Kyeema Common Operational Procedures > Complaints and Compliments Management Policy
Authorised by Chief Executive Officer
Revised Date: 9 August 2016
This document is specifically designed for use by organisations funded by the Department of Health and Human Services and/or Department of Education and Training. It is provided to assist organisations in establishing or reviewing their existing practical frameworks relating to complaints and other forms of feedback. Organisations can adapt the sample compliment and complaint management policy document to meet their specific needs.
Policy Statement
Compliments, complaints and other forms of feedback provide valuable information on levels of participant satisfaction and provide an organisation with an opportunity to improve upon all aspects of service. Feedback is to be taken seriously and to be seen as an opportunity for improvement.
Feedback that is recorded and handled effectively will provide valuable information in identifying areas for improvement, coordinating a consistent approach for resolution, reducing the potential for future complaints and allow for reporting and efficient allocation of resources.
Resolving complaints at the earliest opportunity in a way that respects and values the person’s feedback, can be one of the most important factors in recovering the person’s confidence about a service. It can also help prevent further escalation of the complaint. A responsive, efficient, effective and fair complaint management system can assist an organisation to achieve this.
What does this organisation do?
NOTE: Funded organisation to include in this section a brief description of the types of services and supports available to participants to which this policy applies.
Definitions
Complaint – Australian Standard AS/NZS ISO 10002:2014 Guidelines for Complaints Management in Organisations defines a complaint as an ‘expression of dissatisfaction made to or about an organisation, related to its products, services, staff or the handling of a complaint, where a response or resolution is explicitly or implicitly expected or legally required’.
Compliment – a compliment is an expression of praise, encouragement or gratitude about a service that is funded, regulated or provided. It may be about an individual staff member, a team or a service.
Guiding principles
An effective feedback, compliment and complaint handling system addresses the principles of visibility and accessibility, responsiveness, assessment and investigation, feedback, improvement focussed and service excellence.
An approach to compliments and complaints management supports:
•people understanding their rights and responsibilities
•information on the compliment and complaint management process being easily accessible
•increased satisfaction of participants in the management of their compliments and complaints
•the recording of data to identify emerging and existing trends or systemic issues
•staff to demonstrate an awareness of feedback, compliment and complaint management processes
•staff to develop the range of skills and capabilities required to manage compliments, complaints and feedback
•an organisational culture that is focused on effective, person-centred complaints resolution and utilising feedback for continuous improvement.
Visibility and accessibility
The compliments and complaints management process will be visible and accessible to individuals and:
•explain how and where to make a compliment or complaint, including an anonymous complaint
•ensure the website and service sites have information on how to lodge a compliment or complaint
•consider specific needs of the individual or barriers they may experience
•explain alternative complaint resolution pathways when the complaint is first lodged and when it is closed
•explain how the organisation will manage a complaint and the expected timeframe for resolution
•support individuals to identify and seek their preferred outcome.
Responsiveness
The compliments and complaints management process will be responsive and provide mechanisms and strategies to:
•promote participant rights, particularly those with special support needs, so they can actively participate in the compliments and complaints process
•inform and train staff to use the compliments and complaint management system
•support the individual to seek the most appropriate resolution
•ensure there is clarity about the requested outcome
•provide a respectful, valuing and informative acknowledgement
•actively listen, empathising and acknowledging when the service was not the best it could have been
•monitor timeframes for resolution
•communicate with all relevant parties about the progress of the resolution of the complaint.
Assessment and investigation
The compliments and complaints management process will have mechanisms to:
•assess complaints for severity, safety, complexity, impact and the need for immediate action
•collect adequate and appropriate information
•protect the privacy and confidentiality of the information
•determine who and at what level the complaint should be dealt with
•enable complaints to be considered independently, fairly and objectively.
Feedback
The compliments and complaints management process will provide mechanisms and strategies to:
•explain what happened and why, what will be done to fix the issue, and who will do it, how we will communicate our progress and how we will check things are on track
•explain the reasons for the decision
•provide an apology where the organisation has failed to meet its service obligations
•where an apology is provided, ensure it is sincere, and accepts responsibility for what occurred and the impact
•explain the circumstances without making excuses, and summarise the key actions that will be taken
•provide regular updates to the complainant if the resolution is delayed
•notify the complainant of alternative complaint resolution pathways and review mechanisms
•follow up with complainants to determine the effectiveness of the outcome, where appropriate.
Improvement focussed
The complaint management system will provide mechanisms and strategies to gather and record feedback and other information to:
•meet any statutory, policy or procedural reporting requirements
•improve the training and capabilities of complaint management staff
•analyse the complaint data and identify complaint trends for performance improvement
•monitor the time taken to resolve complaints
•notify service providers as part of a continuous quality improvement approach.
Service excellence
The compliment and complaint management system and resolution process is a part of a quality culture where compliments and complaints are an opportunity for improvement through:
•positive attitudes towards dealing with feedback, compliments and complaints and respect for the person who has raised the matters
•values that reinforce the commitment of the organisation to quality service delivery and encouragement for provision of feedback on what is and what isn’t working
•a clear statement that no one will be adversely affected as a result of making a complaint or a complaint being made on their behalf
•a policy that enables the compliment and complaint management system to address and investigate issues relating to all employees, including senior management.
•data analysis to identify and explore trends that highlight opportunities to improve service delivery and complaint handling
•a commitment to continued training and development of the capabilities of compliment and complaint management staff
•a commitment by the organisation’s leadership to an effective compliments and complaints management process as part of a robust quality improvement framework.
Note: For the purpose of this document, a privacy incident / complaint / breach that relates to a participant, whether substantiated or unsubstantiated is managed according to existing departments instructions.
Compliment and complaint management process
The compliment and complaint management process can be simplified into five steps:
1. Receive
2. Record
3. Acknowledge
4. Resolve
5. Communicate resolution.
1. Receive
•Listen – openly to the concerns being raised by the complainant.
•Ask – the complainant what outcome they are seeking.
•Inform – the complainant clearly of the complaint process, the time the process takes and set realistic expectations.
•Accountable – be empathic towards the affected person and action all commitments made.
•Assess – create a prioritisation framework to identify situations which pose an immediate threat or danger, or require a specialised response.
•Refer to the Compliment and complaint form template to assist in recording key information at the time of first contact.
2. Record
•Record – all information that is relevant to the compliment or complaint, in its original and simplest form.
•Store – in a compliment or complaint management system that also allows for data analysis.
•Protect – use a system that restricts access to participants who are involved in managing the compliment or complaint.
•Refer to the Template reporting system that can be used for reporting purposes.
Relevant Forms
Its OK to Complain Poster KCF-18
Complaints Form CCF-58
Complaints – A guide for staff CCF-13
Responding to allegations of abuse Flowchart KEF-46
Kyeema Complaints Brochure KCF-10