COMPLAINTS HANDLING POLICY - Energy Safe Victoria (PDF)

COMPLAINTSHANDLINGPOLICYEffective Date: 19 March 2009Review Date: 19 March 2010Updated: 3 September 2009Page 1

Complaints Handling PolicyPage 2

Complaints Handling PolicyTABLE OF CONTENTSOWNERSHIP & SCOPE 2DEFINITIONS 3FUNCTIONAL ORGANISATIONAL CHART 4COMPLAINTS HANDLING AT A GLANCE 5GOALS FOR HANDLING COMPLAINTS 6KEY FEATURES OF THE COMPLAINTS HANDLING POLICY 7Commitment 7Fairness 7Transparency & access 8Responsiveness 8Privacy & confidentiality 8Accountability 9Business Improvement 10Internal Review 10COMPLAINTS HANDLING CHECKLIST 11ALTERNATIVE AVENUES 14Page 3

Complaints Handling Policy1. OWNERSHIP AND SCOPEWhat is covered by this policy:The principles in this policy apply to all ESV staff in their dealings with all customers andexternal companies. It has been developed to support and as an expansion of the ESVCustomer Service Charter.It sets out the principals that ESV has adopted for the management of feedback, compliments,suggestions or complaints - received in relation to the services provided and the experiences ofthe delivery of those services by ESV. It describes the principles that we follow to recover theexperience when our service delivery has not met expectations.ESV recognises the importance of a well managed complaints handling process as part ofproviding a quality customer service. We are accountable for our actions and decisions, andcustomers and other external parties have the right to complain about us and seek remedy fordecisions that affect them.This complaints handling procedure was developed in accordance with AS ISO10002–2006:Customer satisfaction—Guidelines for complaints handling in organizations and theOmbudsman Victoria’s guide to complaint handling for Victorian Public Sector Agencies.What is not covered by this policy:Whistleblowers are not covered under this policy and are handled in accordance withWhistleblowers’ Protection Act 2001. Copies of the Energy Safe Victoria Whistleblowers'Protection Policy are available from Energy Safe Victoria.Disclosures of improper conduct by Energy Safe Victoria or its employees may be made to thefollowing:Andrew PadanyiThe Ombudsman VictoriaProtected Disclosure OfficerLevel 22, 459 Collins StreetEnergy Safe Victoria Melbourne Vic 3000PO Box 262 or Telephone: (03) 9613 6222Collins Street WestToll free (from regional areas):Melbourne VIC 8007 1800 806 314Complaints or reports to ESV about items of safety or risks to public safety involving gas orelectricity distribution, transmission, installations or appliances are not covered by this policy.Please log on to www.esv.vic.gov.au/complaints to obtain information on how to report theseincidences.Page 4

Complaints Handling Policy2. DEFINITIONSAustralian StandardComplainantComplaintComplaint handling systemCommunications RegisterIncident Management SystemRespondentWhistleblowerAustralian Standard AS ISO 10002-2006 CustomerStandard-Guidelines for complaints handling inorganisations. This guide is based on the currentAustralian Standard.Person or entity affected by the action or inactionof an agency.An expression of dissatisfaction with a specificaction or service of an agency, including the failureby an agency to comply with its public servicecharter or mission.The way individual complaints are dealt with byESV including the policy, procedures, practices andtechnology.An electronic system for recording incomingcorrespondence to ESV including complaints.An electronic system for recording and reporting onGas and Electrical incidentsESVAny person who makes a disclosure aboutimproper conduct by public bodies and publicofficers under the Whistleblowers Protection Act2001.Page 5

ENERGY SAFE VICTORIAFUNCTIONAL ORGANISATION CHARTSEPTEMBER 2009Electricity Supply SafetyMinister for Energy and Resources and Community Development - Peter Batchelor MLC (DPI)Acting Director of EnergySafetyExecutiveAdministratorPaul FearonHuman ResourcesLegal and ProsecutionsDeputy Director & ExecutiveManager Infrastructure SafetyMike EbdonExecutive Manager ElectricityInstallations & EquipmentSafetyNeil FraserExecutive ManagerGas Installation & ApplianceSafetyPaul BonsakExecutive Manager CorporateServices & LicensingAnthony DeJongExecutive AdvisorCommunications & PublicRelationsDavid Guthrie-JonesGas and Pipelines Supply SafetyElectrolysis MitigationRisk Management and AuditElectrical Installation SafetyElectrical Equipment Safety & EfficiencyCertificates of Electrical SafetyElectricity InvestigationsGas Installation SafetyComplex Gas Appliance SafetyGas InvestigationsFinance and AdministrationInformation TechnologyElectrical Licensing and Service CentreComplaints Handling ManagerPage 6

3. ESV COMPLAINTS HANDLING AT A GLANCEReceive complaint fromaffected individualComplaint immediatelyreferred to ComplaintsHandling ManagerDirector notified7 DaysYes - Can the complaintbe resolved informally?NoComplaints HandlingManager allocates thecomplaint to the relevantExecutive ManagerIfYesComplaint assessed todetermine if it is an ESVissue or notComplainant is contactedby Complaints HandlingManager and issueresolvedIfNo – cannot investigateAdvise complainant. Nofurther action or refer toalternative avenues28 DaysExecutive Manager thenallocates (if applicable) tothe relevant Manager orstaff memberInvestigation conductedComplaintsubstantiatedComplaint notsubstantiatedComplainant is contactedand invited to commentReview and considerresponseForm final viewComplainant is contactedand provided withoutcomePage 7

Complaints Handling Policy4. GOALS FOR HANDLING COMPLAINTSThe diagram below indicates the overall goal in which ESV handles complaints. It is theintention to resolve as many complaints as possible at level 4 with the numbers dropping as thelevels escalate.LEVEL 1ESCALATES TO THEOMBUDSMANLEVEL 2DIRECTOR BECOMES INVOLVEDLEVEL 3COMPLAINT REFERRED TO A MANAGER FORINVESTIGATIONLEVEL 4COMPLAINT CAN BE RESOLVED IMMEDIATELY BY COMPLAINTSHANDLING MANAGERPage 8

Complaints Handling Policy5. KEY FEATURES OF AN EFFECTIVE COMPLAINT HANDLINGPROCESS4.1 CommitmentAt Energy Safe Victoria (ESV), we are fully committed to a providing an integratedcomplaints handling process. If you are not satisfied with the service you have receivedfrom us, we welcome your feedback. It gives us the opportunity to fix the problem andimprove our service to you and to others.Giving Your Feedback to ESVVia our website www.esv.vic.gov.au/complaintsIn writing either to complaints@esv.vic.gov.au or mail it toComplaints OfficerESVPO Box 262COLLINS STREET WESTVIC 8007This policy is endorsed by the Director of Energy Safety and is to be made accessible to allESV staff, customers and external parties.4.2 FairnessESV recognises the need to be fair when dealing with complaints. The following list affirmswhat ESV does to ensure fairness when dealing with complaints:Judge all complaints on merits and factsProvide appropriate remedies when complaints are substantiatedEnsure our core values are reflected in all dealings with all people. Our core valuesare:o Respecto Integrityo Teamworko Excellenceo Commitment and Responsivenesso Flexibility and Innovationo AccountabilityEnsure that all actions are compatible with the Victorian Charter of Human Rights andResponsibilities Act 2006Take all complaints seriouslyEnsure conflicts of interests are declared and dealt with accordinglyGive equal treatment to all peopleCommitted to ensuring that no will suffer reprisals as a result of complainingProviding alternative / further avenues for reviewPage 9

Complaints Handling Policy4.3 Transparency and access4.3.1 Internally Will be distributed to all staff via email Placed on the intranet where all staff can access it at any time Become part of the induction package when a new staff membercommences work with ESV Periodic reminders / retraining throughout the year4.3.2 Externally Placed on the ESV website Hard copies available to be mailed out upon request Soft copies available to be emailed upon request If a translator is required, one can be accessed here4.4 ResponsivenessESV is committed to dealing with complaints quickly, courteously, fairly and within thefollowing timelines:If the complaint is deemed minor and easily resolved, the Complaints HandlingManager will contact the complainant as soon as is practical via telephone toresolve over the telephoneFor more involved or complaints that will require investigate, the complainantreceives written acknowledgment of receipt of the written complaint within 7 daysof receiving itComplainant contacted within 28 days of receipt of the complaint with theoutcome of the investigation. If the investigation is not complete, the complainant isstill contacted within the 28 days and advised of the progress of their complaint.If, at this stage, the complainant is not satisfied with the outcome, the right toappeal and/or alternative avenues will be provided at this stage.4.5 Privacy and confidentialityAll complaints will be handled according to the following legislation and / or Acts: Information Privacy Act 2000 (Victoria) Whistleblowers Protection Act 2001 (Victoria) Privacy Act 1988 (Commonwealth) Victorian Charter of Human Rights and Responsibilities Act 2006All ESV staff will be made aware of the relevant parts of these Acts and legislations on anongoing basis through training and / or induction programs.Further assurances from ESV:All information that is gathered will be managed in accordance with the InformationPrivacy Act 2000If the complaint falls under the category of Whistleblower, the complaint is immediatelydirected to ESV’s dedicated Public Disclosure Co-ordinator. This complaint is thendealt with in strict accordance to the Whistleblowers Protection Act 2001.Page 10

Complaints Handling PolicyInformation that is provided will only be used for the purposes of investigating andresolving the complaintThe information may be disclosed in a de-itentified format for the purposes of businessimprovement and reporting purposes.4.6 AccountabilityThe Complaints Handling Manager is responsible and accountable for the receipt, allocationand follow up of all complaints about ESV.The following section outlines the roles of various ESV staff members in the handling ofcomplaints about ESVRole of the Complaints Handling ManagerThe Complaints Handling Manager is responsible for coordinating the internal complaintresolution process and is the contact for external stakeholders and complaint-making bodies.The Complaints Handling Manager is also responsible for: combining their knowledge of complaint resolution with the expertise of other ESV staffand managers to provide effective outcomes for complainants reviewing complaints and allocating them to an appropriate Executive Manager(depending on the seriousness and complexity of the complaint) for investigation andresolution reviewing and amending written responses for consistency, accuracy, andcompleteness seeking advice from Executive Management or the Director, where necessary toresolve a complaint providing timely, consistent, and fair responses for complainants in accordance withESV’s complaints handling policy ensuring quality of data recorded in the Communications Register reporting to management on complaint outcomes and making recommendations tomanagement, based on complaint data and trends. monitoring/Tracking the complaint resolving the complaint based on recommendations made by the allocated person /Manager or Executive ManagerRole of the Service Centre staffThe Service Centre is the central point for all telephone calls, facsimiles, letters and e-mailsand is therefore responsible for:Identifying that the complaint is in regards to a person, procedure, agent or privacyEntering details of the complaint on the Communications RegisterForwarding / allocating the complaint to the Complaints Handling ManagerRole of the Allocated PersonThe allocated person (may be Executive Manager, Manager or other staff member) isresponsible for: Preparing a letter of acknowledgment for signature by the Complaints Handling Manager Conducting interviews to assist with the investigation of the complaint Ensuring accurate recording of findings and proper documentation Preparing/providing a response to the complaint following investigation into the proceduresPage 11

Complaints Handling PolicyUpdating details and results of the complaint on the Communications Database registerPreparing summary reports on findings of the complaint investigationMaking recommendations to resolve the complaintRole of the ESV staffESV staff members who receive a complaint regarding a person, procedure, agent or privacydirectly will be required allocate / refer the complainant immediately to the ESV website wherethey can lodge a formal written complaint. The staff member is then to advise the ComplaintsHandling Manager immediately.ESV staff members will not have a specific role in the complaints handling procedure unlessthey are assigned to be the Allocated Person. However, they will be required to co-operate withthe person allocated responsibility for the investigation.4.7 Business improvementESV is committed to taking action to change the underlying business process or service whereinvestigations reveal several complainants have experienced similar circumstances that havelead to them making a complaint.This is done through systematic recording, reporting and analysis of complaint trends.4.8 Internal ReviewIf the complainant is unhappy with the way in which their complaint was handled, or with theoutcome, they have the right to ask for an internal review.In the case of an internal review, the Complaints Manager will undertake the function ofreviewing the issue and deciding on alternative action if appropriate.If the complainant is still not satisfied, there are many alternative avenues for them to take.Please see section 6 for further information.Page 12

Complaints Handling Policy6. COMPLAINTS HANDLING CHECKLISTA. Complaint ReceiptWhere the complaint is received in person or over the phone The ESV Staff member informs the complainant to submit their complaint in writing eithervia the complaints section on the ESV website, via email or in a letterWhere the complaint is received in writing (Fax, Website, E-mail, Letter) 1. The Service Centre enters the details of the complaint on the CommunicationsRegister 2. The complaint allocated to the Complaints Handling Manager.B. Allocation of the complaint 3. The Director of Energy Safety is notified immediately of any complaint about ESV 4. The Complaints Handling Manager allocates an appropriate person to investigate thematter.C. Acknowledgment of the complaint 5. The ‘Allocated Person’ prepares a letter of acknowledgment for consideration of theComplaints Handling Manager within 7 days and advises that:-a) the complaint will be investigated by a nominated person (name), and contacttelephone number; andb) the allocated person will contact the complainant if additional information is required,andc) the result of the investigation into the complaint will be provided to the complainant inwriting within 28 days of the complaint being received. 6. The letter should be forwarded to Complaints Handling Manager for approval andsignature. 7. The allocated person sends the original and saves an electronic copy in theCommunications Register under the Comms number allocated to the complaintD. Investigation of the complaint 8. Where there are insufficient details for an investigation to commence, or the actualcomplaint is not properly identified, the Allocated Person should make contact with thecomplainant to obtain or clarify any relevant information. 9. The Allocated Person identifies and contacts all persons that can assist with theinvestigation and arranges interviews. 10. The Allocated Person attends all interviews All interviews should be conducted in a professional manner, producing identificationPage 13

Complaints Handling Policywhere appropriate; andStatements given should be recorded in writing which includes the date, time anddetails of the person taking the statement. 11. All relevant documents should be identified, scanned in and attached in theCommunications Register under the Comms number allocated to the complaint 12. If the complaint cannot be finalised within the 28 day period, the Complaints HandlingManager needs to be advised via email and the complainant advised of the expecteddate of completion of the investigation.E. Completion of the complaint investigationThe Report 13. A report for the Complaints Handling Manager must be prepared by the AllocatedPerson setting out the following:a) Specific details of the complaint;b) Details of the complainant;c) Name of the allocated person;d) Persons interviewed and a summary of their interview, which also includes the date,time and where the interview took place;e) A list should be compiled of all relevant documents;f) Copies of all relevant documents attached;g) The conclusion that has been reached; andh) Any recommendations arising out of the investigation.The Letter of Response 14. The Allocated Person is also responsible for preparing a letter of response to thecomplainant, which should include the following information:a) Details of the complaint;b) The name of the allocated person;c) The number of persons interviewed;d) A statement that all documents were closely examined; ande) Advice of the conclusion reached and any action that was taken or that is to be takenas a result of the complaint.f) This is also entered into the Communications Register under the Comms numberallocated to the complaintg) This is forwarded to the Director of Energy Safety and the Complaints HandlingManager for feedback 15. Allocated Person receives comments from the Director and the Complaints HandlingManager. 16. Allocated Person makes any necessary amendments. 17. The final report, recommended actions and letter of response should be forwarded toGeneral Manager, Corporate Services for signature.F. Endorsement of Recommended Actions 30. The relevant Executive Manager endorses the action/s that are recommended by theAllocated Person, if he/she agrees. Implementation may take a period of time, eg. if thecomplaint is in regards to procedures. If this is the case, the complainant should bePage 14

Complaints Handling Policyadvised in the letter of response of the time that will be required to implement therelevant action/s.Please Note: If the complaint relates to an ESV employee and is substantiated and relates to an issue ofperformance, then this will be noted in their employee file.If the complaint relates to an agent contracted by the ESV, then the Director of EnergySafety may review the agent’s contract.If the complainant is not satisfied with the response from the ESV and no other action canbe taken, then the complaint is to be referred to the Ombudsman Victoria on telephone forfurther review.G. Complaints Register Upon completion of the investigation, the Allocated Person must update theCommunications Register with the findings of the investigation. 31. Complete all details including the findings of the complaint.Page 15

Complaints Handling Policy7. ALTERNATIVE AVENUES FOR DEALING WITH A COMPLAINT5.1 Complaint and dispute resolution bodies5.1.1 VictorianOmbudsman VictoriaProvides an independent service to resolve workers compensation disputes in Victoria.Accident Compensation Conciliation ServiceEnquires into or investigates administrative actions taken by a Government department orpublic statutory body or by any member of staff of a municipal council.Consumer Affairs VictoriaPromotes consumer protection and ethical trading and ensures that consumer protectionlaws are properly enforced.Dispute Settlement Centre - Victorian Department of JusticeProvides an informal, impartial, accessible, low cost dispute resolution service to theVictorian community.Energy and Water OmbudsmanInvestigates and resolves disputes between Victorian electricity, gas and water customersand their providers.Equal Opportunity and Human Rights Commission of VictoriaResponsible for eliminating discrimination in Victoria. Offers information, education andconsultancy services, conducts research and provides legal and policy advice.Privacy VictoriaThe key body regulating the way Victorian government agencies and local councils collectand handle personal information.Victorian WorkCover Authority Complaints TeamRespond to complaints/disputes escalated from the WorkCover Agents and the selfinsuredemployers.5.1.2 PoliceThe Office of Police Integrity (OPI)Responsible for handling complaints against police as well as conducting investigationsinto a range of systemic issues and police corruption.Ethical Standards Department - Victoria PoliceResponsible for enhancing and further promoting a culture of high ethical standardsthroughout Victoria Police through the effective prevention, deterrence and investigation ofunethical behaviour.5.1.3 Courts and tribunalsVictorian Civil and Administrative Tribunal (VCAT)Magistrates Court of VictoriaPage 16

Complaints Handling PolicyCounty Court of VictoriaSupreme Court of VictoriaPage 17