Environment Protection Authority

Transcription

1 Envirnment Prtectin Authrity EPA Cmplaints Management Plicy Intrductin This plicy sets ut the purpse, principles and prcess fr hw custmer feedback, including cmplaints, will be managed in the EPA t imprve ur respnsiveness t cncerns, ur verall services and t supprt the Gvernment s Charter f Public Service Guarantee. The EPA Cmplaints Management Plicy is cnsistent with the principles f the Australian Standard - Guidelines fr cmplaint management in rganisatins AS/NZS 10002:2014. Plicy Statement The EPA welcmes feedback, including cmplaints, abut ur peratins r services. Feedback helps us identify pprtunities fr cntinuus imprvement t ensure that we are prviding high quality services and maintaining effective relatinships with ur stakehlders. The EPA is cmmitted t managing cmplaints in an accuntable, transparent and respnsive way. Purpse f this plicy The purpse f this plicy is t: Set ut a prfessinal, fair and cnsistent prcess fr the management f cmplaints abut the EPA s peratins r services; Fster an rganisatinal culture that accepts cmplaints as an pprtunity t imprve ur relatinships with stakehlders and services t industry, ther rganisatins and the cmmunity; Prvide a framewrk t supprt the Gvernment s Charter f Public Service Guarantee; Prvide infrmatin t the public n hw t ldge a cmplaint and hw the cmplaint will be managed; Identify the rles and respnsibilities f staff at each stage f the cmplaint handling prcess; and Prvide a system fr identifying pprtunities fr cntinuus imprvement thrugh the cmplaint management prcess. Page 1 f 9

2 Scpe This plicy applies t feedback abut services r peratins prvided by the EPA and cvers all directrate and branches that are invlved in any way in the prvisin f custmer services. This plicy des nt include the management f envirnmental reprts r cmplaints that the EPA receives in its rle as an envirnmental regulatr (e.g. cmplaints abut nise frm a licensed site) r the ldgement f any appeal available under law in relatin t a regulatry r planning decisin made by the EPA under the Envirnment Prtectin Act 1993, Radiatin Prtectin and Cntrl Act 1982, Develpment Act 1993 r any related legislatin. Definitins Cmplainant: persn, rganisatin r their representative (including clients, cnsumers, service users, custmers, etc.) making a cmplaint Cmplaint: expressin f dissatisfactin made t r abut an rganisatin, related t its prducts, services, staff r the handling f a cmplaint, where a respnse r reslutin is explicitly r implicitly expected r legally required Custmer: rganisatin r persn that receives a prduct r service Custmer satisfactin: custmer's perceptin f the degree t which the custmer's requirements have been fulfilled Custmer service: interactin f the rganisatin with the custmer thrughut the life cycle f a prduct r service Feedback: pinins, cmments and expressins f interest r cncern, made directly r indirectly, explicitly r implicitly t r abut the rganisatin, its prducts, services, staff r its handling f a cmplaint. Frmal cmplaint: is any cmplaint ldged verbally r in writing, including r nline, where the cmplainant expects a frmal investigatin r respnse. Serius cmplaint: is any cmplaint that: may result in legal actin civil, criminal r administrative (nt including appeals available under law in relatin t any regulatry r planning decisin made by the EPA), r alleges that a staff member has cntravened the Cde f Ethics fr the Suth Australian Public Sectr r EPA Cde f Cnduct Plicy, r relates t a matter f high significance (e.g. serius public cncern, serius envirnmental impact, r serius impact n the well-being f an individual r the cnduct f a business s peratins). Vexatius cmplainant: is a cmplainant wh is unreasnably persistent r, because f the frequency r nature f their cntacts with the EPA, hinder ur cnsideratin f their r ther peple s cmplaints. Guiding Principles f effective cmplaint handling The key features f an effective cmplaint handling system can be rganised accrding t the fllwing principles fr gd practice Enabling cmplaints 1.1 Peple Fcus: a peple-fcused and practive apprach t seeking and receiving feedback and cmplaints 1.2 Ensuring n detriment t cmplainant: ensure that cmplainants are nt adversely affected because f a cmplaint made by them r n their behalf 1.3 Visibility and transparency: ensure infrmatin abut hw and where t cmplain is well publicised 1.4 Accessibility: ensure that everyne has access t make a cmplaint, particularly peple wh may require additinal assistance r further appraches, such as peple with disabilities, peple living in reginal r remte areas, children, yung peple, the aged, and peple frm culturally and linguistically diverse backgrunds. 1 Cnsistent with Australian Standard - Guidelines fr cmplaint management in rganisatins AS/NZS 10002:2014 Page 2 f 9

3 1.5 N charges: a cmplainant shuld nt be charged a fee t cmplain 2. Managing Cmplaints 2.1 Respnsiveness: cmplaints shuld be acknwledged prmptly and addressed accrding t urgency. The cmplainant shuld be kept infrmed thrughut the prcess. 2.2 Objectivity and fairness: cmplaints shuld be managed in an bjective and unbiased manner. 2.3 Equity: cmplaints shuld be addressed in an equitable manner and in accrdance t this plicy. 2.4 Privacy and disclsure: persnally identifiable infrmatin abut any individual shuld nly be disclsed r used in cmpliance with all relevant privacy laws and ethical bligatins when managing a cmplaint. 2.5 Cmmunicatin: the rganisatin shuld prvide explanatins fr plicies, prcedures and decisins in its cmmunicatin with cmplainants and its staff, particularly frntline staff and staff handling cmplaints. 3. Managing the parties 3.1 Cnduct f parties: the rganisatin shuld implement plicies r guidelines, r bth, that make clear the behaviur expected f bth its staff and cmplainants. 3.2 Wrk health and safety: the rganisatin shuld develp, adpt and implement apprpriate plicies, prcedures and practices t ensure the health and safety f its staff invlved in cmplaint management, including identity prtectin if required. 3.3 Cmplaint invlving multiple parties: cnsideratin shuld be given t ptins fr crdinating cmmunicatin and infrmatin exchange with the cmplainant and between the parties. 3.4 Empwerment f staff: staff shuld be empwered t implement the cmplaints management plicy as relevant t their rle. 4. Accuntability, learning and preventin 4.1 Accuntability: respnsibilities fr cmplaint handling are clearly established, and cmplaints and respnses t them are mnitred and reprted t management and ther stakehlders. 4.2 Cntinuus Imprvement: respnding t and learning frm cmplaints shuld be an essential part f an rganisatin s cmmitment t cntinuus imprvement. 4.3 Preventin f nging disputes: the rganisatin shuld develp and implement systems that minimise the pssibility f cmplaints escalating int nging disputes. Respnsibilities EPA Chief Executive The Chief Executive is respnsible fr: encuraging an envirnment where custmer feedback is handled seriusly and thrughly ensuring an effective feedback management prcess, including cmplaints, is develped and in place fr the EPA ensuring apprpriate actins are implemented t eliminate r minimise similar prblems frm ccurring prmting the rights f custmers t prvide feedback, including cmplaints Executive The Executive is respnsible fr: apprving, reviewing and evaluating the implementatin and effectiveness f custmer feedback and cmplaints management plicy reviewing reprts n custmer feedback data and trend analysis identifying pprtunities and need fr service imprvements Page 3 f 9

4 appinting a cmplaints crdinatr Directrs The Directrs are respnsible fr: ensuring their Directrate manages custmer feedback in line with the EPA Cmplaints Management Plicy, infrming the Chief Executive f any serius cmplaints ensuring Directrate staff understands the plicy and prmte the custmer feedback prcess t custmers using cmplaints infrmatin fr the imprvement f service delivery. Managers Managers are respnsible fr: ensuring that the principles f cmplaints management are bserved and fr infrming staff f this plicy prviding training n cmplaints handling t all staff in cntact with custmers and cmplainants helping custmers t gain access t the cmplaints prcess respnding t systemic issues that arise as a result f individual cmplaints. Cmplaints Crdinatr The Cmplaints Crdinatr is a persn assigned by Executive t versee the prcess fr the management f frmal cmplaints and t prvide annual reprts t Executive. The psitin currently assigned t this rle is the Manager, Strategy & Executive Office. The Cmplaints Crdinatr is respnsible fr tasks as utlined in this Plicy and fr: establishing a prcess fr the management, recrd keeping and reprting f cmplaints reprting t executive n the cmplaints management prcess and recmmendatins fr imprvement Senir Officer The Senir Officer is a persn, at Manager r Directr level, designated t cnsider, investigate and respnd t the cmplainant. Depending n the nature f the cmplaint, the Senir Officer may be an fficer nt directly invlved in the prvisin f the service fr which the cmplaint has been ldged. The Senir Officer is respnsible fr tasks as utlined in this Plicy and fr: cmplying with the cmplaints management plicy treating cmplainants in a respectful and curteus manner investigating and respnding t cmplaints identifying pprtunities fr imprvement as a result f cmplaints Page 4 f 9

5 Cmplaints Management Framewrk Level Respnse Definitin 1 Frntline Cmplaints Management 2 Frmal Cmplaints Management Minr cmplaints received infrmally and dealt directly with the public and stakehlders by a frntline fficer r their team leader/manager. Cmplaints received frmally and dealt with thrugh the frmal cmplaints management prcess. Includes serius cmplaints. 3 Frmal Cmplaints t External Agency Frmal Cmplaints t External Agency relates t a cmplaint ldged with an external agency such as the State Ombudsman. Level 1 Frntline Cmplaints Management The EPA encurages all fficers dealing directly with the public and stakehlders t actively reslve any cncerns they encunter in the first instance. In many cases, staff can deal with straightfrward r minr cmplaints prmptly and successfully, either n their wn r thrugh discussins with their team leader r Manager. Cmplaints reslved infrmally and directly may nt be recrded unless the nature f the cmplaint is cnsidered significant in which case the staff, team leader r manager will prvide relevant infrmatin t the Cmplaints Crdinatr fr the cmplaint t be recrded. Any frmal cmplaints received by frntline staff shuld be escalated and managed in accrdance with the Frmal Cmplaint Management prcess. Level 2 Frmal Cmplaints Management Frmal Cmplaints relate t a cmplaint ldged verbally r in writing, including r nline, where the cmplainant expects a frmal investigatin r respnse. Frmal Cmplaints are managed thugh the frmal cmplaints management prcess. All frmal cmplaints will be recrded and tracked t ensure cmpliance with this plicy. Level 3 Frmal Cmplaints t External Agency Frmal External Cmplaints relates t a cmplaint ldged with an external agency such as the State Ombudsman. T ensure that cmplaints referred by an external agency are effectively managed, the Chief Executive will nminate a Senir Officer t engage with the external agency, review the matter and prvide a respnse. The cmplaint respnse will be signed by the Chief Executive r a persn nminated as a delegate. Page 5 f 9

6 Frmal Cmplaints Management Prcess Infrmatin n the cmplaints management plicy and prcess will be readily available t custmers n the EPA website and thrugh ther cmmunicatin material such as brchures. Infrmatin shuld be easy t read and understand and shuld be accessible t all custmers. The fllwing prcess will apply t ensure that frmal cmplaints are managed fairly, cnsistently and prmptly. Step 1: Receipt and Acknwledgement Frmal Cmplaints will be referred t the Cmplaints Crdinatr fr receipt and initial assessment Cmplainants will be sent an acknwledge thrugh a letter, r by phne within 5 wrking days f receipt and will be prvided with the details f the Cmplaint Crdinatr as a cntact fficer The Cmplaints Crdinatr will create a file fr each cmplaint thrugh the HUB fr tracking and recrds management purpses In sme instances, where a cmplaint reslutin is straightfrward and can be respnded t quickly, the acknwledgement and the reslutin f the cmplaint can be prvided in the same letter. Step 2: Initial Assessment Each cmplaint shuld be initially assessed in terms f criteria such as severity, safety implicatin, cmplexity, impact, and the need and pssibility f immediate actin The cmplaints crdinatrs may cntact the cmplainant directly by phne t clarify the scpe f the cmplaint r the expectatins frm the cmplainant The Cmplaints Crdinatr will refer the cmplaint t an apprpriate Senir Officer (at Manager r Directr level based n the nature f the cmplaint) fr investigatin and respnse t the cmplainant When managing serius cmplaints, the Cmplaints Crdinatrs will: Bring the cmplaint t the attentin f either the Directr Strategy and Business, Executive Directr Operatins r Chief Executive t determine the mst apprpriate senir fficer t review the matter and prvide a respnse If the cmplaint invlves an alleged cntraventin f the EPA Cde f Cnduct Plicy, refer the cmplaint t the Peple and Capability Branch fr determinatin f the apprpriate prcess fr the investigatin f alleged miscnduct Ensure that the EPA s respnse t the cmplaint is signed by a relevant Directr r the Chief Executive If the cmplaint relates t the actins f the Chief Executive, refer the cmplaint t the presiding member f the EPA Bard. The Cmplaints Crdinatr will have versight f the cmplaints management prcess and will mnitr respnses t ensure cmpliance with this plicy Step 3: Cnsideratin and Investigatin The Senir Officer will cnsider hw t address the issues raised in the cmplaint. This culd include wrking with the cmplainant t see if the issues can be apprpriately addressed, infrmal enquiries r a frmal investigatin int the cmplaint Every reasnable effrt shuld be made t investigate all the relevant circumstances and infrmatin surrunding a cmplaint. The level f investigatin shuld be cmmensurate with the seriusness, frequency f ccurrence and severity f the cmplaint The EPA will apply prcedural fairness by enabling affected persns t put their case frward and will cnsider all relevant infrmatin when preparing a respnse Page 6 f 9

7 The Senir Officer will establish nging cmmunicatin with the cmplainant and ther interested parties t keep them infrmed f actins, prgress, reasns fr decisins, ptential reslutins and t manage expectatins Step 4: Reslutin and Respnse Fllwing an apprpriate cnsideratin and investigatin step, the Senir Officer will prepare a suitable respnse, fr example, crrect the prblem and prevent it happening in the future. If the cmplaint cannt be immediately reslved, then it shuld be dealt with in a manner intended t lead t its effective reslutin as sn as pssible. The Senir Officer will prvide a written respnse t the cmplainant within 10 wrking days r up t 21 wrking days fr cmplex nes The Senir Officer will prvide a written ntificatin t the cmplainant within 10 wrking days if their cmplaint is cnsidered cmplex and will require additinal time fr a respnse Cmplainants will be prvided with details f any review mechanisms in place t address their cmplaint if they are unsatisfied with the EPA s respnse The Senir Officer shuld cntinue t mnitr the prgress f the cmplaint until all reasnable internal and external ptins f recurse are exhausted r the cmplainant is satisfied. At the time f clsing the cmplaint, the Senir Officer will ensure apprpriate recrds are kept including steps taken, the utcme and any fllw-up actin required. Step 5: Service Imprvement Any pprtunity fr imprvement identified during the management f the cmplaint shuld be ntified t the relevant Directr r Manager fr implementatin and included in the reprt t Executive. All cmplaints shuld be analysed t identify systematic, recurring and single incident prblems and trends, and t help eliminate the underlying causes f cmplaints. Management f habitual r vexatius cmplainants The EPA will make every effrt t investigate and respnd t cmplaints. At times thugh, the EPA will receive cmplaints frm vexatius r habitual cmplainants, and dealing with these cmplaints wuld be unnecessary diversin f the EPA s resurces. The fllwing prcess prvides guidance t staff regarding the classificatin and management f habitual r vexatius cmplainants: After receiving a cmplaint fr investigatin and respnse, the Senir Officer may recmmend that the cmplainant be treated as vexatius r habitual. In making this recmmendatin, the fficer must take the fllwing matters int regard: Whether there has previusly been due prcess in dealing with the cmplaint; Whether the cmplaints prcess has been exhausted, with n new and meaningful being prvided by the cmplainant; Whether the cmplainant cntinually changes the substance f a cmplaint r raises new issues t prlng the cmplaints reslutin prcess; Whether the cmplaint lacks substance r fcuses n trivial matters t the extent that it is ut f prprtin t its significance; Whether the cmplainant repeatedly des nt clearly identify the issues f the cmplaint despite reasnable effrts t identify them, and Whether the cmplainant refuses t c-perate with the cmplaints investigatin prcess while still wishing their cmplaint t be reslved. The Senir Officer must seek endrsement frm a Directr t treat a cmplainant as vexatius r habitual. Page 7 f 9

8 The cmplainant must be prvided with a written respnse within 10 wrking days f receipt f the cmplaint advising that: Reprting and Evaluatin the EPA is declining t review the cmplaint (r investigate the cmplaint any further) tgether with the reasns fr that decisin, and the cmplainant may ldge either an internal review f that decisin within 14 days t the Chief Executive, setting ut why their cmplaint has merit and shuld be investigated (r reinvestigated) r an external review directly with the Ombudsman. The Cmplaints Crdinatr will prvide a summary reprt t Executive each year (at the end f June) setting ut: number f cmplaints received (internal and frmal external) shrt descriptin f the nature f each cmplaint actin taken (including where a cmplainant was treated as vexatius r habitual r where the matter was referred t the Peple and Capability branch fr review), and any service imprvements made, r prpsed, as a result f the cmplaint received. The summary reprt will be published in the EPA s annual reprt. Page 8 f 9

9 Appendix A - Frmal Cmplaints Management Prcess Summary Steps Summary Timeframe Respnsibility Step 1: Receipt and Acknwledgement Step 2: Initial Assessment acknwledge receipt f the cmplaint thrugh a letter, r by phne create a file fr each cmplaint thrugh the HUB assess the cmplaint in terms f severity, safety implicatin, cmplexity, impact, and the need and pssibility f immediate actin refer the cmplaint t an apprpriate Senir Officer 5 wrking days Cmplaints Crdinatr Cmplaints Crdinatr Step 3: Cnsideratin and Investigatin cnsider hw t address the issues raised in the cmplaint investigate all the relevant circumstances and infrmatin surrunding a cmplaint enable affected persns t put their case frward and cnsider all relevant infrmatin nging cmmunicatin with the cmplainant and ther interested parties within 10 wrking days r up t 21 wrking days fr cmplex cmplaints Senir Officer Step 4: Reslutin and Respnse prvide a written respnse t the cmplainant prvide a written ntificatin t the cmplainant within 10 wrking days if their cmplaint is cnsidered cmplex and will require additinal time fr a respnse cntinue t mnitr the prgress f the cmplaint until all reasnable internal and external ptins f recurse are exhausted r the cmplainant is satisfied clse the cmplaint and ensure apprpriate recrds are kept including steps taken, the utcme and any fllw up actin required Senir Officer Step 5: Service Imprvement any pprtunity fr imprvement identified during the management f the cmplaint shuld be ntified t the relevant Directr r Manager analyse cmplaint t identify systematic, recurring and single incident prblems and trends, and t help eliminate the underlying causes f cmplaints As required Senir Officer and relevant Directr r Manager Reprting and Evaluatin prvide a summary reprt t Executive each year (at the end f June) publish summary reprt in the EPA s annual reprt. End f June each year Cmplaints Crdinatr Page 9 f 9