Level 2 complaints - Ombudsman, Ministerial, MP, Media and executive correspondence (CLK)(MED) 104-02040030

For complaints about:

• Member of Parliament (MP)/ Senator, go to Step 2
• Centrelink and Medicare Customer Liaison Officer (CaMCLO), go to Step 3
• Ministerial correspondence, go to Step 4
• CEO/ Executive correspondence, go to Step 5
• Ombudsman complaint transfers, go to Step 6
• Ombudsman section 7A, 8, 8(3) investigations, go to Step 7
• Ombudsman section 12(4) notice, go to Step 8
• Media, Social Media and Hank feedback, go to Step 9

Level 2 service officers should locate and assign the complaint entry to themselves as the employee responsible.

Go to Table 2.

When customers contact the Minister's office:

• Department Liaison Officers (DLO) have implied authority to follow up their concerns and issues
• calls can be warm transferred or correspondence emailed to the CaMCLO

If the CaMCLO determines another business area should manage the issue:

• they will email the issue to them and
• the business area must respond in 48 hours unless otherwise requested

If the DLO transfers the customer during a call, accept the transfer in all circumstances. The CaMCLO is to try to resolve the enquiry during the initial call if possible.

On receipt of the complaint:

• record the complaint
• In the customer details section, record:
• Feedback Channel dropdown menu - select Parliamentary Advice Line or Minister's Office
• Who is lodging the Feedback drop down menu - select the most appropriate option
• select complaint coding as per relevant complaint issue in the Customer complaints and feedback index
• select an appropriate escalation reason to record as level 2
• assign complaint as the employee responsible

Go to Table 2.

On receipt of the complaint:

• record the complaint
• in the customer details section, record:
• Feedback Channel dropdown menu - select Ministerial Parliamentary and Co-ordination
• Who is lodging the Feedback drop down menu – select the most appropriate option
• select complaint coding as per relevant complaint issue in the Complaints and feedback index
• select an appropriate escalation reason to record as level 2
• assign complaint as the employee responsible

No further action - previous issues raised

A recommendation may be made to take no more action to the issues raised by the customer if:

• there are no new issues raised in the correspondence received and
• the customer was earlier advised in writing that:
• the matters they have raised have been reviewed and addressed, and
• more correspondence from them about the same issues will be read and filed but not responded to

Go to Table 2.

On receipt of the complaint:

• record the complaint
• in the customer details section, record:
• Feedback Channel dropdown menu - select Secretary or Executive
• Who is lodging the Feedback drop down menu – select the most appropriate option
• select complaint coding as per relevant complaint issue in the Complaints and feedback index
• select an appropriate escalation reason to record as level 2
• assign complaint as the employee responsible

Go to Table 2.

On receipt of the complaint, decide if another business area is best placed to manage the complaint.

If another business area should manage the complaint Level 2 service officers should:

• forward the Ombudsman complaint transfer to the relevant business team for management
• stop managing the complaint themselves

It is the responsibility of the other business area to manage and respond to the Ombudsman complaint transfer.

If complaint remains in current business area:

• record the complaint
• in the customer details section, record:
• Feedback Channel dropdown menu - select Ombudsman - Transfer
• Who is lodging the Feedback drop down menu – select the most appropriate option
• select complaint coding as per relevant complaint issue in the Complaints and feedback index
• select an appropriate escalation reason to record as level 2
• assign complaint as the employee responsible

Go to Table 2.

Ombudsman 7A and 8 investigations will include specific questions that must be answered. These questions are included in the response template.

An 8 (3) is a written response using the letter template provided. It is not the question template for a 7A or 8.

The email contains:

• section 7A, section 8, 8(3) investigation
• the due date
• details including customer identification and complaint detail

The Ombudsman's office expects the agency to make every effort possible to address any issues raised in the notice.

If the receiving business area does not agree that they are the best placed to respond, contact the ORMS to discuss.

On receipt of the complaint:

• record the complaint
• in the customer details section, record:
• Feedback Channel dropdown menu - select Ombudsman Relationship and Management Section
• Who is lodging the Feedback drop down menu – select Ombudsman
• select complaint coding as per relevant complaint issue in the Complaints and feedback index
• select an appropriate escalation reason to record as level 2
• assign complaint as the employee responsible

Go to Table 2.

The ORMS will refer the notice to the most appropriate business area to manage and prepare a response.

The email contains:

• section 12(4) Finalisation notice
• the due date
• relevant details

The Ombudsman will address a letter to the agency:

• summarising the potential administrative failure, and
• may include suggested actions to remedy the issue

Prepare written response using the letter template provided, addressing each issue and suggested action.

Staff should contact ORMS if they need:

• help to prepare a response
• details about Ombudsman investigation procedures or protocols

Procedure ends here.

Business areas may need to work together to complete the response.

Refer the prepared response for appropriate approval before sending to the Communications Division.

If needed, on receipt of the complaint:

• record the complaint
• in the customer details section, record:
• Feedback Channel dropdown menu - select Social Media Network or Ask Hank
• Who is lodging the Feedback drop down menu – select the most appropriate option
• select complaint coding as per relevant complaint issue in the Complaints and feedback index
• select an appropriate escalation reason to record as level 2
• assign complaint as the employee responsible

Check links for specific complaint issues, then go to Step 2.

• Allegations of potential breach of APS
• Staff fraud and misconduct
• Complaint about complaints officer
• Privacy
• Cross programme issues
• Other agency assistance (ATO and DSS)
• Persistent or unreasonable behaviour
• Refusal to accept outcome
• Potential Systemic issue

Tailor remedies to the underlying cause of each complaint.

Remedies may include:

• explaining why something happened
• offering an apology
• prioritising a work item
• offering a review of decision
• giving feedback to a business area or manager
• acknowledging the person's experience
• external referrals
• applying for payments
• applying for compensation

Consider vulnerabilities:

• Offer support that would help the customer in their circumstances
• If appropriate, refer the customer to a specialist area for ongoing management. This may include:
• social worker services or
• external welfare referral using the Payment and Service Finder

See Identifying crisis situations, customer vulnerability and risk issues.

Record all complaint issues, compliments and suggestions raised by the customer.

Code:

• all complaint issues as a Level 2 entries
• all compliments and suggestions raised

Create an investigation plan for complaints that are not simple or need more investigation.

Document the plan in the complaint tool.

Plans should include:

• main complaint issues
• questions to be answered and details needed
• the outcome sought and potential remedies
• intended research by staff member
• actions needed
• the estimated time frame for monitoring
• any special considerations (for example, vulnerabilities)
• proposed follow up with business areas

Adjust the plan when issues are investigated.

This may include:

• researching reference material
• referrals to specialists
• consultation with business areas
• requesting actions (for example: Fast Notes, email, phone call)
• listening to call recordings
• seeking technical support from subject matter experts
• consulting with Policy helpdesks
• case consulting with a colleague or manager (if needed)

Document any follow up action in the complaint tool.

Acknowledging receipt of the complaint and giving updates:

• help manage expectations
• can avoid more complaints about delay and unnecessary escalation

Can the customer be contacted?

• Yes,
• by phone, go to Step 7
• in writing, go to Step 9
• No, go to Step 10

Minimum requirements for calls are 3 genuine telephone attempts over a 2 day period.

Make genuine contact attempts:

• at separate times of the day, that is, AM and PM on consecutive business days
• through Softphone to ensure calls are recorded

Note: more phone attempts may be needed depending on source of feedback and the specific instructions for that work type.

Call the customer.

Start the call with an agency appropriate greeting. For example: 'Hello, this is (Service Officer), I'm calling from Services Australia. Before we proceed with this call, I need to inform you that this call may be recorded or listened to for quality and coaching purposes'.

Establish the identity of the customer. Ensure the person on the phone is the person to who the complaint relates to.

If another person answers the phone or the customer is unavailable, see:

• Calling a customer or returning a customer's call
• Privacy concerns when calling customers, returning calls or leaving messages on answering machines

Was the contact successful?

• Yes, go to Step 8
• No, go to Step 9

Acknowledge the complaint and offer immediate support.

Tell the customer (or their representative):

• what is happening
• how long it may take to investigate
• what Services Australia can and cannot do (offer an apology if appropriate)
• the staff member will contact them if there is any progress
• how to give more details
• the staff member will handle their complaint until it is resolved
• the date to expect their next contact
• the complaint identification number
• how to contact the Complaints team

After ending the call, document the complaint tool with a summary of the customer conversation. Include details of the re-contact commitment, that is, date of agreed contact.

Go to Step 10.

Check the source of the feedback and instructions for that work type. Decide if follow up is needed.

Monitor the complaint until follow up actions are complete and issues are resolved.

This includes:

• tracking progress
• following up outstanding actions
• documenting actions and updates
• updating investigation plan
• contacting customer as agreed

Consider:

Personalised Services referral

This helps customers manage their affairs with reduced conflict and/or aggression. It may stop unnecessary customer contact through other channels. See Referring customers to and handling customer enquiries and correspondence for Personalised Services.

Managed Service Plan (MSP) referral

Consider MSP for:

• customers who show unreasonable conduct or aggressive behaviour
• tailored plans for the customer
• frequent contact customers

Media Escalation

If staff believe the customer will (or has) approached the media, they should tell their manager. They will decide if this should be escalated to the Complaints Media team.

Privacy/ Fraud

Report the incident if:

• a customer or staff member's privacy has been breached by unauthorised access to details or
• other fraudulent activity

Potential systemic issues

Report potential systemic issues as per team processed.

Serious incident escalation

Tell a manager if there is any indication of serious risk. Resources contains links to Incident Management and Escalations Hub and Security Hub - Intranet.

Inform manager of potential risks

Tell a manager of cases that may escalate further. For example, flag sensitive complaints or complaints that might be escalated externally through the Commonwealth Ombudsman, Minister or Member of Parliament.

Give internal staff feedback

Customer feedback is received from a customer and captured in the complaints tool. Record internal feedback identified by the complaint manager in the Staff Feedback Tool. This is for business improvement purposes.

Record feedback in the staff feedback tool for:

• complaints that were escalated inappropriately
• incorrect or insufficient complaint management by Level 1
• internal service failure not raised by the customer as part of the complaint issue/s
• praise for quality complaint management

Document the complaint entry.

After resolving the complaint issues, address any other outstanding issues. This includes issues the customer has not identified but could impact on or contribute to their dissatisfaction, vulnerability and safety.

Make appropriate and relevant service offers to complainants with identified vulnerabilities.

Go to Table 3.

Check source of complaint to decide if a brief and/or response is needed:

• Member of Parliament (MP)/Senator, go to Step 2
• Centrelink and Medicare Customer Liaison Officer (CaMCLO), go to Step 3
• Ministerial correspondence, go to Step 4
• CEO/Executive correspondence, go to Step 5
• Ombudsman complaint transfers, go to Step 6
• Ombudsman section 7A, 8, 8(3) investigations, go to Step 7
• Ombudsman section 12(4) notice, go to Step 8
• Media, Social Media and Hank feedback, go to Step 9

Respond to the MP Contact Officer advising the outcome details.

Send an FYA email from the complaints tool with the following content:

• complaint has been finalised
• details about further actions required by the MP Contact officer

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

The CaMCLO must send an email to the original enquiry on complaint finalisation if they have requested a response. The response should explain the outcome of the complaint and give general details only.

Classify emails as 'Official: Sensitive'.

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

A written brief and/or response is prepared for all correspondence registered in PDMS. The PDMS package contains a Ministerial Correspondence brief and response template to be completed. The response must be prepared considering and consistent with the Guide to Preparing and Handling Ministerial Correspondence.

Note: This information can be subject to Freedom of Information requests.

Contact the Ministerial Correspondence Team if:

• help is needed to prepare a response, or
• details about ministerial correspondence procedures or protocols are needed

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

Draft the response and Correspondence brief using the templates provided in the request from the Ministerial Correspondence team

Contact the Ministerial Correspondence team if:

• help is needed to prepare a response, or
• details about ministerial correspondence procedures or protocols are needed

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

No brief or response needed.

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

Prepare a written response:

• explaining the outcome of the investigation
• using the response template provided by ORMS to address the issues raised by the Ombudsman
• in line with the agency's writing principles to ensure responses are clear, effective, easy to understand and consistent

Ensure the prepared response is referred for appropriate approval and send the response via email to ORMS

Contact the ORMS if:

• help is needed to prepare a response, or
• details about Ombudsman investigation procedures or protocols are needed

Note: the ORMS must be contacted if an extension of time is needed to finalise the complaint investigation and provide a response

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

The Ombudsman will address a letter to the agency summarising the potential administrative failure. It may include suggested actions to remedy the issue.

Prepare a response using the letter template provided, addressing each issue and suggested action.

Contact the ORMS if:

• help is needed to prepare a response or
• details about Ombudsman investigation procedures or protocols is needed

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.

Prepare a response to the request giving relevant details. Refer for appropriate approval. When approval has been given, send the response via email to the Communication Division.

Classify emails as 'Official: Sensitive'

Complaint management procedure ends here.

Finalise CFT when complaint management is complete.