Complaints Management Procedure

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Customer complaints managementprocedure

Security classification: PUBLIC

Reference number: DSITI:PRO:002P Policy owner: Chief Change and Operations Officer

Contact officer: Integrity Services Officer 07 3719 7986 [email protected]

Version Effective Date Approved by Next review date

2.2 18 February 2016 Manager, Legal, Information and Integrity October 2017

Table of Contents

1 Associated policy ................................................................................................................... 2

2 Complaints management guiding principles ........................................................................... 2

3 Procedure .............................................................................................................................. 2

3.1 Complaint received ....................................................................................................... 2

3.2 Complaint assessed ..................................................................................................... 3

3.3 Customer complaint investigated .................................................................................. 4

3.4 Customer complaint finalised ........................................................................................ 5

4 Continual improvement and accountability ............................................................................. 6

4.1 Continual improvement ................................................................................................. 6

4.2 Accountability ............................................................................................................... 6

5 Responsibilities ...................................................................................................................... 7

6 Definitions .............................................................................................................................. 8

7 References .......................................................................................................................... 10

8 Licence ................................................................................................................................ 11

Attachment 1: Complaint form ....................................................................................................... 12 Attachment 2: Minimum data required to be held in electronic complaints register ........................ 13

Attachment 3: Customer complaint levels ..................................................................................... 14

Attachment 4: Divisional complaints coordinators ......................................................................... 15

Attachment 5: Complaint management contacts flowchart ............................................................ 16

Attachment 6: Business improvement opportunity template .......................................................... 17

Attachment 7: Suggested quarterly reporting template.................................................................. 18

mailto:[email protected]





Legal, Information and Integrity Security classification: PUBLIC

1 Associated policy

This procedure should be read in conjunction with the Customer complaints management policy.

Consult the definitions (refer to section 6 Definitions) for key terms such as ‘customer complaint’.

2 Complaints management guiding principlesThe Department of Science, Information Technology and Innovation (DSITI) will manage complaints

in line with the Customer complaints management policy guiding principles derived from the

Australian Standard AS ISO 10002-2006 Customer satisfaction – Guidelines for complaints

handling in organizations. The principles provide the basis to ensure DSITI manages complaints in

a responsive, efficient, effective, fair, and economical way.

3 Procedure

This procedure is designed to support business areas to manage customer complaints about the

service or actions of DSITI or its employees and is based on a staged approach (refer to Figure 1).

Figure 1. Complaints handling process.

This procedure does not apply to customer complaints that are managed by other mechanismssuch as service level agreements.

Where a complaint involves, or may involve, corrupt conduct by the Director-General, consult the

Policy on complaints involving the Director-General for further details.

3.1 Complaint received

A complaint may be received by DSITI from internal or external sources (e.g. the public, customers,

clients, and departmental employees) and may be received in person, via email, fax, online, over

the phone, or mail.

If a complainant does not specifically state they wish to lodge a formal complaint with DSITI, clarifythe complainant’s concerns/issues before proceeding further.

Complainants are encouraged to provide a reasonable level of information to DSITI when making a

complaint, to facilitate the timely assessment and conclusion of the matter. Details of the complaint

can be captured in the Complaint form (refer to Attachment 1). Alternatively, complaint details can

be entered directly into a local version of an electronic complaints register (refer to Attachment 2).

When collecting personal information, the complainant must be provided with the following privacy

notice:

The department is collecting your personal information for the purpose of assessing and

resolving your complaint. Your personal information will be disclosed within the

department only as necessary for the management of your complaint. Your personal

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Complaint

received

Complaint

assessed

Complaint

investigated

Complaint

finalised

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Security classification: PUBLIC Customer complaints management procedure

details will not be disclosed to any other third party or used for any other purpose

without your consent, unless authorised or required by law.

Reasonable assistance is to be provided to complainants such as providing an interpreter if the

complainant is unable to speak or write English, or is hearing or visually impaired. The costs for

arranging reasonable assistance will be met by the business area to which the complaint relates. Nocomplainant will incur a fee when accessing DSITI’s complaints handling process.

The department will manage complaints in a timely manner and as specified in the Customer

complaint levels table in Attachment 3. From time to time, complaints may require extended

timeframes. Under these circumstances the complainant should be advised and provided with

progress reports as required.

If you are unsure of any aspect of the complaints handling process, please contact your divisional

complaints coordinator listed in Attachment 4.

3.2 Complaint assessedWhen a complaint is confirmed, assess its applicability and consider if it is covered. The Complaint

management contacts flowchart in Attachment 5 provides guidance on where to refer complaints.

To establish the customer complaint level (refer to Attachment 3), consider the following:

• what outcome the complainant is seeking

• whether the complaint is impractical, frivolous or made vexatiously

• whether there is an alleged or apparent abuse of power

• the seriousness and significance for the department

• the time that has elapsed since the incident occurred

• whether it involves the broad public interest

• whether the resources required to investigate the matter would be disproportionate to the

complaint’s significance and likely outcome

• what remedies are available and whether investigation could lead to improvements in agency

processes.

Customer complaints may be addressed at one of three levels. Level 1 complaints are to be

actioned by departmental employees or local managers. Level 2 complaints are to be actioned by

the divisional complaints coordinators in consultation with the business area head or delegate.

Level 3 complaints are to be actioned by Legal, Information and Integrity.

Level 1, 2 and 3 customer complaints should be acknowledged within five business days.

Departmental employees are responsible for advising the complainant of:

• the complaint reference number

• the name and phone number to contact while the complaint is being assessed

• an expected timeframe for assessment and response

•

the privacy notice in section 3.1 (if not previously provided).

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The department has a zero tolerance towards complaints which are impractical, frivolous or made

vexatiously.

3.3 Customer complaint investigated

All customer complaints received will require some form of action to be taken. This may range fromchecking departmental records for a level 1 complaint through to a formal investigation for a level 3

complaint.

In more complex cases, investigating officers should:

• ensure they act within their power and understand their role and responsibilities

• establish a list of people to be interviewed and any files or locations to be inspected

• conduct interviews and inspect sites and documents

• gather and record information

• provide relevant information to those involved in the investigation

• give people an opportunity to comment on any adverse information before deciding whether to

act on it

• observe any legal requirements involved in making decisions

• research and apply any relevant law/legislation

• evaluate the evidence and make findings

• identify factors that contributed to the complaint arising

•

formulate recommendations• prepare a report clearly summarising the matter and results of the investigation, setting out

findings and recommendations.

The level of investigation should be consistent with the seriousness and impact of the customer

complaint.

The investigation process must be conducted fairly and objectively. Decisions should be made

based on the required standard of proof, i.e. on the balance of probabilities.

Confidentiality should be respected and maintained at all times within the constraints of the need to

investigate a customer complaint. This will be subject to any legal authorisation or requirements for

disclosure and consistent with the principles of natural justice.

Natural justice is a key element throughout the customer complaints management process and has

three main components:

1. The hearing rule – a decision-maker must receive and consider an affected person’s reply

before a decision is made.

2. The bias rule – the decision-maker must act in an impartial and unbiased manner.

3. The evidence rule – the decision-maker must have reasonable grounds or evidence upon

which the decision can be supported.

When a customer complaint is substantiated, the remedies offered must be fair to both the

complainant and the department. The remedy sought by the complainant is to be considered as the

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first option and informal resolution and compromise are to be attempted wherever possible.

Remedies should aim to restore the complainant to the position they would have been in had the

customer complaint not been necessary. Similar remedies are to be offered to other customer

complaints of a comparable nature.

Remedies may include:

• an admission/acknowledgement of fault (legal advice may be required prior)

• an apology

• a change of decision, policy, procedure, etc.

• compensation or financial assistance (e.g. refund, waiver of debt, etc.)

• the correction of misleading or incorrect records

• an explanation of how and why the problem occurred and what steps have been taken to avoid

it recurring

• a substitute product or service

• technical assistance.

When a customer complaint is unsubstantiated, where possible, the complainant should be advised

verbally prior to written advice being sent.

Written advice should be signed by an appropriately delegated officer and sent to the complainant

as formal advice of their customer complaint outcome.

3.4 Customer complaint finalised

Following the conclusion of an assessment or investigation, complainants are to be advised, as

soon as possible, of:

• the outcome of their customer complaint including adequate and well-articulated reasons for the

outcome

• any remedial action to be taken following the consideration of their customer complaint

• the avenues for review of decisions, outcomes and actions.

Level 1 and 2 complaints should be assessed and the complainant notified of the outcome in writing

within a maximum of 30 business days.

The timeframe to assess and action level 3 complaints should be determined on a case by case

basis.

Once the complainant has been notified of assessment or investigation outcomes, departmental

employees must record details directly into the electronic complaints register (refer to

Attachment 2).

Should a complainant be dissatisfied with how their customer complaint has been dealt with, they

can request their complaint be reviewed by DSITI. Internal reviews involve independent

departmental employees reviewing the process used to consider the customer complaint and/or the

merits of any decision or action taken. The review is to be undertaken by a departmental employee

who is independent of and no less senior than the original decision maker. Reviewing officers have

the authority to change prior decisions. If a complainant is dissatisfied with the internal complaints

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resolution process they may be referred to an external complaints-handling agency such as the

Queensland Ombudsman or the Office of the Information Commissioner.

4 Continual improvement and accountability

4.1 Continual improvement

Business improvement opportunities resulting from the customer complaints handling process are to

be forwarded to the appropriate business area/division for action. Divisional complaints coordinators

will complete the Business improvement opportunity template in Attachment 6 and follow up directly

with the relevant business area/division to ensure implementation.

Business improvement opportunities relating to compliance with the Information Privacy Act 2009

must be made in consultation with the Principal Right to Information and Privacy Officer in Legal,

Information and Integrity on 07 3719 7989 or [email protected].

All departmental employees must make and keep public records in accordance with the PublicRecords Act 2002 which contain all contact such as file notes, emails, meeting minutes, interviews,

etc. stored securely. The customer complaints file must also contain evidence of the methodology

used to consider the complaint along with explanations for actions taken.

Customer complaint files will be made available for internal/external review (subject to the

Information Privacy Act 2009 and the Right to Information Act 2009).

The Customer complaints management policy, this procedure, and their application, will be

reviewed annually to ensure they remain effective and appropriate tools for use by DSITI.

The department will ensure appropriate technological and other resources will be made available to

ensure the continual improvement of the customer complaints management system.

All departmental employees will be made aware of the suite of customer complaints management

documentation and their location on the department’s intranet and internet sites.

The divisional complaints coordinators in Attachment 4 will receive information and training on the

DSITI customer complaints management approach.

4.2 Accountability

Information from the electronic complaints register will be reported quarterly. Level 2 and privacy

complaints will be reported to the Quarterly Corporate Governance Forum, and level 3 complaints to

the Board of Management. Attachment 7 contains the suggested quarterly complaints managementreporting template.

Ad hoc information on complaints will also be provided to the Board of Management.

Information on customer complaints will be published on the department’s website by 30 September

each year, for the previous financial year, in compliance with Section 219A of the Public Service Act

2008.

Information relating to any disciplinary action taken and any proceedings brought for an offence

under the Information Privacy Act 2009 will be reported annually to the Minister responsible for

administering that Act.

DSITI will advise the Victim Service Coordinator of the outcome of complaints made by victims of

crime for entering into the Victim Assist Queensland complaints register.

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5 Responsibilities

Position Responsibilities

Board ofManagement/Corporate

Governance Forum

• Review and note information on complaints.

• Review and note level 2 and privacy complaints.

Chief Change andOperations Officer

• Determine level 3 complaint remedy in consultation with Legal, Information

and Integrity.

•

Business area heads /Divisional heads

• Determine level 2 complaint remedy in consultation with the divisional

complaints coordinator.

• Review and endorse level 2 complaints in the quarterly complaints

management report.

Legal, Information andIntegrity

• Act as liaison with divisional complaints coordinators.

• Facilitate determination of level 3 complaint remedy in consultation with the

Chief Change and Operations Officer.

• Manage and report on level 1, 2, 3, and privacy complaints.

Divisional complaintscoordinator

• Act as liaison between division and Legal, Information and Integrity.

• Determine level 2 complaint remedy in consultation with business area

head or delegate.

• Manage and report on level 1 and 2 complaints to Legal, Information and

Integrity.

Managers anddepartmental employees

• Determine level 1 complaint remedy in consultation with the divisional

complaints coordinator, where necessary.

• Manage and report on level 1 complaints to divisional complaints

coordinators.

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6 Definitions

Term Definition

Complaint A generic term referring to the expression of dissatisfaction, orally or in writing, about

the service or actions of an agency or its staff and includes a complaint received

through the Minister’s office. (Source: former Public Service Commission Directive13/06 Complaints Management Systems).

Corrupt conduct Conduct of a person, regardless of whether the person holds or held an appointment,

that –

a. adversely affects, or could adversely affect, directly or indirectly, the

performance of functions or the exercise of powers of –

i. a unit of public administration; or

ii. a person holding an appointment; and

b. results, or could result, directly or indirectly, in the performance of functions

or the exercise of powers mentioned in paragraph (a) 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

c. is engaged in for the purpose of providing a benefit to the person or another

person or causing a detriment to another person; and

d. 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.(Source: Crime and Corruption Act 2001).

Customer

complaint

(a) A complaint about the service or action of a department, or its staff, by a person

who is apparently directly affected by the service or action; and

(b) includes, for example, a complaint about any of the following –

i. a decision made, or a failure to make a decision, by a public service

employee of the department;

ii. an act, or failure to act, of the department;

iii. the formulation of a proposal or intention by the department;

iv. the making of a recommendation by the department;

v. the customer service provided by a public service employee of thedepartment. (Source: Section 219A of the Public Service Act 2008).

Departmental

employees

All officers and employees of DSITI whether their employment status is permanent,

temporary, contract, casual, volunteer and/or on secondment from another department

and contractors.

Divisional heads The most senior officers in charge of departmental divisions.

Electronic

complaints

register

A register of complaints as described in the Customer complaints management

procedure.

Frivolous Of little or no weight, worth, or importance. (Source: The Macquarie Dictionary).

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Term Definition

Fundamental

principles of

just ice

Principle 1 – Fair and dignified treatment

The victim (including, for this principle, a witness to an act of violence) will be treated

with courtesy, compassion, respect and dignity. Particular needs of the victim including

the victim’s age, sex, gender, race, cultural or linguistic diversity, sexuality, impairment

or religious beliefs will be taken into account.Principle 2 – Privacy of victim

A victim’s (including, for this principle, a witness to an act of violence) personal

information, including their address and telephone number, must not be disclosed to

any unauthorised persons.

Principle 3 – Information about services

The victim will be given timely information on relevant support services available to

them, including welfare, health, counselling, medical, legal help, financial assistance

and compensation to the extent that giving the information is relevant to the

department’s functions or is otherwise reasonable and practicable for the department to

give the information.

(Source: Victims of Crime Assistance Act 2009).

Impractical For the department, means that it would not be practical to investigate a complaint.

(Source: The Macquarie Dictionary).

Natural just ice It is important that staff members who are the subject of a complaint are afforded

natural justice. Natural justice requires decision-makers to be impartial and to act fairly.

The obligation to accord natural justice is one of the fundamental underpinnings of

government decision making. Natural justice is the right to be given a fair hearing, to

present one’s case and to have a decision made by an unbiased decision maker. It

consists of the hearing rule and the bias rule. The hearing rule provides that there is a

common law duty to act fairly in the making of administrative decisions which affect

rights, interests and legitimate expectations. The bias rule requires that a particular

decision-maker should not make a decision where the circumstances would lead to

reasonable doubt about their impartiality. You accord natural justice by ensuring that

you give the person an administrative hearing, which is most often accomplished by an

exchange of letters between the decision-maker and the person. The administrative

hearing must happen before the decision is made or a settled view is formed. The

person must be given a reasonable opportunity to respond, based on the complexity of

the material and the urgency of the decision. When considering the material and the

response, the decision maker must be impartial and give the submission genuine

consideration. (Source: www.oic.qld.gov.au).

Personal

informationInformation or an opinion, including information or an opinion forming part of a

database, whether true or not, and whether recorded in a material form or not, about an

individual whose identity is apparent, or can reasonably be ascertained, from the

information or opinion. (Source: Information Privacy Act 2009).

Privacy complaint A complaint by an individual about an act or practice of the department in relation to the

individual’s personal information that is a breach of the department’s obligation underthe Information Privacy Act 2009.

(Source: Information Privacy Act 2009).

Public Interest

Disclosure

Has the meaning given to the term in the Public Interest Disclosure Act 2010.

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Term Definition

Reprisal (1) A person must not cause, or attempt or conspire to cause, detriment to another

person because, or in the belief that:

(a) the other person or someone else has made, or intends to make, a public

interest disclosure; or

(b) the other person or someone else is, has been, or intends to be, involved in

a proceeding under the Act against any person.

(2) an attempt to cause detriment includes an attempt to induce a person to cause

detriment.

(3) a contravention of subsection (1) is a reprisal or the taking of a reprisal.

(4) a ground mentioned in subsection (1) as the ground for a reprisal is the unlawful

ground for the reprisal.

(5) for the contravention mentioned in subsection (3) to happen, it is sufficient if the

unlawful ground is a substantial ground for the act or omission that is the reprisal, even

if there is another ground for the act or omission.

(Source: Public Interest Disclosure Act 2010).

Vexatious For a person, intended to irritate, annoy, provoke, make angry.

(Source: The Macquarie Dictionary).

Victim A person who has suffered harm:

• because a crime is committed against the person

• because the person is a family member or dependant of a person who has died or

suffered harm because a crime is committed against the person, or

• as a direct result of intervening to help a person who has died or suffered harm

because a crime is committed against that person.

(Source: Victims of Crime Assistance Act 2009).

7 References

The requirements set out in this document are based on, and are consistent with, relevant

government legislation, regulations, directives, information standards and/or policies at the time of

publication.

Legislation and regulations

Crime and Corruption Act 2001

Information Privacy Act 2009

Public Interest Disclosure Act 2010

Public Records Act 2002

Public Service Act 2008

Right to Information Act 2009

Victims of Crime Assistance Act 2009

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Queensland Government documents

Code of Conduct for the Queensland Public Service

Public Service Commission Directive 02/14 Appeals

Public Service Commission Directive 13/06 Complaints Management Systems Queensland Procurement Policy

DSITI documents

Customer complaints management policy

Policy on complaints involving the Director-General

Employee complaints resolution policy and procedure

Fraud and corruption prevention policy, reporting guideline and control plan

Prevention and management of corrupt conduct and public interest disclosures policy

Other resources

Australian and International Standard AS ISO 10002 – 2006 Customer Satisfaction – Guidelines for

complaints handling in organizations

Queensland Ombudsman Guide to developing effective complaints management policies and

procedures

Queensland Ombudsman – Effective Complaints management fact sheets

Queensland Ombudsman – Effective complaints management self-audit checklist.

8 Licence

The Customer complaints management procedure by The State of Queensland,

Department of Science, Information Technology and Innovation is licensed

under a Creative Commons Attribution 4.0 International licence.

To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.

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Attachment 1: Complaint form

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Attachment 2: Minimum data required to be held in electronic complaints regis ter

C o m p l a i n t n u m b e r *

D a t e r e c e i v e d

N a m

e o f e m p l o y e e t o w h o m

c

o m p l a i n t w a s m a d e

S e

r v i c e / e m p l o y e e a r e a

l o c a t i o n

M o d e o f c o m p l a i n t

( e m a

i l / l e t t e r / t e l e p h o n e e t c . )

L e v e l ( 1 , 2 , 3 )

P r i

v a c y n o t i c e g i v e n Y / N

Nature of complaint

E m

p l o y e e d e a l i n g w i t h

c o m p l a i n t

O

u t c o m e / r e s o l u t i o n

A c t i o n t a k e n

D a t e c o m p l a i n a n t n o t i f i e d

M e t h o d b y w h i c h

c

o m p l a i n a n t n o t i f i e d

B u

s i n e s s i m p r o v e m e n t s

r e q u i r e d Y / N

R e s p

o n s e t i m e

C o

m p l a i n t s o f a s i m i l a r

n a t u r e

Service / Product Employee Other(e.g.

privacy)

C o s t

Q u a l i t y

T i m e

O t h e r

C o n d

u c t

S k i l l /

k n o w

l e d g e .

O t h e r

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Attachment 3: Customer complaint levels

Customer complaints received by the department may be addressed at one of three levels.

Level 1 Level 2 Level 3

Definition Level 1 complaints are generallystraightforward with minimal potential toimpact on the department. Such complaintsare generally able to be concluded at thepoint of service although they may requiresome assessment and/or investigation.

Level 2 complaints are generally of a morecomplex or serious nature and have thepotential to impact negatively on thedepartment. Such complaints will requireassessment and/or investigation.

Level 3 complaints are generally complexand significant in nature and have thepotential to impact negatively on thedepartment and/or cause lasting detriment.Such complaints will require comprehensiveassessment and/or investigation.

Examples ofcomplaints Errors in records (e.g. incorrect address);incorrect invoice has been sent outrepeatedly; a departmental employee did notturn up to undertake a job despite repeatedrequests; repeated failure to respond to arequest for service.

Industry or customer dissatisfaction with anelement of departmental operations; programexpenditure/progress is unsatisfactory; adepartmental employee disclosed a client’spersonal information to a party outside thedepartment, etc.

Departmental action has threatened theoperations or viability of a private businessor other government department; a businessarea disposed of copies of documentscontaining sensitive personal information inan unsecured manner resulting in a partyoutside the department gaining access tothe files, etc.

How complaintis to b e received

These complaints may be received verballyor in writing.

These complaints should be submitted inwriting.

These complaints should be submitted inwriting.

Who is to d ealwith thecomplaint?

Level 1 complaints should be dealt with bydepartmental employees or local managerswithin the business area.

Level 2 complaints must be dealt with by thedivisional complaints coordinator inconsultation with the business area head ordelegate.

Level 3 complaints must be dealt with byLegal, Information and Integrity.

Escalation If a level 1 complaint is unable to beconcluded by departmental employees orlocal managers, the complaint will bereferred to the divisional complaints

coordinator as a level 2 complaint.

If a level 2 complaint is unable to beconcluded by the divisional complaintscoordinator it should be reviewed by thedivisional head before it is referred to Legal,

Information and Integrity as a level 3 complaint.

If a level 3 complaint is unable to beconcluded by Legal, Information andIntegrity the complainant should be advisedof review options.

Timeframes Written level 1 complaints should beacknowledged within five business days. Alllevel 1 complaints should then be assessedand the complainant notified of theassessment outcome within a maximum of30 business days.

Level 2 complaints should be acknowledgedin writing within five business days. Thecomplaint should then be assessed and thecomplainant notified of the assessmentoutcome in writing within a maximum of 30business days.

Level 3 complaints should be acknowledgedin writing within five business days. Thetimeframe to assess and action thecomplaint should be determined on a caseby case basis.

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Attachment 4: Divisional complaints coordinators

Division/Business area Divisional complaints coord inator

Internal Audit

Head of Internal Audit

GPO Box 474 Brisbane Qld 4001

Phone: 07 3215 3720

Email: [email protected]

Strategic Policy and Innovation

Manager, Business Performance UnitGPO Box 5078 Brisbane Qld 4001Phone: 07 3719 7830Email: [email protected]

Change and Operations

Principal Advisor, Office of the Chief Change and Operations OfficerGPO Box 5078 Brisbane Qld 4001Phone: 07 3719 7801Email: [email protected]

Science

Manager, Business Services


Phone: 07 3170 5449


Digital Productivity and Services

Senior Advisor, Office of the Assistant Director-General


Phone: 07 3719 7732


Strategic ICT

Principal Advisor, Office of the Assistant Director-General


Phone: 3719 7981


Queensland Shared Services

Principal Advisor, Office of the Assistant Director-General

GPO Box 474 Brisbane Qld 4001Phone: 07 3721 9833


All other business areas

Manager, Legal, Information and Integrity


Phone: 07 3719 7982


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Attachment 5: Complaint management contacts flowchart

Complaint received

by department

Does complaint

relate to either of

the following?

• Corrupt

conduct

• Public interest

disclosure

• Privacy breach

• Access

application

decision

Contact Legal,

Information

and Integrity

For corrupt conduct and public

interest disclosure complaints

contact 07 3719 7982 or

[email protected]

For privacy breach and access

application decision complaints

contact 07 3719 7985 or

[email protected] [email protected]

Complaints covered

by other

mechanisms

Does the complaint

relate to the corrupt

conduct of the

Director-General?

Contact one of

the nominated

persons

Complaint covered

by other

mechanisms

Does the complaint

relate to an

employee complaintor appeal?

Contact

HumanResources

Complaint covered

by othermechanisms

Does the complaint

relate to a

contractual matter?

Contact the

local managerComplaint covered

by other

mechanisms

Yes

No

No

Yes

No

Yes

Yes

Yes

Complaints covered

by other

mechanisms

Does the complaintrelate to a

procurement

matter?

No

Contact

Procurement

Services

Complaint covered

by other

mechanisms

Yes

Does the complaint

relate to the service

or actions of the

department or its

employees?

No

Contact the

relevant

Divisional

complaints

coordinator

Refer to Attachment

4 for full detailsYes

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Attachment 6: Business improvement opportunity template

Complaint number:

Date:

Prepared by:

Issue Recommendation Business area/divisionresponsible forimplementingrecommendation

Timeframe toimplement

Date finalised

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Attachment 7: Suggested quarterly reporting template

Purpose

To collect data and provide the Quarterly Corporate Governance Forum with the details of level 2

complaints for [Division] for the quarter ended [date].

Background

The [Division] is committed to effectively handling complaints in a timely and professional manner.

This report advises the number and nature of level 2 complaints including service/product related

complaints, privacy complaints, as well as complaints regarding [Division] employees.

This report also advises the time taken to conclude complaints and highlights any significant trends

and issues.

Level 2 complaints

Summary

Number of complaintsoutstanding fromprevious quarter

Number of newcomplaints lodged thisquarter

Number o f comp laintsfinalised this quarter

Total number ofcomplaintsoutstanding at end ofquarter

Nature of new level 2 complaints this quarter

Type/subject of complaint Number of new complaints thisquarter

Percentage of new complaints

Service/product (cost) %Service/product (quality) %

Service/product (time) %

Service/product (other) %

Staff (conduct) %

Staff (skill/knowledge) %

Staff (other) %

Other (e.g. privacy) %%

Time taken to conclude the level 2 complaints f inalised this quarter

Timeframes Number Percentage Comments

Within 30 business days %

Longer than 30 business days %%

Trends and issues

Significant trends or issues for attention …..

A large proportion of complaints this quarter related to concerns regarding …..

Additional analysis indicates that …..

Recommendations have been made to ….. and therefore …..

The following business improvement recommendations are outstanding at the end of the current

quarter:

Complaints Management Procedure

Documents

Transcript of Complaints Management Procedure