Item 13.4
- Attachment 1 |
Draft
Customer Compliments & Complaints Policy 2009 |
Background:
This
policy relates to the capturing, handling, and resolution of Compliments and Complaints
about Parramatta City Council, including their capture, handling, resolution
and reporting.
Objective:
To bring alive Council’s guiding principles, including Council’s
commitment to customer service, integrity, and accountability by providing the
community with a method of making compliments and complaints that is
consistent, transparent and accountable, and providing Council with the means
to identify areas which need improvement.
Scope:
This policy applies across all areas of Council
Relationship to Legislation:
Whilst not relating to legislation, this policy is based on the
guidelines set out by the NSW Ombudsman in The Complaint Handler’s Tool Kit,
May 2000. This policy also
acknowledges the authority of the Ombudsman
Act 1974, the Children and Young Persons (Care and Protection) Act
1998 and the NSW Child Protection (Prohibited Employment) Act 1998 in establishing the processes
applicable to complaints about staff working with children.
Related Strategies, Plans or Policies:
This Policy is related to the Compliments and Complaints Handling
Procedures , Human Resources Policy 4 Working with Children Policy
and the Code of Conduct
POLICY CONTENT
Aim................................................................................................................ 3
Customer Request Framework..................................................................... 3
Definitions..................................................................................................... 3
What is a compliment........................................................................................................... 3
What is a complaint.............................................................................................................. 3
What is not a complaint........................................................................................................ 3
Who is a complainant........................................................................................................... 4
What is transparency............................................................................................................ 4
What is natural justice.......................................................................................................... 4
What is maladministration................................................................................................... 4
Our Commitments......................................................................................... 4
What are Council's Commitments?.................................................................................... 4
What are Compliments?................................................................................ 5
Why are compliments valuable?......................................................................................... 5
How will compliments be handled....................................................................................... 5
Complaints.................................................................................................... 5
Why are complaints valuable............................................................................................... 5
Handling Compliments and Complaints......................................................... 5
How will complaints be treated........................................................................................... 5
How do we receive compliments and complaints............................................................. 5
What are Council's deadlines............................................................................................. 6
What will be done with your information............................................................................. 6
Complaints of a personal nature......................................................................................... 6
Complaints about Councillors............................................................................................. 7
Complainants who are abusive or unreasonable.............................................................. 7
Anonymous Complaints....................................................................................................... 7
Complaints constituting a breach of law............................................................................ 7
Complaints against staff working with children................................................................. 7
Corruption, Maladministration
& serious and substantial wastage................................. 8
Complaints that Council will not act on............................................................................... 8
Cultural diversity and special circumstances..................................................................... 8
Exploration of options and consequences......................................................................... 8
How will we handle complaints............................................................................................ 8
Your rights to appeal............................................................................................................ 8
Parramatta City Council seeks to measure and monitor its service to
provide members of the community with the highest possible service and
commitment.
There are a number of different mechanisms for persons who wish to raise
concerns about the conduct or services of Council and its staff. This policy provides guidance on the response
that customers can expect when they contact Council to complain about its
services, conduct, staff, and Councillors.
FEEDBACK
FRAMEWORK
A compliment
is an expression of praise or regard for service received or performance given.
A complaint is an expression of
dissatisfaction with the quality of the service provided by Parramatta City
Council. This includes dissatisfaction with
the outcome of a decision, level or quality of service, the failure to adhere
to a policy or procedure, or behaviour of an employee or agent, which can be
investigated and acted upon.
For
the purposes of this policy, the following are not classified as a ‘complaint’:
3.3.1. A request for service (unless there was
no response to a first request for service)
3.3.2. A request for information or an explanation
of a policy or procedure.
3.3.3. Disagreement with a lawfully made decision
of the Council.
3.3.4. An appeal or representation against a
decision, other than that made as the result of a complaint.
3.3.5. An objection to a development application
3.3.6. A disagreement made with the decision made
on a development application.
3.3.7. An internal grievance
3.3.8. An appeal or request for internal review
where the right and process of appeal is established by statute (eg. Internal
review under the Privacy and Personal
Information Protection Act (NSW) 1998)
3.3.9. A
complaint against a member of the public, such as a complaint about a barking
dog, unauthorised building work, noise etc.
A complainant is any person wishing to provide
feedback about Council’s services which expresses dissatisfaction with a
decision, level or quality of service, failure to adhere to a policy or
procedure, or behaviour of an employee, Councillor or agent, which can be
investigated and acted upon
Transparency means that the process
used to handle and resolve complaints is fair and is seen to be fair. This
principle refers to the way in which policies and procedures are made clear,
visible and comprehensible to all those using them. Nothing should occur that
could not easily be explained to any party to a complaint. Whether making a
complaint, being complained about, or witness to an investigation, everyone
should understand how information will be used; the role of all those involved
in handling the complaint or playing any part in the process, and their own
rights and responsibilities.
We seek to be
transparent in the decision making process. It means that resolutions or other
decisions should always be accompanied by an explanation of the process used to
make the decision and the reason why the decision was reached.
The following
natural justice principles have been identified by the Human Rights and Equal
Opportunity Commission and are required to be addressed and implemented by
Council:
3.6.1. Who ever is the subject of concern must
know all the allegations in relation to their behaviour;
3.6.2. All parties to the complaint must have
the right to be heard;
3.6.3. All relevant submissions and evidence
must be considered;
3.6.4. Matters which are not relevant must not
be taken into account;
3.6.5. The person who makes the complaint must
not determine the matter;
3.6.6. The decision-maker must be fair and
just.
Further to this,
we will address and implement the following principle:
3.6.7. All parties involved have the right to
seek review of the complaint determination
3.6.8. The person who is the subject of the
complaint must not determine the matter.
3.7. What is Maladministration
The Protected Disclosures Act 1994 defines
maladministration as conduct of a kind involves action or inaction of a serious
nature that is:
3.7.1. contrary
to law, or
3.7.2. unreasonable,
unjust, oppressive or improperly discriminatory
3.7.3. based
wholly or partly on improper motives
Further detailed guidance in relation to
maladministration is provided in the Protected Disclosures Act 1994.
· Providing
an accessible compliment/complaints system,
· Listening
to what the citizen has to say,
· Seeking
to understand what the citizen wants,
· Respecting
the customer’s integrity,
· Giving an
explanation,
· Considering
all aspects of the complaint including possible solutions and the impact of the
solutions on other members of the community,
· Taking
action, if required, within a reasonable time, and keeping the complainant
informed.
Compliments give us an
opportunity to identify services and areas of best practice by staff, and
incorporate those practices and standards in other areas of Council.
Compliments will be
registered in Council’s Customer Relationship Management System, and actioned
to the appropriate area manager.
Compliments will be reported to the General Management Team on a regular
basis, to ensure that staff are recognised and examples of best practice
identified and acknowledged.
6.1. Why are complaints valuable?
Complaints
give us an opportunity to identify and resolve issues of concern to members of
the community. Complaints may bring to our attention issues regarding:
6.1.1. an administrative decision making process or
procedure;
6.1.2. the conduct of a member of Council staff, a
Councillor, or an agent of Council;;
6.1.3. the conduct of another resident in a matter
before Council;
6.1.4. the delivery of Council services;
6.1.5. timeliness to take appropriate action on a
request;
6.1.6. facilities and resources available; and
6.1.7. discrimination and/or harassment of a complainant
or group of complainants on the basis of their age, gender, race, country of
origin, sexuality, marital status, pregnancy, disability, transgender, medical
record, religion, criminal record, political belief or union activity.
Complaints provide us a valuable feedback mechanism,
and are welcomed as an opportunity for us to improve its services and
performance.
Complaints will be treated confidentially according to
the principles in the Privacy and
Personal Information Protection Act (NSW) 1998.
Wherever
possible complaints will be resolved and reviewed locally and have the fewest
people necessary involved. Complaints are treated confidentially and
information is only used for the purposes for which it was collected unless;
7.1.1. either the consent of the individual(s) is
obtained, or
7.1.2. We have reasonable grounds for believing
the use of the information will reduce a threat to the life or health of any
person, or
7.1.3. The use is authorised or compelled by law.
Where a
complaint relates to a number of issues, such as the conduct of a staff member
and the outcome of a decision made, Council may handle these matters as
separate complaints.
7.2.1. internet
- the complaint will be registered and
directed to the appropriate person;
7.2.2. mail – Sent to
Records, will be registered and directed to the appropriate person;
7.2.3. email - The
Council officer in receipt will be responsible for registering the complaint
compliment and actioning it to the appropriate person;
7.2.4. in person, by
using the Counter Compliment and Complaint Form which will then be registered
and directed to the appropriate person, or,
7.2.5. via telephone,
by calling customer service on 9806 5050.
Where
possible, an interpreter will be made available to assist with verbal
complaints and completion of forms.
Complaints are handled in a timely manner with achievable
deadlines clearly stated for each stage in the resolution of a complaint. In order to comply with the recommendation of the Ombudsman
Council's performance standard for responding to a complaint is that it will be
acknowledged within 10 working days, and resolved in approximately 28
days. Where a complaint is complex,
technical or requires additional time to search for the required information,
we will negotiate with the citizen to review the timeframe for the response.
The time taken
to resolve a complaint is one of the measures of the success of our ability to
effectively resolve complaints. Perceived unnecessary delay is usually the
single biggest complaint made about the complaints process.
Where a
complaint is not clearly identified as a complaint, meeting these deadlines may
not be possible. Where a complaint is
misdirected due to poor identification, these deadlines shall apply from the
date that the relevant Council officer becomes aware of the complaint. The complainant will be made aware of this
delay.
To ensure that
complaints are directed correctly, written complaints should be clearly and
immediately identified as such.
Your personal information will be used by Council Officers
in relation to investigating and handling your compliment / complaint. If you take your complaint to the Ombudsman,
we will share any relevant information relating to your complaint with the
Ombudsman.
Information you provide in relation to Compliments will be
used to recognise good service by staff and identify best practice within
Council.
Statistical information will be used to identify
areas/services/procedures that need review or that may need additional
resources to provide the required level of service to our Customers. In the case of compliments about our service
or our staff, we will use that information to reward our staff, through the
celebrating Success initiative as well as identify what works well so that we
may use those principles in other areas.
Statistical information will be reported to Managers monthly
and to the CEO every three months. A
report will also be presented to Council every three months. The report will
consist of the number of compliments / complaints received in service areas,
the number of complaints attended to and the number of complaints outstanding. Where it is requested, statistical
information may be more detailed.
7.5. Complaints of a Personal Nature
As representatives of the Council, complaints about
Council’s staff and agents will be taken seriously. Complaints of a personal
nature will be handled differently than Complaints against a service level or
decision. To ensure confidentiality and
compliance with relevant legislation, complaints of a personal nature will NOT
be entered into our service request system, rather, they are to be stored in
the appropriate confidential TRIM folders.
The Privacy and Personal Information Protection Act
1998 (PPIPA) defines personal information as:
information or an opinion (including
information or an opinion forming part of a database and whether or not
recorded in a material form) about an individual whose identity is apparent or
can reasonably be ascertained from the information or opinion.
A ‘personal complaint’ will be taken to mean any
complaint by an individual against another individual that includes such
‘personal information’ about either party.
This includes:
7.5.1. A
complaint about the conduct of a member of Council staff or management
7.5.2. A
complaint about the conduct of a Council contractor or volunteer
Personal complaints do not include:
7.5.3. Complaints
about decisions made by staff – with such complaints council will focus on the
quality of the decision made, not the staff member who made it.
Where possible, complaints of a personal nature will
be handled in such a manner to protect the Privacy of both the person who is
the subject of the complaint and the complainant.
As
elected community representatives, complaints about Councillors are treated
seriously. In accordance with the
requirements of the NSW Model Code, complaints against Councillors will be
handled in accordance with Council’s Code
of Conduct
In any interaction with members of the
community where personal abuse or vulgar language is used, the communication
may be terminated immediately by the employee. If face to face, the employee
should walk away. If on a telephone, the
employee will terminate the call. If in email, it may be blocked.
If in correspondence, it will be returned to the sender and not acted
upon. Before doing so, an employee will advise the complainant that they are
terminating communication, and will not discuss the matter further.
We
identify three main types of unreasonable complainant:
7.7.1. Those
that become physically or verbally aggressive. The safety of employees and
other members of the community is paramount.
7.7.2. Those
that make substantial and unreasonable demands on the workload and resources of
Council.
7.7.3. Vexatious
complainants whose aim is to annoy and irritate.
In
the case of an unreasonable complaint or complainant, the complaint will be
recorded but no further action will be taken.
The CEO may approve and sign correspondence notifying the complainant
that Council has implemented the full review process in relation to their
complaint, and will not review the process further. The CEO will confer with the
Lord Mayor in such circumstances. This
step will only be taken as a last resort, where all other avenues of resolution
have failed.
If the employee feels threatened by the language or behaviour of the complainant, the police shall be notified.
7.8. Anonymous
Complaints
In line with
the Ombudsman’s own practices, anonymous complaints will only be acted upon
where the matter is relatively serious, and there is sufficient information in
the complaint to enable an investigation to be conducted.
7.9. Complaints Constituting a Breach of Law
Where a
complaint indicates that a crime has been committed, we will report this
information to the relevant law enforcement body, subject to the approval of
the CEO.
7.10. Complaints
Against Staff Working with Children
Complaints against staff working directly with
Children will be handled in accordance with the relevant legislation,
specifically the Children and Young
Persons (Care and Protection) Act 1998, the Ombudsman Act 1974 and the NSW Child Protection (Prohibited
Employment) Act 1998, which
mandate a specific approach to the handling and reporting of complaints about
staff working with children. Further
information about this process is contained within Human Resources Policy 4
Working With Children.
7.11. Corruption, maladministration, serious and substantial
wastage
We are committed to maintaining high ethical
standards. Therefore it is everyone’s responsibility to not only act honestly
but to report any instances of possible corruption, maladministration or
serious and substantial wastage. Anyone who acts in an unethical manner can not
only damage the reputation of the Council but also its Councillors and
employees.
You can report suspected instances in accordance with
this policy. You can also report suspected corruption to the Independent
Commission Against Corruption (02 8281
5999), suspected maladministration to the Ombudsman (9286
1000) and suspected serious and substantial wastage to the Director General of
the Department of Local Government (
We will not act on a
complaint if in doing so it would:
1. Be
against our legal duties as an employer,
2. Be an
unreasonable invasion of a person’s privacy, according to Privacy and Personal Information Protection Act 1998.
3. Be excessively
wasteful of Council’s resources. We have a duty to spend community funds in an
efficient and effective manner,
4. Encourage or
allow unethical behaviour.
7.13. Cultural diversity and special circumstances
Barriers which
deter or prevent complainants from accessing the complaints system will be
identified and we will take steps to make access possible.
We are
committed to dealing with complaints with thoroughness and sensitivity to the
diversity of the community. This
diversity includes country of origin, gender, Indigenous Australian complaints,
religion, sexuality and disabilities.
7.14. Exploration of
options and consequences
Unintended
consequences will be avoided by exploring all of the options available with the
complainant.
7.15. How
will we handle complaints
Our policy to handle
compliments and complaints will be to use a set of procedures which contain the
following elements:
7.15.1. It
is a user-friendly system for accepting citizen feedback.
7.15.2. Clear
delegations and procedures for staff to deal with complaints and provide
remedies.
7.15.3. Staff
must follow clear referral steps if the matter cannot be resolved by the
initial review.
7.15.4. A
procedure and forms for recording, monitoring and providing feedback to the
complaint.
7.15.5. Performance
standards are in place for response times and the quality of Council's
response.
7.15.6. Methods
for dealing with different types of complaints and complainants.
7.15.7. Council's
Service request system (known as Customer Relationship Management) and records
management system log, record and track complaints, the outcomes and feedback.
7.16. Your Rights to
Appeal
Should the complainant be unsatisfied with the
handling or determination of a complaint, they may request that an internal
review of the complaint be conducted. An
internal review will be conducted by a staff member not involved in the
investigation of the initial complaint, and will look at the quality of the
original investigation. An internal
review will only re-investigate a complaint where the original investigation is
found to be lacking.
Should the complainant continue to be unhappy with the
handling or determination of the complaint, the complainant may take the matter
to the NSW Ombudsman. The Ombudsman can
be contacted in
This policy was adopted by Council on October 31,
2005. Minute No. 8156 City Leadership
and Management.
Amendments to this policy were adopted by Council at
its meeting of ….
This
policy is scheduled for review on an annual basis
3
The Service Audit and Review Unit is responsible for
the management of this policy.
Policy Number
216