Complaints & Feedback Policy & Procedure
1.0 Purpose
The purpose of this policy is to ensure that all complaints and feedback received by El Care Group Pty Ltd are welcomed, addressed respectfully, and used to drive continuous improvement in the quality of our services. We are committed to creating a process where participants and stakeholders can express concerns, make complaints, or provide feedback in an environment that is safe, transparent, and free from retaliation or discrimination.
This policy promotes a culture of open communication and procedural fairness, aiming to resolve issues in a timely and positive manner. It ensures that all complaints are handled promptly, empowers individuals to voice their concerns, and fosters confidence in our services and processes. Through the use of feedback, we seek to identify opportunities for service enhancement and build stronger trust with those we support.
2.0 Scope
The policy applies to all staff involved in receiving, handling, and resolving complaints and feedback at El Care Group Pty Ltd.
3.0 Policy
El Care Group Pty Ltd is committed to creating a positive complaints culture that values the voices of participants and stakeholders. All complaints, whether verbal, written, or anonymous, are taken seriously and viewed as opportunities to improve services.
Complaints that involve allegations of abuse, neglect, violence, exploitation, or discrimination will be treated as safeguarding matters and managed in accordance with the NDIS (Incident Management and Reportable Incidents) Rules 2018. These matters will be escalated immediately, with appropriate safeguarding actions taken.
Participants have the right to complain without needing to label their concerns as a formal complaint. Every concern, no matter how small, will be acknowledged and handled with care. Complaints may be submitted via a Complaint and Feedback Form, including in Easy Read format where required.
The complaint process will ensure:
● Participants are informed of their right to complain upon entry to services
● Complaints are managed confidentially and without bias
● Staff support the individual throughout the process
● Participants are involved in decisions about the resolution of their complaint
● Meetings are held in accessible venues for individuals with mobility or support needs
All staff involved in complaints handling must hold a valid NDIS Worker Screening clearance and be trained in complaint resolution and safeguarding principles.
Where a complaint is raised, the Complaints Manager will:
● Keep the complainant informed of actions taken and decisions made
● Explain the reasons behind decisions
● Offer options for review where appropriate
● Involve the complainant or their advocate in the resolution process
● Record all actions and outcomes accurately
Procedural fairness and natural justice will be applied in all decision-making. This includes:
● Informing individuals if their rights or interests may be affected
● Providing notice of any matters being considered
● Offering an opportunity to respond
● Making decisions based on clear, unbiased reasoning
Anonymous complaints are accepted and treated with equal importance. While it may limit feedback to the complainant, we will always act on the content of the concern.
El Care Group Pty Ltd will:
● Promote and support access to the NDIS Commission complaints process
● Ensure information about complaints is available in accessible formats
● Protect individuals from any form of reprisal or discrimination
● Provide support to those needing assistance to make a complaint
● Train all staff on their obligations under this policy
● Include complaint handling in participant welcome materials
● Ensure that feedback and complaints contribute to service improvements
Complaints and feedback will be reviewed as part of our continuous improvement cycle and formally audited on an annual basis. The insights gained from this process will inform service planning, delivery, and review, ensuring that participant voices continue to shape quality outcomes.
4.0 Definitions
Term
Definition
Complaint
Expressing dissatisfaction with a NDIS support or service, including previous complaint handling, for which a response or resolution is explicitly or implicitly expected.
Resolution
The official decision to solve or end a problem or contentious matter. A resolution includes finding a way to improve a difficult situation.
Role
Role requirements
Complaints Manager
The role of the Complaints Manager is to:
· manage the complaint process
· manage reviews and make recommendations for continuous improvement using the information gained from the issue of the complaint
· stand independently from the management to allow participants and staff members to be able to make a complaint about the management of the organisation
· provide feedback and advice as required
· review the complainant‘s needs to ensure that their mode of communication is managed (e.g. Easy Read, large print, translated documents, etc.)
· collaborate with the complainant and their advocate
· keep all parties informed during all stages of the complaint management process
· seek a resolution that benefits all parties, if feasible
· handle all appeals related to the outcome of the complaint
· complete all necessary reports and documents, including providing information to complainants and management
· record all information in the Complaint Register
· review the Complaint Register at monthly management meetings
5.0 Procedure
5.1 Complaint process
Complaints and suggestions can be made by:
● using the Complaints and Feedback Form or the Anonymous Complaints and Feedback Form
● contacting a member of staff, verbally or in writing, our staff must offer to document the complaint on behalf of the participant if required and refer the matter to the Managing Director
● contacting the Complaints Manager, verbally or in writing
● responding to questionnaires and surveys
● downloading the Complaints and Feedback Form or the Anonymous Complaints and Feedback Form from the website
● the participant’s representative making a complaint on their behalf
● sending an email to our contact email
● accepting TTY written messages using the National Relay Service
● attending meetings/care conferences
● contacting external complaint agencies, e.g. NDIS Quality and Safeguards Commission
● communicating orally, in writing, or by any other relevant means
Complaints may be made by:
● staff
● participants
● public
● advocates
● family members
● carers
● anonymous person/s.
Results are recorded in the Complaint Register, allowing input into our continuous improvement processes. The Continuous Improvement Register will record improvements established after finalising the complaint management process.
If a complaint is about:
● Support or services: The Complaints Manager will deal with the complaint
● Staff member/s: The Complaints Manager will deal with the complaint
● CEO/Manager: An external person or body may be approached, e.g. NDIS Quality and Safeguards Commission
All staff, participants, family and advocates, visiting health professionals, and visitors are informed of our complaints process via:
● participant welcome information
● initial access to supports
● staff orientation, induction and training
● Meetings, reviews and assessments
● participant agreements
● contractor agreements
Staff members who raise complaints in good faith, or assist in resolving complaints, will be protected from retaliation or adverse treatment.
5.2 Complaint management process
The investigation must adhere to impartiality, privacy, confidentiality, transparency and timeliness. Complaints will not be discussed with anyone who does not have responsibility for resolving the issue. El Care Group Pty Ltd must consider any cultural and linguistic needs of a participant and provide the relevant support mechanism, such as an interpreter or similar.
Complainants are provided with access to our Complaints and Feedback form. These may be accessed via staff or management. The Complaints Manager will review the individual's needs and assist them using the best means to suit them. The variance between individuals requires a personal approach but may include the following:
● offering an advocate
● providing text telephone (TTY) service to people with a hearing impairment
● ensuring the meeting site is wheelchair accessible
● offering independent assistance to read and write to formulate and lodge a complaint
● seek information from the complainant to determine any special requirements (e.g. access or communication)
The resolution outcomes from a complaint will recognise that people who make a complaint are generally seeking one, or more, of the following outcomes:
● Acknowledgement:
o genuinely listening without interruption
o empathising
o ensuring the complainant feels comfortable (e.g. being aware that staff may be defensive and consider how this is perceived)
o acknowledgement of the effect of the situation on the individual
o resolving to a good outcome
o notifying regularly and promptly on steps undertaken
● Answers:
o clear explanations relevant to the issue are provided ONLY once all the facts are known.
● Actions (Action Plan):
o what will be done?
o who will do it?
o action plan completion date
o how progress will be communicated to all parties involved
o oversight of actions
● Apology:
o consider the form of the apology and the managerial level of response
o consider timeliness, sincerity
o be specific and direct
o accept responsibility if appropriate and provide information on the cause and impacts
o explain without excuses
o provide a summary of agreed key actions to move forward and resolve the issue
Complaints that involve allegations of abuse, neglect, violence, or exploitation will be immediately escalated to incident management processes as required under the NDIS (Incident Management and Reportable Incidents) Rules 2018 and reported to the NDIS Commission as appropriate.
5.2.1 Non-investigation complaint process
All complaints, where possible, will be managed directly and quickly at the point of service unless the complaint requires investigation (see the procedure outlined below). The non-investigation complaint process is as follows:
1. Issue reviewed by the Complaints Manager
The complainant will be consulted and discussed to determine the actions required to resolve the issue. During this process, El Care Group Pty Ltd will offer the complainant support from an independent advocate to reduce stress and anxiety
All available options will be discussed with the complainant and their advocate.
Where possible, a collaborative decision is finalised (i.e. acknowledgement, answer, action or apology)
The complainant is informed of the decision and the reasons for the outcome.
The complainant can review the decision if they are unhappy with the resolution, implementing the complaint investigation process
If a complainant seeks a review, a review of the decisions may be resolved quickly by the Complaints Manager completing the above points (2 to 5) again
5.2.2 Complaint Investigation Process
Step 1. Acknowledge
1. Acknowledge all complaints quickly, within one working day, where possible.
Step 2. Review of the complaint
1. Before any consultative meeting, inform the complainant that their advocate or support person can be present throughout the process
2. Offer to locate an independent advocate for the participant, if required
3. Involve the complainant and their advocate using a consultative process to ensure their voice, views and preferred outcomes are heard and discussed
4. Determine the type of outcome that the complainant seeks (i.e. acknowledgement, answers, actions or apology). Information will be used to ensure that the complainant’s feedback and requirements are at the core of the complaint investigation and management process
5. Inform the complainant of the following:
● their right to an advocate and interpreter
● the stages of the complaint management and decision-making process
● mechanisms implemented to protect the complainant’s privacy
● their right to complain to the NDIS Quality and Safeguards Commission at anytime
● actual progress and outcomes of the investigation
6. Determine the type of complaint (i.e. service, support or process)
7. Notify the complainant and their advocate at each investigation stage and seek feedback
8. If a consultative meeting is required, it will be held in a safe environment determined by the complainant and at a time relevant to the participant. The complainant is a recipient of disability services under the NDIS; the participant’s record will be checked for a preferred contact for complaints. The participant will also be asked if they would like to nominate a staff member from El Care Group Pty Ltd who handles complaints
Step 3. Assessing the complaint
1. When assessing a complaint, the Complaints Manager must prioritise the complaint and determine a resolution pathway (where required)
After the pathway is established, the complaint will be investigated
Feedback from the complainant or their advocate must be used as part of this process (e.g. consultation meeting data)
Step 4. Investigation and decision making
When the complaint is lodged, the Complaints Manager should determine if it is practicable to find an immediate resolution (see 5.2.1 Non-investigation complaints process)
During the investigation and decision-making process, the Complaints Manager will:
● keep the complainant informed about each stage of the investigation process
● consult with the complainant to gather information about the underlying issue/s
● analyse antecedents and underlying issues when determining a decision
● review and approve all written reports and documents before them being sent out to all parties
● respond to the complainant with a clear decision and any next actions (if any)
● inform the complainant that they have the right to reject the outcome
● inform the complainant of their right to make a complaint directly to the NDIS Commission by:
i) phoning 1800 035 544 (free call from landlines) or TTY 133 677 (interpreters can be arranged)
o using a National Relay Serviceand asking for 1800 035 544
o completing an online complaint contact form
Step 5. After the decision
After investigation and a satisfactory response have been documented, the Complaints Manager will:
● inform the complainant and their advocate of the decision, including the reason for the decision, and they will provide options for how the complainant can review the decision
● ensure that the complaint investigation is satisfactorily completed
● determine if the complainant is satisfied with the outcome
● follow-up and consult with the complainant/s about any concerns
● close out the complaint
Complaints will be acknowledged within one (1) business day and resolved within 21 days wherever possible. If additional time is required due to the complexity of the complaint, the complainant will be informed of progress and revised timeframes regularly.
5.3 Review and improvement
El Care Group Pty Ltd takes a systematic approach to incorporate a review of all issues raised by a complaint to identify and address any possible systemic issues and determine any continuous improvement actions identified during the complaints process.
The review and improvement process includes the following:
● ascertaining preventative actions and continuous improvement
● considering if any systemic issues require addressing
● recording the information regarding the complaint in the Complaint Register
● recording the details of the improvement stemming from a complaint in the Continuous Improvement Register (if required)
● training staff in any new systems or actions
● adjusting policies and procedures
● monitoring the complaint resolution according to the Internal Audit Schedule - Core Module
● providing feedback to the complainant personally to inform them of the outcomes and influences of their issue raised within our organisation
Complaints and feedback outcomes will be reviewed in the context of El Care Group Pty Ltd's risk management processes to identify and mitigate any organisational risks, in alignment with the Risk Management Policy and Procedure.
5.4 Documentation
All employees are provided training regarding the complaints process during orientation and given the Staff Handbook, which includes information on the complaints process (see 5.6 Staff Training).
The complaints process is available for participants, families, carers and advocates via the information provided in our Participant Handbook and through the provision of Easy Read documents (as required).
Documentation of the complaint process is as follows:
● All complaints will be recorded in the Complaint Register, and information in the register will include the following:
○ complaint details
○ identified issues
○ actions are undertaken to resolve the complaint
○ the outcome of the complaint
● All documents, including the Complaint and Feedback Forms, are uploaded into the computer system
● Copies of any information provided to the complainant are stored in their relevant file.
● All documents are confidential, and access is only permitted to employees relevant to the complaint. The Complaints Manager determines who is relevant
● A copy of all complaint documents will be retained in the file for seven years from the record date. If the documents relate to a participant under 18 years, the documents will be retained until the participant turns 25
● Statistical and other information will be collected to:
○ review issues raised
○ identify and address systemic issues
○ report information to the Commissioner if the NDIS Quality and Safeguards Commission requests
● A policy review will occur if there are legislative changes or when determined by a regular or annual internal audit review
All complaint documentation will be maintained in accordance with the Privacy Act 1988 (Commonwealth), Australian Privacy Principles (APPs), and NDIS Practice Standards to protect participant privacy and confidentiality.
5.5 Unresolved complaints
Unresolved complaints will be referred to the Complaints Manager for investigation and resolution. Should the complaint not be resolved to the complainant’s satisfaction, the complaint will be escalated to a person nominated by the complainant (with the complainant’s permission).
If a complainant remains dissatisfied with the outcome, an independent review will be offered, involving a senior leader not previously involved in the complaint or an external mediator, where appropriate.
When complaints cannot be resolved internally, the complainant may be referred to the following:
NDIS Quality and Safeguards Commission
Phone: 1800 035 544 (free call from landlines) or TTY 133 677
National Relay Service and ask for 1800 035 544
Interpreters can be arranged
An NDIS Complaint Contact Form can be completed online at business.gov.au
5.6 Staff orientation and training
The staff orientation process includes training all employees on the complaints and feedback, including the NDIS Commission requirements. Our in-house training includes:
● NDIS reporting requirements and contacts details
● providing information regarding El Care Group Pty Ltd’s complaint and feedback process and procedures (e.g. forms to complete and how to assist participants wishing to make a complaint)
● identifying our Complaints Manager
● encouraging employees to have a positive attitude towards complainants and a commitment to resolving all complaints
● creating an understanding of how feedback and complaints inform and guide our continuous improvement cycle
● understanding timeframes for reporting and resolving complaints
Additional training will occur when practices and policies are changed due to a complaint or if staff are still unsure how to handle a complaint upon commencing work at El Care Group Pty Ltd.
6.0 References
● NDIS (Complaints Management and Resolution) Rules 2018
● NDIS Practice Standards and Quality Indicators 2021
● NDIS Act 2013 (Commonwealth)
● NDIS (Procedural Fairness) Guidelines 2018
● Privacy Act 1988 (Commonwealth)
● Disability Services Act 1986 (Commonwealth)
● Disability Discrimination Act 1992 (Commonwealth)
● Work Health and Safety Act 2011 (Commonwealth)
● NDIS (Incident Management and Reportable Incidents) Rules 2018 (Commonwealth)
● NDIS Code of Conduct (2018)