Complaints management system (CMS) and internal review policy

1. Policy statement

The Office of the Queensland Ombudsman is committed to managing complaints about its functions in an accountable, transparent, timely and fair manner. The Office recognises that effective complaints management is good business practice and integral to good client service.

The Office takes seriously all complaints about its functions by:

accepting complaints that are made either orally or in writing
taking a complainant-focused approach to how the Office deals with complaints
actively encouraging feedback
using information about complaints to improve the delivery of the Office’s functions
offering a robust process for the internal review of decisions or actions concerning the assessment and/or investigation of a complaint to the Office made about agencies.

The objectives of this policy are to ensure:

fair, accountable, transparent and responsive management of complaints about the Ombudsman’s functions
identification and correction of errors or omissions
effective monitoring of complaints; and
identification and implementation of business improvement opportunities.

2. Principles

The complaint management principles underlying this policy reflect the Australian Standards - Guidelines for complaints management in organizations (AS 10002:2022), the Public Sector Act 2022 (s.264) and Human Rights Act 2019.

The Human Rights Act requires all government agencies in Queensland to act compatibly with human rights and to consider human rights before making a decision.

The Office is committed to the following complaints management principles:

free and readily accessible complaints process for all persons regardless of background and circumstances
readily available information about where to lodge a complaint and how to make a complaint
readily available information on how complaints will be managed
reasonable assistance to people who wish to make complaints
clear explanations about what the Office can and cannot do
informing staff of the existence and operation of the complaints management process
responding to complaints in a timely manner
monitoring timeframes for resolution of complaints
communicating with parties about the progress of resolution
enabling complaints to be dealt with fairly and objectively
assessing the nature of complaints, including the identification and consideration of all relevant human rights, how complaints should be dealt with and by whom
referring complaints to external agencies, where required
providing complainants and staff with timely feedback
providing a clear explanation of the final decision and any recommendations
readily available information about available review mechanisms
protection of privacy and confidentiality
providing feedback to relevant areas of the Office where potential system improvements are identified
meeting any statutory, policy or procedural reporting requirements
identifying complaint trends
monitoring the time taken to resolve complaints
ensuring complainants do not suffer any reprisals or detriment (e.g. poor future service) for making a complaint.

3. Application/Scope

This policy and associated procedures apply to all permanent and temporary employees of the Office as well as contractors, employment agency staff, sub-contractors, complainants, work experience students and volunteers (who are defined as workers in the Work Health and Safety Act 2011) while working in the workplace.

This policy applies to complaints about any of this Office’s functions, including service delivery complaints and internal review requests, subject to the exclusions set out below.

The Ombudsman’s website has further information about making a complaint about the Ombudsman.

3.1 Service delivery complaints

Service delivery complaints are about any aspect of service or a product provided by the Office or the conduct of an officer.

3.2 Internal review requests

Internal review requests are about the outcome of an assessment or an investigation undertaken by this Office.

3.3 Exclusions

Complaints excluded from the scope of this policy:

Type of complaint	Procedure for managing complaint
Actions or decisions of agencies within the jurisdiction of the Office (i.e. the Ombudsman's statutory functions)	Usual Office processes for managing complaints under the Ombudsman Act 2001
Complaints that may amount to public interest disclosures under the Public Interest Disclosure Act 2010	Public Interest Disclosure Act 2010, in conjunction with the Ombudsman Act 2001 Public Interest Disclosure Procedure 2021 Public Interest Disclosure Standard No. 2/2019 - Assessing, Investigating and Dealing with Public Interest Disclosures Operational Instruction 12 - Public Interest Disclosures
Complaints where there is a reasonable suspicion of corrupt conduct under the Crime and Corruption Act 2001	Referral to the Crime and Corruption Commission in accordance with the Crime and Corruption Act 2001
Internal staff complaints about an area of the Office or a particular officer	Managing Employee Complaints Policy and Procedure

4. Complaints management model

The Office’s complaints management model includes two stages - frontline and internal review. Complaints will be managed in accordance with the Office’s Complaints management system (CMS) and internal review policy.

All internal review requests will be handled in accordance with the Internal review requests procedure and a review undertaken by an authorised review officer where this is warranted.

All service delivery complaints will be handled in accordance with the service delivery complaints procedure.

5. Policy elements

The Office's complaints management model reflects the following elements:

Visibility and access

Any person with a sufficient direct interest in a matter can make a complaint under this policy.
A person may complain on behalf of another person provided they are authorised to do so.
Information regarding where and how to lodge a complaint and how complaints will be managed is available on the Office’s website and at the Office.
Information on making a review request relating to service delivery or decisions is available on the Office’s website.
Complaints may be made verbally or in writing. The Office may require a complainant who has made a verbal complaint to put their complaint in writing.
Reasonable assistance will be provided to any client upon request, including persons with any disability or those from culturally and linguistically diverse backgrounds.
Complaints may be made anonymously.

Responsiveness

Staff will receive training in this policy and associated procedures and the operation of the complaints process at induction and on an annual basis thereafter.
Complaints will be acknowledged and responded to in a timely manner.
Staff will communicate with complainants at appropriate intervals about progress of their complaint.
Timeframes for finalising both service delivery complaints and internal review requests are set out in the service delivery complaints procedure and the internal review requests procedure.

Assessment and action

Complaints will be handled in a fair and objective manner and in accordance with the requirements of the Human Rights Act.
Complaints will be assessed and actioned in accordance with this policy, the Service delivery complaints procedure and the Internal review procedure.
Requests for internal reviews will be actioned in accordance with this policy, the Service delivery complaints procedure and the Internal review procedure.
Reviews will be conducted by the nominated authorised review officer.
If a complaint is identified as falling outside the scope of the policy, this will be discussed with the complainant and the complaint will be referred and handled under an appropriate procedure (see section 3.3 of this policy).
Complaints assessed as unsuitable for handling by the Office will be referred to an appropriate external agency with the consent of the complainant.

Managing unreasonable conduct

All complainants will be treated with fairness and respect.
All complaints will be considered on their merits.
The substance of a complaint dictates the level of resources dedicated to it, not a complainant's demands or behaviour.

Feedback

Communication will be provided to complainants at appropriate intervals during the handling of the complaint.
Outcomes from the consideration of the complaint will be communicated to complainants at the earliest opportunity.
Appropriate remedies are to be offered that are fair to both the complainant and the Office.
Complainants will be referred to available review mechanisms where dissatisfied with service delivery or decisions.
Complaint outcomes, systemic improvements and actions requiring attention following the consideration of a complaint will be communicated to relevant units or employees in a timely manner.

Recording and reporting

All complaints will be properly recorded (see section 12 for details of relevant procedure).
Information concerning service delivery complaints and internal review requests is to be reported in the annual report.

Monitoring effectiveness

The Deputy Ombudsman is responsible for implementing and meeting policy and procedural complaints reporting requirements.
Complaint trends and systemic issues will be provided to the Senior Management Team on a six monthly basis to align with half-yearly and end of year reporting, and used to inform the continuous improvement process within the Office.
An audit of compliance with this policy should be undertaken annually as part of the annual report process.
The operation of this policy and the associated procedures will be reviewed every two years.

6. Procedures

Related procedures to be read in conjunction with this policy are:

7. Roles and responsibilities

7.1 Deputy Ombudsman

Review service delivery complaints as appropriate
Conduct internal review requests or allocate to a senior officer
Provide six-monthly report to Senior Management Team
Conduct annual review of compliance with the policy and associated procedures
Review policy and procedures at least every two years

7.2 Senior officers

Manage and respond to service delivery complaints as appropriate and in accordance with the Service delivery complaints procedure
Conduct internal review requests as requested and in accordance with the Internal review requests procedure
Ensure records are kept in the relevant recordkeeping system

7.3 Employees

Receive and handle complaints about service delivery or internal review requests as per procedures
Ensure records are kept in the relevant recordkeeping system

7.4 Senior Advisor (Governance)

Maintain service delivery register

7.5 Senior Human Resources Officer

Ensure CMS and internal review policy and procedures are included in induction process
Ensure two-yearly training on CMS and internal review policy and procedures is arranged for all staff.

8. Authority

9. Definitions

authorised review officer	The employee nominated by the Deputy Ombudsman to conduct an internal review in accordance with the Internal review requests procedure.
internal review request	An expression of dissatisfaction about a decision made or action taken by the Ombudsman in relation to the assessment or investigation of a complaint about an agency.
serious service delivery complaint	A service delivery complaint which is significant/complex with medium or high level of risk/detriment to the complainant or the Office. Examples include complaints about significant delays, a challenge to the conduct or competency of the officer, or serious communication difficulties.
service delivery complaint	An expression of dissatisfaction about any aspect of this Office’s services or the conduct of employees.
straightforward service delivery complaint	A service delivery complaint which is likely to have minimal risk or detriment to the complainant or the Office. Examples include complaints about incorrectly addressed correspondence, minor delays or minor communication difficulties.