Summary
Service NSW fosters a culture that is open to complaints and feedback from customers and community. We see complaints as opportunities; we promote and encourage them, and respond to them fairly and promptly to ensure customers feel heard, respected and know that their issues are taken seriously. We recognise that this will:
- improve customer service and experience
- improve service delivery and systems
- strengthen relationships between Service NSW and our customers, and
- identify service delivery or customer experience problems and pain points
We acknowledge that the mindset and satisfaction of our customers who interact with us will be strongly influenced by their perception of the fairness in how their complaint is managed, and the procedures we use to investigate and resolve complaints.
This includes our interactions with customers and others who make complaints, and the information we provide them about the process, progress and outcome/s of their complaint. By appropriately managing complaints about our services, products, employees, and the complaint management process itself, we help uphold Service NSW’s reputation and foster trust in government.
Scope
This policy was developed in accordance with NSW Ombudsman’s guidelines for effective complaint management.
This Policy should be considered in conjunction with the Department of Customer Service (DCS) and Service NSW policies, procedures and guidance documents listed in related policies and documents.
This Policy applies to all complaints from the public made to, or about, Service NSW regarding our services, or our employees, including our complaint management practices.
This Policy does not apply to complaints made by Service NSW employees, except where they are acting in their capacity as a member of the public/customer.
Purpose
This Policy is intended to ensure that Service NSW manages complaints from customers fairly, effectively, and efficiently.
Our complaint management system is intended to:
- enable us to respond to complaints in a timely, customer focused, and cost-effective manner
- build and maintain confidence and trust in NSW public service, and
- provide information that can be used by us to deliver improvements in our services, systems, employees capabilities, and our complaint handling process.
This Policy provides guidance to our employees and those who wish to make a complaint on the key principles and concepts of our complaint management system.
Who needs to comply with this policy
This Policy applies to:
- all employees, including managers, supervisors, and senior executives, whether ongoing, temporary or casual, cadets, trainees and apprentices
- all contractors and agency workers performing work for or on behalf of Service NSW
- any employee of another public sector agency on secondment to Service NSW
- work experience students and volunteers.
Definitions
| Term | Definition |
|---|---|
| Complainant | A person who has made a complaint to us, whether orally or in writing. |
| Complaint | Expression of dissatisfaction made to or about us, related to our services, employees, or the handling of a complaint where a response or resolution is explicitly or implicitly expected or legally required. |
| Complaint Management System | All policies, procedures, practices, employees, hardware, and software used by Service NSW in the management of complaints. |
| Customer | A customer for the purpose of this document is deemed to be:
|
| Dispute | An issue or disagreement raised by a customer about an administrative decision made by Service NSW, when the customer requests the decision be reviewed. |
| Employee | Service NSW staff, contractors, consultants, government agencies, politicians, volunteers, public officials, and anyone who is engaged with Service NSW to undertake business for or with Service NSW. |
| Enquiry | Routine questions about Service NSW’s business, requests for provision of services and assistance, request for explanation of policies, procedures and decisions. |
| Feedback | Opinions, comments and expressions of interest or concern, made directly or indirectly, explicitly, or implicitly, to or about us, about our services or complaint handling where a response is not necessarily expected or required. |
| Grievance | A grievance is a clear, formal, written statement by a staff member about a work related concern, problem or complaint which remains unresolved, despite informal attempts towards a resolution. Note: Grievances are managed in accordance with the Grievance Management and Resolution Policy and Procedure. |
| Privacy laws | Privacy and Personal Information Protection Act 1998 (NSW) and Health Records and Information Privacy Act 2002 (NSW). |
| Procedure | A statement or instruction that sets out how our policies will be implemented and by whom. |
| Public Interest Disclosure | A report about an alleged wrongdoing made by a public official in NSW that meets the requirements of the Public Interests Disclosures Act 1994. |
| Service request | The definition of a service request will vary depending on core functions being delivered by Service NSW. However, it is likely to include:
|
Key roles and responsibilities
We expect employees at all levels to be committed to fair, effective, and efficient complaint management in line with the NSW Government Customer Commitments, as well as the Service NSW values. Collectively, these commitments and values outline our promise to customers on what they can expect when receiving NSW Government services. The following NSW Ombudsman commitments will also apply when managing complaints:
- Respectful treatment
- Information and accessibility
- Good communication
- Taking ownership
- Timeliness
- Transparency
The Service NSW Complaints Handling Guide and Procedure provides information and step-by-step actions for our employees to take when receiving and resolving a customer complaint at Service NSW.
The table below outlines roles and responsibilities for managing complaints:
| Who | Responsibility | How |
|---|---|---|
| Secretary | Promote a culture that values complaints and their effective resolution |
|
| Managing Director (MD) | Promote a culture that values complaints and their effective resolution |
|
| Executive Leadership Team (ELT) | Promote a culture that values complaints and their effective resolution |
|
| Directors and Managers | Promote a culture that values complaints and their effective resolution and ensure this policy and associated procedures are understood and complied with. |
|
| Service NSW Audit and Risk Committee | Maintain oversight of Service NSW complaints management framework | Review complaints reporting and provide advice to ELT on improvements to complaints management and associated risk. |
| DCS Legal and Service NSW Policy and Compliance Team | Ensure that this Policy complies with relevant legislation, regulations, standards and codes. | Review Complaints Policy and procedures to ensure compliance with government policy, NSW legislation and standards. |
| Customer Resolution & Disputes Team and other employees whose duties involve complaints management | Demonstrate exemplary complaint management practices, and act as customer advocate. |
|
| All employees | Understand and comply with Service NSW’s Complaints Policy. |
|
Guiding principles
We adhere to guidelines for effective complaint management that align with industry best practices.
Our Complaints Management Guiding Principles are:
- Accessibility – submitting a complaint must be easy
- Systemise – proactively manage the handling of complaints
- Collaborate – engage involved parties to resolve the complaint
- Accountability – continuously learn and improve.
People focus
We are committed to seeking and receiving feedback and complaints about our services, systems, practices, procedures, products and complaint management processes.
Any concerns raised within a complaint will be dealt with within a reasonable time frame.
People making complaints will be:
- provided with information about our complaint management process
- provided with multiple and accessible ways to make complaints
- listened to, treated with respect by employees and actively involved in the complaint process where possible and appropriate
- communicated with through their preferred method and where required, through their preferred representative and
- provided with reasons for our decision/s and any options for review.
Accessibility
We will ensure that information about how and where complaints can be made to or about us is well publicised. We will ensure that our systems to manage complaints are easily understood and accessible to everyone, particularly people who may require assistance.
If a customer prefers or requires another person or organisation to assist or represent them in the making and/or resolution of their complaint, we will communicate with them through their representative if this is their wish. Anyone may represent a person wishing to make a complaint with their consent (e.g. advocate, family member, legal or community representative, Member of Parliament, another organisation).
We will adopt flexible approaches to service delivery and problem solving to enhance accessibility for people making complaints and/or their representatives.
No determent to people making complaints
People making complaints will not be adversely affected because a complaint has been made by them or on their behalf.
No charge
Complaining to us is free.
Anonymous complaints
We accept anonymous complaints and will carry out an investigation of the issues raised where there is enough information provided to enable Service NSW to address any issues arising from the complaint.
An anonymous complaint will mean that we won’t be able to communicate the resolution to the specific customer making the complaint, but it can still help us improve our services, systems, practices, procedures, products and complaint handling processes.
Early resolution
Where possible, complaints will be resolved at first contact with Service NSW.
Responsiveness
Our commitment is that we will acknowledge receipt of a complaint within four (4) working days regardless of the channel the customer has used to register their complaint.
We will assess and prioritise complaints in accordance with the urgency and/or seriousness of the issues raised. As soon as an immediate risk to safety or security is identified, the matter will be escalated appropriately.
We are committed to managing complainant's expectations, and where appropriate will inform them during initial contact, of the following:
- the complaints process
- the expected time frames for our actions
- the progress of the complaint and any possible reasons for delay, and
- their likely involvement in the process.
We will advise complainant's when we are unable to deal with any part of their complaint as soon as it has been identified and provide advice about where such issues and/or complaints may be directed (if known and appropriate).
We are committed to notifying the complainant of the outcome of the complaint within 20 working days of receiving of their complaint.
Where appropriate we will advise the complainant if we are unable to meet our target time frames for responding to their complaint as soon as possible.
Objectivity and fairness
We will address each complaint with integrity and in an equitable, objective, and unbiased manner.
We will assess each complaint on its merits and involve complainants and/or their representative in the process as far as possible.
Where a complaint is made in relation to a specific employee, we will ensure the person handling the complaint is a different person to the employee whose conduct or service is the subject of complaint.
Conflicts of interests, whether actual or perceived, will be managed in accordance with the DCS Conflicts of Interest Policy.
Complaints about how a complaint was managed will not be managed by the person who managed the original complaint. These complaints will be managed by another employee, and where possible, a more senior employee.
Confidentiality and privacy
We will protect the identity of people making complaints where this is practical and appropriate. Personal information that identifies individuals will only be disclosed or used by Service NSW to enable us to respond to or resolve the complaint as permitted under Privacy Laws.
Wherever possible, we will manage a complaint from receipt to resolution. However in some cases there may be a need to involve another agency or refer the complaint to another agency for full or partial response.
Complaints about other agencies
Service NSW delivers programs and services on behalf of other agencies and complaints about other agencies' programs or policies may not be able to be resolved by SNSW.
Any complaint we receive regarding another Government agency’s services, systems, practices, procedures, products and complaint management processes may be forwarded to that agency for their action.
Any element of a complaint related to Service NSW will be responded to or resolved directly by Service NSW.
If a complaint is referred to another agency in part or in full, we will notify the complainant of its transfer where possible and appropriate.
If the complainant has contacted us via telephone, we will endeavour to transfer the call to the relevant agency or provide that agency's contact details.
Complaints involving multiple agencies
Where a complaint received by Service NSW involves multiple government agencies, Service NSW will take the lead to coordinate a response, if appropriate, and inform the complainant and/or their representative.
Subject to privacy and confidentiality considerations, communication and information sharing between the parties will also be organised to facilitate a timely response to the complaint.
Where a complaint involves multiple areas within Service NSW, responsibility for communicating with the person making the complaint and/or their representative will be coordinated by the team managing the complaint.
Where our services are contracted out, we expect contracted service providers to have an accessible and comprehensive complaint management system. We take complaints not only about the actions of our employees but also about the actions of our service providers.
Complaints involving multiple parties
When multiple parties from a common group or organisation raise similar complaints about a related service, system, practice, procedure, product or complaint handling process, we will aim to arrange to communicate with a single representative of the group.
In cases where a complaint involves (potential) fraud and requires investigation, Service NSW will follow the relevant fraud escalation path. When fraud investigation is required, it may not be possible to respond and handle related complaints within our target time frames.
Empowerment of employees
All employees managing complaints are empowered to implement our complaint management system as relevant to their role and responsibilities.
Employees are encouraged to provide feedback on the effectiveness and efficiency of all aspects of our complaint management system.
Managing unreasonable conduct by people making complaints
We are committed to being accessible and responsive to all people who approach us with feedback or complaints. At the same time our success depends on:
- our ability to do our work and perform our functions in the most effective and efficient way possible
- the health, safety, and security of our employees, and
- our ability to allocate our resources fairly across all the complaints we receive.
When people behave unreasonably in their dealings with us, their conduct can significantly affect the progress and efficiency of our work. As a result, we will take proactive and decisive action to manage any conduct that negatively and unreasonably affects us and will support our employees to do the same in accordance with this Policy and guidelines set by the NSW Ombudsman.
Analysis and evaluation of complaints
We will ensure that complaints are recorded in a systematic way so that information can be easily retrieved for de-identified reporting and analysis.
Regular reports will advise:
- the number of complaints received
- thematic outcomes of complaints, including matters resolved internally
- issues arising from complaints and impacts to customer experience
- systemic issues identified, and
- the number of complaints escalated to external bodies, including the Minister's Office and the NSW Ombudsman.
Regular analysis of these reports will be undertaken to monitor trends, measure the quality of our customer service, and make improvements.
The de-identified reports and their analysis will be provided to Service NSW’s Managing Director and senior management for review, as well as audit and risk related committees as appropriate.
Monitoring of the complaint management system
We will continually monitor our complaint management system to:
- ensure its effectiveness in responding to and resolving complaints
- ensure its effectiveness in reporting on complaints, and identifying trends and issues, and
- identify and correct deficiencies in the operation of the system.
Monitoring may include the use of audits, complaint satisfaction surveys and alerts.
Continuous improvement
We are committed to improving the effectiveness and efficiency of our complaint management system. To this end, we will:
- support the making and appropriate resolution of complaints
- implement best practices in complaint management
- recognise and reward exemplary complaint management by employees
- regularly review the complaints management system and complaint data
- implement appropriate system changes arising out of our analysis of complaints data and continual monitoring of the system
- use complaint data to identify pain points for customers and areas of improvement, and
- improve service design across Service NSW products and services.
Complaints process
When managing complaints, employees should act in accordance with this Complaints Policy and the Service NSW Complaint Handling Guide and any other complaints procedure guides applicable to their role. Employees should also consider any relevant legislation and/or regulations when responding to complaints and feedback.
All employees should manage complaints in accordance with the Service NSW Complaints Process. The key steps of the Service NSW Complaints Process are below.
How complaints are received
Complaints do not need to be received in any specific form or in writing.
Complaints may be received through the following means:
- Email (info@service.nsw.gov.au and other customer-facing email addresses)
- External agencies
- In person at a Service NSW Service Centres
- In person at a Service NSW outreach centre
- Minister’s Office
- Partner agencies
- Service NSW website, contact us page submission form
- Social media
- Transport for NSW website, contact us page submission form
- Telephone (13 77 88).
Record keeping
Unless the complaint has been resolved at the outset, we will record the complaint and its supporting information. We will also assign a unique identifier to the complaint file.
The record of the complaint will document:
- the contact information of the complainant
- issues raised by the complainant and the outcome/s they want
- any other relevant information, and
- any additional support the complainant requires.
When a complaint is not acknowledged at the time of receipt, we will acknowledge receipt within four business days as far as practicable.
Consideration will be given to the most appropriate medium (for example, by email or letter) for communicating with the complainant, including any preference indicated.
Initial assessment
Initially, we will determine whether the issue/s raised in the complaint is/are within Service NSW’s jurisdiction to resolve. This will include consideration of whether the outcome/s sought by the complainant are available to Service NSW to provide, and, where there is more than one issue raised, determining whether each issue needs to be managed separately.
When determining how a complaint will be managed, we will consider:
- how serious, complicated, or urgent the complaint is
- whether the complaint raises concerns about people’s health and safety
- how the person making the complaint is affected
- the risks involved if resolution of the complaint is delayed, and
- whether a resolution requires the involvement of other agencies or organisations.
Investigation
In investigating a complaint, we will consider all relevant information and any applicable legislation, regulation, policies and procedures.
Investigating a complaint may also involve:
- Clarifying any issues or information provided, with the complainant
- Reviewing Service NSW and/or partner agencies records, including written records and telephone recordings
- Consulting with Service NSW employees and/or partner agencies.
Our priority is to respond to complaints within 20 business days, unless it involves a complex matter or requires specialist investigation in which case the customer will be advised that this timeframe will not be met and kept updated on the progress of their complaint.
At the conclusion of our investigation, we will contact the complainant and advise them where practical, of:
- the outcome of the complaint and any action we took
- the reason/s for our decision
- an explanation of any relevant legislation, regulation, policies or procedures
- the remedy or resolution/s that we have proposed or put in place, and
- any available options for review.
When an outcome is provided to a complainant, we will also advise the complainant that if they are dissatisfied with the outcome of their complaint or how their complaint was managed, they can escalate their complaint either internally or externally.
Complaints escalated internally will be reviewed by an independent employee, who is more senior to that of the employee who managed the initial complaint, and who was not involved with the original investigation or management of the complaint.
If the complaint is a privacy complaint, or includes a privacy complaint, the complainant will be advised of their ability to apply to Service NSW for a privacy internal review.
All people who make a complaint will be advised that they can escalate their complaint externally to the NSW Ombudsman.
Record Keeping
At Service NSW we have appropriate record keeping policies and procedures in place and implemented to ensure that adequate records are made and retained about the receipt, management and resolution of complaints. To undertake effective complaint analysis, we make and retain complete records. We will keep comprehensive records about:
- how we managed the complaint
- the outcome/s of the complaint (including whether it, or any aspect of it, was substantiated, any recommendations made to address problems identified, and any decisions made on those recommendations), and
- any outstanding actions that need to be followed up.
Request for complaint records
Any requests by a complainant or their representative for records or information, will be managed in accordance with the Government Information (Public Access) Act (GIPA) 2009 and associated internal procedures.
Related policies and documents
| Issuer | Document name |
|---|---|
| NSW Government | Customer Commitments |
| Department of Customer Service | Code of Ethics and Conduct |
| Department of Customer Service | Public Interest Disclosure Policy |
| Department of Customer Service | DCS Complaint Handling Policy |
| Department of Customer Service | Conflicts of Interest Policy |
| Department of Customer Service | Records Management Policy |
| Department of Customer Service | Privacy Management Plan |
| Department of Customer Service | Managing Unreasonable Behaviour by Customers |
| Service NSW | Customer complaints |