Complaints Management Procedure

A printed or saved copy of this document is not the official version
Department of Community Safety
Complaints Management
Procedure
Complaints Management Procedure
Version 1.1
Page 1 of 17
DOCUMENT REVISION HISTORY

Title of document
Policy Reference No.
Name of Document
(if applicable)
OWNER
Name
Position
Samay Zhouand
Director, Information Rights Unit
APPROVED BY
Name
Position
Signature
Version
Fiona Rafter
Executive Director
V1.1
Gary Mahon
Assistant Director-General
V1.1
Jim McGowan
Director-General
V1.1
Version 1.1
Date
approved
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COMPLAINTS MANAGEMENT PROCEDURE

Version: 1.1
Valid From: January 2011
Valid To: January 2013
Contact: Director, Information Rights Unit
Purpose
The Complaints Management Procedure aims to ensure procedural fairness in
handling of complaints, standardise complaint investigation practices and establish
mechanisms to track the number and types of complaints received by the
Department of Community Safety.
Scope
The Departments definition of a complaint is:
An expression of dissatisfaction or concern regarding the provision of a service, a
decision or action by the Department of Community Safety or an engaged service
provider.
A large number of issues that meet this definition of a complaint are routinely raised
verbally with officers during the course of their duties. In the interest of efficiency, if
these issues are able to be resolved to the complainants satisfaction and in a timely
manner, they are not required to be entered into the Complaints Management
Register.
A range of mechanisms already exist within the department for managing
complaints. Where there is an existing mechanism to manage a type of complaint,
the complaint will be managed by applying that process to ensure effective
complaint-handling practices. Existing mechanisms include, but are not limited to:
Ethical Standards for management of employee related complaints that refer

to alleged misconduct or alleged official misconduct.
Human Resources for management of complaints involving staff related

issues or other departmental or service provider industrial relations matters;
Information Rights Unit for complaints relating to a breach of the Information

Privacy Principles.
In addition, this procedure does not apply to:
matters currently being dealt with or previously dealt with by an external

complaints agency such as the Ombudsman, court or tribunal.
complaints relating to health services provided by Queensland Health located

within a corrective services facility. These types of matters are to be referred
to Queensland Health.
Roles and responsibilities

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Complainant
The person making the complaint. This may include: a member of the public;
customer; employee; offenders family or friend; stakeholder; or advocacy group (if
the complaint does not relate to alternative processes outlined in existing legislation
or procedure) or an employee of an engaged service provider.
Determining Officer
The person nominated by the relevant Divisional head, who is then responsible for
authorising the outcome of a complaint. The determining officer is responsible for
assessing, recording, monitoring and tracking complaints concerning their

area of responsibility using the complaints management system;
ensuring that sufficient detail is recorded in the complaints management

register;
investigating, determining and assigning the investigation to officers under

their control;
keeping complainants informed of the progress of complaints;
ensuring that complaints are resolved within specified timeframes;
providing written notification of outcomes to complainants, including the

reason/s for those outcomes;
co-ordinating and conducting reviews of Level 1 and Level 2 complaints

which were investigated and determined by an assigned officer.
Receiving Officer
The officer who initially receives a complaint. Where possible, front-line officers
receiving verbal complaints should attempt to resolve a verbal complaint at this point.
Tips for frontline officers to deal effectively with complainants can be found on the
Departments intranet site under: Complaints Management Toolkit.
Reviewing officer
The officer assigned by a Divisional head, or delegate, to conduct a review of a
complaint outcome, if the outcome has been appealed by the complainant. The
reviewing officer should not be the same officer involved in the initial investigation of
the complaint.
Information Rights Adviser, Complaints Management
A position within the Information Rights Unit responsible for ensuring the
Departments Complaints Management System meets statutory requirements. This
position also co-ordinates the reporting elements of complaints management for the
department and monitors adherence to timeframes.
Queries regarding any aspect of complaints management or individual complaints
can be referred to the Information Rights Adviser, Complaints Management via
email: complaintsmanagement@dcs.qld.gov.au.
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Senior Officer
The Senior Officer is the person/s nominated by the Divisional head to co-ordinate
and conduct reviews of Level 3 complaints, which fall within their respective area of
responsibility, provided that the complaint does not concern their own decision or
action, in which case the matter must be determined by the relevant Divisional head.
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Process
There are 5 phases involved in managing a complaint made to the Department of
Community Safety:
1. Receiving a complaint
2. Assessing a complaint
3. Actions taken to address a complaint
4. Outcome and system improvement
5. Monitoring effectiveness and reporting
1.
Receiving a complaint
1.1 Method of contact

Complaints may be received by the department via any mode of communication in
order to express dissatisfaction. Contact can be made:
in person
by telephone
via the online complaint form
in writing
by fax
by email
Prisoners in corrective services facilities are limited to submitting a complaint in

writing by using either a complaint form or through the blue letter system.
1.2 Documenting the issue
When a complainant wishes to elevate an issue that has not previously been
provided in writing and is unable to obtain assistance to do so, the receiving officer
must document the issue, in writing, preferably by using the complaint form (either
the printed version or the online complaint form).
Where possible the complainant should verify that all information has been recorded
accurately and all issues sufficiently documented.
Refer Appendix A Complaint Form
1.3 Reasonable assistance for complainants
As far as practicable, reasonable assistance should be provided to people who wish
to make a complaint. Such assistance may include (for example):
providing an interpreter if a complainant has language difficulties or is visually

or hearing impaired; or
advising complainants where they can obtain further information (for example,
the Department of Community Safety Complaints website has multicultural
translations of the complaints poster and brochure); or
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If the complainant is a prisoner or offender, referring them to a support person

who can assist them with putting their complaint in writing.
The costs of arranging reasonable assistance will be met by the Departmental area
to which the complaint relates.
2.
Assessing a complaint
Effective management of a complainant by frontline staff in the initial stages of a

complaint being made is critical in achieving a rapid resolution to a complainants
concerns, and may prevent a complaint being escalated.
If the complaint issue does not fall within the jurisdiction of the Department of
Community Safety, the complainant should be directed to the appropriate authority
with which to raise their concerns (eg. another Government department). Assistance
should be provided to the complainant to identify the most appropriate avenue
available to them in order to resolve their concerns.
When it is determined that a complaint is within the departments jurisdiction, the
appropriate Determining Officer will refer the complaint to a Senior Manager for
consideration and allocation, as appropriate. The Determining Officer will also
ensure the details of the complaint are registered in the complaints management
register (refer section 3.5 Recording complaints).
Refer Appendix B Complaints Management Process Checklist
2.1 Determining complaint category
When assessing a complaint, a determination will be made as to whether the
complaint will be assigned a Level 1, 2 or 3 category. This assessment will
determine how the complaint will be managed.
Level 1 Complaint
may relate to a single issue;
involves minimal risk to the complainant, department or engaged service

provider;
will not require a detailed investigation; and
will be suitable for local resolution.
Level 1 complaints would usually be managed at the local level.

Level 2 Complaint
may relate to one or more issues;
involves a low degree of risk to the complainant, department or engaged

service provider;
may require a more detailed investigation; and
should involve consultation as to whether it will be suitable for local resolution.
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Level 2 complaints would usually be managed by the Determining Officer, or

delegate.
If assessed as Level 1 or Level 2, the determining officer may
assign the investigation and determination of the matter to an appropriate

officer;
assign the investigation of the complaint to an appropriate officer, with the

determining officer approving the outcome of the complaint; or
investigate, and determine the outcome of the complaint.
Level 3 Complaint
may involve a serious or significant risk to the complainant, department or

engaged service provider;
will involve a formal investigation; and
is not suitable for local resolution.
Level 3 complaints must be handled by the Senior Officer, or delegate. The senior
officer may assign the investigation to an appropriate officer, however, the senior
officer must sign off on the outcome of the complaint.
2.2 Determining the Complaints Management Timeframe
2.21 Acknowledgement
All complaints must be acknowledged in writing, either by sending an email or
posting a letter, within 5 working days of the complaint being received by the
department (Refer section 3.1 Acknowledging the complaint).
2.22 Resolution
The timeframe that applies to resolving a complaint will depend on an assessment
of:
the urgency of the issue and the impact if the complaint is not resolved quickly
the likelihood that the complaint can be quickly resolved
the complexity of the issue.
Complainants must receive written acknowledgement and advice about the outcome
of their complaint within required timeframes.
The following timeframes must be applied:
for complaints that have been assessed as either Level 1 or Level 2, a 30

working day timeframe applies from when the complaint was first received.
for complaints that have been assessed as Level 3, a 60 working day

timeframe applies from when the complaint was received by the department.
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2.23 Timeframe extensions

If the complaint is unable to be finalised within the required timeframe, an extension
letter must be sent to the complainant as soon as possible advising them and
providing them with an expected finalisation timeframe.
The determining officer must take all reasonable measures to ensure timeframes are
met prior to sending an extension letter to the complainant.
If an expected finalisation timeframe is unable to be provided, the determining officer
must endeavour to provide an outcome within 30 working days of the date of the
extension letter.
The Information Rights Unit will monitor the timeframes for the resolution of
complaints to ensure they are strictly adhered to.
2.24 Trivial and vexatious complaints
Caution should be exercised when determining if a complaint is trivial, vexatious,
frivolous or made in bad faith. A senior manager should be consulted before a final
determination is made.
There are some factors to be considered that may indicate if a complaint is trivial,
frivolous, vexatious or has been made in bad faith. These factors include:
constant complaints from the same complainant against one person or body
about the same issue;
a complainant seeking to revisit the same issue after an initial investigation

and subsequent review when no new evidence or material is provided;
a complainant making repetitive complaints and then withdrawing them;
using complaints about another person as an attempt to divert the agencys

attention from the complainants own situation;
making a complaint based on false statements of fact;
a complainant making ongoing complaints on an issue which has previously

been determined to be trivial, frivolous or made in bad faith.
Assessment may determine that the complaint lodged requires no further action
because it was assessed to be vexatious or frivolous in nature. In this instance
officers will document the following information in the complaints management
register:
the assessment undertaken and findings from the assessment;
a recommendation to the line manager for endorsement that no further action

is required following endorsement;
notify the complainant/s in writing of the outcomes of the assessment,

advising that no further action will be taken and that the complaint is closed,
for instance, the complainant may be advised that the complaint lacked
sufficient grounds, or that the complaint had been previously lodged and
managed;
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notify the complainant that if they are dissatisfied with the departments
findings or any aspect of the complaints management process, they may refer
their complaint to the Queensland Ombudsman.
Comprehensive information about the management of complaints can be found on

the Queensland Ombudsmans website, in particular their publication titled
Managing Unreasonable Complainant Conduct Practice Manual. Staff may access
this publication either through the departmental website at the Complaints
Management Toolkit or by visiting:
http://www.ombudsman.qld.gov.au/PublicationsandReports/UnreasonableComplaina
ntConductManual.aspx
2.25 Anonymous complaints
Anonymous complaints will be accepted and recorded within the complaints
management register. However, there will be limitations as to how thoroughly an
anonymous complaint can be investigated.
2.26 Complaints by prisoners/offenders alleging discrimination
Complaints received by prisoners and offenders which include an allegation of
discrimination in relation to services or actions provided by the department must be
entered into the complaints management register; managed in accordance with the
complaints management process; and, referred to the Legal Services Unit for
consideration.
Complaints regarding the conduct of staff that allege discrimination and could
constitute serious/official misconduct must be referred to the Director, Ethical
Standards Unit for assessment in the first instance. The Director, Ethical Standards
Unit must then make a determination as to how the matter should be dealt with and
what action should be taken.
A prisoner or offender cannot complain to the Anti-discrimination Commissioner until
at least four months after the offender has made a written complaint to the DirectorGeneral (refer s319E of the Corrective Services Act 2006).
If a prisoner makes a complaint which includes an allegation of discrimination and is
not satisfied with the complaint outcome obtained through the complaints
management process, the prisoner may then refer the complaint in writing to an
official visitor to consider the complaint (refer s319F of the Corrective Services Act
2006).
Once a prisoner has received a complaint outcome from the official visitor, the
offender may progress his/her complaint through other avenues such as the AntiDiscrimination Commission Queensland (ADCQ).
2.27
Identifying possible discrimination
There are two forms of discrimination that are prohibited under the AntiDiscrimination Act 1991: direct discrimination and indirect discrimination.
Direct discrimination is where a person is treated less favourably because of an
attribute (gender, religion, disability etc).
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Indirect discrimination is where a person is treated in the same way as everyone

else, but that persons attribute requires that they be treated differently.
An example of direct discrimination would be where an offender makes a request for
differential treatment on the grounds of religion, and as a result of the request being
denied, is subject to less favourable treatment.
An example of indirect discrimination is where an offender is obliged to comply with
the same condition as everyone else, but is unable to do so because of religious
reasons.
3.
Actions taken to address a complaint
3.1 Acknowledging the Complaint

A complaint is required to be acknowleged, in writing, either by letter or email, within
5 business days of the complaint being received.
If the complainant is a member of the public, telephone contact may be made with
the complainant during the complaints management process, if verification and/or
clarification of the details of the complaint is required.
Refer Appendix C Acknowledgment letter template
3.2 Deciding whether to investigate a complaint
The following factors must be considered by the Determining Officer when deciding
to investigate a complaint
the seriousness and/or systemic nature of the issue/s raised;
the level of risk to the complainant, the department and/or the engaged
service provider;
the history or level of the departments involvement;
recommendations from external agencies;
consequences for current case involvement;
the likelihood of a productive investigation.
If a decision or incident that forms the substance of a complaint occurred more than
12 months prior to the date that the complaint is lodged, the decision to investigate
the complaint will be at the discretion of the determining officer, unless the complaint
involves an allegation of discrimination.
3.3 Investigative approach
A standard approach to investigating a complaint may include:
a review of any relevant legislation or internal policies and procedures;
gathering of necessary information, consultation with relevant persons and

assurance of a thorough understanding of the issues;
observance of natural justice;
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establishment of facts, including analysis of any evidence for quality,

corroboration or contradiction;
consideration of relevant policies and procedures and assessment criteria;
consideration of the merits of the original decision making process, if relevant.
Refer to Appendix D Review Matrix

3.4 Review Documentation
For Level 3 complaints, the assigned officer must detail in a brief (for example a
Complaints Review Record) for the determining officer how his or her
recommendation was arrived at. This may include reference to:
the documents used to inform the decision (these should be attached)
a background
how the conclusion was determined.
This will provide a record of the process applied to inform the review decision. This
also provides a record should the complaint be subject to an external review e.g. the
Queensland Ombudsman.
All documentation should be recorded in the Complaints Management Register, and
placed on file after the complaint review has been finalised (Refer 6.0 Retention of
records).
Refer Appendix E- Complaints Review Record
3.5 Adherence to Complaints Management Timeframes
Divisional heads must ensure that assigned officers comply with timeframes for
complaint responses. If timeframes are to be exceeded the reasons must be
documented, an extension approved by a business area manager, and revised
timeframes registered in the Complaints Management Register.
The complainant must be contacted and advised of the revised timeframes for the
response and reasons for the extension. Confirmation of the revised timeframes
should be provided in writing.
Refer to Appendix F extension letter template
3.6 Recording complaints
Divisions are required to record complaint details within the Complaints Management
Register, in accordance with the Complaints Management Procedure. This includes:
All complaints which fall within the definition of complaint and are made in
writing, as set out in this procedure (refer to the definition of a complaint
under Scope);
All complaints that are received in writing, regardless of whether a verbal
outcome is reached;
Any complaints that Divisions are asked to respond to on behalf of the
Minister or Director-General, provided they fall within the scope of the
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complaints management process;

Complaints made by prisoners and offenders that relate to an allegation of
discrimination;
All complaint outcomes.
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4.0
Appealing a decision or outcome
4.1 Internal review

A complainant can appeal the outcome of their Level 3 complaint, if they consider the
outcome to be unsatisfactory.
Reviews of Level 1 and Level 2 complaints may be undertaken at the discretion of a
senior officer.
A prisoner who has made a complaint, which is then assessed as either a Level 1 or
Level 2 and had their complaint outcome decided by a General Manager, may not
seek an internal review of that decision.
An offender under a community-based order who has made a complaint, which is
then assessed as either a Level 1 or Level 2 and had their complaint outcome
decided by a Regional Manager, may not seek an internal review of that decision.
A request for a review of a decision must be made in writing by the complainant and
received by the department within 28 days from the date of the outcome advice. The
request for review should clearly detail the grounds that the complainant would like
their decision to be reviewed.
If a request for review is received outside the 28 day timeframe, it is at the discretion
of the reviewing officer whether to accept the request. If the decision is made not to
accept the request because it is outside the required timeframe, the complainant
must be advised of this decision in writing.
A review will be undertaken by an officer not involved in the management of the
initial complaint. The reviewing officer must be at the same or higher level as the
determining officer.
When conducting a review, the reviewing officer must
review the original decision together with the reason/s for that decision;
consider the complainants submission;
obtain as necessary and consider any additional information that may be

relevant to the matter;
make a determination; and
provide a review outcome, in writing, to the complainant including the

reason/s for the decision.
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4.2 Appealing a decision- external review

If a complainant considers their complaint to be unresolved or remains dissatisfied
with the outcome reached by the department, they may refer their complaint to the
Office of the Queensland Ombudsman.
Prisoners and offenders are not precluded at any stage from referring their complaint
to an external review mechanism, such as an Official Visitor (if the complainant is in
custody) or the Queensland Ombudsman.
5.0
Outcome and systems improvement
Following completion of the investigation into the complaint, the review findings are
to be documented and a response to the complainant forwarded by the assigned
officer.
The response to the complainant should detail the findings of the review. It should
clearly document each point of the complaint, the details of issues identified during
the review, and whether or not the complaint has been substantiated.
If the complaint has been found to be substantiated, details of any remedial actions
that are to be taken should be provided. If the complaint has not been upheld,
justification for this decision must be provided to the complainant.
A copy of the response should be retained on the complaint file, and relevant details
recorded in the Complaints Management Register.
Where possible the complainant can be advised of the outcome via telephone, if
possible. Telephone contact however does not eliminate the requirement to provide
a written outcome.
If the complainant has advised they do not wish to receive further correspondence,
the outcomes should be documented in the Complaints Management Register,
however an outcome letter is not required to be sent the the complainant.
All details in relation to the management of a complaint must be recorded in the
Complaints Management Register.
Refer to Appendix G Outcome letter template
5.1 Remedies
During the review process, consideration should be given to what remedy and
systems improvement may be required.
Remedial action that may be appropriate and reasonable to remedy errors and
deficiencies in service include (for example):
an explanation
a change of decision
formal or informal dispute resolution
an apology
correction of misleading or incorrect records
protection of complainants and whistleblowers.
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5.2 System improvements

When developing system improvement recommendations, consideration should be
given to the extent the action will:
prevent the recurrence of similar complaints
promote the continuous improvement of departmental services.
System improvements can include:
6.0
policy and procedure review
practice review
staff training and other professional developmental activity.
Monitoring Effectiveness and Reporting
Recording of complaints information enables departmental reporting requirements to

be met, and will allow for identification of any trends or system issues that may
inform improvements to products and services delivered.
The reporting function is performed by the Information Rights Unit.
Quarterly analysis of complaints data to identify and address any systemic issues,
including improvements to products and services, policies and procedures, and staff
training needs will be undertaken by the Information Rights Unit.
The report will include:
7.0
the number, types and outcomes of complaints received, broken down by

Divisions
the time taken to resolve complaints and the number of complaints that
were not resolved within the required timeframe
complaint issues and trends that identify business improvement

opportunities.
Retention of records
The Department of Community Safety maintains complaint records in accordance

with Information Standard 40 Recordkeeping and the Public Records Act 2002.
The complaints management register is the primary tool for the electronic collection
of data, however, accurate records relating to complaints must be maintained within
each respective area of responsibility.
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Authority
Anti-Discrimination Act 1991 s 134
Whistleblowers Protection Act 1994 Part 3
Appendices
Appendix A Complaint Form
Appendix B Complaint Management Process Checklist
Appendix C Acknowledgment letter template
Appendix D Review Matrix
Appendix E Complaints Review Record
Appendix F Extension letter template
Appendix G Outcome letter template
Policies
AS ISO 10002-2006: Customer satisfaction Guidelines for complaints

handling in organizations
Complaints Management Policy
Directive 13/06 - Complaints Management Systems
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