Complaints Policy

This Policy aims to provide an accessible, centralised and consistent mechanism for complaint handling within the Department and accountability to our clients and stakeholders.

This Policy outlines the roles and responsibilities of the Department’s staff and provides guidance for members of the public making a complaint.

Examples of matters that this Policy covers include:

• behaviour by a staff member that does not comply with the State Service Code of Conduct or the Department’s values
• unreasonable delays in providing information or services
• inadequate service, explanations or reasons
• human error that has resulted in significant distress or inconvenience
• procedural deficiency
• inadequate knowledge/training of staff
• poor facilities (such as unclean toilets, inadequate seating, inaccessible facilities)

The Department covers a wide range of services and provides administrative support to a number of independent statutory bodies. Appendix A of the Complaints Procedures outlines mechanisms for complaints which are not within the scope of this Policy, including:

• complaints against Statutory Officers, Magistrates or Judges
• alleged misconduct such as a crime or offence of a serious nature
• alleged reportable conduct
• discrimination matters
• builders and consumer related matters

If a complaint is received that is not handled by this policy, the Department will, where appropriate, refer the complaint to the relevant body or provide you with information on where to direct your complaint.

The Department's staff are expected to comply with the State Service Code of Conduct which requires, among other things, that employees:

• behave honestly and with integrity
• act with care and diligence
• treat everyone with respect and without harassment, victimisation or discrimination
• comply with all applicable Australian law
• maintain appropriate confidentiality
• disclose, and take reasonable steps to avoid, any conflict of interest
• use government resources in a proper manner
• not knowingly provide false or misleading information in connection with their employment
• not improperly use information gained in their employment to gain a gift, benefit or advantage

In addition, employees are expected to:

• treat all users of our services with respect and courtesy
• listen to what users of our services have to say
• provide reasonable adjustments to meet the needs and circumstances of each user of our services
• always do what they say they are going to do, or update the appropriate people promptly if things change, offering an explanation for the change
• respond to enquiries as promptly and efficiently as possible
• consult the public and users of our services about their service needs

The Department recognises the importance of ensuring our service delivery meets the needs of the Tasmanian community. Our Values influence what we do, how we do it and are intrinsic to creating our culture. We have five Values:

Integrity

We are honest, ethical, reliable and fair in everything we do

Respect

We treat our colleagues, stakeholders and clients with courtesy and value the diverse experience of others

Accountability

We are transparent, take ownership for our actions and acknowledge the responsibility we have to our colleagues, stakeholders and clients

Inclusive

We enable our colleagues, clients and stakeholders to be respected, values and treated equally

Collaborative

We actively engage with our colleagues, stakeholders and clients to make informed decisions that benefit the community. As a values-driven organisation, we are committed to creating an environment where employees and the services we provide are aligned with our Values.

The State Service Code of Conduct contained in section 9 of the State Service Act 2000 states:

"An employee must disclose, and take reasonable steps to avoid, any conflict of interest in connection with the employee's State Service employment."

A conflict of interest occurs when a private interest interferes with, or is seen to interfere, with a Departmental staff members’ duties. A conflict of interest can be actual, perceived or potential.

A complaint can be made in relation to a conflict of interest against a Departmental staff member. For example, if a Departmental staff member is asked to carry out a service for a family member.

When the Department receives a complaint about any matter, the Department will ensure that the complaint is dealt with without any conflicts of interest. It is the duty of State Service employees handling a complaint to report any conflict of interest at the earliest opportunity and to the most appropriate authority.

For the purposes of this policy, complaints will be handled by employees that do not have a conflict of interest.

To assist the Department to identify trends and/or risks, the Office of the Secretary will maintain a confidential and centralised register of complaints. On a quarterly basis, de-identified reports will be provided to the Department’s Agency Executive.

A central record of complaints data will aim to facilitate a consistent approach to complaints management, ensure an appropriate organisational response to problems disclosed by complainants, and ensure complaint handling processes are transparent and able to be readily audited.

There is a need to ensure the privacy of complaints, both in respect of the complainant and where the complaint relates to the conduct of a staff member. Confidentiality and privacy in a complaint investigation will be maintained unless the Department is required by law to refer the information to another body, such as Tasmania Police or the Independent Regulator of the Reportable Conduct Scheme.

All Department personnel have an important legal obligation to carefully consider the appropriateness of publicly disclosing personal and privileged information. This obligation is covered in the Personal Information Protection Act 2004. Personal information is collected and used in accordance with the Department’s Personal Information Protection Policy.

If any person believes personal information has been handled other than in accordance with Tasmanian privacy laws, they should direct their complaint to Ombudsman Tasmania.

The Department has implemented technology and security policies, rules and measures to protect the personal information from unauthorised access, improper use, unsanctioned alteration, unlawful or accidental destruction and accidental loss.

The Department will destroy personal information where it is no longer required (except where required to be kept in compliance with the Archives Act 1983 or any other applicable legislation).

At times the Department may need to share information or refer a complaint to another organisation for handling. If this is required, the Department will either seek the consent of the complainant or advise complainants of the information shared and the reasoning for doing so.

Complaints are a form of feedback about the Department’s decisions, services and staff. In order to identify opportunities to improve our services, de-identified summary reports of complaints received will be provided to the Department’s Agency Executive to enable appropriate oversight.

If the Department receives a complaint that identifies a systemic problem with our processes or services, or receives repeated complaints about specific business areas or issues, the Department will use the feedback in a manner consistent with law, to further inform and review our policies and procedures.

From this information the Department will seek to identify any changes needed to improve our performance. Improvement will be achieved by:

• identifying repeated areas of complaint
• evaluating data, determining the causes of complaints and whether remedial action is required
• developing and implementing continuous improvements to services and products that are the cause of complaints

The Department recognises that making a complaint may be difficult. We are guided by the following principles:

The Department will:

Safety

• listen without judgement or bias
• provide reasonable adjustments, noting that at times there may be multiple processes for a complaint and the Department will do its best to ensure complainants do not need to repeat themselves
• seek to promote the physical and emotional safety and wellbeing of the complainant and others affected by the complaint

Transparency

• transparently provide information about complaints processes, options and possible outcomes
• respect the wishes of the complainant wherever possible
• keep the complainant updated on the progress of the complaint

Empowerment

• facilitate the use of support services in accordance with the complainant’s wishes and preferences
• treat all complainants and complaints equally
• provide choice wherever possible, noting that sometimes the Department is required to make mandatory reports to other bodies, including Tasmania Police, the Registrar appointed under the Registration to Work with Vulnerable People Act 2013 and the Independent Regulator of the Reportable Conduct Scheme
• utilise staff trained in complaints handling to reduce any re-traumatisation

The Department will also support employees receiving or responding to complaints to mitigate the risk of vicarious trauma and provide ongoing professional development opportunities to staff to maintain best-practice complaint handling practice in a trauma-informed manner.

The Department acknowledges people with disability, children and young people are at greater risk of being subject to misconduct and experiencing inadequate services or facilities. To ensure people with disability, children and young people are readily able to make complaints the Department will:

• prioritise the safety of complainants
• provide reasonable adjustments
• ensure appropriate support is provided or support services are recommended
• assist complainants in the process to make a complaint
• avoid using unnecessary, technical, complex wording or jargon
• be clear about the complaint process
• not excessively question complainants for unnecessary details
• accept complaints on behalf of others, where consent has been provided by the affected person(s)

Complainants who require assistance should write to secretary@justice.tas.gov.au or telephone (03) 6165 4943.

Through the course of investigating complaints, the Department is required to ensure procedural fairness to all affected people.

This means that:

• a person whose interests are likely to be affected will be given notice of relevant matters and a reasonable opportunity to provide a reply to those matters
• the process will be impartial

For example, if a complainant makes an allegation regarding the conduct of one of the Department’s staff, we are required to provide the staff member with the opportunity to respond to those allegations. Once both sides of the matter have been presented a determination on the balance of probabilities will be made.

The Department does not tolerate reprisals against complainants. Any evidence that a person has experienced any form of detriment as a result of making a complaint or raising a concern will be dealt with promptly and appropriate action taken, including investigation as to whether an employee has breached the Code of Conduct.

Through the course of receiving complaints and information relating to a complaint, we may become aware of serious allegations that are not handled by this policy.

For example allegations of:

• a sexual offence
• an assault
• a criminal offence
• serious misconduct

If we become aware of behaviour that raises allegations of this nature, we will refer those matters to the appropriate bodies for further investigation or conduct an investigation under the Reportable Conduct Scheme. Where appropriate, complainants will be advised in writing if this occurs.

A complainant’s conduct may be considered unreasonable if its nature or frequency consumes a disproportionate amount of the Department’s resources to the detriment of other complainants and/or raises significant health or safety issues for employees.

Examples of health and safety concerns include where a complainant:

• is aggressive and/or verbally abusive
• threatens harm and/or violence
• contacts the Department with unnecessary and/or excessive phone calls and emails
• makes unrealistic or inappropriate demands
• is unreasonably persistent

If the Department determines complainant behaviour to be objectively unreasonable, the Department will assess whether the complaint raises a matter in the public interest to justify continuing the complaint process.

Not Accepting a Reasonable Explanation

If all reasonable avenues of inquiry or appeal have been exhausted and a complainant will not accept a result and continues to write, telephone, or otherwise contact the Department or Department staff regarding their complaint, the Department may write to the complainant restating its position and advising that staff will:

• not accept any further phone calls from the complainant regarding the matter
• require all further communication to be put in writing
• continue to receive, read, and file correspondence but only acknowledge or otherwise respond to it if the complainant provides significant new information or raises new issues which warrant fresh action

Making Unreasonable Demands

If a complainant is making unreasonable demands and they continue to write, email, telephone and/or otherwise contact the Department, the individual may be advised in writing to limit and focus their requests. If the individual continues to make unreasonable demands, the Department may write to the individual stating that staff will not respond to further correspondence and only act, where, in the opinion of the Director of the Office of the Secretary, the correspondence raises specific, substantial, and serious issues or complaints.

Seeking to use Multiple or Inappropriate Avenues to Resolve Issues

A complainant may engage in unreasonable conduct by seeking to resolve issues (or a variation thereof) by using multiple avenues of address in an attempt to influence or deliver a different result. This could include, for example, seeking an investigation into issues already considered in detail by an alternate authority such as Tasmania Police, the Integrity Commission or the Ombudsman.

If an individual is continually raising issues considered by an alternate authority without reasonable grounds, and without substantive new evidence, the Department may notify the complainant in writing that:

• only a nominated staff member will deal with them in the future
• all future contact must be in writing
• no further correspondence will be entered into on the matter

Rude, Abusive or Aggressive Behaviour

Rude, abusive, or aggressive behaviour may include offensive gestures, threats, verbal abuse (including speaking louder than is necessary, not allowing staff to respond, aggressively repeating the same facts or lines), physical violence against property or physical violence against a person.

If in the opinion of any staff member receiving a complaint, an individual engages in unreasonable conduct by being rude, or making abusive or aggressive comments or behaviours, staff may:

• warn the complainant that if the behaviour continues, the conversation or interview/meeting will be terminated
• terminate the conversation or interview/meeting if the rude, abusive, or aggressive behaviour continues after a warning has been given
• terminate the conversation immediately if appropriate

Where a conversation or interview/meeting is terminated, the Departmental staff must notify their Manager of the details of the issue as soon as possible and record the action in the Department’s record systems. The Department may notify the individual in writing that:

• only a nominated staff member will deal with them in the future
• all future contact must be in writing
• no further correspondence will be entered into on the matter

Violence, damage to property or threats may be reported to police.

The Department acknowledges employees that have a complaint made against them, or are handling a complaint where a complainant is exhibiting unreasonable behaviour, may impact their wellbeing. In such instances employees are encouraged to seek support through:

• a Mental Health First Aid Officer
• raising the matter with management
• the Department of Justice Wellbeing Support Program
• the Employee Assistance Program

Employee/contractor

Employees and contractors (staff) are responsible and accountable for:

• ensuring that they understand and adhere to relevant legislation, this Policy, the Complaints Procedures and Frequently Asked Questions or any guidance that applies to them
• cooperating with any enquires or investigations surrounding a complaint
• providing members of the public with information on how to file a formal complaint where a matter has not been resolved informally and facilitating alternative methods of a formal complaint where appropriate
• dealing with complaints in a trauma-informed, professional and efficient manner, and keeping complainants informed of the progress and outcome of their complaint
• providing clear reasons for decisions and treating complainants with respect

Output Manager

In addition to their personal responsibilities as employees, Output Managers are also responsible for:

• facilitating the provision of any information or draft replies required by the Office of the Secretary to resolve a complaint
• ensuring employees in their Output are aware of, and have received adequate training in, the requirements of this Policy and the Complaints Procedures and Frequently Asked Questions

Office of the Secretary

In addition to their personal responsibilities as employees, the Office of the Secretary is responsible for:

• assisting and facilitating the complaints process and coordinating information from Output Managers where required
• recording complaints in a centralised register
• providing a de-identified summary report to Agency Executive quarterly outlining the status, action taken and nature of received complaints

Agency Executive

In addition to their personal responsibilities as employees, Agency Executive are responsible for:

• supporting, endorsing, and reviewing this Policy, the Complaints Procedures and Frequently Asked Questions
• the implementation, review and improvement of this Policy, the Complaints Procedures and Frequently Asked Questions, with oversight of related activities pursuant to this Policy within their respective portfolio areas
• ensuring there are systems to educate, train, and induct persons to whom the Policy applies about their meaning and how to apply them in a practical sense
• providing oversight to ensure adequate resolutions have been put in place
• embedding trauma-informed practice in complaint handling
• ensuring complainants suffer no detriment for making a complaint