The Complaints Process
Our office is structured into two units to deal with the complaints we receive. Our Complaints Assessment Unit (CAU) deals with the initial phase of our complaints resolution process, including initial enquiries, analysis and recording of complaints on our computer system and making the initial contact with consumers. Our Complaints Management Team (CMT) deals with more complex conciliation and investigation matters that may take more time to resolve.
How do we resolve complaints?
Complaints Assessment Unit (CAU)
The CAU is the first point of contact in the complaint resolution process. Their primary role is to assess the complaint for clarity and compliance with the legislation, identify the key issues to be addressed and give advice to consumers and providers to facilitate a timely and satisfactory resolution of issues. In doing this they:
- Respond to telephone enquiries from members of the public and service providers.
- Register all oral and written complaints on our complaints management system.
- Provide advice and assistance to resolve complaints.
- Assess new complaints and, where the complaint is accepted for conciliation or investigation, develop a plan to resolve the matter.
- Clarify details of the complaint as necessary.
- Assess the response received and other information gathered.
- Make recommendations for further action or closure.
Complaints Management Team (CMT)
Should a resolution not be reached and the Complaints Manager or Director feels that resolution may be possible with more work by us, the complaint is referred to the CMT for further conciliation or investigation.
The role of the CMT, as conciliators and investigators, is to gather more information to assist resolution and to ensure fairness in terms of opportunity, natural justice, objectivity and testing evidence through a process that shows diligence and integrity. The focus is on complaint resolution through a process of conciliation. Where a complaint is not suitable for conciliation a formal investigation may be undertaken.
As all complaints are complex and unique there is no one process that can be strictly followed. Our processes are sufficiently flexible to meet the needs of each case. Generally the process involves:
- Reviewing the file and information obtained by the CAU.
- Initiating contact with all parties to confirm and clarify the complaint.
- Determining plan of action.
- Gathering additional information from appropriate sources.
- Forming a preliminary conclusion on the possibility of resolution, based on information obtained through records, statements, independent opinions and any other relevant information gathered during the process.
- Seeking the views of the parties on the possibility of resolution.
- Convening a conciliation meeting between the parties in appropriate cases.
- Preparing recommendation for the Director.
- Finalising and distributing conciliation report to all parties, including the relevant registration board, if required.
- Providing detailed explanation to the parties on the outcome of the conciliation or investigation.
The majority of the complaints we receive are handled through the conciliation process and only a small number proceed to formal investigation.
When a matter is referred for formal investigation the Director has a number of coercive powers under the act. Generally, these include the power to: require the protection of records or information, and also the attendance of a person to answer questions and to obtain a warrant to enter and inspect premises.
The purpose of an investigation is to enable the Director to decide whether any unreasonable conduct described in the Act has occurred.
Where it has been decided that unreasonable conduct has occurred the Director may make recommendations to the provider setting out the actions that ought to be taken to remedy the matter and the provider is required to report what, if any, action they intend taking. However, the Director does not have the power to enforce compliance with the recommendations.
The Director also has the power to report to Parliament on any matter arising from an individual complaint or investigation or in relation to the performance of the Director's functions.
If you require more information please contact us.
