Disability Services Commissioner
Disability Services Commissioner is an independent voice promoting rights and resolving complaints about disability services.
Good practice guide and self audit tool
Developing an effective person centred complaints resolution culture and process
Second Edition 2013
There are 8 figures in the documents (Figures 1 – 4  in the Good Practice Guide (this document) and figures 5 - 8 in the Audit tool).  A brief explanation has been provided about the content of each figure. If you would like further information please contact the Disability Services Commissioner on 1300 728 187 and ask to speak to the Capacity Development Team. You can also send us an email at contact@odsc.vic.gov.au 
Acknowledgements
The Disability Services Commissioner would like to acknowledge the contributions of individuals and organisations to the development of the guide and self audit tool and in particular:
Philippa Angley, National Disability Services
Irene Craig, New South Wales Ombudsman
Disability Services Division, Department of Human Services
Ruth Grant, Ombudsman Victoria
Deb Pietch, Department of Human Services
Helen Sanderson, Helen Sanderson and Associates
Kevin Stone, VALID – The Victorian Advocacy League for Individuals with Disability Inc.
Beth Wilson, Health Services Commissioner
In addition the Commissioner would like to thank the disability service providers who agreed to be part of the pilot and who offered feedback on both the guide and audit tool to ensure that the publication is of benefit to service providers.
E. W. Tipping Foundation
Kirinari Community Services 
Kyeema
McCallum Disability Services
MOIRA
Vicdeaf
Wallara Australia
© Office of the Disability Services Commissioner, Victoria, Australia 2012 (updated and expanded edition)
ISBN: 978-0-646-50802-3
Designed by: Leon Kustra, The X Factor Design & Editing Pty LtdIllustrations: Matt Golding
Disability Services Commissioner is an independent voice promoting rights and resolving complaints about disability services.
Enquiries and complaints: 1800 677 342 (free call from landlines) TTY 1300 726 563Office: 1300 728 187 (local call from landlines) Email: complaints@odsc.vic.gov.au Address: Level 30, 570 Bourke Street Melbourne VIC 3000
Foreword
As Victoria’s Disability Services Commissioner, I am pleased to present this second edition of our Good practice guide and self audit tool: Developing an effective person centred complaints management culture and system. 
It is now over five years since we began supporting people with a disability, their families and service providers in the resolution of complaints. Drawing on the experience and learning we have gained during this period, we have updated and added to the original Good practice guide and self audit tool with a view to further enhancing its usefulness to service providers working to maximise the effectiveness of their complaints management system. 
In addition to reflecting changes arising from the July 2012 amendments to the Disability Act 2006, this edition also contains a new section which outlines what we’ve found to be some of the key features of effective responses to complaints. 
As with the original edition, this second edition of the Good practice guide and self audit tool has been significantly enriched by feedback we have received on training we have provided to the sector and on our approach to the resolution of complaints. I thank all of the people with a disability, their families and service providers who have contributed to our work in this way. 
People’s right to speak up about what’s working, and not working, with their disability supports is a fundamental cornerstone of the provision of high quality disability supports. I commend this second edition of the Good practice guide and self audit tool to you as a useful reference in helping to ensure that people do indeed feel that ‘It’s OK to complain!’ 
Laurie Harkin AM Disability Services Commissioner January 2013
Introduction
This guide and self audit tool has been developed to assist service providers to develop and review their complaints resolution process to ensure that it: 
•	is responsive and accessible to people with a disability (The terms people using services and people using your services are used here to refer to not only people with a disability but family, carers and advocates who seek to assist people with a disability to be heard. The term disability service is used to refer to the range of services and supports provided for people with a disability by Department of Human Services, registered disability service providers, and contracted and funded service providers under the Disability Act 2006.)
•	forms part of a broader quality culture that sees complaints as an opportunity for service improvement. 
For complaints-handling policies to translate into good practice across an organisation, your service must commit to a plan of action which is supported by both your board of management and executive leadership group. Equally, managers need to actively involve both the people using your service and staff in any review process to ensure that it meets their respective needs. (Note: In this guide references to people using services is used to refer to the person using the service, their family or an advocate). Whilst this guide has a specific focus on complaints it is important to recognise that this is just one way that an organisation can receive feedback from the people using their services. Successful organisations will provide ongoing opportunities for people with a disability, their families and advocates to provide feedback as a key influence on service improvement.
What is a complaint?
Based on definitions outlined in the Disability Act 2006 (s3(1), s109) and the Australian Standard 10002 – 2006 ISO 10002:2004: MOD, DSC has developed the following definition of a complaint: 
A complaint is an expression of dissatisfaction that arises out of the provision of a disability service for which a response or resolution is explicitly or implicitly expected. 
A complaint may also be about how the complaint was handled, where the complaint is that a disability service has not properly investigated, or not taken proper action, upon receiving a complaint. 
According to this definition, a complaint can be about a wide range of issues, and can be made in writing or verbally with the service provider. From the perspective of the person with a disability it is important that this definition not be narrowed by others. Too often, what has been considered to be of concern to people with a disability has not been informed by their own views and experiences. The resolution of complaints needs to be consistent with the principle that has been presented by the disability rights movement ‘nothing about us, without us’, which is also fundamental to the United Nations Convention on the Rights of Persons with Disabilities. Given the importance of taking a rights based approach to the provision of disability services, it is also important that sound working relationships are developed between service providers and people using their services. 
Mark’s story
Mark, with the assistance of his advocate, made a complaint regarding a problem he had with the service provider running the group home in which he lived. The issue was that he owned a cat that was previously allowed to remain in the lounge room at night and sleep in his room with him. The service provider had introduced new rules which included forbidding the cat from being indoors after 7.00pm and from sleeping in the room with Mark. Mark felt that the service provider perceived the complaint as trivial, and that they did not take into consideration the effects these rules would have on the residents of the house, particularly Mark. 
Mark was willing to accept one of the rules regarding the cat being outside during meal preparation but felt there was no reason why the cat should not be allowed to remain in the lounge room and at night sleep in his room with him. The cat was a great source of pleasure to the Mark and the other residents. The service provider came to understand the impact of these new rules on the residents. Following a meeting with a Resolutions Officer from the Disability Services Commissioner, Mark and the service provider, agreement was reached that the cat could remain in the house at all times, except during meal preparation.
End of Mark’s story
Good communication with people using your services is important to ensure that your service is appropriately responsive to their needs. This should build a relationship of trust where the people using your services can raise any issue, including complaints, without any fear of retribution. Your service will need to exercise judgement in determining when issues raised as part of this communication can be addressed as part of having a responsive human service and when they need to be treated as a complaint and responded to accordingly 
Thought 
It is no longer sufficient to determine whether or not the complaint is justified from the organisation’s point of view: it is almost certainly justified in the view of the person making the complaint. 
Legislative obligations for service providers
The Disability Act 2006 (the Act) requires the Department of Human Services and all registered, contracted and funded service providers to: 
•	Have an effective complaints resolution culture and process, which is confidential, visible and accessible 
•	Make sure that people who use their service know how to complain 
•	Take reasonable steps to ensure that a person with a disability is not adversely affected because they have made a complaint 
•	Report annually to the Disability Services Commissioner about the number and type of complaints received and the outcome of these complaints (Refer: www.odsc.vic.gov.au/annual-complaints-reporting). 
While the Act formally requires providers to have a complaints system in place, good human service practice more generally has long acknowledged the importance of complaints as an important way of receiving feedback from people using services. 
This guide provides an introduction to a number of key concepts which are fundamental to understanding why it is important to have an effective complaints resolution process and culture and how that relates to good practice. 
The guide explores what it means to have a quality human service and the role an effective complaints system plays. 
The guide then considers people’s experience of complaints processes and, more specifically, the experiences of people with a disability and complaints processes. 
Specific attention is given in both the guide and self audit tool to how effective complaints resolution processes should be consistent with:
• The Charter of Human Rights and Responsibilities Act 2006
• The International and Australian Standards on complaint handling
• Disability Services Commissioner principles
• Department of Human Services Standards.
The key elements of an effective complaints resolution process are explored with specific reference to how the use of person centred thinking tools can assist in maintaining a focus on the person with a disability when seeking to resolve a complaint.
At the end of the guide is a self audit tool which your organisation can use to assess its current approach to complaints. This will help you to identify specific areas of strength as well as those needing further development, and create plans to address any shortcomings.
About the Disability Services Commissioner
The Disability Services Commissioner (DSC) was established under the Disability Act 2006 to improve services for people with a disability in Victoria through assisting in the effective resolution of complaints.
The DSC encourage and assist the resolution of complaints in a variety of ways including:
•	facilitating discussions and agreements
•	providing advice
•	conciliation processes
•	under certain circumstances formal investigation.
The DSC is independent of government, the Department of Human Services and service providers. 
The DSC also has responsibilities under sections 16(n) and 16 (h) of the Act to provide information and education on making and successfully resolving for people with a disability, families and service providers. It is specifically in relation to these responsibilities that the following guide and audit tool have been developed.
Values and Principles of the Disability Services Commissioner
There are a number of key values and principles which guide the work of the Commissioner and inform the development of this guide and the self audit tool. 
The Commissioner believes that complaints provide people with a disability and disability service providers with an important opportunity to improve the quality of disability services. 
Values 
The Commissioner is committed to the following values which inform the way we approach our work: 
Rights – We affirm that people with a disability have the right to participate in the social, economic, cultural political and spiritual life of society. 
Respect – We treat all people with dignity, sensitivity and courtesy. This includes respecting privacy and the confidentiality of information and treating all complaints seriously. 
Fairness – We build trusting relationships through treating people equally and demonstrating integrity through open and honest communication. We remain objective and unbiased, applying principles of natural justice so that all parties are given the opportunity to respond to any issues raised. 
Principles 
We are committed to high quality services for people with a disability and place emphasis on people with a disability being at the centre of service activities. Our principles are consistent with the Disability Act 2006, the Charter of Human Rights and Responsibilities Act 2006 and the UN Convention on the Rights of Persons with Disabilities and guide the way we approach our work. 
Accessible – We are accessible to people with a disability and other key stakeholders through clear and effective communication that is easy to use and understand. We provide clear information about the right to complain, how to complain, where to complain and how complaints will be handled. 
Person centred – We respect and value the knowledge, abilities and experiences of people with a disability and support them to make choices about their lives to enable each person to live the life they want to live. We take actions that seek to achieve the best possible outcomes for people with a disability. 
Responsive – We provide timely assistance to people with a disability, families, carers and service providers. We keep people informed of the progress of complaints with the emphasis on addressing the issue within established time frames. Accountable – We work to clear objectives in a transparent manner accepting responsibility for decisions made, being open to appropriate levels of scrutiny and ensuring all conflicts of interest are disclosed and acted upon. 
Excellence – We continually seek ways to improve how we do things and promote learning cultures in disability service organisations to ensure that complaints are vital to continuous improvement.
Chapter 1 
Quality human service 
Helen’s story
Helen complained that her 20 year old son Peter was not able to access respite care when the family was experiencing a crisis. 
The DSC Resolutions Officer found that there was a history of tension and disrupted communication between the parent and the disability service. Peter had not accessed respite for more than a year due to the communication issues. The family were increasingly stressed and angry about asking for assistance. Service provider staff reported feeling intimidated and frustrated as they were not able to get cooperation from the family. They regarded Helen as difficult and threatening. 
In dealing with the complaint, the DSC Resolutions Officer designed a process to have the two sides discuss the issues. Beyond the communication issues, the parties needed to agree upon a process for assessment for the purpose of determining respite needs. It was discovered that emergency respite in the area was operating as planned respite. This raised systemic and resource issues. The family was subsequently provided with respite and the process for accessing it was more fully explained.
End of Helen’s story
The provision of good quality human service is based on a sound and trusting relationship that develops with people using the service, through an ongoing process of effective communication. This is important to ensure the service continues to appropriately meet people’s needs. Good service delivery is about enabling people with a disability to say what is working and not working for them so that actions can then be taken to build on what is working and address what is not working. 
This is based on an expectation that people with a disability have the right to expect quality services and these services have an important role to play in improving the quality of life of people with a disability. Many people with a disability and their families are increasingly aware of their right to receive quality services. However, this has not always been the expectation. 
When people not used to speaking out are heard by people not used to listening then real change can be made. John O’Brien (2007) 
1.1. Department of Human Services Standards 2011 
The Department of Human Services Standards (DHS Standards) comprises of four service quality standards: 
•	Empowerment 
•	Access and engagement 
•	Wellbeing 
•	Participation 
Thought
In addressing these areas it is important that your organisation records what you are learning in terms of both what is working and what is not working, from the perspective of the person with a disability.
The importance of complaints to the provision of quality services is identified in the DHS Standards, which seeks to promote a culture of quality and continuous improvement across the disability sector. Standard 2 – Access and Empowerment requires that “the quality system in place includes regular review and evaluation of systems and process and feedback mechanisms to support continuous quality improvement.” 
The DHS Standards also seek to highlight the importance of people knowing how to exercise their rights. The monitoring and evaluation of Standard 1 – Empowerment includes: 
There are processes in place and evidence to demonstrate that people who use the service know how to exercise their rights and responsibilities 
Evidence of people exercising their rights and responsibilities, such as a complaints register.
Department of Human Services Standards 2011. 
The DHS Standards evidence guide has been developed to help DHS and organisations funded by DHS to prepare for and participate in internal and external reviews against the DHS standards. 
The evidence guide outlines documented approaches to each of the four standards including:
•	Giving people information in an accessible format, that facilitates their understanding of feedback processes and processes for complaints. 
•	Gathering feedback 
•	Managing complaints and feedback. 
This is to ensure that: 
•	People understand their rights in relation to complaints 
•	The complaints and feedback processes can be easily accessed by all people 
•	People are satisfied with the management of complaints and feedback.
Figure 1
Figure one provides a diagrammatic outline of the structures and processes that lead to good practices, better services and desired outcomes for individual support users (Dept. of Human Services Understanding the Quality Framework for Disability Services in Victoria, 2007b: 7)
Chapter 2
Relationship between a complaints resolution process and quality human service 
Often, people with a disability and their families have not had high expectations of services. Indeed, people using services sometimes believed that they should be grateful for the services they did receive. 
A customer focused organisation understands the expectations of the people using their services and knows that the extent to which those expectations are being met is essential to improving the quality of service. When people’s expectations exceed what the organisation is able to or can afford to deliver, either the service level has to increase or people’s expectations have to be better managed. You may need to review promotional material, website content, staff training etc to determine why the expectations are higher than service delivery. 
A complaints resolution process is an organised way of responding to, recording, reporting and using complaints to improve the service to people with a disability. It includes procedures for people to make complaints and guidelines for staff to resolve complaints. 
An effective complaints resolution process will: 
•	create a second chance to provide service (service recovery) (Service recovery allows you to be judged on your ability to deal with the complaint effectively and make the experience positive for the person who made the complaint. “88% of people whose complaints are well handled will repurchase” Society of Consumer Affairs Professionals, Complaints Culture Survey, 2005).
•	identify areas for improvement 
•	provide opportunities to strengthen public support for your organisation, and 
•	assist in the planning and allocation of resources.
An effective complaints resolution process has two key components. First, the specific complaint must be resolved in a way which is respectful, responsive and accountable. Second, data must be captured to provide feedback about the system and processes. Often complaints are an early warning of an issue that may also be of concern to a number of other people using services. 
Tip 
There is no point having a complaints resolution process if staff (or people using services) are not aware of how it works nor had any input into its development. (Queensland Ombudsman, 2008) 
The bus story 
Several families had concerns about a bus driver who collected their sons and daughters for a day program. One of them raised this concern with the disability service provider but nothing was done. A few months later the bus was involved in an accident and it subsequently emerged that the driver had had his licence suspended for dangerous driving some months beforehand.
End of bus story
This is an example where one complaint can not only reflect the concerns of others but also be an early warning signal of more significant problems. As will be discussed later, only a small percentage of those dissatisfied with a service make a complaint. Consequently complaints should be seen as being the tip of the iceberg. In this way complaint data can help to determine service deficiencies that may require corrective action, as well as service strengths that may require further support. Complaints often have a ‘root cause’, not just a ‘tipping point’. Root causes could include: recruitment processes, organisational communication, staff training, policies, processes, guidelines etc. Tipping points are usually the ‘straw that broke the camel’s back’. The issue that caused the person to make the complaint may be the result of a build up of dissatisfaction with your organisation. 
It is no longer sufficient to determine if the complaint is justified or not from the organisation’s point of view as it is almost certainly justified in the view of the person making the complaint. Given the reluctance many people feel towards making a complaint there is also a need to make them feel comfortable raising their concerns. You can also use the complaint process to follow up with people who have made a complaint on how they found your complaints process separate from the actual outcome. One way of approaching this is to ask people who have made a complaint what worked and what did not work for them about the complaints process. This can provide helpful information to improve your complaints system. It is also important to seek feedback from those who have not made a complaint, as they may have different issues with the process. 
Complaints resolution is just one way of obtaining feedback from people using services. The satisfaction levels of people using services can be measured via a range of other methods. This could include surveys, suggestion boxes or focus groups, as well as informal events where people using a service have the chance to mix with staff of the service so they can raise issues they might not otherwise raise through more formal complaints processes. In selecting approaches for obtaining feedback from people using services you may need to consider the appropriateness of the method for some people with a cognitive disability. 
A thematic analysis of person centred plans in your organisation may serve to highlight trends in the types of assistance and support people using services are seeking from your organisation. This may serve to identify areas in need of improvement for your service. 
Satisfaction surveys can be an effective means of gathering useful data to identify areas of service strength and potential improvement (Huson, 2008). A disadvantage with some satisfaction surveys is that they can be lengthy, reducing the return rate and adding to the analysis costs. They also do not always provide targeted information for the organisation on how it can improve. 
Another methodology called the netPromoter Score (NPS) seeks to determine behaviours rather than attitudes, and specifically draws out information based on whether people using services are likely to talk positively to others about your organisation, who won’t, and why. This approach groups consumers into broadly three categories. There are those who are loyal customers, who keep receiving service from the organisation and actively promote it to others. Then there are the passives, who are satisfied but unenthusiastic and would easily change services. Finally there are the detractors, who are unhappy customers trapped in a bad relationship. The key questions posed are: 
Rate from 0 (Not at all likely) to 10 (Extremely likely) whether you would recommend the organisation to someone you know.
What is the primary reason for the score provided?
What is the most important improvement we could make to improve your score?
Then by subtracting the detractors (those who scored 0 – 6) from the promoters (those who scored 9 –10) an NPS% can be formulated (Reichheld, 2006). 
Thought 
In promoting choice it can be helpful to have a decision making agreement which outlines how the person communicates and this information is then shared with others.

Tip 
Inform people where to complain 
•	Avoid long complicated forms that discourage complaints 
•	Use forms that clearly indicate to people making a complaint what they need to tell you when lodging their complaint 
•	Be responsive – acknowledge complaints quickly, establish target times for stages of the complaint process and let people know what to expect 
•	Find out what the person wants you to do about the problem, be clear about the remedies you can offer and do not make promises you cannot keep 
•	Give personal and specific replies – a stock standard reply that doesn’t address their issues, may make things worse 
•	Treat people as you would like to be treated – do not pass the buck – but if you need to refer the complaint to someone else or further review is available internally or externally make sure you give the person who made the complaint full details 
•	Let people who have made a complaint know about any improvements that have been made as a result of their complaints and thank them for their feedback. 
Adapted from Queensland Ombudsman, 2008 (Communication fact sheet 3)
Chapter 3
Delivering quality human services through continuous improvement and building a learning culture
One of the surest signs of a bad or declining relationship with a customer is the absence of complaints. Ted Levitt, Harvard Business Review, 1991 
An effective approach to managing complaints requires an organisational culture which sees a complaint as an opportunity to improve and learn. 
3.1. Culture is more than compliance 
The Disability Act 2006 (the Act) has introduced the requirement for service providers to have appropriate systems in place to receive and resolve complaints, although having a complaints resolution process has been part of the Disability Standards Self Assessment since 1997. This compliance is about conforming to the requirements of the Act. Organisational culture, however, is a step beyond that: where complaints resolution becomes part of the organisation’s way of thinking and doing (not just an action item on its ‘to do’ list). 
Where complaints are seen as being only about compliance, rather than also about improving service quality or forming part of the shared values of your organisation, the complaints resolution process may at best not be fully supported by the culture or at worst be at odds with it. 
Complaints resolution processes not only provide an effective means of dealing with complaints, they also provide an opportunity for your organisation to find out where problems may be occurring and where changes need to be made. Complaints data offers a valuable source of information as to where and how your organisation can improve service delivery. Efficiencies gained through complaint resolution processes are a major justification for setting up and maintaining such a system. 
Michael’s story 
Michael lives in his own home with the support of a disability service. His mother contacted the Disability Services Commissioner concerned that she was unable to contact him and that his service provider did not appear to be responding adequately to his disappearance. Mrs Taylor advised that Michael had a history of behaviours of concern and tended to get into trouble when he was not well supported. When she contacted the service provider, she was told that his case worker had not had contact with him for several days. 
When the Resolutions Officer from DSC spoke with the case worker, she advised that she was arranging a meeting with Mrs Taylor for the following day, to discuss how best to support Michael, especially when contact was not being made. 
Mrs Taylor later advised the Resolutions Officer that the meeting had been very productive. Both Mrs Taylor and the case worker were unsure about how to best work with Michael but were able to share valuable information. Included in this was that Mrs Taylor advised the case worker that when Michael was hard to contact, visiting him at his house either late at night or early in the morning was the best option as he tended to be out all day and would not return phone messages. All the case workers visits to that time had been made in the early afternoon.
End of Michael’s story
However, unless these processes are supported by a strong culture which sees complaints as an important way of receiving feedback from people using services, they tend to become simply a collection of manuals, policies and procedures which are not reflected in the practice of the organisation. 
Tip 
To help with the integration into the culture it can be helpful to develop a complaints vision. This can be something to aspire to, a mantra to motivate people and a general statement that complaints are valued.
3.2. What is organisational culture? 
Anthropologists understand culture as a set of processes which lead to outcomes and give them meaning, and the social relationships and practices in which such objects and processes are created. It is, in short, ‘the way things are done around here’ (Neill and Smith, 2008: 3). It is the collective values of a group of people, the relationships between those people, how they see the world and their own place in it (Neill and Smith, 2008: 3). 
We all create and re-create our culture every day through the words we use and the work we do, through what we find unacceptable, and what we are prepared to tolerate, what we see as worth working for, giving us meaning and purpose so that it is worth getting out of bed in the morning. 
Each organisation has its own culture which reflects the things that staff, or sections of staff, commonly value, including their shared visions and beliefs and what sort of work related behaviour is considered appropriate or inappropriate. Organisational culture affects how staff relate to each other and to people using services and the everyday manner in which people work together to get things done. (Quality Framework for Disability Services in Victoria, 2007b: 1). 
Culture is larger than any single organisation and belongs to all of us. Consequently we all have a role to play in applying our efforts to where it fails to meet the needs and aspirations of the people it is meant to serve. 
Tip 
Your policy and procedures will be most effective where there is a strong organisational culture where it is seen as being OK to complain. 
3.3. Quality culture
A quality culture is one where your everyday practice is reflected on, using these values, beliefs and expectations to learn from your experiences. This reflection is aided by a willingness to challenge the assumptions you make which affect your approach to service provision. From this approach you are then able to identify areas for improvement in a systematic and planned way. The presence of a quality culture is important to delivering better service outcomes to people with a disability and promoting the sustainability of the organisation. 
A quality complaints culture is more than writing policy, procedures and guidelines. It is more than training your staff in complaints resolution. Complaints must become an important and valued part of everyone’s job. This type of culture is the opposite to one where the organisation seeks to attribute blame for any mistakes made, which can have the effect of discouraging staff from taking calculated risks or indeed learning from their mistakes. 
To create a ‘complaints friendly’ culture the executive leadership group need to clearly signal to staff their support of the system and take visible responsibility for outcomes. Complaints resolution should be recognised and should be an important function within the organisation; how it works should be clearly publicised and its purpose and objectives should be discussed and reinforced with staff. People are your greatest resource whether they are staff or people using services, and that people power is a key mechanism for raising awareness of your complaints approach and promoting accountability. 
3.4. Person centred culture
In the context of disability services there is a gradual transition from a service led culture to one that is increasingly, although not yet consistently, person centred. Such a person centred culture has outcomes which are about more productive and meaningful lives and better connections with the community (Neill and Smith, 2008: 3). This more person centred culture is one where listening and learning are built into every aspect of the service, no matter the size. This culture has deep values of respect for the individual and responsiveness to what is most important to and for them, and is not confined to disability services but also offers this to the wider community (Neill and Smith, 2008: 2). 
Person centred thinking tools used every day are increasingly the building blocks creating more flexible and responsive services. With a greater level of consistent and ongoing application of person centred approaches, this can be achieved (Progress for Providers is a useful self-assessment tool available through Helen Sanderson & Associates to help service providers to think about their progress in responding to the personalisation agenda. Information about Progress for Providers can be found at http://www.hsapress.co.uk/publications/progress-for-providers. aspx#ID1458). 
There are a number of factors that will also influence this change: 
•	he growing voice of people with a disability, their families and advocates 
•	greater control by people with a disability over how they choose to spend their funds 
•	a more competitive market where service providers will need to see the people they serve as consumers 
•	the growing number of individuals who champion a more person centred approach to their work 
•	dissatisfaction with existing services, together with the desire of staff for change. 
The use of person centred approaches helps to focus this energy to support people to help them realise their hopes and dreams, as well as keeping them healthy and safe in a way that makes sense for them. 
Features of a person centred organisation include the following: 
•	it knows its purpose and what it can offer others 
•	its leaders and decision makers know the people that the organisation supports 
•	everyone across all levels of the organisation understands the importance of taking a person centred approach  it continues to evolve – it is fluid and learning 
•	it is open and unafraid of taking risks and making mistakes 
•	it consists of a group of individuals working to one purpose but remaining individuals 
•	it is not precious about its own resources, sharing for the good of all individuals (Neill and Smith, 2008: 8). 
3.5. Understanding the existing culture 
If your organisation does not have a quality culture then the first step in changing the culture is to understand what it currently is. The study by Simpson (2008a) found that the leaders of an organisation often perceived their culture to be more positive than middle managers or staff. Therefore it’s important to implement 
a range of strategies to monitor various aspects of the culture and to act on what these feedback mechanisms tell you. If you lead the organisation it is also important that you model the behaviour you would like to characterise your organisation. 
Tip 
In order to uncover the unwritten ground rules that guide the behaviour of staff it can be useful to pose questions such as those listed below: 
•	Around here, service users are... 
•	Around here, communication is... 
•	Around here being open and honest gets you... 
•	Around here, showing initiative is... 
•	Around here, if you criticise your manager... 
•	Around here the only time a manager speaks to you is when... 
•	Around here, getting a complaint is... 
(Simpson, 2008b) 
3.6. Principles of effective cultural change
In order to effectively bring about cultural change within an organisation, five key principles should guide your approach: 
Strategically aligned – The changes sought need to be clearly consistent with the stated vision and mission of the organisation. 
Collaborative – For culture to shift it is important to engage key individuals across all levels of the organisation if there is going to be ownership of the importance of shifting the way things are done around here. 
Focused – Clear attention needs to be given to the behaviours to be encouraged and those that need to be challenged. 
Open – The process of changing the culture needs to be open in its engagement with people across the organisation and provide opportunities for people to challenge and question as this is part of the process of integrating the new approach for them. 
Demonstrated – The cultural shift needs to be demonstrated through people’s actions and attitude. 
(Success Works, 2008:10)
Tip 
In promoting a shift in culture the following approaches are critical: 
•	modelling positive behaviour 
•	having a mind-set that is positive and solutions orientated 
•	being proactive 
•	challenging negative behaviours displayed by others. 
(Simpson, 2008b) 
3.7. Use of appreciative inquiry approach to complaints
A common reaction to receiving a complaint can be defensiveness. It is often perceived as a criticism of the service rather than being seen as an opportunity to improve. A critical aspect of how you respond to and what you are likely to learn from receiving a complaint is the extent to which you look for what you are doing well and then seek to do more of this, rather than focusing exclusively on what is not working and how to fix it. 
In bringing about organisational change the appreciative inquiry (AI) method offers an exciting way to embrace organisational change. Its assumption is simple: ‘every organisation has something that works right – things that give it life when it is most alive, effective, successful, and connected in healthy ways to its stakeholders and communities. AI begins by identifying what is positive and connecting to it in ways that heighten energy and vision for change.’ (Cooperrider, Whitney and Stavros, 2003) It encourages organisations to identify what is working well and then seeks to broaden this successful approach to other tasks that may not be performed as well by the organisation. 
This is based on the premise that organisations change in the direction in which they inquire. Therefore organisations which inquire into problems will keep finding problems, but an organisation which attempts to appreciate what is best in itself will discover more and more that is good. These discoveries can then help to build a new future where the best becomes the norm (Seel, 2008). 
In using the attached self audit tool you are encouraged to look at what is working well in your service and how this experience can be broadened to other areas of operation. 
Thought 
Useful questions to ask are: 
•	What is it about your organisation – its structure, values, systems, processes, policies, staff, leaders, strategy – that creates the conditions where receiving complaints can flourish? 
•	Are staff confident in dealing with complaints?  
1.	How does the culture of the organisation foster an environment where it is seen as being OK to complain? 
•	What does the organisation do really well and how can this be applied to managing complaints? 
•	Tell a story about a complaint you received recently that resulted in a positive outcome for the person who made the complaint and also led to an improvement in the service for others.
Chapter 4
The experience of people with a disability and complaint resolution processes
John’s story 
John lives in a group home. He was very unhappy and wanted to complain about the fact that he never had any opportunities to make choices about what went on in the house. He felt like he wasn’t listened to and gave examples of how his individual support arrangements were changed to suit the house’s staff roster without first discussing it with him. He felt that the meals were not healthy or big enough and often the staff would drink coffee in their area and talk about him rather than with him. 
When he contacted the Disability Services Commissioner he found it really hard to talk about what was going on in the house. He didn’t want the staff in the house to know that he was complaining because he thought that they would be upset with him and treat him badly. 
Previously when he had told staff he wasn’t happy he felt like they didn’t want to listen and told him that things were done in that way to suit everyone in the house. He told the Resolutions Officer at the Disability Services Commissioner that he didn’t have anywhere else to live. He wondered if things would get worse if he made a complaint. 
As a result of building trust with John and planning strategies that would protect him, the Resolutions Officer was able to ask the disability service to respond to the concerns raised by John. 
End of John’s story
Research shows that problems arising from poor service and ineffective communication account for up to one-third of an organisation’s total workload (NSW Ombudsman, 2007). It is widely acknowledged that dissatisfied customers will talk badly of an organisation and tell many more people than will potentially satisfied customers. Whilst there is currently limited data on the experience people using disability services, research in business and other areas indicates that dissatisfied customers tell eight to ten people on average. Satisfied customers will tell four or five people (SAI Global and Neill Buck, 2008). Complaints which are not swiftly resolved can generate significant additional workload for an organisation. However, people who have experienced service recovery tend to be at least as loyal and supportive as those who have never experienced a problem (NSW Ombudsman, 2007). 
Overseas research suggests less than 4% of people who are dissatisfied with a service bother to complain. Businesses will not hear from 96% of the people who are unhappy with their service. For every complaint received the average company has 26 customers with problems and six with serious problems (SAI Global and Neill Buck, 2008). Local research suggests Australians are more likely to complain about serious service difficulties. However, the majority don’t complain, preferring not to say anything and just vote with their feet if there is an alternative source, which is not always possible with disability services. Whilst most complaints can be addressed quickly, if they are not handled well then the person’s dissatisfaction can fester, making further contacts difficult and the relationship strained. 
Many of the complaints received by the Commissioner reflect this tense or difficult relationship between the provider and the person with a disability and their family. Often the central issue is poor communication. In some instances the relationship deteriorated because there was nowhere independent for these complaints to be taken prior to the establishment of the DSC.
Under the previous legislation the Intellectual Disability Review Panel (IDRP) found people with an intellectual disability and their families were reluctant to complain about services when they were reliant on those services to meet their day-to-day needs (IDRP, 2005: 6). 
Further to this and based on feedback from people with a disability and their families from both formal and informal consultations over a five year period, DSC has identified a number of reasons why people may not complain about the disability supports they receive including: 
•	Fear of retribution or withdrawal of service for making a complaint 
•	Not being aware of their right to complain 
•	Not wanting to be seen as a ‘troublemaker’ 
•	Concern about how it will affect their relationship with the service provider 
•	A lack of information about the process for making a complaint 
•	Previous negative experiences associated with having tried to make a complaint 
These fears and issues, combined with high levels of unmet need and a lack of alternative service options, are often a strong motivation for people with a disability and their families to put up with poor service rather than complain. This is further complicated in regional Victoria, where there may be only one service provider in an area. 
Thought 
How often have improvements in your service resulted from your experience with complaints?
According to Goodman-Delahunty (2004), the following factors affecting frequency of complaints also need to be considered by providers when developing, putting into practice and assessing their complaints resolution process: 
•	People wanting to make a complaint may not be aware of the process 
•	The complaints process may not be readily accessible 
•	If a person who has made a complaint has had a negative experience in the past, they may fear unpleasant or unfavourable treatment by the service provider when lodging a current complaint. 
Whilst service providers may believe that they have sound complaints resolution processes in place it is important to ascertain the views of people using services in order to confirm that this is the case. 
Thought 
What do people who use your service think about your complaints system? 
How do you know? 
Tip 
Put yourself in the shoes of people using your services 
If you were using your own service and wishing to lodge a complaint, how would you find out: 
•	where to make the complaint 
•	how to make a complaint 
•	how long will it take before you heard anything 
•	what was happening to the complaint 
•	what you should do next 
•	who else you could complain to, and 
•	what assistance you could get to lodge your complaint?
Chapter 5 
What you need to consider in having an effective process for resolving complaints
5.1. Charter of Human Rights and Responsibilities 
In addition to the Disability Act 2006, the Charter of Human Rights and Responsibilities Act 2006 (the Charter) also has relevance for receiving and responding to complaints from people with a disability. 
The Charter is based on the rights contained in the International Covenant of Civil and Political Rights 1966. 
All ‘public authorities’ as defined in section 4 (2) of the Charter (National Disability Services, 2008a: 2), have a duty to act in a way that is compatible with the Charter and give proper consideration to human rights when making decisions. Many non-government providers fall within the definition of a ‘public authority’ and the public service certainly does. The public service is also required to promote the Charter in the course of their work under the revised Public Sector Code of Conduct 2007. 
When your service reviews its complaints resolution policies, procedures and processes it is important to ensure that these are consistent with the Charter. 
In managing complaints, the Disability Services Commissioner considers whether any human rights have been breached as part of a complaint. We also consider how human rights are being upheld throughout the complaint resolution process. 
Your organisation needs to be aware of the rights covered by the Charter so that you can ensure that the decisions made in relation to resolving complaints do not breach the Charter. 
Tip 
Assessing the human rights impact of resolving complaints 
The checklist below offers a guide to key considerations your organisation should consider when seeking to resolve complaints: 
1.	What is the resolution seeking to achieve? 
2.	Does the proposed resolution raise any human rights issues? 
3.	Are any human rights limited by the proposed resolution? 
4.	What is the nature of the rights being limited? 
5.	How are rights likely to be limited and to what degree? 
6.	How important is it to limit rights to achieve the resolution? 
7.	Does limiting human rights achieve the resolution? 
8.	Are there any other less restrictive ways to achieve the resolution? 
(Department of Human Services, Process for analysing policies and practice, 2007c) 
5.2. International and Australian standards of complaint handling 
Australian and International standards have been developed which provide useful guidance on the development and implementation of an effective and efficient complaints handling process. These standards recognise that effective complaints handling can result in service improvements, as well as improving the reputation of an organisation.
The International standard highlights the following key elements, which are also reflected in the Australian standard: 
•	enhancing the satisfaction of people using your service by creating a person centred environment that is open to feedback, resolving any complaints received, and enhancing the organisation’s ability to improve its service.
•	executive leadership group involvement and commitment through adequate acquisition and use of resources, including staff training 
•	recognising and responding to the needs and expectations of people using services 
•	providing people using services with an open, effective and easy to use complaints process 
•	analysing and evaluating complaints in order to improve the service quality 
•	auditing the complaints handling process 
•	reviewing the effectiveness and efficiency of the complaints handling process. 
In summary, an effective and efficient complaints resolution process is critical to having a high quality service. What this translates into for people using services and service providers can be summed up as follows. 
What people using your services want 
•	a process where it is easy to make a complaint 
•	a service that is responsive to their needs 
•	to be heard 
•	to be understood 
•	to be respected 
•	an explanation 
•	an apology 
•	action as soon as possible  
•	a user friendly complaints system. 
An organisation needs 
•	a user friendly system for receiving feedback from people using services that is easy for staff to use as well 
•	clear delegations and procedures for staff to deal with complaints and provide remedies 
•	clear internal and external referral procedures if the complaint is not resolved at the front line 
•	a recording system to capture complaint feedback/data 
•	performance standards including timeframes for response and quality of response 
•	systematic review of complaint data to identify problem areas and analyse trends 
•	action to improve service delivery in identified areas. 
(Adapted from NSW Ombudsman, 2007)
Chapter 6 
Role of boards of management 
As stated in the National Disability Service (2008) guide for boards of management of disability service providers, the role of boards is to be responsible for: 
…ensuring that their organisations are effective, sustainable, responsive and capable of delivering high quality services. Boards are also responsible for ensuring their organisation’s compliance with relevant legislation and funding requirements. 
Boards may need to lead and support their organisation through changes to the way services are provided, to ensure that they are flexible and targeted to the individual needs of people with a disability, and compliant with the principles and provisions of the new Disability Act 2006. 
(National Disability Services, 2008b) 
In reviewing or developing a complaint resolution process in organisations which have a committee or board of management (BOM), it is important to be clear on the role performed by the board as distinct from the Chief Executive Officer. Boards of management should make sure that their organisation has sound internal processes for managing complaints, but not actually be part of the process. 
Members of boards and executive leadership groups can sometimes be confused by the reference to management. In some organisations the term ‘board of governance’ is used to make explicit the focus on governance level issues rather than operational management (Victorian Healthcare Association, 1995). However, it is important that community organisations understand the differences between the two terms. 
The main aim of a board of management group is to govern the overall operations of the organisation to ensure it operates in a proper and effective manner. This should not be confused with the day-to-day management of the organisation, which is usually carried out by the senior paid staff member (Victorian Council of Social Services (VCOSS), 2007). It may be useful to consider the application of the doughnut approach described later (see Chapter 8) for both the board and executive leadership group so that there can be greater clarity about respective areas of responsibility. 
In relation to community-based organisations: 
Governance means: 
•	to oversee and monitor 
•	to provide leadership and direction 
•	to accept ultimate responsibility for the overall organisation. 
Management means: 
•	(executive leadership group) to undertake the day-to-day tasks and responsibilities for the operations of the organisation according to the policies and standards laid down by the governance body (this usually includes administration, programming, volunteer supervision etc). 
Where an organisation has a paid coordinator, manager or executive officer, the responsibility for ‘managing’ the day-to day responsibilities usually rests with that person. However, it is the job of the executive leadership group to appoint the appropriate staff for this position and to provide adequate support, direction, policies and procedures to enable them to work effectively. 
It is equally important that the executive leadership group adopt an attitude of trust and confidence in staff, so they can ‘get on with the job at hand’ in a spirit of goodwill and confidence (VCOSS, 2007).
6.1. Role of the board of management in relation to complaints 
In this context the responsibility for managing complaints rests with staff, while the board of management (BOM) has responsibility for ensuring the organisation has developed appropriate policies and procedures for managing complaints effectively and in a way which is consistent with the organisation’s obligations under the Disability Act 2006. The BOM also has responsibility for monitoring any service improvements flagged in aggregated complaints data. (National Disability Services, 2008b) 
Thought 
•	Are the people using your service, and their families and carers, provided with information about how to make a complaint? 
•	Are they informed about where they can take their complaint if they are not satisfied with your organisation’s management of the issue? 
•	 Are you confident that the people using your services and staff are not adversely affected if they make a complaint? 
•	Does your board regularly consider trends or issues emerging through complaints and use these to identify potential areas for service improvement? 
•	Does your board schedule periodic review of the organisation’s annual report to the Disability Services Commissioner? 
(National Disability Services, 2008b: 22)
Chapter 7 
Key elements to an effective person centred complaints resolution process 
An effective complaints resolution process is one that is fully integrated into your quality management system. This includes policy and guidelines for receiving, recording, processing, responding to and reporting on complaints, as well as using the guidelines to improve services and decision-making. The system should provide clarity to staff on how to respond to complaints, as well as informing the people using your services of the organisation’s commitment to using complaints to continually improve the service.
Figure 2 - Figure 2 provides a diagrammatic outline of the key elements required for organisations to develop an effective person centred complaints resolution process and culture.
7.1. How to organise an effective complaints resolution process 
This section will focus on the more structural elements of an effective complaints resolution process. However, it is important to remember that a good complaints resolution process is equally reliant on having a strong culture which sees complaints as a positive and important part of service provision. In a sense, having a complaints process is acknowledging that, by the very nature of service provision, you will not always get it right. Having a sound complaints process and culture ensures that your organisation is in a strong position to learn from those situations where people are not satisfied with the service they receive, and value you enough to tell you so. 
7.2. Key principles that inform effective complaints resolution processes 
To ensure that you have an effective complaints resolution process, check that your approach covers the five key principles mentioned previously (see About the Disability Services Commissioner), which are based on the Australian Standard of Complaint Handling. To assist this process the Disability Services Commissioner (DSC) principles have been restated below, with specific reference to service provider complaint processes. The self audit tool provided at the end of this guide has been organised under these various principles, and can assist you to identify what you currently have and what you may need to develop. This audit tool is also available online at www.odsc.vic.gov.au. 
7.2.1. Accessible
People who use the service know how to make a complaint. There is easy to understand information in accessible formats on the complaints process, and different ways to make a complaint. People can get support to make a complaint if they need it. 
This is about letting people know what complaint process you have and where they can access it, as well as ensuring that people are able to complain. For example: 
•	Are there posters, brochures and information in accessible formats on your website that explain how people can complain? 
•	Are all staff aware of the organisation’s commitment to and processes for handling complaints? 
•	Are there flexible methods for making a complaint? 
•	Is the complaints handling process easy to use and understand?
7.2.2. Person centred 
The process used to respond to complaints ensures the perspective of the person with a disability is heard and considered in how the matter is resolved. People are treated respectfully, courteously and sensitively. This includes treating information confidentially. 
The complaints process is sufficiently flexible to respond to individual needs and consider what is important to the person using the service, as distinct from what is important for them. 
•	Is your organisation seen by staff and people using services as being open to feedback, including complaints? 
•	Do you show commitment to resolving complaints through your actions? 
•	Are you sufficiently flexible in the way you respond to complaints? 
•	Is there a clear set of published values of the organisation and its role? 
•	Are the executive leadership group and staff actively seen to be implementing the values? i.e. ‘walking the talk’. 
7.2.3. Responsive 
There is a clear process for ensuring that complaints are handled in a timely way and people are kept informed of the progress of their complaint. Part of being responsive is recognising this as an opportunity to maintain/improve the relationship between the provider and the person with a disability. A key part of being responsive is ensuring that staff are empowered to respond to complaints quickly and fairly. 
This is about responding to the complaint in a timely, non judgemental and respectful way. For example: 
•	Is the receipt of each complaint acknowledged to the person who made the complaint immediately? 
•	Are challenging but realistic time frames set and clearly communicated to staff and people using services for handling complaints? 
•	Are people who have made a complaint kept informed of the progress of their complaint? 
7.2.4. Accountable
Your process for resolving complaints is clearly outlined so people know what to expect. You approach each complaint reasonably, objectively and act in good faith. People are informed of the decision in relation to their complaint. There is a clear process of review and appeal in relation to complaint decisions. The principles of natural justice (see 7.5.2) are applied to the investigation of complaints. The service provider has clear processes to ensure that people who complain are not adversely affected. 
This is about the process you use being objective, fair and consistent. For example: 
•	Is equal weight given to the views of all? 
•	Are all complaints considered on their merits? 
•	Is the emphasis on resolving the issue and not assigning blame? 
•	Where necessary, is it dealt with by a person not connected to the complaint? 
•	Are there reporting processes on complaints and improvement initiatives? 
•	Where systemic problems are identified, do the relevant people report back on the implementation of corrective remedial action?
•	Is personally identifiable information concerning the person who made the complaint only available for the purpose of addressing the complaint within the organisation and actively protected from disclosure? 
7.2.5. Excellence
The complaints resolution process is part of a quality culture which sees complaints as an opportunity for improvement. Information is collected from complaints and provided to those who can take operational and policy decisions on improving the service. 
This is about seeking to continually improve the quality of the service through effective complaints resolution processes. For example: 
•	Do you regularly review the system and complaints data? 
•	Do you explore, identify and apply best practice in complaints handling? 
•	Do you foster a focus on the person using the service within the organisation? 
•	Do you encourage/reward innovation in complaints-handling behaviour? 
•	Do you seek feedback from people who have made a complaint on their experience with your complaint system? 
(Slater, 2008) 
Today’s problems cannot be solved if we still think the way we did when we created them. Albert Einstein 
7.3. Importance of a three tiered complaints resolution process 
Experience from organisations which have effective complaint processes suggest that a three tiered approach to complaints resolution is the most effective (NSW Ombudsman, 2007). In reviewing the complaints process your service currently uses it is useful to consider the extent to which the process operates on the following three tiers: 
Tier 1: Frontline complaints resolution 
At this level the staff are empowered with clear delegations to resolve complaints wherever possible at first contact and log complaints into the system for later analysis. The aim should be to resolve most complaints at this level, as the potential for a growing level of dissatisfaction with the service steadily increases at each point of escalation. To achieve this a number of strategies need to be in place: 
•	 an easily understood procedure for people to provide feedback to the organisation 
•	clear delegations to staff that define their responsibility for dealing with complaints and their ability to remedy problems 
•	staff who are skilled, motivated and empowered to be sensitive to and welcome complaints feedback 
•	training for staff about the process and the skills of listening, problem solving and conflict resolution 
•	procedures for resolving and investigating complaints 
•	performance standards for complaint resolution such as turn around times, progress reports to people making the complaint 
•	control systems to make sure complaints are dealt with 
•	database for capturing complaints feedback data to assist trend analysis and service improvement planning. 
Tier 2: Internal review or investigation 
Where complaints cannot be resolved at the first tier, then more senior staff should review/investigate the issues and assist in the resolution of unresolved complaints. It is important that the principles of natural justice are adhered to in this process. 
Tier 3: External complaint resolution options 
Information on external options for resolving complaint should also be provided to people who have made a complaint, particularly when a complaint cannot be resolved through the above processes. These external options include: 
•	advice and/or complaint resolution from the Disability Services Commissioner 
•	referral to other external complaints or dispute resolution bodies, depending on the subject of the complaint 
•	other resolution options such as mediation or legal remedy. 
The Disability Act 2006 and the Australian Standard on Complaint Handling highlight the importance of seeking to resolve complaints at the lowest possible level/tier. 
Whilst a complaint resolution process should have these tiers, it cannot be a requirement that people wishing to make a complaint must adhere to an organisation’s complaints process. It is the right of people who are making a complaint to seek the most appropriate resolution to the issue. Consequently, if for whatever reason they feel they are not being heard or are not comfortable with the suggested process, they may choose to seek external review earlier or indeed skip the front line tier and go to either the internal review tier or an external complaints process immediately. This will often be prompted by such considerations as level of risk and degree of trust people have with the organisation.
7.3.1. Shared staff responsibility 
If you wonder what getting and keeping the right employees has to do with getting and keeping the right customers, the answer is everything. Frederick Reichheld (2006) 
Internally, staff at various levels in the organisation will have responsibilities associated with complaints resolution. These could include: 
•	an executive advocate who leads by modelling or walking the talk 
•	responsible staff who practise what is preached at the policy/procedures level; encourage positive attitude/ reinforce benefits of proactive complaints mindset, as distinct from being driven by compliance alone 
•	other staff who practise what is preached at the policy/procedure level and: 
o	are receptive to complaints 
o	welcome feedback on the organisation’s service delivery 
o	are skilled listeners 
o	have sound interpersonal skills 
o	are problem solvers and adept at conflict resolution. 
(Queensland Ombudsman, 2008: 45) 
Tips 
•	Train staff to view complaints positively. 
•	Invent new ways for people using services to give feedback. 
•	Randomly ask for feedback. 
•	Ask for value ratings when seeking feedback on forms .e.g. OK, easy, good. 
•	Mix with the people you provide a service to so as to provide informal opportunities to receive this feedback. 
•	Create a staff feedback form to capture staff feedback on the complaints process. 
7.3.2. Indicators of a good complaints culture 
•	All staff are aware of the importance of complaints and care about the service people receive 
•	All staff are aware of the policy and procedure because they were involved in its development 
•	People using services know that they have the right to complain, are supported to complain and know how to complain because they were involved in the development and ongoing review of the complaints resolution process 
•	Procedures are routinely followed by staff 
•	Organisation leadership receives and acts on complaints data 
•	People using services complain. 
(Adapted from Queensland Ombudsman, 2008:39) 
Tips 
Always ask the person making the complaint what they want done, what they want to happen, or what they believe should have happened. This clarifies the reason for the complaint and helps to determine an appropriate response. 
Resolution can involve giving more information, providing an explanation, suggesting a course of action and a sincere apology, expressing empathy and understanding. 
If the organisation knows what people using services expect then they are more than halfway there to producing a positive outcome. 
Organisations may have complaints about things that cannot be changed due to resource issues or government policy, but it is still valuable to give feedback to people who have made a complaint and collecting this feedback may be a catalyst for change. 
7.3.3. Use of a risk management approach 
Risk management is one way of identifying priority areas that an organisation is most likely to receive complaints about. From an understanding of the purpose of the organisation risks can be identified and analysed in order to determine: 
1.	what complaints have and could arise 
2.	what has been or could be the consequences of such complaints 
3.	what has been done and could be done to prevent these complaints?
This approach can be useful in deciding which complaints your organisation would prefer managers to respond to based on the level of risk to people using services, or indeed the reputation of the organisation, if not handled well. 
Thought 
Everyone needs to look at complaints as feedback and that it is positive that people are stopping to tell you how your service works or doesn’t work for them. Complaints and feedback create an opportunity to review your processes and staff development and to continually learn and re-evaluate. 
7.4. Indicators of an effective complaints resolution process 
An effective complaints resolution process will pass three key tests: 
1.	It will listen to people and understand why they are unhappy with the service 
2.	It will help resolve people using services’ dissatisfaction about the service they receive 
3.	Data will be collected and analysed to assist the organisation to identify problems and change procedures to prevent similar dissatisfactions and complaints in the future. 
In order to pass these key tests your complaints resolution process would have the following qualities: 
1.	Your complaint resolution process should complement and reflect your service’s vision, mission, principles and values. It should show how you relate to the people using your service, and should be integral to your operations rather than a ‘nice to have’ add on. This philosophy should be clearly communicated to all staff and people using services. 
a.	Policies and procedures must be developed with involvement of staff and people using services and be easy to understand, regularly reviewed and widely known. 
2.	The executive leadership group of the organisation should be receptive to feedback passed up the line. 
3.	The process for lodging complaints should be widely known and easy to use: 
a.	complaints can be lodged in person, by phone, email or in writing 
b.	appropriate support and formats to enable people with a disability to lodge complaints 
c.	easy to understand process for handling complaints. 
4.	Direct support staff should be empowered to handle complaints: 
a.	Staff need to have clear delegation to resolve complaints. This may specify the nature of the complaints they can seek to resolve. 
b.	A key staff member at direct worker level within the organisation should have responsibility for providing information and education to other workers on approaching complaints. 
c.	Staff should receive appropriate and ongoing training and support to be clear on how to approach complaints and to reinforce the message that complaints will not reflect badly on them but rather may identify areas for additional resourcing or training. Such training should use real life examples and offer clarity on the complaints resolution process used by the organisation. 
d.	Complaints are discussed in groups in a de-identified way to enable staff to learn from each other. The outcomes of complaints, particularly where this has led to service improvements, should be made known to staff as a way of reinforcing their value to the organisation. 
e.	The process for referring complaints that cannot be resolved at this level needs to be clearly understood. 
f.	Managers should be actively involved in coaching staff in complaint handling. 
5.	Managers must have overall responsibility for seeking to resolve complaints in their area and encourage staff to come to them with any complaints they have been unable to resolve or that raise systemic issues for the organisation. (AS 4608-2004: 9) 
6.	There should be a sound approach to complaint resolution in which: 
a.	the person handling the complaint is clear about the outcome the person who made the complaint is seeking as a result of bringing a complaint 
b.	resolution occurs within agreed timeframes as much as practicable 
c.	people who have made a complaint are kept informed of the progress of their complaint 
d.	responses are consistent and appropriate. 
7.	There should be a means of recording data about complaints and the time taken to resolve them, and identifying any trends and reporting these regularly to the executive leadership group as a basis for potential service improvement. This is one of the most common areas where complaint processes fail. 
8.	No targets should be set to reduce the number of complaints. 
Thought 
Is your complaint process working? 
•	Are the people who use your service satisfied with the resolution of their complaints? 
•	Do staff feel confident in responding to complaints? 
•	Does it provide accurate, useful and/or necessary factual reporting and business improvement information for the service? 
•	Have service improvements resulted from the handling of complaints? 
•	Is resolving complaints efficiently projecting a good image for your organisation? 
7.5. Complaints policy and procedures 
The complaints resolution process should be supported by written policies and procedures. It should be noted that whilst clear policy and procedures are important foundations, a positive attitude that views complaints as opportunities for improvement is also required. 
7.5.1. Developing a policy statement 
In approaching complaints it is important to acknowledge their significance through a brief statement of policy which recognises the importance of this feedback to your organisation. The statement should state clearly and simply the organisation’s commitment to receiving and responding to complaints as part of a commitment to continuously improving the service (AS 4608–2004: 9). This statement should be written in a way that instils staff commitment and the confidence of people using services. This can be helped by the use of active language wherever possible and by the involvement of staff and people using services in the development of the statement so that there is a shared ownership (Queensland Ombudsman, 2008: 11). 
A complaints policy statement would acknowledge the importance of feedback/complaints to your organisation and include: 
•	a statement of principle 
•	recognition of the capacity to fail 
•	what you are going to do 
•	how you are going to do it 
•	why you think it is important. 
It should be signed by the Chief Executive Officer. 
Most importantly, you need to mean what you say. 
Tips 
Listed below are some examples of policy statements from a number of different organisations: 
•	All management and staff at … are committed to providing an organisation and workplace where people feel free to speak about any problems or concerns that they may have. 
•	We recognise we provide a personal service. In the event service expectations are not met, we will conduct a prompt investigation to resolve the issues and maintain communication with you. Feedback allows us to constantly improve our service to you. 
•	We believe all feedback is great feedback. We are committed to delivering outstanding service and acknowledge we are not always perfect (yet!). One of our team members will call you within 24 hours, because without you, we have no business. 
•	At … we are committed to providing people using our services with a better level of service. If we make a mistake, or our service doesn’t meet your expectations, we want to know. Most likely we’ll be able to solve the problem on the spot. If it can’t be resolved in 48 hours, your concern will be referred to more senior staff within our organisation who will take responsibility for the matter. We’ll send you a letter to acknowledge your complaint and let you know how long we expect it will take to resolve. We aim to resolve all complaints from people using our services within ten working days. 
•	This organisation is committed to ensuring simple, flexible and accessible arrangements for people who use this service to complain. All staff can respond to complaints and people who have made a complaint will be given regular updates on the progress of their complaint.
7.5.2. Developing a complaints policy 
Having developed a clear policy statement you then need to provide a more detailed explanation of why complaints are important to your organisation. This is distinct from your procedures, which provide the how or the specific steps your organisation will take to give effect to the policy. 
A complaints policy should contain: 
•	reason for the policy (including benefits to the people using your services and staff) 
•	aims and objectives of the system 
•	definition of a complaint (refer Australian Standard ISO 10002: 2006, MOD) 
•	guiding principles (these could include the principles mentioned previously), such as: 
o	person centred focus – people who use our services are valuable and the heart of our business 
o	complaints are an opportunity, not a nuisance 
o	people who use our services will be helped and supported to make complaints 
o	resolution will be provided wherever possible 
o	principles of natural justice 
•	confidentiality of complaint information 
•	safeguards against retribution 
•	reporting and review obligations. 
Concepts you may wish to include in your policy 
(a) Privacy 
Privacy applies to personal information and requires that reasonable steps are taken to protect this information from loss, unauthorised access, use, unauthorised disclosure or any other misuse during a complaints process. 
(b) Confidentiality 
While there is some similarity between privacy and confidentiality they are not the same. Confidentiality is imposed to protect information, and the information does not have to be of a personal nature. A person given an assurance of confidentiality is being told that the organisation will put controls around how and when certain information will be used within the organisation and/or disclosed to an outside agency or person. 
(c) Natural justice 
Natural justice means providing a person who may be affected by a decision about a complaint with a fair hearing before the decision is made. There are essentially three elements to natural justice: 
The notice requirement – any person likely to be affected by a decision should be given notice of the issues and relevant information. 
The fair hearing rule – the person should be given a reasonable opportunity to respond to the issues/ information, and the decision maker needs to be able to show that they have given genuine consideration to the affected person’s submission. 
The lack of bias rule – the person making the decision must act impartially (without bias) in considering the complaint. Bias could arise if the decision maker has some financial or other personal interest in the outcome or has given the impression that they have prejudged the decision ahead of time. 
(Queensland Ombudsman, 2008: 12) 
(d) Staff awareness 
There is little value in having a complaints resolution process if staff are not aware of it or are unsure of how to use it. Your policy should therefore reflect that staff are thoroughly trained in the application of your complaints policy and relevant procedures. 
Tip 
In writing your policy try to choose active language wherever possible so that it helps to instil staff commitment and public confidence. 
(e) Delays 
Obviously complaints need to be dealt with quickly, effectively and appropriately, and the time frames should reflect this. However it is also acknowledged that complaints may range in seriousness and complexity, which can cause delays. 
(f) Audience 
You should consider such things as complexity of language, writing style, content and formatting as well as being sufficiently succinct for your audience. 
Tip 
Avoid getting bogged down in the detail. Remember that your policy is only one component of your overall complaints resolution process, and its purpose is unique 
7.5.3. Developing a complaints handling procedure 
Your procedures should identify the steps needed to handle complaints – the ‘how’ of managing the complaints resolution process. The procedures should explain how the principles contained in the policy statement and how the policy will be put into practice. 
Complaint procedures should contain: 
•	how complaints can be made (verbal, written, email, anonymous etc) 
•	how feedback from people using services will be sought 
•	who is responsible for taking, recording, resolving and analysing complaints 
•	how complaints and outcomes will be recorded 
•	time frames for resolution, and guidance on what happens if these are not met (you may need different
•	turn around times and priorities for urgent and complex complaints) 
•	forms of redress, including delegation levels 
•	procedure for closure of files – closure process should include seeking feedback from the person who made the complaint on their experience of the process 
•	process for dealing with serious issues raised by complaint, e.g. criminal charge, risk to health etc. 
•	review mechanisms if the person who made the complaint is not satisfied 
•	internal reporting and review mechanisms. 
7.6 Features of effective responses to complaints 
In DSC’s experience, complaints are more likely to be resolved, if the organisation’s response pays attention to the four key things that people commonly seek when they make a complaint – the ‘four A’s: 
7.6.1 Acknowledgement 
In many respects this first step is the most important of the ‘four A’s’ as it often sets the tone for the rest of the process. Having stepped out of their comfort zone to make a complaint, people want to feel that you’ve understood their concern and how the situation has affected them. 
There is no perfect way to give a positive and respectful acknowledgement in all situations but some basic steps that can help include the five step ‘LEARN’ process: 
•	Listen – Genuinely listen to the concerns of the person without interruption. Look for the positive intention behind the person’s issue and behaviour. 
•	Empathise – Use your body language and/or voice to create an environment where the person can feel comfortable talking with you. Be conscious of whether you are feeling defensive and how this can be perceived. 
•	Acknowledge – Acknowledge how the situation has affected the person who made the complaint. Acknowledge where the service response was not the best. 
•	Rectify – Ask the complainant what a good outcome would look like for them. Take steps to rectify the problem. 
•	Notify – Notify the person promptly and regularly of the steps you have taken, or will take, in response to their complaint but don’t commit to things you can’t do. 
Thought 
A good acknowledgement delivered with respect, the right body language and tone will indicate to the person that you are not about to oppose them and that you see their feelings as legitimate. Acknowledgement is about validating emotions. 
7.6.2 Answers 
People want to know why something has or has not happened or why a decision was made. This is important to their ability to understand and process what has happened and to move on to resolving their concern. 
Answers should include details of the event / decision relevant to the concern raised. 
Answers should also provide information about organisational processes for further information gathering and communication. 
7.6.3 Actions 
People want you to fix or at least take steps to address their concerns. 
Sometimes you may not be able to fix the concern raised but may be able to initiate actions that will assist in preventing it occurring again. This can be just as important to the person as it validates their concern. 
It’s a good idea to agree to an action plan with the person who raised the complaint. The plan should include things like: 
•	What will be done? 
•	Who will do it and when? 
•	How will we communicate our progress? 
•	How will we check that things are on track? 
It’s a good idea to then follow-up with the person who made the complaint to make sure they are satisfied with what action you have taken. 
Thought 
Actions often cannot fix the past, but they can show that the concern raised was taken seriously and offer reassurance that the issue is less likely to happen again.
7.6.4 Apology 
An apology can either be part or the whole of the outcome people seek when they make a complaint. 
Careful consideration should be given to who might give any apology and what form it should take. Whilst a genuine apology can be an important step in resolving a complaint, a poorly given apology can actually make the situation worse. 
Some of the key elements of a ‘good’ apology are: 
•	Timeliness 
•	Sincerity 
•	Being specific and to the point 
•	Accepting responsibility for what occurred and the impacts caused 
•	Explaining the circumstances and causes (without making excuses) 
•	Summarising key actions agreed to as a result of the complaint. 
Thought 
A genuine and timely apology is a powerful healing force and a way to separate the past from the future, to put things to rest and get on with any new arrangements agreed to 
7.6.5 Staff Training 
Whilst it is important to have the ‘four A’s’ as a core element of your organisation’s complaints resolution process, in order for this to be an effective approach it is essential that staff are supported and trained to develop the range of skills required to provide these types of responses to complaints, and to work through the issues presented in complaints.
Chapter 8 
Use of person centred thinking tools to resolve complaints 
Put simply, person centred thinking is a way of assisting people to work out what they want and the support they need, and helping them get it (Department of Health Guidance, 2008).
Tony’s story 
A father lodged a complaint about his son Tony’s day service. Tony has an intellectual disability and autism. His father complained that the day service program wasn’t meeting Tony’s needs, because it lacked structure and routine. He complained that Tony wanted to learn how to handle money and how to read and that the service wasn’t supporting Tony to develop these skills. 
When Tony’s father raised this with the service they explained that people using the service voted on the types of activities they wanted and that Tony enjoyed the various social and recreational activities offered. They didn’t feel that Tony wanted or needed the type of program suggested by his father. 
A Resolutions Officer from DSC met with Tony, his father and the service provider. The Resolutions Officer asked about Tony’s support plan and whether people knew about what was important to Tony – in terms of what he enjoyed doing and what was a good day for him? How did the day service offer activities that reflected what was important to Tony, compared to the group as a whole? 
Tony’s father and the service provider were able to identify things that were working well for Tony in the program – his enjoyment of some of the social activities – and things that weren’t – Tony became frustrated and bored with some activities. The Resolutions Officer also asked everyone to consider what was important to Tony. Tony’s father put forward that Tony was often stressed and anxious about going to the day service. The service provider and Tony agreed that this could be because Tony needed more predictability and routine in his day. The service provider also learned from Tony’s father that Tony had been able to count money and had learnt to read signs in his previous program. He appeared to have lost some of these skills and was now less confident when going out and shopping. Tony particularly liked going to milk bars, and being able to choose and pay for snacks. The service provider hadn’t realised this and talked about how they could develop a program with a regular routine of Tony going to a nearby milk bar and working out his money to pay for snacks. 
Through taking a person centred approach to the complaint, the service provider agreed to work with Tony and his father to develop a support plan that reflected a balance of what was important to, and important for, Tony in their program. The program was individualised to meet Tony’s needs and goals. 
End of Tony’s story
Person centred thinking provides an opportunity to broaden the understanding of what quality of life means for each person and what good quality human service practice is for each individual. The particular challenges are to make this goal a reality with limited time and resources. 
Success therefore requires ‘new’ skills and a critical look at existing roles. These ‘new’ skills are referred to as person centred thinking skills. ‘New’ does not mean these skills are not currently practised by many people, rather that they are not yet systematically taught to people in the context of their day to day work. The skills referred to are ones that will help providers to have better information on which to base their response to a complaint. 
Person centred planning has now been in use for 20 years and research has found its application does make a difference to the quality of life people experience. Research from the UK found that: 
Very little change was apparent in people’s lives prior to the introduction of person centred planning. After the introduction of person centred planning, significant positive changes were found in the areas of: social networks; contact with family; contact with friends; community based activities; scheduled day activities; and levels of choice. 
(Robertson et al, 2005) 
Whilst this is significant, experience has also shown it is not the mere presence of a person centred plan that makes the difference. The factors that make the difference include: 
•	the degree of learning that occurred as a result of the plan 
•	the commitment of people around the person to implement what is learned 
•	the knowledgeable support of those with power and authority. 
(Robertson et al, 2005) 
Therefore, whilst your organisation needs to ensure you have person centred plans for people using your services it is equally important that in the context of complaints your staff know how to: 
•	engage all of the critical people in doing this work – the person, family members, carers, significant others in the person’s life, and managers 
•	develop person centred assessments that synthesise and organise the learning so that it describes not only what is important to and important for each person but also describes the balance between them 
•	listen, learn and understand what is important to and important for each person when responding to a complaint, and 
•	see the complaint as contributing to the ongoing learning process, rather than as a one off event. 
(Thompson, Kilbane and Sanderson, 2007) 
Other person centred thinking skills which are useful to apply to complaint resolution are available at www.learningcommunity.us and include: 
8.1. Important to and important for 
What is important to a person includes only what people are expressing: with their words and with their behaviours. In situations where there is inconsistency between what people say and what they do, a person centred thinking approach relies on behaviour as being more likely to reflect what is important to a person. This is particularly the case when people are saying what they think others want to hear. 
What is important for people includes only those things that we need to keep in mind for people: what others see as important in order to help the person be healthy, safe and a valued member of their community. 
One way of doing this is to list those things that are important to the person in relation to the complaint on one side, and those that are important for on the other. It is then possible to compare the two columns and see how a balance between the two aspects can best be achieved in responding to the complaint. This may also cause you to identify other things that you need to know in order to be able to respond to the complaint with a clear focus on the person using the service. 
Figure 3 - Figure 3 provides an example of how an organisation could list what is important to and important for the people they support.
John’s story 
John did not like staying at home during the day as he became easily bored, and would tend to self injure. However, his parents were worried that he might be at risk out in the community. The accommodation service provider had not prevented John from leaving the house to go for a walk, and on a couple of occasions he had been returned home by the police. 
John’s parents complained to the disability service that they were failing to ensure John’s safety in the community. In this situation it is clearly important to John to be able to come and go freely from his home at his own choosing. It is important for John to be able to be as safe as possible in the community and not self injure, as well as being able to return home. 
As a result of the complaint the provider was able work with John and his parents’ concerns. They developed a strategy that would enable John to freely go out into the community and they would work with John on always taking a pack with him that had food, water and his address details, as well as a mobile phone that had programmed numbers which he could ring if he got lost. Whilst the parents were still somewhat anxious about this, it was trialled over an extended period and worked.
End of John’s story
8.2. Mindful learning: What is working/not working? 
A person centred approach encourages an exploration of what is working and not working for the person. Too often complaint resolution approaches focus exclusively on what is not working, rather than also seeking to identify what is working. What the provider is doing well from the person’s perspective can provide important insights into what they may need to do more of to address the complaint. 
When receiving a complaint it can be useful to consider what is working and not working for the person with a disability, the family and the service provider. 
When reviewing your approach to complaints it can be useful to see what themes emerge from person centred plans and go through the following steps: 
1.	Decide what information is needed to help you review your approach to service delivery 
2.	Consider what assumptions you are making in deciding what information is needed 
3.	Collect the information from the plans 
4.	Group the information 
5.	Allocate the themes as a team 
6.	Look at the themes and consider what this tells you about what you need to do differently/better 
7.	Develop an action plan of what needs to be done by whom and when so that people can see the changes. 
8.3. Four plus one questions 
The other useful person centred tool that can be applied to managing complaints is the four plus one questions. These questions can be used by both the provider and the person bringing the complaint. The questions are: 
1.	What have we tried? 
2.	What have we learned? 
3.	What are we pleased about? 
4.	What are we concerned about? 
1.	+1. What do we do next? 
As with the working/not working tool, this enables elements of current practice that are going well to be captured in seeking to resolve a complaint. This approach also offers a useful reflection on what has previously been tried and what has been learned so that the approach to resolving the complaint builds on what has been learnt in the past. 
8.4 Defining roles and responsibilities – the doughnut sort 
Given the history of disability service provision, where sometimes overly protective approaches were taken to supporting people with a disability, it can be useful to delineate what is the responsibility of the service provider and what is not. One way of doing this is to use the doughnut sort (see Figure 4). This approach asks: 
•	• What are your core responsibilities? 
•	• What are areas where you can exercise creativity and judgement? 
•	• What is not your paid responsibility? 
Peter’s story 
Peter is provided with in-home support following the death of both his parents. He has limited cooking skills and on two occasions the worker arrived to find the gas on after he had cooked something on the stove. They had previously tried delivered meals but he did not eat these, and they had learned that when he cooked the meal himself he tended to eat it. Peter took great satisfaction from having cooked the meal himself. 
As the disability service could not provide a worker to support him in cooking each meal they decided to do a couple of things. The first was to change to an electric stove and make sure smoke detection and other fire safety equipment was installed and that Peter knew how to use it. Then they worked with Peter on a menu schedule and shopping twice a week, to see if he could follow the menu when the support worker was not there on alternate days. For the weekend he chose to eat meals from a local take away venue for which he had the numbers programmed into the phone and his favourite dishes highlighted on the menu.
If we consider the earlier example of John (p, 38), it is the core responsibility of the service provider to provide him with appropriate accommodation and support. Where they exercised creativity and judgement was in relation to how best to support him to access the community, and they developed a strategy with John to achieve this. This did not eliminate the risks involved but did mean they had taken reasonable steps to achieve this; the provider could not be responsible for his care every hour of the day, given his desire and ability to access the community independently. 
This approach can also be important as service provision becomes increasingly community based, potentially blurring the responsibilities of the service provider. Working through the doughnut gives your organisation an opportunity to clarify your core responsibilities in relation to the complaint, and where it is possible to exercise judgement and creativity. It can also help clarify those areas that are not the responsibility of the provider. 
End of Peter’s Story
Thought 
Useful questions to ask: 
What positive outcomes have been achieved for people with a disability as a result of making a complaint? 
What would people with a disability and their families say about your complaints resolution process? 
Have you ever asked them? 
In summary adopting a person centred approach to managing complaints can help ensure that the needs, wishes and expectations of the person with a disability remain central to the resolution of the complaint as well as providing an opportunity to build on what is working in the provider approach to supporting the person with a disability
Figure 4 - Figure 4 provides a diagrammatic example of how to map out the areas an organisation is, and is not, responsible in a person's life.
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