
READ: Procedure 43/48 – Guideline for Investigation
(intranet)
WHAT YOU MUST DO
INFORMATION CONTACT
Customer Service Centre ext 6666
Consider Carefully: Relevant officer as suggested in
procedure ie. Contact Officer, HR, or Supervisor
Corporate Governance Complaints Officer
Ext 6229
Internal AuditExt 6623
Home AssistPH: 1300 656 207
Consider Carefully: Paragraph 9.1 - Relevant officer as
suggested in procedure ie. Branch Manager or CEO
Consider Carefully: Paragraph 5.1.3 – Relevant
officer as suggested in procedure
Animals, vegetation, vehicles, litter, health or pollution issues
Home Assist Related Complaints
Improper public sector conduct, maladministration, danger to public
health, safety or environment
Staff breaches, dishonesty, bribery, fraud etc
Discrimination, bullying, harassment, etc
Appeals against Council decisions, breaches of privacy, complaints
