Service delivery complaints procedure

1.    Application/scope

This procedure is to be read in conjunction with the Office’s Complaints management framework, which includes the Service delivery complaint and internal review policy and the Service delivery complaints procedure. The purpose of this procedure is to provide guidance to employees in their handling of service delivery complaints.  Our Office is committed to effective complaints management and to receiving all types of feedback, including complaints.

2.    What is a service delivery complaint?

A service delivery complaint is an expression of dissatisfaction about any aspect of this Office's services or the conduct of employees. Examples of service delivery complaints are complaints about delays, employee conduct, communication and responsiveness.

However, not every expression of dissatisfaction needs to be handled as a service delivery complaint. Two exceptions are detailed below.

Exceptions

• Where the complaint does not meet the threshold of a service delivery complaint

  There are times when a complainant may respond adversely when provided with information that they do not agree with or accept. A response of dissatisfaction that is immediate, of a venting nature, and/or non-specific may not amount to a service delivery complaint and does not have to be managed under this procedure. Examples include a verbal outburst directed towards an officer from a complainant when informed that this Office cannot be of assistance or general comments from a complainant such as ‘you don’t know what you’re talking about’ or ‘you’re useless’.

• Where the complaint specifically relates to the outcome of an assessment or investigation 

  Where a complainant disputes the outcome of an assessment or investigation then the internal review requests procedure is to be applied.

3.    How should a service delivery complaint be made?

Some complaints can be dealt with as an immediate frontline response.  This may occur over the phone, including as part of a broader discussion of the complainant’s matter.  

Where this is not possible, a formal service delivery complaint may be made.  A formal service delivery complaint must be made in writing via:

• email to ombudsman@ombudsman.qld.gov.au with Service Delivery Complaint in the subject; or
• mail to Office of the Queensland Ombudsman, GPO Box 3314, Brisbane, Qld 4001.

A formal service delivery complaint must be made no later than three months after the day the complainant first had notice of the action being complained about.

The formal complaint should include:

• name, address, email and telephone number (or a complaint may be made anonymously)
• previous case reference number (if applicable)
• a concise summary of the nature of complaint (e.g. why/how the service provided was deficient)
• name/s of officers involved and
• the outcome being sought.

Our complainants have diverse needs, and come to us with a range of abilities, personal circumstances and vulnerabilities.  If a complainant expresses difficulty in meeting the above requirements, this should be communicated to the Deputy Ombudsman by the subject officer or their manager, and the Deputy Ombudsman will consider whether it is appropriate to make reasonable adjustments to our processes.

Complainants may advise us if they require interpretation or translation services or access to the National Relay Service and teletypewriter services.  If complainants require some assistance in making their complaint, they should call (07) 3005 7000 and speak to an officer about their concerns.

Anonymous complaints should be assessed against the same criteria as any other complaints. However, if contact details are not provided, the complaint may not be able to be fully investigated.

4.    Who should deal with the complaint?

When a service delivery complaint is received, a determination is to be made in relation to who should handle the complaint. This determination will depend on whether the complaint is categorised as straightforward or serious.  

A straightforward complaint is a complaint that is likely to have minimal risk or detriment to the complainant or the Office.  In determining whether a matter is straightforward, regard should be had to the severity of the complaint, any health and safety implications, the complexity of the complaint, the impact on individuals and the organisation, the potential for the complaint to escalate, the need and possibility of immediate action, outcomes sought by the complainant and whether multiple areas of the Office are involved.  Examples of straightforward complaints include minor delays, or minor communication difficulties.  These complaints are often made to the subject officer and are ordinarily suitable for immediate frontline response.  

A serious complaint is any complaint other than a straightforward complaint.  These complaints are more complex and involve a 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 employee, or serious communication difficulties.  Serious complaints also include complaints that involve allegations of corrupt conduct, breaches of human rights, or that incorporate allegations in relation to other legislation, such as complaints that also incorporate a privacy breach. 

Key responsibilities, roles and authorisations:

5.    Steps in dealing with a complaint

Receipt

Where a complaint can be resolved via an immediate frontline response (e.g. via phone), only a file note needs to be prepared for record keeping purposes.  Otherwise, receipt of the complaint should be acknowledged in writing (within three business days of being received).  In the acknowledgment, the complainant should be advised of the complaint process, the expected timeframes for the process, anything further that may be required from them, and the possible outcomes of the process (if this is practicable).

Assessment

Consider whether:

• the complaint is within the scope of this procedure, or whether it would more appropriately be dealt with under a different process
• there are any human rights issues covered by the complaint
• a corrupt conduct assessment is required.

If a different process is identified as relevant (e.g. the Prevention and Management of Fraud and Corruption Policy and Procedure, the Public Interest Disclosure Policy and Procedure, or the Privacy Complaints and Breaches Policy and Procedure), the complainant should be informed, including of any new timeframes that apply.

6.    What response can be expected?

Each complaint is unique and will need a solution that addresses the complainant’s particular concerns. If an immediate frontline response is appropriate, the receiving officer should:

• respond in an objective manner
• be polite and courteous
• actively listen and ask open questions to correctly understand the complaint
• seek clarification and confirm issues, relevant information, and outcomes sought (i.e. summarise the main points made and ask whether the understanding is correct)
• generally acknowledge the complainant’s sense of grievance, justified or not
• provide information that will assist the complainant to better understand the matter they are complaining about
• ask the complainant how they would like their dissatisfaction to be addressed
• try to meet any reasonable requests that would resolve the matter.

The receiving officer should discuss the matter with their manager where appropriate, including ways to resolve the matter.  If the matter is resolved as part of the frontline response, the response should be recorded in a file note.

If the matter cannot be resolved in this way, the subject officer should provide the complainant with information about how to make a formal complaint under this policy (as provided at 3 above). 

Where the complainant makes a formal service delivery complaint, a written outcome response is required.  This outcome letter or email should explain the decision made in response to the issues raised, and provide clear, meaningful and accurate reasons, including reference to relevant policies and legislation.

Actions taken in response to the complaint (subject to privacy considerations) should be included in the letter/email, as well as review options and contact details for discussion.  If remedies or business improvements are identified because of the complaint, these should be identified (and actioned once the complaint response is finalised).

Some possible outcomes of a complaint include:

• an expression of empathy or regret that the complainant has suffered some form of detriment without admitting any fault
• offering an apology where it is apparent that the employee was at fault
• providing explanations and giving reasons for a decision or action
• undertaking some remedial action
• expediting the work on a matter where there has been some delay
• training for the employee concerned
• informal or formal management action taken against the relevant employee, including formal disciplinary processes under the Office’s Discipline policy and procedure.

Complaints may also be declined on assessment if it is considered that no action is warranted. Examples include frivolous or vexatious complaints. 

It may not always be possible to satisfy a complainant. Common sense will dictate whether the subject officer or manager has achieved everything that the complainant could reasonably expect from this Office. The complainant should be told in clear terms what the subject officer, manager and the Office can and cannot do.

Complaint responses should be compatible with human rights, and officers must consider human rights before making a decision.  If officers need assistance in preparing a human rights assessment, they should consult with General Counsel.  The human rights assessment should be included in the complaint response.

7.    Review rights

Complainants have 20 business days from the date of their outcome response to seek an internal review of that outcome.  Requests received outside of this time will also be considered by the Deputy Ombudsman, where there are reasonable grounds to do so.
An internal review response shall be provided within 20 business days, and we must proactively advise the complainant if this timeframe cannot be met.

Review rights must be included in the outcome response, including the following:

• the timeframe for lodgement of the complainant’s internal review
• how the complainant’s submission should be made (e.g. ordinarily in writing, except where it is appropriate to make reasonable adjustments)
• that the complainant needs to outline why they are asking for internal review
• that the complainant needs to outline the outcomes they are seeking
• the supports that are available to assist them in applying for internal review.

Where there is an external review option (for example, if the complaint is about a breach of human rights, and a complaint avenue to the Queensland Human Rights Commission is available), then this should also be explained in the outcome response.

8.    Recordkeeping

It is essential that a service delivery complaint (other than a matter managed via an immediate frontline response, which should be noted in Resolve) is appropriately recorded in the Office’s recordkeeping systems.

At the conclusion of the matter, the following details should be provided to the Senior Advisor (Governance), for inclusion in the Office’s Service Delivery Register:

• date received
• name/Case
• subject file (Resolve case #)
• records file (eDocs)
• how received 
• subject officer(s)
• substance of complaint
• human rights component, including outcome (if relevant)
• decision and reasons
• outcome (substantiated, partly substantiated or unsubstantiated)
• action taken
• responsible officer
• final communication to party/parties
• category for reporting

Service delivery complaints will be reported in the Office's annual report and data will be published annually in accordance with the requirements of s 264 of the Public Sector Act 2022 and s 97 of the Human Rights Act 2019.

9.    Feedback and monitoring

Employees managing service delivery complaints will:

• advise the subject officer that a service delivery complaint has been received, and
• report the outcome to the subject officer with appropriate comment aimed at preventing a repetition of any error or unsatisfactory service that may have occurred.

The Deputy Ombudsman will report to the Senior Management Team on a quarterly basis regarding any trends in service delivery complaints. The Service Delivery Register will be used to identify improvements in the way the Office deals with complaints covered by this procedure.

10.    Definitions

11.    Related documents

Internal review requests procedure
Public Sector Act 2022
Human Rights Act 2019