Complaints Handling Policy

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2 Complaints Handling Policy Policy Title Policy Owner Prepared by Approved by Complaints Handling Policy Customer Service, Communications and Consultation Services Manager Customer Service, Communications and Consultation Services General Manager Date Approved 17 December 2012 Version 2 Category Keywords Administration customer, complaints, handling, council, public officer Revision Date November 2014 Amendments This policy amends Version 1 January 2010 (ECM reference ) Relevant Legislation/Codes Local Government Act 1993 Government Information Public Access Act 2009 Related Policies/Documents The City Newcastle of Council Customer Service Policy (2010) The City of Newcastle Council Managing Unreasonable Complainant Conduct Policy (2010) Effective Complaints Handling User Guide NSW Ombudsman (2004) Managing Unreasonable Complainant Conduct Practice Manual NSW Ombudsman (2009) Practice Note No.9 Complaints Management in Councils Division of Local Government (July 2009) Related Forms Page i

3 Part A Table of Contents Preliminary Purpose Definitions Principles...2 Part B Making a complaint and your privacy Contact us Anonymous complaints Privacy...4 Part C Complaint handling process Tier 1 Frontline Customer Complaint Tier 2 review Internal review Unreasonable conduct Tier 3 External Review...7 Part C Responsibilities Case Officer Service Unit Managers Public Officer Contractor or consultant responsibilities...8 Part F Analysis Reporting and review Systemic Issues Comments and Feedback...9 Part G External Agency Contact details...10 Part H Process Flowcharts...11 Page ii

4 Part A Preliminary 1 Purpose 1.1 This policy provides Council with a framework for effectively managing and resolving Customer Complaints. 1.2 This policy does not apply to: Customer requests, except where a request about the same issue has been made on three separate occasions and is unresolved Appeals in relation to the determination of an application, such as a Development Application Complaints made about decisions of the elected Council Complaints made under Council s Code of Conduct, Public Interest Disclosure Policy or complaints involving allegations of criminal activity. 2 Definitions 2.1 Act means the Local Government Act 1993 (NSW). 2.2 Case Officer means the Council Officer assigned by the relevant Service Unit to handle the Customer Complaint. 2.3 Customer Complaint means: An expression of dissatisfaction or grievance with Council including about a policy, process, service or Council Officer; or A request for service from Council on the same issue on three separate occasions that has not been resolved. 2.4 Customer Request means a written or verbal requests for a service or information to be provided, such as repairs, hazards, new works or forms. 2.5 Complainant means the person initiating the Customer Complaint. 2.6 Public Officer means Council s Public Officer appointed under Chapter 11 of the Act. 2.7 Council means the administration of The City of Newcastle. A reference to a clause is a reference to a clause of this Policy unless stated otherwise. Page 1 of 15

5 3 Principles 3.1 In managing customer complaints, Council commits to: Resolving Complainant dissatisfaction about the service they receive or believe they should receive Ensuring complaint data assists Council identify problems and change procedures, where applicable, to prevent similar dissatisfaction and Customer Complaints in the future Ensuring all Customer Complaints are dealt with in a systematic and consistent approach, transparent to both the Complainant and Council Officers Ensuring Council Officers are provided with adequate and on-going training, supervision and guidance in Customer Complaints handling Encouraging feedback as a means to resolving problems and improving services to the community Ensuring Complainants are not be victimised or suffer negative treatment because they have made a complaint Acknowledging the need to appropriately utilise Council resources in the handling of complaints. Page 2 of 15

6 Part B Making a complaint and your privacy 4 Contact us 4.1 Complaints about Council can be made by: Sending us a letter addressed to: General Manager PO Box 489 Newcastle NSW Phoning us: (02) Faxing a letter to us: (02) Sending an to us: mail@ncc.nsw.gov.au Completing an on-line form at or Visiting us in person at: 282 King Street, Newcastle. 4.2 To enable efficient processing, complaints made to Council should contain: The Complainant s name and address; Preferred method of contact (except if the Complainant wants their identity to remain anonymous); The specific details of the Customer Complaint How the Complainant would like to see the complaint resolved Any special needs of the Complainant, such as non-english speaking background or hearing or visual impairment. 5 Anonymous complaints 5.1 If a Customer Complaint is made anonymously, the Case Officer will: a) Record the complaint and any information provided; and b) Make preliminary enquiries into the complaint. 5.2 If insufficient information has been provided, Council may be unable to fully investigate an anonymous Customer Complaint. 5.3 Council is not able to advise Complainants of any outcome of a Customer Complaint unless Complainant contact details are provided. 5.4 Anonymous Customer Complaints can not progress to Tier 2 or Tier 3 complaints. Page 3 of 15

7 6 Privacy 6.1 Information provided in conjunction with a Customer Complaint will be considered and treated in accordance with the relevant privacy legislation. Customer Complaints will only be accessed by authorised Council Officers. 6.2 Details of Customer Complaints, Complainants identity and/or personal details will not be disclosed other than in accordance with the relevant legislation. Page 4 of 15

8 Part C Complaint handling process 7 Tier 1 Frontline Customer Complaint 7.1 A Tier 1 complaint is a complaint made by a member of the public that requires consideration and investigation under this policy. 7.2 Immediate resolution If a complaint can be resolved at the time the complaint is received (this means on the day the complaint is made or on the day following the complaint being received), the Council Officer who received the complaint must record the details of the complaint and the resolution into Council s record management system. 7.3 Assessment If a complaint can not be resolved within three business days of the complaint being lodged with Council: a) a Case Officer must be assigned to determine the complaint in accordance with the policy; b) details of the complaint must be recorded in Council s record management system; and c) the Case Officer must determine whether the complaint is a Customer Complaint and can be investigated under this policy If the Case Officer does not determine that the complaint is a Customer Complaint in accordance with the policy, the Case Officer must advise the person who lodged the complaint (in writing) of the alternative avenues for resolution, including: (a) lodging a service request; (b) making a Code of Conduct complaint; or (c) other appropriate means of resolution. 7.4 Acknowledgement If the complaint is determined to be a Customer Complaint, an acknowledgement letter must be sent to the Complainant within five business days of the date the complaint was received. The acknowledgement letter must include: (a) a summary of the details of the complaint, including the facts provided by the Complainant and the remedy sought ; (b) an outline of the complaint handling process (including a copy of this policy); (c) the name and contact details of the Case Officer assigned; and (d) the timeframes for determination. 7.5 Investigation and outcome The assigned Case Officer must investigate the Customer Complaint by: a) deciding if the complaint is vexatious or frivolous; Page 5 of 15

9 b) objectively considering the facts of the Customer Complaint and the contentions in support of the complaint; c) determining an outcome of the investigation, including any corrective action to be undertaken No later than 28 days after the lodgement of the complaint with Council, the Case Officer must write to the Customer Complaint advising: a) the outcome of the complaint; b) details of the corrective action (remedy) to be taken, if any; c) details of why no action will be taken, if appropriate; d) the availability and process of a Tier 2 review; and e) the Case Officer s contact details The Complainant has a period of 28 days to review the findings of the Case Officer and respond. The Complainant may: a) Liaise with the Case Officer about the decision or processes (note: this will not change the outcome); or b) Request a Tier 2 review If the Complainant does not provide a response or request a Tier 2 review, the matter will be considered completed. 7.6 Delay in determination If a Customer Complaint cannot be resolved within 28 business days of Council receiving the complaint, the Case Officer must provide a letter updating the Complainant on the progress of the investigation. The letter must: a) provide details about the investigation already undertaken; b) request any further information (including documentation) that is required from the Complainant; and c) provide an estimated timeframe for determination of the complaint. 8 Tier 2 review Internal review 8.1 Basis for Tier 2 review If a Complainant: a) is unsatisfied with the outcome of a how a Tier 1 complaint was handled; or b) does not receive an outcome within the timeframes provided to them, the Complainant may request an internal review of the process (see Tier 2 flowchart) A Tier 2 review does not review the decision or outcome of a Customer Complaint. The purpose of the Tier 2 review is to ensure that the proper process was followed by the Case Officer undertaking the Tier 1 review. This means that a Complainant cannot request a Tier 2 Review based on disputed facts. Page 6 of 15

10 8.2 Request for review A request for a Tier 2 review must: a) Be in writing and received by Council within 28 days of the date of the letter advising of Council s determination (Tier 2 reviews will not be completed if requests are received outside this time frame); and b) State specifically: why the Complainant disagrees with the Case Officer s determination; and details about what aspects of the determination the Complainant is not satisfied with. 8.3 Time for Tier 2 review Within 21 business days of making a request for a Tier 2 review, the Complainant must be: a) advised in writing of the outcome of the Tier 2 review and of the process for a Tier 3 review; or b) advised of a delay of the outcome of a Tier 2 review, including an update on estimated timeframes. 8.4 If the outcome of the Tier 2 review is that the complaints handling process was not followed appropriately, a new Case Officer will be assigned and the complaint will be reinvestigated as a Tier 1 review. 9 Unreasonable conduct 9.1 If a Complainant continues to make requests for a review under this policy (after the Tier 1 and Tier 2 stages are completed and finalised), consideration should be given to whether the Complainant can be dealt with under the Unreasonable Complainant Conduct Policy. 10 Tier 3 External Review 10.1 If a Complainant is not satisfied with the outcome of a Tier 2 review, the Complainant must lodge the Customer Complaint with the relevant external body provided for in Part G Council has no control over the process or timeframes of Tier 3 reviews. Page 7 of 15

11 Part C Responsibilities 11 Case Officer 11.1 Case Officers are responsible for investigating and determining complaints in accordance with this policy. 12 Service Unit Managers 12.1 Service Unit Managers are responsible for: Ensuring that Council Officers have the appropriate skills, knowledge, and support to handle Customer Complaints Providing Council Officers with adequate time and resources to handle Customer Complaints. 13 Public Officer 13.1 The Public Officer is responsible for: Promoting a positive culture. That is ensuring that Council is focused on having a robust, integrated Customer Complaint handling system Accounting for Customer Complaints when evaluating systems, implementing new processes or extending business services Reviewing Council s complaint handling systems and participating in complaint handling forums Recording and monitoring to ensure systems are in place and are followed Reporting to the Executive Leadership Team on: a) Customer Complaints (including trends); and b) Systemic issues and weaknesses identified through the complaint handling system Complaint handling and resolution will be a performance measure for Council. 14 Contractor or consultant responsibilities 14.1 If functions of Council are provided by external agencies or contractors, contracts will stipulate: How Customer Complaints will be handled and reported to Council; and How Council will receive and investigate Customer Complaints about the external agency or contractor. Page 8 of 15

12 Part F Analysis 15 Reporting and review 15.1 Reports on Customer Complaints and complaint trends must be provided by the Director City Engagement at each Executive Leadership Team meetings, outlining: The number of complaints received, grouped by subject Increases in complaints since the last report Whether complaints are being received from businesses, community groups or individuals The number and nature of complaints escalated to Tier 2 and Tier Whether the complaints expose a weakness in the Council s processes or raise questions about integrity or reputation Any other relevant information Any information identifying a Complainant or their personal details must not be included in reports A periodic review of the Customer Complaint process will be conducted in order to assess its effectiveness. This review will be undertaken by the Public Officer every six months by reviewing up to five complaints that have been directed to Council. 16 Systemic Issues 16.1 If a Customer Complaint reveals a systemic problem, a review of the relevant policies and procedures will be conducted to determine the reason for the problem and provide a resolution. The systemic problem will be identified through the monthly reporting being provided to the Public Officer. The Public Officer will contact the relevant Council department for which the complaint was made. 17 Comments and Feedback 17.1 Comments and feedback on this policy should be directed to the Director, City Engagement by one of the methods set out at clause 4.1. Page 9 of 15

13 Part G External Agency Contact details Division of Local Government 5 O'Keefe Avenue NOWRA NSW 2541 P F TTY E dlg@dlg.nsw.gov.au W NSW Ombudsman Level 24, 580 George Street SYDNEY NSW 2000 P F E nswombo@ombo.nsw.gov.au W Independent Commission Against Corruption Level 21, 133 Castlereagh Street SYDNEY, NSW, 2000 P F TTY E icac@icac.nsw.gov.au W Page 10 of 15

14 Part H Process Flowcharts Page 11 of 15

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