Complaint Management Policy

Executive Services

Parent Policy

Conduct and Compliance Policy

1Preamble

The Victorian Electoral Commission (VEC) recognises that receiving, analysing and responding to complaints provides the organisation with an important opportunity to identify potential business, information and service improvements. The VEC also has an obligation to be responsive to complainants and treat their matter efficiently, confidentially, fairly and transparently.

This policy clarifies the management of complaints received by the VEC - to ensure that all complaints are acknowledged and responded to within appropriate guidelines and according to documented processes.

The policy includes:

  • definition of complaints
  • principles guiding how the VEC manages complaints
  • how the VEC deals with personal information provided in complaints
  • what constitutes unreasonable complainant conduct
  • the process of annual system audit and review
  • how the VEC seeks complainant feedback on its complaints handling process and
  • where overall accountability for complaints handling resides within the VEC.

This policy can be updated and amended from time to time by the VEC at its absolute discretion. Employees will be notified of any changes.

2Definitions

Word/Term / Definition
Complaint / A complaint is where an external individual, group or organisation has expressed dissatisfaction with a VEC product, service, process or program, or where it is viewed the subject of the complaint is not up to acceptable standards and is within the realm of the VEC’s responsibilities – and requires a response.
A complaint should not be confused with an observation, requests for information, or a review of a decision relating to compulsory voting or political disclosures.
Complainant / The person or organisation that makes the complaint.
Complaint of a sensitive nature / A complaint:
  • regarding the performance or conduct of VEC personnel where that person, their title or position is clearly identified and/or
  • regarding seriousmisconduct, or
  • from a Minister, member of Parliament, senior party official, Mayor etc.

Serious misconduct / Serious misconduct includes, but is not limited to:
  • wilful or deliberate behaviour by an employee that is inconsistent with the continuation of his or her contract of employment (this does not apply if the employee is able to show that, in the circumstances, the conduct engaged in by the employee was not conduct that made employment in the period of notice unreasonable)
  • conduct that causes immediate and serious risk to:
  • the health, or safety of a person
  • the reputation, viability or profitability of the employer’s business.
  • the employee, in the course of the employee's employment, engaging in theft, fraud or assault
  • the employee being intoxicated at work (an employee is taken to be intoxicated if the employee's faculties are, by reason of the employee being under the influence of intoxicating liquor or a drug (except a drug administered by, or taken in accordance with the directions of, a person lawfully authorised to administer the drug), so impaired that the employee is unfit to be entrusted with the employee's duties or with any duty that the employee may be called upon to perform).

3Scope

This policy applies to all VEC employees, appointees and contractors.

4Policy Statement

To ensure clarity of understanding and ability to respond efficiently and effectively, the VEC requires all complaints to be in writing; the exceptions being where a person is not physically able to do so, or where literacy and lack of English proficiency are a factor and legislation permits. The VEC also encourages electronic submission where possible to enable an electronic (faster) response.

The VEC seeks to ensure that all complaints are managed in accordance with the following principles:

4.1 Accessibility

The VEC is committed to making its complaints management process accessible to all. Wherever possible, extra assistance is also available to complainants who may require particular assistance in making a complaint. The VEC is also committed to ensuring that staff understand this policy and abide by it when managing any complaint.

4.2 Responsiveness

The VEC is committed to being responsive to complaints in both how it manages them and in how it uses complaints to continuously improve its services and programs.

4.3 Confidentiality

The VEC is committed to maintaining confidentiality when managing complaints and will handle and maintain personal information according to itsPrivacy Policy. The VEC does not confirm or deny the receipt of complaints, or discuss the complaint with anyone other than the parties necessarily involved.

4.4 Fairness

The VEC is committed to managing complaints fairly and with integrity, and will maintain impartiality and treat all complainants with respect. Complainants have an opportunity to respond and seek a review of the VEC’s response. Internal reviews of complaints will be undertaken by the Electoral Commissioner via a prescribed escalation process[1]. Where appropriate, an external investigator may be engaged to review a complaint.

4.5 Transparency

The VEC is committed to transparency in all aspects of its complaints management process. This policy outlines how the VEC manages complaints. When responding to a complainant, the VEC will explain the assessment undertaken and the decision reached. Complaints will be properly recorded and this data used to meet the VEC’s reporting requirements.

4.6 Efficiency

The VEC is committed to managing complaints as efficiently as possible. For all complaints other than those related to a major electoral event, or with any prescribed timeframes, the VEC acknowledges receipt of the complaint immediately if received electronically (within three working days if in writing) and will provide a response within five working days of receipt of the complaint in non-election periods[2]. Where a complaint is complex in nature and requires further investigation, an update on the progress of the complaint will be provided at the 10 working day from receipt interval, with a projected conclusion estimate.

5Rights and Responsibilities

There are certain rights and responsibilities that a complainant can expect in the management of their complaint. The VEC also maintains some rights and responsibilities.

5.1 Complainant Rights

A complainant has the right to:

  • make a complaint
  • be treated with courtesy and respect by VEC staff
  • have a complaint managed in line with the VEC’s complaint management policy and procedures
  • seek an internal review of the VEC’s response if they are not satisfied with the response or the process undertaken
  • seek an external review of the VEC’s internal review response
  • withdraw their complaint at any time.
5.2 Complainant Responsibilities

A complainant has a responsibility to:

  • treat VEC staff with courtesy and respect
  • provide only true and accurate information.

A complainant can also assist the VEC in the management of their complaint by:

  • providing sufficient information to enable the VEC to investigate the matter
  • providing further information if requested.
5.3 VEC Rights

The VEC has the right to:

  • have its employees treated with courtesy and respect
  • investigate a complaint after it has been withdrawn by a complainant.
5.4 VEC Responsibilities

The VEC has responsibility to:

  • support complainants' right to complain
  • protect complainants' privacy, and anonymity, if requested
  • manage a complaint in line with the complaint management policy and procedures
  • provide complainants with a timely response
  • provide complainants an avenue for internal review
  • co-operate with any request for information by another relevant organisation as a result of a complainant's external appeal of a VEC review decision.

6Use of Personal Information

The VEC will keep a record of all complaints received and internal reviews undertaken. All personal information collected for the purpose of managing a complaint or conducting an internal review will be in accordance with our Privacy Policy as well as the Privacy and Data Protection Act 2014.

Personal information collected during the complaint and/or complaint review process, will usually be disclosed to the VEC business area to which the complaint relates, and to staff members involved in managing the complaint or internal review. Where the VEC is obliged to report details of the complaint or complaint review outcome to another agency, such as the Privacy and Data Protection Commissioner, details may be disclosed as part of a report to that agency.

Personal information collected about a complainant or third party in relation to alleged breaches of the Electoral Act 2002 may also be disclosed to Victoria Police for the purpose of investigating any offence against Victorian law, or to the Director of Public Prosecutions for the purpose of prosecuting an offence.

7Dealing with Unreasonable Conduct by Complainants

Almost all complainants are making a complaint due to the fact that they feel very strongly about their issue. In some instances, they will be very upset, angry or challenging. However, it should not be assumed that the ‘difficult’ complainant doesn’t have a valid complaint. Once the complainant moves into behavior that can be described as unreasonable, the VEC may decide to terminate any further correspondence or contact on a case by case basis, in consultation with the Deputy Electoral Commissioner.

The following examples are deemed to be conduct that in isolation or taken together, can be considered unreasonable[3]:

  • Unreasonable persistence – excessive numbers or volumes of calls, emails, letters, paperwork in support of their complaint, or refusing to accept the decision of the complaint respondee based solely on the fact that it was not in the complainant’s favour
  • Unreasonable demands – demanding more reviews than that provided for in the VEC’s policy, or demanding a different outcome without demonstrating that the original decision was wrong
  • Unreasonable lack of cooperation – failing or refusing to identify the issue of complaint (where capable) or providing disorganised information (where they are capable of organising it)
  • Unreasonable arguments – expressing irrational claims/beliefs/conspiracy theories, making vexatious complaints or illogically or unrealistically denying any responsibility for actions or inaction
  • Unreasonable behaviour – making threats of harm to self, complaint handlers or third parties, making baseless attacks on intentions, motivations ethics or conduct of complaint handlers, using abusive language beyond what could be expected, expressing unreasonable anger, violence or aggression, lying or being intentionally misleading.

8Complaint Handling Procedures

A set of procedures for the handling of complaints is a companion document for this policy and covers the complaint handling process in a non-election period; handling complaints of a sensitive nature; the complaints escalation process (internal review); handling complaints relating to compulsory voting; and service standards regarding response timeframes.

Procedures for handling complaints during major electoral events are developed and documented by an appointed Complaints Officer as part of the event program.

9Complainant feedback tool

In terms of establishing the level of satisfaction of complainants with how their complaint has been handled, the VEC will establish an online satisfaction survey instrument. The tool will be mentioned in any complaint responses to alert complainants to the fact that they have an opportunity to provide feedback. This feedback will form part of the system audit conducted on an annual basis.

10System Audit and Reviews

Every second year, a person not associated with the complaints procedures and who has appropriate skills, should be tasked with undertaking anaudit of the system. The review should include:

  • policy review – is it still relevant and current?
  • procedural review – do the documented procedures reflect practice on the floor?
  • webcopy and associated templates review – do these reflect policy, procedures and best practice communication?
  • service standards review – is the VEC meeting stated timeframes?
  • systemic issue review – have common themes or issues been identified and addressed? Have complainants been advised of avenues of redress?
  • requests for internal reviews – how many? How many upheld or overturned?
  • external reviews - how many? How many upheld or overturned?
  • online satisfaction survey – what was the tone of the feedback? Any opportunities for improvement?

Upon the completion of the audit, recommendations will be made for consideration/approval of the Executive Management Group as soon as is practical.

11Overall Accountability for Complaints Handling within the VEC

Although there are a number of key players involved in complaints handling within the VEC, the person with direct accountability for all aspects of complaints handling is Manager, Communication, Education and Research.

12Policy Endorsement

Date approved: / 16 August 2016 / Date Policy will take effect: / 17 August 2016 / Date of Next Review: / August 2018
Approved by: / Executive Management Group
Custodian: / Manager Communication, Education and Research
Responsible Branch: / Communication, Education and Research
TRIM Folder: / 16966 / Doc Ref: / D16/4132
Supporting documents, procedures & forms of this policy: / This policy has been informed by the following regulatory and policy standards:
  • Victorian Ombudsman's Complaint handling good practice guide - December 2012
  • Australian Standard ISO 10002-2006 Customer Satisfaction – Guidelines for complaints handling in organisations (AS ISO 10002-2006)
  • Code of Conduct for Victorian Public Sector Employees of Special Bodies
  • VEC Service Charter
  • VEC Privacy Policy
  • VEC Protected Disclosure Policy
  • Complaints Handling Procedures – non-election period (D16/4143)
  • Complaints Handling Procedures – election period (D16/)
  • Complaint Register (D16/21845)
  • Complaint receipt acknowledgement (letter) (D16/6704)
  • Complaint Response template (D16/6755)
  • Complaint Process Update Notification template (D16/6706)
  • LGICI template (letter) (D16/6811)
  • Complaint Review Response template (D16/7022)
  • Website Complaints Handling copy (D16/ 4409)
  • Automated response to request for CV internal review (D16/16875)
  • Automated response to complaint received by email (D16/4802)

References & Legislation: /
  • Code of Conduct for Victorian Public Sector employees of Special Bodies
  • Privacy and Data Protection Act 2014
  • Public Administration Act 2004
  • Charter of Human Rights and Responsibilities Act 2006
  • Protected Disclosure Act 2012
  • Victorian Ombudsman's Complaint handling good practice guide - December 2012
  • Australian Standard ISO 10002-2006 Customer Satisfaction – Guidelines for complaints handling in organisations (AS ISO 10002-2006)
  • Code of Conduct for Victorian Public Sector Employees of Special Bodies
  • VEC Service Charter
  • VEC Privacy Policy
  • VEC Protected Disclosure Policy

Audience: / VEC employees, contractors and appointees

13Version control and change history

Version Control / Date Effective / Approved By / Amendment
1 / 17 August 2016 / EMG / New policy formalised and endorsed
2

Complaint Management PolicyPage 1

[1]The exception is if the complaint relates to compulsory voting, in which case the escalation goes to the Prosecution Officer for review. If the Prosecution Officer’s reviewed decision is challenged, this would then be escalated to the Electoral Commissioner for a final decision.

[2]The exception to this timeline is in the event of the Christmas/New Year shutdown period, where the process will commence from 2 January or the next business day.

[3]Excerpt from AS/NZS 10002:2014 Guidelines for complaint management in organisations