Complaints and Feedback Management Policy and Procedure

Participant Support Procedures > Complaints and Feedback Management Policy and Procedure

Authorised by Chief Executive Officer

Revised Date: 30 September 2024

Policy Statement

Kyeema Support Services Inc. values complaints from people with disability, families, carers, Kyeema workers, service providers and regulators to ensure people are treated fairly when they use our services.

Complaints are an important source of information and are used to improve our services wherever possible.

This policy supports Kyeema to apply the NDIS practice standards, in particular Core Module 2. Provider Governance and Operational Management: Feedback and Complaints Management.

Scope

This policy applies to all workers and participants.

Related legislation and policy

United Nations Convention on The Rights of Persons with Disabilities

NDIS Practice Standards and Quality Indicators 2021

NDIS Quality and Safeguarding Framework

National Disability Insurance Scheme (Complaints Management and Resolution) Rules 2018

National Disability Insurance Scheme (Quality Indicators) Guidelines 2018

Definitions

Allegation – a claim that an illegal act has occurred. Allegations are always investigated and sometimes an external authority undertakes the investigation such as the police.

Concern – a notification that a person is worried that something is not working, has gone wrong or is otherwise not as it should be.

Complaint – An expression of dissatisfaction made to or about a disability service provider, relating to its products, services, staff or the handling of a complaint, where a response or resolution is explicitly or implicitly expected or legally required.

Complaints procedure

This procedure explains how Kyeema will implement its complaints policy.

The Participant Handbook provides each participant with information on how and where to make a complaint. There is a supportive environment for any person who provides feedback and/or makes complaints.

Timeframe for complaints process

1.    Complaints should be documented on a Complaint Recording Sheet CCF-07 within 24 hours of being made

2.    Manager/Team Leader will contact the person lodging the complaint within five working days to discuss the matter

3.    Manager/Team Leader and relevant workers will work with the person lodging the complaint to identify desirable outcomes in an effort to resolve the complaint within three weeks.

Complaints can be received verbally, in writing or in other way that suits the person making the complaint. Families, carers and advocates can also complain on behalf of the person with disability that they support.

If someone talks to a worker to make a complaint, that worker is responsible for writing it down and following procedures. Complaints should be documented on a Complaint Recording Sheet CCF-07 within 24 hours of being made. It is important that the worker checks with the complainant to make sure the complaint has been recorded accurately. The complaint is lodged by the team leader/manager on the Kyeema Complaints Register K:\Admin\Complaints & Grievances

Complaint information is private and must not be shared with people outside of the complaints process.

Manager/Team Leader will contact the person lodging the complaint within five working days to discuss the matter. Details of the complaint and any response will be documented. Manager and relevant workers will work with the person lodging the complaint to identify desirable outcomes to resolve the complaint within three weeks.

If the complaint is against an employee or volunteer, that person will not have contact with the complainant while the complaint is resolved.

At any stage of the complaints process, the complainant can get support from an independent advocate.

Where a matter needs to be referred to an outside agency or otherwise investigated, all workers will cooperate with the inquiry and produce material requested.

There are systems and reporting requirements for

•   serious incidents

•   allegations of abuse, neglect or exploitation

•   theft

•   accidents, injuries or death.

Each participant is provided with information on how to give feedback or make a complaint, including avenues external to the provider, and their right to access advocates. If Kyeema is unable to resolve the participants concern or complaint the participant can seek further support from:

•   family, friend, or an independent advocate

•   NDIS Commission, Disability Services Commission or NDIA using online complaint forms

How to respond to a complaint

In responding to a complaint, the Four A’s of successful resolution is a useful approach developed by the Victorian Disability Services Commissioner in their booklet ‘Everything you wanted to know about complaints’.

The approach recognises that people who make a complaint are generally seeking one or more of these four outcomes:

•   Acknowledgment

•   Answers

•   Action

•   Apology

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:

1.   Listen. Genuinely listen to the concerns of the person without interruption. Look for the positive intention behind the person’s issue and behaviour.

2.   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.

3.   Acknowledge. Acknowledge how the situation has affected the person who made the complaint. Where relevant, acknowledge where the service response could have been better.

4.   Rectify. Ask the person who made the complaint what would rectify the complaint for them. What would a good outcome look like for them?

5.   Notify. Notify the person promptly and regularly of the steps you will take in response to their complaint but don’t commit to things you can’t do.

Answers

People typically 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 a clear explanation of the event/decision relevant to the concern raised.

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. This can also be a good opportunity to seek feedback on their experience of the process you used to respond to their complaint.

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.

Apology

An apology can either be part or the whole of the outcome people seek when they make a complaint.

Care should be taken about who might give the apology and what form it should take. Apologies don’t have to be particularly fancy or over the top but they do need to be genuine. 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.

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.

Responsibilities

In-house (within Kyeema)

All workers are responsible for the implementation of the complaints procedure. This includes encouraging and supporting people accessing Kyeema services to raise any concerns or complaints they have on any issue.

All workers are responsible for handling complaints respectfully and clearly stating that no-one will be adversely affected as a result of making a complaint or a compliant being made on their behalf.

Manager/Team Leader is responsible for ensuring complaints are recorded and actioned.

Manager/team leader is responsible for communicating with people with disability, family, carers and other key stakeholders during a complaints process.

Manager/Team Leader to ensure training of workers in operation of the complaints system:

•   roles, responsibilities, compliance and training of workers

•   receive, respond, report and resolve complaints

External or unresolved internal complaints

The Disability Services Commissioner (DSC) is responsible for handling complaints about Victorian disability services registered with the Department of Families, Fairness & Housing (DFFH) which include:

•   DFFH funded disability services (HACC-PYP)

•   TAC funded disability services

•   services for people with a disability delivered through service systems outside the NDIS (Funds in Court, Disability Support for Older Australians participants)

The NDIS Quality and Safeguards Commission is responsible for:

•   complaints made directly to the NDIS Commission

•   The NDIS Commission may decide an issue raised in a complaint is better dealt with through compliance action, including an investigation. This may include issues where we identify serious concerns and risks to people with disability, such as allegations of abuse, assault or neglect

•   Unlawful conduct and criminal matters will be referred to the appropriate police authorities and the NDIS Commission will continue to handle the non-criminal elements of the complaint.

After a complaint

Kyeema managers/team leaders and/or the CEO will reflect on the complaints process and any outcomes. This includes ensuring that someone is checking in with the person who made the complaint for feedback around the finalisation of their complaint, and their response to any follow up or implementation of actions.

Things to consider:

•   What was the complaint about? What service, policy or procedure did it call into question?

•   What was the experience for the person who made the complaint, or for any affected participant? Were the issues resolved for them?

•   What information did the complaint provide that will allow you to identify and improve those services, policies and procedures and your organisation as a whole?

•   How effectively did you communicate with the person who made the complaint, any affected participants, affected staff and other stakeholders?

•   Do people using your services, their families, carers and friends require more or improved information about their rights and the complaints process? Does the person who made the complaint feel more comfortable about speaking up in the future?

•   Does anything need to change in your complaints handling system or approach to dealing with complaints?

•   Do workers require further training?

•   Did the handling of the complaint reflect your stated values and expectations for complaint handling? Or was the complaint perceived as something negative that needed to be dealt with as quickly as possible?

Reporting

Manager/Team Leader will report all serious incidents to the Chief Executive Officer.

Manager/Team Leader will contact police where there is an allegation of a criminal offence.

Unresolved complaints are reported to the NDIS or the Disability Services Commission.

De-identified complaint activity is routinely reported to the board as part of ongoing quality assurance and continuous improvement.

Review and Evaluation

Annual review

Each year Kyeema asks participants whether they are happy with the service they get from Kyeema:

•   Refer to the Participant Survey Procedure

•   Participants Survey Letter CCF-64

•   Participants are encouraged to complete the Participant Survey CCF- 15

Awareness and training

All policies, procedures and required documents are available on the Kyeema QMS and are accessible for support workers and team leaders/managers. Information on Complaints procedure is available on the QMS and worker training days.

The Complaint Recording Sheet CCF-07 and Complaint / Feedback Flowchart for Support Workers KEF-16 are available in plastic pockets on noticeboards and at worker inductions.

All workers are aware of, trained in and comply with the required procedures in relation to complaints handling.

•   workers are comfortable reporting on feedback from participants - Complaint / Feedback Flowchart for Support Workers KEF-16

•   in brief notes workers write up feedback from participant about how the issue was dealt with on Complaint Recording Sheet CCF-07

•   Managers can then gather these notes and determine any patterns emerging that need addressing –Complaint / Feedback Flowchart for Team leader / Manager KEF-17

Any significant changes in this policy or process will be advised to workers through email about QMS update and if appropriate, training workshops will be offered.

Record keeping

Kyeema must keep and maintain appropriate records of complaints received including:

•   information about the complaint

•   action taken to remediate or resolve the complaint

•   outcome of any action taken

Records must be kept in confidential files for 7 years from the date the record was made:

•   Kyeema Complaints Register K:\Admin\Complaints & Grievances

•   Participant Complaint Recording Sheet (CCF-07) electronic copy: K:\Clientorparticipant\Adults\Name\Complaints

•   Participant Complaint hard copy file Kyeema office

•   Participant Surveys (CCF-15) filed CEO office under Participant Assessments

•   Advocates report electronic file k:\Participant Surveys

•   Speaking Up – Participant Advocacy Meetings minutes K:\Advocacy\Minutes from Speaking Up & All Abilities mtgs\

Worker related Complaints/Grievances

Worker related industrial relations complaints/grievances refer to Grievance & Dispute Resolution

Related Policies, Procedures and Documents:

Continuous Improvement Policy

Code of Conduct NDIS/TAC etc - Workers

Incident Reporting Policy & Procedure

Participant Survey Procedure

Noticeboard Contents all Worksites SF-18

Participant Survey CCF-15

Participant Survey Letter CCF-64

Participant Handbook CCF-75

Complaints Poster KCF-18

Speaking Up Brochure KCF-10

NDIS Culturally Inclusive Complaints Brochure KCF-07

Complaint / Feedback Flowchart for Support Workers KEF-16

Complaint / Feedback Flowchart for Team leader / Manager KEF-17

Kyeema Complaints Register: K:\Admin\Complaints & Grievances

Speaking Up Advocacy Group - Terms of Reference

NDIS Quality and Safeguards Commission Effective Complaint Handling Guidelines for NDIS Providers