CHC/2013/316 Customer Complaints Management Procedure · Customer Complaints Management Procedure Effective date: ... the complaint in MECS. Letters must be date stamped to indicate

GOVERNANCE AND STRATEGY

Customer Complaints Management Procedure

Effective date: 10/12/2014 Version: 2.00

CHC/2013/316

1. Purpose

The purpose of this procedure is to detail the processes to be followed when dealing with complaints in accordance with the Department of Environment and Heritage Protection (EHP) Customer Complaint Management Policy.

2. EHP Complaint Management Framework

The EHP Complaint Management Framework is designed to ensure each complaint is addressed within the appropriate complaint-handling process. Complaints fall into a number of categories: some relate solely to service delivery; others trigger a statutory right of appeal or review and others may involve aspects of both. Upon receipt, a complaint should be correctly categorised and referred to the appropriate complaint-handling mechanism. The diagram in Appendix 1 illustrates the various complaint categories, the relevant policy or procedure and the key contact for managing each of those categories.

3. Associated Policy

EHP Customer Complaint Management Policy

4. Definitions and glossary of terms

Definitions and glossary of terms used in this procedure are given in Appendix 2

5. Responsibilities

Responsibilities of the officers involved in this procedure are detailed in Appendix 3.

6. Procedure

There are five steps in EHP’s customer complaint management system:

Steps 1, 2 and 5 are the usual steps followed when dealing with complaints covered by this procedure. Steps 3 and 4 are followed as required or when requested. Once a complaint is resolved, the next step of ‘monitor and review’ is essential for business improvement and informed decision making.

7. Step 1: Receiving and handling

A complaint occurs when a person or organisation expresses dissatisfaction with the way in which the department

has performed any of its activities. For example, a complaint might be about information EHP supplied that was incorrect, how the department responded to a service request, or the way in which an officer dealt with a customer. The receiving and handling step of this procedure involves

The receipt of a complaint via one of the many channels made available to the complainant by the department

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The initial recording and classification of the complaint, and

The identification of the appropriate procedure within the Complaint Management Framework for dealing with the complaint.

Key participants involved in this process are described as follows.

Key Participant Description Complainant

A person or organisation making a complaint.

Complaint Receiver

The EHP officer/unit who receives the complaint.

Responsible Manager

The EHP manager who decides who is to deal with the complaint, and how the complaint is to be managed.

Complaint Coordinator

The EHP officer who the Responsible Manager tasked with coordinating and investigating the complaint.

Complaint Decision Maker

The EHP officer who the Responsible Manager tasked with deciding the complaint.

If a complaint is insufficiently complex to warrant both a Complaint Coordinator and a Complaint Decision-Maker (see Section 8 Step 2 below), the Responsible Manager can nominate a single officer to perform both roles. Assistance to Complainants

EHP officers must assist clients who are considering making a complaint about the department, its staff and operations. That assistance will include explaining the complaints process and providing information on how to make and lodge a complaint. If a customer approaches EHP in relation to an issue of concern that:

relates to a simple matter;

can be resolved at the point of contact; and

is unlikely to reflect a systemic problem

the officer receiving the complaint can consider addressing the issue without recording the complaint (in consultation with the complainant and, if appropriate, local management). If a customer enquires about lodging a complaint, the staff member who deals with the inquiry will advise the customer that there are several channels through which to do so:

on the form on the EHP website;

via email to [email protected];

in a letter or email to the Department;

at an office of EHP; or

orally to an EHP officer, either by telephone or face-to-face.

mailto:[email protected]


More information on these complaints channels is provided below. Additional assistance is provided to people who are disadvantaged in any way, including by disability, education or language, such as documenting details of the complaint and lodging it on behalf of the complainant if needed. If the complainant is deaf or has a hearing impairment, they may be referred to the National Relay Service, telephone 133 677 (TTY/Voice)/1300 555 727 (Speak and Listen (SSR)). Where English language assistance is required, the complainant is informed regarding the following options and an interpreter or translator arranged if appropriate:

Telephone Interpreters – Translators and Interpreting Service (TIS) National. TIS National is available 24

hours a day, 7 days a week, and is accessible from anywhere in Australia for the cost of a local call on 131

450.

Directory of Accredited Practitioners of Translating and Interpreting – National Accreditation Authority for

Translators and Interpreters. NAATI Hotline 1300 557 470 within Australia.

Translators and interpreters can be found in the Yellow Pages.

Receiving complaints Complaints can be lodged through a variety of channels as outlined below. Staff should encourage complainants to provide as much information as possible to assist the department to effectively investigate and resolve the complaint.

Internet Complaints can be lodged using the complaint form on the EHP website at: http://www.ehp.qld.gov.au/contactus/feedbackform.php?type=complaint The department’s website has been designed and developed to ensure its content, including information about the complaints process, is available to as many users as possible, including:

people with disabilities who use assistive technologies;

those with slower internet connections or less than state-of-the-art equipment;

rural and regional users; and

those with non-PC internet devices including hand-held devices and mobile phones.

Complaints submitted via the internet complaint form are automatically forwarded to Client Engagement Unit (CEU). An initial web-generated acknowledgement is sent upon successful submission of complaints via the internet. CEU is responsible for registering the complaint in the Ministerial and Executive Correspondence System (MECS). Email/letter Complaints can be sent by email to: [email protected]. CEU monitors that email address and is responsible for registering complaints received in MECS. Complaints can also be received via email or letter direct to the Minister, Director-General or to a departmental officer. The business area that receives a complaint through either of those channels (Ministerial and Executive Correspondence Unit for Ministerial correspondence) is responsible for registering the complaint in MECS. Letters must be date stamped to indicate the initial date of receipt by the department.

http://www.ehp.qld.gov.au/contactus/feedbackform.php?type=complaint

mailto:[email protected]


Face-to-Face inquiries Complaints can be made in person at any EHP office. If it is decided that the complaint is sufficiently substantive that it warrants recording (after applying the principles outlined in the section above on Assistance to potential complainants), the client is to be advised that the complaint can be lodged via the internet, email or letter. If the customer prefers to lodge the complaint orally, staff of the EHP office to which the complaint is made must record the complaint and arrange for it to be registered in MECS. Upon recording the complaint, the contents must be read to the complainant to confirm it has been captured correctly. A staff member in the field who is approached about a complaint will provide the complainant with the options outlined above. Telephone inquiries Complaints can be made to EHP by telephone. Telephone complaints made to the department’s general enquiry telephone number (13 74 68 (13QGOV)) will be registered in MECS by the Client Engagement Unit. Telephone complaints received at an EHP office that warrant recording (after applying the principles outlined in the section above on Assistance to potential complainants) will be registered in MECS by staff of the EHP office that receives the complaint. Upon recording a complaint received via telephone, the contents must be read to the complainant to confirm it has been captured correctly.

Recording complaints All complaints that warrant recording must be recorded in MECS (incorporating the associated complaint information (the metadata)) Details on the use of MECS to record details of the complaint and progress of the management of the complaint are given in Appendix 4.


All complaints that are within the scope of the Complaints Management Policy are recorded in MECS within one business day of receipt by the CEU or the relevant business area. Complaints will be recorded according to the following classifications:

Classification Description Service delivery A complaint relating to how a service is provided including timeliness, quality or cost of

the service.

Staff conduct A complaint about an administrative decision and/or the behaviour of a staff member when providing a service.

Administrative decision A complaint about a decision made by an EHP officer when providing a service.

Policy /procedure A complaint about the process followed to provide a service.

Statutory A complaint about a decision/action that is covered by a process provided for outside this policy

A single complaint may involve issues that fall within two or more classifications and can be recorded accordingly. Statutory/pre-existing complaints must be referred immediately to the area responsible for administering that process. All recorded complaints must be evaluated against the EHP Complaint Management Framework (refer to Appendix 1) and then dealt with using the appropriate procedure. In summary, complaints are entered into MECS and then referred to the responsible manager for action in accordance with the process shown below.


8. Step 2: Internal assessment and resolution

Complaints are initially assessed by the responsible division or region in terms of severity, safety implications, complexity and the need and potential for immediate action.

Privacy and confidentiality are to be observed throughout the complaints process and information disclosed only in accordance with the Information Privacy Act 2009.

Assessment Principles To ensure complaints are addressed consistently and appropriately, they are to be classified by complexity (refer table below). Standard ministerial response times and processes will continue to apply to complaints received through ministerial correspondence or contact. Otherwise, complaints will be resolved within the timeframes applying to the complexity categories:

Classification Description Responsible Manager level

Timeframe

Simple A complaint that can be resolved at the point of service (such as a routine service delivery issue that is unlikely to reflect a systemic problem)

Local (e.g. Manager/ supervisor)

Resolved immediately at point of service

Standard A complaint that raises a more complex issue that is relatively uncontentious

Middle (e.g. Director/ District Manager)

Resolved within 30 working days of receipt

Complex A complaint that raises multiple issues and/or is serious in nature and/or reflects systemic issues and is likely to require an extensive investigation

Senior (e.g. Executive Director/Regional Director or higher if warranted)

Resolved within 70 working days of receipt

A Responsible Manager at the level appropriate to the complaint classification must decide how it is to be addressed. This decision must be made in sufficient time to allow the timeframes specified in the Resolution Process (below) to be met. The apparent nature (and particularly the relative complexity and/or contentiousness) of the issues that are the subject of the complaint is a relevant consideration when determining the amount of resources and degree of formality to be applied to addressing the complaint. For example, a complaint classified as Complex will almost invariably necessitate the appointment of:

a Complaint Coordinator to be responsible for managing the complaint and preparing recommendations; and

a more senior Decision Maker to consider those recommendations and decide the complaint.

Conversely:

while it is preferable that a Complaint Coordinator and a Decision Maker be appointed to deal with a Standard

complaint, the Responsible Manager can exercise greater discretion as to whether that is justified given the

circumstances applying to the particular case; and

a complaint classified as Simple will likely only require a Complaint Manager to deal with the matter relatively

expeditiously.

Complaints are to be dealt with impartially and objectively. For Complex complaints, a Complaint Coordinator and a Decision Maker who have had no prior involvement in the decisions or actions that are the subject of the complaint should be appointed. This principle can be applied less rigidly in lower classified cases as client responsiveness may play a more important role. For example, it may be appropriate for a Complaint Manager with prior involvement to resolve a Simple complaint. If, in the course of dealing with a complaint, evidence comes to light that indicates the complaint should be reclassified and the approach adopted for dealing with the matter should be revisited, the complaint should be referred to the Responsible Manager for reconsideration.


Resolution Process The process used to resolve a complaint is summarised in the following diagram.

The Complaint Coordinator must undertake a preliminary assessment of the matter within five business days of receipt of the complaint (and earlier if possible, particularly for less complex or contentious complaints). If that assessment indicates the complaint should not be dealt with (see Refusing to investigate a complaint section below) the matter must be referred immediately to the Responsible Manager for determination. Conversely, where it has been determined that the complaint is to be dealt with, the Complaint Coordinator must contact the complainant to acknowledge the complaint if the matter cannot be resolved within five business days. Complainants should be contacted by their preferred method of contact if indicated, i.e. via telephone, email or letter. This contact should be recorded in MECS. It may be possible for the Complaint Coordinator to contact the complainant to explore options for an informal resolution by, for example, providing information to the complainant or explaining the relevant legislation. If informal resolution is successful, the Complaint Manager must record an appropriate comment in MECS and finalise the complaint. All complaints that cannot be resolved informally are investigated and remedy options explored. The resulting investigation report and process will involve:

contacting the complainant to ascertain further information (if necessary);

where appropriate, identifying relevant legislation, departmental policy and other sources of information;

recording all relevant information obtained during the process;

where the circumstances require, ensuring that natural justice is applied throughout the process;

ensuring any findings and recommendations are defensible;

advising the complainant of the outcome;

providing adequate reasons for the decision; and

providing options for internal/external review of decision.

Where a complaint is lodged against a third party which provides services or transacts business on behalf of the department, the relevant business unit will liaise directly with the third party and examine options to promptly resolve the complaint, consistent with established contractual arrangements, service standards and applicable legislative provisions.


The progress of the complaint, its resolution and response must be monitored within the division or region to avoid unnecessary delays and ensure that service standards are met. MECS provides a mechanism to set due dates and monitor progress. If a response cannot be provided within the timeframe, the complainant is updated on the status of the complaint and advised of the anticipated timeframe for response. Should any further delays in resolving the complaint occur, the reasons are also communicated to the complainant. Remedies When a complaint is considered justified, an appropriate remedy should be determined taking into consideration:

the available options including any remedies that are provided in relevant legislation;

the outcome sought by the complainant; and

the degree of detriment to the complainant.

Possible remedies could include (alone or in combination):

acknowledgement of an error made;

apology;

change of decision;

change of policy, procedures, practice or product;

compensation or financial assistance;

correction of misleading or incorrect records;

explanation of how and why the problem occurred and what steps the department is taking or has taken to

avoid it recurring;

provision of information or technical assistance;

repair/rework;

provision of a substitute product or service; or

any other remedy appropriate to the circumstances.

All remedies must be approved by a person with the appropriate level of authority/delegation. Communication The complexity of the matter complained about must inform any subsequent communication made in responding to the complainant. Where a verbal response is provided to a complainant, the Complaint Coordinator must record an appropriate comment in MECS. In those cases in which the complaint is not resolved at the point of service, a written response must be provided to the complainant. In most instances, the response should, to a level of detail appropriate to the circumstances:

explain the process undertaken to investigate the complaint;

examine in detail the issues raised in the complaint;

identify the action/s which could be taken by the department to resolve the complaint;

include the reasons for the proposed resolution action/s; and

inform the complainant of the internal review process if appropriate.

The Decision Maker and/or the Complaint Coordinator ensures that, where appropriate, staff members who are the subject of the complaint or are otherwise involved with or affected by the matter are also informed of the outcome. Recordkeeping The Complaint Coordinator keeps accurate records documenting actions taken in response to a complaint in the department’s official recordkeeping system. These records include:

correspondence sent and received;

evidence of the process used to consider the complaint;

records of meetings, telephone conversations and interviews;

findings from an investigation; and


recommendations and approvals.

The complaint records must be available to officers appropriately authorised to conduct internal and external reviews (subject to any restrictions imposed by the Information Privacy Act 2009 or confidentiality). Unreasonable complainant conduct Unreasonable complainant conduct may include:

frequent and lengthy telephone calls, which occupy significant staff time and/or other resources;

frequent letters, emails, faxes or visits seeking resolution to a wide range of issues beyond the scope of the

original complaint or before the decision due date;

seeking information, advice or resolution from a variety of staff about the same issue; or

any contact which involves abusive or threatening language used by the complainant.

In these circumstances, the responsible manager may need to consider the department’s duty of care to its staff and the appropriate use of resources and decide on a case-by-case basis if it would be appropriate to limit the complainant’s contact with the department. That decision can take a number of forms, including:

restricting the times for and/or frequency of contact;

designating a single officer with whom the complainant may have contact, such as a manager; and/or

nominating the acceptable form of contact; for example, written communication only.

A decision to limit a complainant’s contact with the department is communicated to the complainant in writing by the responsible senior executive. The above actions may also be appropriate when a person continues to contact the department after feedback has been provided about the complaint and all avenues of review have been exhausted. Complainant conduct which involves violence or aggression should be managed in accordance with relevant human resources policies and/or procedures. Deciding not to investigate a complaint under this procedure There are circumstances in which it is appropriate not to investigate a complaint under this procedure. They include:

the department is not the correct agency to address the concern (to which the complainant must be referred) ;

there is an existing right of appeal or review available to the complainant (to which the complainant must be

referred);

the matter is currently being addressed, or has already been adequately addressed, by an external agency,

court or tribunal; or

the matter has been previously investigated and all review options have been exhausted.

Refusing to investigate a complaint The department can refuse to investigate a complaint because:

the complainant does not have sufficient direct interest in the issue;

the resources required to handle the complaint are disproportionate to the likely outcome, and the matter

cannot be addressed through less resource-intensive means;

it is impractical to investigate a matter due to the length of time that has passed since it occurred; and

after assessment, the complaint is determined to be trivial, frivolous or vexatious or is not made in good faith.

Refusing to deal with a complaint is a serious decision that should only be made after considering all reasonable options for addressing the issue. Marginal cases, in terms of the substance of the complaint or the decision to investigate, must always be decided in favour of the customer, such that the complaint is not refused. When the investigation of a complaint has been refused, the customer may pursue the issue through other means, such as by lodging the complaint with the Office of the Queensland Ombudsman. A complaint that may qualify for refusal on any of these grounds must be referred to local management for resolution. If the manager to whom a complaint is referred has any doubts about the appropriateness of refusing the complaint, the issue must either:


not be refused; or

referred to a more senior manage for consideration and decision.

Business and Professional Services is available to assist managers tasked with deciding if a complaint should be refused.

9. Step 3: Internal Review

A complaint that has not been resolved to the satisfaction of the complainant may be subject to an internal review in a further attempt to provide a satisfactory resolution. An internal review should be offered to a complainant if it would be reasonable to undertake a review of the matter by another decision maker, or where a specific review mechanism is available under the relevant policy.

Complainants are advised if any internal review process is available, the position title and contact details of the relevant Executive Management Team ( EMT) member to whom a review request should be sent, and that review requests must be received by the department within 20 business days of the advice of the decision being sent to the complainant.

The business area arranges for an internal review request to be recorded in MECS as a new CTS No. with any related and/or linked items attached in the “Related Correspondence” tab.

The relevant EMT member designates an internal reviewer or conduct an internal review of the complaint as considered appropriate. The internal reviewer will be a senior officer or senior executive service officer (or equivalent level).

To promote independence in the internal review process, the internal reviewer should:

be unbiased and have no conflict of interest in relation to the matter

have had no previous involvement in the matter ;

be more senior than the complaint decision maker ; and

have the necessary expertise to deal with the matter or be able to access appropriate advice.

The focus of the internal review is a fresh consideration of the process used to investigate the original complaint and the merits of the original decision, together with consideration of any new information submitted by the complainant or identified by the internal reviewer.


The internal reviewer will:

assess the request to determine whether it meets the criteria for internal review ; and

conduct the internal review and advise the complainant of the outcome in writing within 20 business days of receipt of the review request by the department.

In the response to a complainant following an internal review, the option to have the complaint reviewed by the Queensland Ombudsman is outlined.

10. Step 4: External Review

If a complainant remains dissatisfied after the Internal Review stage, they may have the right to pursue the issue with the Queensland Ombudsman. Further, if the outcome of the internal review constitutes a decision of an administrative character (including a failure to make a decision) for the purposes of the Judicial Review Act 1991, the complainant may have standing to apply to the Supreme Court to have the decision subjected to a Statutory Order of Review, and also to seek a Statement of Reasons explaining the decision. Any issues arising under the Ombudsman Act 2001 or the Judicial Review Act 1991 are dealt with on a case-by-case basis. Officers from Business and Professional Services, Corporate Services are available to assist with any issues relating to the Ombudsman, while In-House Legal (based in the Department of Natural Resources and Mines) is responsible for addressing issues that arise under the Judicial Review Act 1991.

11. Step 5: Monitor, review and report

Monitoring effectiveness

MECS is used to provide senior managers of divisions and regions with information on the effectiveness of the Complaints Management system, including the number and nature of complaints received and the time taken to resolve complaints. Senior managers should ensure that action is taken to address any adverse issues or trends identified through complaints and continually improve the department’s products and service delivery, where appropriate.

Statistical data on complaints, including the number of complaints received and the resolution timeframes are included in the department’s quarterly performance reports to the EMT.

A separate, more detailed quarterly report is provided to each EMT member for analysis. This report includes sufficient detail to enable identification of areas for improvement.

12. Related documents

EHP Customer Complaint Management Policy EHP Information Privacy Compliance Policy & Information Privacy Complaint Management Procedure Code of Conduct; Appropriate Behaviour Policy; Investigation and Discipline Procedure Corrupt Conduct Management Policy and Procedure Public Interest Disclosure Policy and Procedure Employee Complaints Management Policy and Procedure Ombudsman’s Inquiries and Complaints Procedure

13. Further information

For further information, please contact the Executive Director, Governance and Strategy, telephone 3330 5747.

14. Storage of information

All information relating to customer complaints will be stored in MECS.

15. Review

This policy will be reviewed two years after the date of approval


16. Approval

Signed: Signed ………………………..…………..……………………… Jon Black Director-General, Department of Environment and Heritage Protection Date: 10 December 2014

17. Version history

Date Version Action Description / comments

21 August 2012 0.1 EHP procedure under development

27 August 2012 0.2 Incorporating feedback from A/ED G&S (Steve Armstrong) and Team Leader Client Engagement Unit.

31 August 2012 0.3 For consultation

28 September 2012

0.4 In new, approved template incorporating feedback from Corporate Comms.

23 November 2012

1.0 For approval.

December 2014 2.0 Policy review Policy restructured and updated

18. Keywords

Customer; complaint; dissatisfaction; services; customer service.

Appendix 1 - EHP Complaint Management Framework

Customer complaints - EHP products and services

Customer complaints – breaches of

privacy

Employee misconduct complaints

Employee corrupt conduct/Public

Interest Disclosures

Other complaints Employee

complaints

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Def

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Rel

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olic

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pro

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Customer expression of dissatisfaction about EHP services, products, decisions or actions of staff

Expression of dissatisfaction relating to a breach in respect of privacy information

EHP Information Privacy Compliance Policy & Information Privacy Complaint Management Procedure

Director, Executive Services, Governance and Strategy

Workforce Relations and Safety, Corporate Human Resources

Principal Project Officer, Privacy and Proactive Disclosure Services, Governance and Strategy

Client Engagement Unit, Corporate Communications

Code of Conduct; Appropriate Behaviour Policy; Investigation and Discipline Procedure

Corrupt Conduct Management Policy and Procedure; Public Interest Disclosure Policy and Procedure

Employee Complaints Management Policy and Procedure

Refer to the EHP Internet Complaints page

Customer Complaints Management Policy and Procedure

Employee conduct that contravenes the expected behaviours of the Code of Conduct

Employee conduct that meets the Crime and Corruption Commission definition

Examples include: employment circumstances; a decision or action perceived as unfair, workplace harassment

Examples include: wildlife or environment regulation/legislation

Manager, Supervisor, or Human Resources

Refer to the EHP Internet Complaints page


Appendix 2

Definitions and glossary of terms Corrupt conduct means conduct of a current or former public service employee, that (1.) directly or indirectly adversely affects, or could adversely affect, the performance of functions or the exercise of powers of: (i) a unit of public administration; or (ii) a person holding an appointment; and (2.) directly or indirectly results, or could result, in the performance of functions or the exercise of powers mentioned above in a way that:

(i) is not honest or is not impartial; or (ii) involves a breach of the trust placed in a person holding an appointment, either knowingly or recklessly; or (iii) involves a misuse of information or material acquired in or in connection with the performance of functions or the exercise of powers of a person holding an appointment; and

(3.) is engaged in for the purpose of providing a benefit to the person or another person or causing a detriment to another person; and (4.) would, if proved, be: (i) a criminal offence; or (ii) a disciplinary breach providing reasonable grounds for terminating the person’s services, if the person is or were the holder of an appointment. (adapted from s15, Crime and Corruption Act, 2001)

Complainant - Person or organisation making a complaint.

Complaint - An expression of dissatisfaction made to the department by a customer about the services, service delivery, products, decisions or actions of the department or its staff that is of sufficient substance warranting recording.

Complaints management system - The policy, procedures, personnel and technology used by the department to receive, record, respond to and report on complaints.

Customer – A person, company or organisation with whom the department has dealings. This term includes clients and stakeholders. Public interest disclosure – In accordance with the Public Interest Disclosure Act 2010:

A public officer may make a disclosure about:

(a) the conduct of another person that could, if proved, be -

(i) corrupt conduct; or

(ii) maladministration that adversely affects a person's interests in a substantial and specific way; or

(b) a substantial misuse of public resources (other than an alleged misuse based on mere disagreement over policy that may properly be adopted about amounts, purposes or priorities of expenditure); or

(c) a substantial and specific danger to public health or safety; or

(d) a substantial and specific danger to the environment.

Any person may make a disclosure about:

(a) a substantial and specific danger to the health or safety of a person with a disability; or

(b) a substantial and specific danger to the environment; or

(c) a reprisal.

MECS – Ministerial and Executive Correspondence System, the application used in EHP to record, monitor progress and report on Complaints.


Appendix 3

Responsibilities

Director-General:

Ensure the establishment and maintenance of a departmental system to comply with Public Service Commission Directive – Complaints Management Systems.

Deputy Directors-General, Assistant Director-General:

Ensure that the complaint management policy and procedure is followed within each division and region.

Ensure the timely and effective resolution of complaints in accordance with the complaints management policy.

Designate an internal reviewer or conduct an internal review of a complaint as considered appropriate.

Ensure that appropriate action, including preventative action where warranted, is taken to address sources of complaints, adverse issues and trends identified and foster continuous improvement.

Executive Directors, Directors (as appropriate):

Allocate sufficient resources to ensure the complaints management process is effectively administered, including the assignment of specific roles and responsibilities to staff as appropriate.

Ensure that staff with roles in handling complaints are provided with appropriate information, training and include expectations/performance indicators in their Professional Development Plan.

Refer allegations of misconduct, immediately to the Manager, Workforce Relations and Safety, Human Resources, for assessment (if not already identified and referred).

Ensure that the Ministerial and Executive Correspondence System (MECS) is used to manage and action complaints.

Provide an initial assessment of each complaint in terms of severity, safety implications, complexity and the need and potential for immediate action.

Designate an appropriate complaint manager and complaint decision maker that have not had prior involvement in the complaint matter.

Monitor the progress of resolution and responses to complaints to ensure service standards are met.

Ensure that the approved resolution actions are implemented.

Monitor, analyse and review complaints data to identify trends, impacts and timeliness of responses. Report any identified trends or relevant information to the Principal Project Officer, Accountability Services, Governance and Strategy.

Ensure that appropriate action, including preventative action where warranted, is taken to address sources of complaints, adverse issues and trends identified and foster continuous improvement.

Complaint coordinators:

Use MECS to record, manage and action complaints.

Acknowledge complaints within five business days of receipt by the division or region (if the matter cannot be resolved within this timeframe).

Liaise with complainants as necessary to obtain further information and provide advice regarding the progress of complaints.

Recommend the resolution and response for each complaint to the complaint decision maker. Complaint decision makers:

Ensure that complaints are managed and investigated in accordance with the Customer Complaints, Management Policy and Procedure.

Ensure impartiality by having had no prior involvement in the complaint matter

Ensure that natural justice is applied throughout the complaints management process, where required.

Approve the resolution and response for each complaint.

Advise the complainant of the outcome of the complaint and any reasons associated with the actions taken in relation to the complaint.


Internal reviewers:

Conduct the internal review and advise the complainant, in writing, of the outcome and associated reasons within 20 business days of receipt of the review request by the department.

All staff:

Deal with matters raised by customers at the appropriate level in the first instance in order to minimise formal complaints.

Inform customers of the processes for lodging and managing complaints.

Provide any reasonable assistance needed to enable customers to lodge complaints.

Encourage complainants to submit complete information regarding their complaints.

Maintain appropriate privacy and confidentiality of complaint information.

Record and submit oral complaints received at EHP publically accessible offices or via telephone using the complaint form on the department’s website.

Respond to complaints in a timely manner in accordance with this procedure. Client Engagement Unit:

Receive oral complaints lodged via the department’s general enquiry telephone number and written complaints lodged via the department's website, handwritten complaint form, email or letter.

Conduct an initial assessment of each complaint to classify the complaint and to determine the appropriate business area to deal with the complaint.

Refer allegations of misconduct immediately to the Manager, Workforce Relations and Safety, Human Resources, for assessment.

Refer allegations of corrupt conduct or Public Interest Disclosures to the Director, Executive Services, Governance and Strategy.

Ensure that information regarding each complaint (other than matters referred to Workforce Relations and Safety) is recorded in MECS and the complaint is referred to the appropriate business area for action within one business day of receipt by the Client Engagement Unit.

Refer matters which are outside the scope of the EHP Complaints Management Policy to the relevant division or region for appropriate action.

Manager, Workforce Relations and Safety, Human Resources:

Conduct an assessment of allegations of official misconduct, other misconduct, or public interest disclosures.

Refer suspected corrupt conduct or public interest disclosures to the Director, Executive Services, Corporate Services for appropriate action.

Investigate other allegations of misconduct of a serious nature for management by the Executive Director Human Resources, Corporate Services.

Refer misconduct of a less serious nature back to the CEU to be dealt with as a complaint. Executive Director, Governance and Strategy, Corporate Services

Provide quarterly statistical reports on complaints management to senior management.

Prepare complaints data for inclusion in the department’s annual report.

Periodically monitor and review the implementation of the complaints management policy and procedure to ensure their effectiveness.

Principal Project Officer, Accountability Services, Governance & Strategy:

Act as the liaison between the Queensland Ombudsman's office and departmental staff in relation to complaints referred to the department by the Ombudsman.


Appendix 4 Procedure for Adding Complaints to MECS Officers who receive a complaint Any complaint lodged with the Department should be recorded and managed on the Ministerial and Executive Correspondence System (MECS) - see Customer Complaint Management Policy and Procedure. See MECS User Instructions for MECS User Manual and other information on using MECS. Registering a complaint on MECS can only be performed by officers with higher level MECS access. These are normally correspondence officers or Executive Assistants to Senior Officers. For a full list of these officers go to this webpage - MECS Contact Officers. To record a complaint on MECS, send details of the complaint to the relevant officer in your Business Area who is responsible for adding complaints to MECS. Officers with responsibility for recording a complaint on MECS To ensure officer with responsibility to manage a complaint are aware of the full circumstances relating to the complaint, it is important to perform a search on MECS to discover any relevant information. This should be done prior to recording the complaint on MECS. If anything is discovered that may be relevant, these items can be related to the complaint. This will assist the complaint manager to determine how best to manage the complaint based on who in the department has had previous dealings with the same client or on the same topic and to determine the nature of previous dealings with the client and/or how this compares with dealings with other clients on the same issue. To research past dealings, go to the home page of MECS (http://mecs2/Mincor4/) and select from the top toolbar. It is possible to search on any of the available fields by entering the required information and clicking on

(menu on the left hand side of the screen). Examine and note any relevant MECS items so that you can relate them to the new MECS item you are about to create (do this in the Related Correspondence area at the right of the screen). Registering a new Complaint on MECS

From the MECS home page, select

Select the appropriate Security Classification suitable for the type of complaint received. Click on to lock in this CTS No. Select an appropriate Action Type (typically Complaint for Action for standalone complaint or other action type if complaint received in documents that relates to some other purpose, eg ministerial requests). This will make available other Complaint metadata in the General Details folder that will need to be completed. Complete these fields as appropriate. (Note: If a complaint has already been actioned, change the Action Type to Actioned Complaint, insert metadata as described below, attached all relevant material including original complaint and report / reply, and finalise the MECS item.)

http://intranet.ehp.govnet.qld.gov.au/governance/correspondence/mecs.html

http://intranet.ehp.govnet.qld.gov.au/governance/correspondence/mecs.html

http://intranet.ehp.govnet.qld.gov.au/governance/correspondence/mecs-contacts.html

http://mecs2/Mincor4/


Enter other metadata associated with the complaint as required. Minimum data requirements include

Concerning- detailed description of subject matter of complaint eg Complaint \ staff conduct

Client– enter name of person/s lodging complaint

Locality – determine the locality that best indicates where the issue relates to

Dated – enter the date of the complaint

Received – enter date you received the complaint

Business Area - enter the Business Area responsible for the complaint

Executive Contact - select the generic email account for the responsible Business Area (generally the corro account associated with that Business Area)

Template – select Complaint Acknowledgement Letter

Due date - automatically defaults to appropriate due date (set for 10 working days however date can be manually changed if required sooner or later)

Acknowledgement Details – enter the following in Reply to Name, Reply to Address and Regarding fields (will insert these details into the template when the officer responding to the complaint opens the template)

Select to save the metadata entered above Attaching the complaint to MECS

Go to (top right) and click to open the Attach a Document screen.

Select an Attachment Type and Sub Type from the drop-down list eg Complaint and then Web/Email/Letter

Click Browse to locate your saved document. Double-click on the file path to populate the File to Attach field

Enter an Optional Comment if required

Do not use symbols when saving files or adding comments (i.e. no & : , -)

Click Add to add the attachment to the item. You will return to the Document List screen where the attachment will appear in the Attachments List

Repeat the steps for each attachment

Select Exit to exit the document list and return to the main MECS item screen Adding a comment to MECS

Enter the comment below in the field. The attached complaint has been received and registered in accordance with the department’s complaints management policy and procedure. The procedure requires the business unit to designate a complaint manager and contact the complainant to acknowledge the complaint within 5 business days of the complaint being received by the department. An acknowledgement template is attached. All complaints are to be treated with priority and a response provided to the complainant within a maximum of 30 business days of the receipted complaint for standard complaints and 70 business days for complex complaints that raise multiple issues. Please record all contact with the complainant in MECS.

Comments can also be made at any stage of the process. Enter the comment and click to record this in the comment history. Allocating the Complaint

Click the button to choose the generic corro account or officer for the Business Area you wish to send the item to.

Click when ready to allocate request. This will generate an email to the selected officer / Corro account for their action.


Officers who are responsible for managing a complaint Once a complaint has been recorded on MECS it will be allocated to a responsible officer for investigation and/or reply. Upon receipt of a MECS email, officers should access the relevant details on MECS through the link provided in the MECS email. Officers need to simply follow the advice provided in the email and associated guides. Upon completion of the investigation the officer responsible for managing the complaint should respond to the complainant. All replies, contact with complainant, reports any other relevant information relating to the complaint investigation should be loaded into the attachments area on the MECS item created above. Once all relevant information has been stored in the attachments area on MECS then the MECS item can be finalised – see high level user who created the item.

http://intranet.ehp.govnet.qld.gov.au/governance/correspondence/mecs-manual-guides.html


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Documents

CHC/2013/316 Customer Complaints Management Procedure · Customer Complaints Management Procedure Effective date: ... the complaint in MECS. Letters must be date stamped to indicate