Complaints and Disciplinary Processes

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Complaints and Disciplinary Processes
Dr Vivienne Thom Deputy Ombudsman
Professions Australia Workshop on Complaints and
Disciplinary Procedures Canberra, October 2007
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Role of the Commonwealth Ombudsman

• External independent agency
• Investigates and resolves complaints
• Gives priority to complaints which
• raise systemic problems
• are serious
• where we are likely to achieve a useful/practical
  result.
• Seeks practical remedies for those affected by
  administrative deficiency
• Promotes good complaint handling

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Relevant Ombudsman reports

• Australian Defence ForceManagement of complaints
  about unacceptable behaviour04/2007
• Migration Agents Registration AuthorityComplaint-
  handling process05/2007
• Better Practice Guide to Complaint Handling, due
  for publication 2007.
• Refusal by the Tax Agents Board of NSW to
  provide reasons for not pursuing complaints about
  tax agents 03/2004
• www.ombudsman.gov.au

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Common problems

• Accessibility of the complaint-handling process
• Effectiveness of measures to enable timely and
  responsive handling of complaints
• Procedures for advising complainants of the
  outcome of their complaints, including where a
  decision is made not to pursue a complaint
• Effectiveness of measures to ensure the process
  is free of bias and conflict of interest, real or
  perceived
• How information about complaints is used for
  broader purposes, such as improving training.

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Commitment

• Complaint handling should be recognised as a
  priority
• Include in organisations charter and other
  strategic documents
• Report outcomes publicly
• Regular internal reporting on quality and
  timeliness
• Data should informs future actions, eg training
• Resource appropriately both in staffing and IT

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Accessibility awareness

• Ensure consumers are aware of complaint-handling
  processes.
• Brochures and posters
• review to ensure they are written in plain
  English
• translate if appropriate
• provide basic information on services including
  encouraging feedback and complaints
• list all formats in which a complaint can be made
• incorporate contact information for clients with
  a disability
• disseminate through community groups
• Complaints and compliments link prominent on
  website
• Direct links to other related complaint handling
  agencies

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Accessibility contact methods

• Accept verbal complaints
• Train staff to assist individuals prepare and
  lodge complaints.
• Establish a freecall or cost of a local call
  number
• Make resources available to volunteers and
  community centres to assist complainants lodge
  their complaints.
• Review complaint form to ensure that it allows
  for the collection of all relevant information.

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Managing conflicts of interest

• Matter should be thoroughly investigated without
  prejudice
• Challenging when industry representative body is
  also regulatory body and complaint handling
  organisation
• Include independent persons with experience in
  related professions when considering complaints
  and proposed decisions to discipline
  professionals
• Balance against benefits of peers making
  decisions
• Ensure records accurately report determinations
  made regarding potential conflicts of interest
  and method of managing conflict, eg absences from
  meetings
• Make records available to both parties

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Transparency

• An effective process require the trust and
  confidence of all involved
• Make publicly available
• policies about complaint handling
• a detailed explanation of the process
• how investigations are conducted
• rights and responsibilities including review
  rights
• what timeframes and other standards will be met
  along the way,
• Provide alternative views of facts promoted by
  the other party and give an opportunity to
  respond.
• Provide reasons for decisions to improve quality
  of decision making and promote public confidence
•  

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Efficiency

• Delays impact on procedural fairness and costs
  for both parties
• Review whether all complaints should come within
  the process
• consider whether some complainants should be
  encouraged to take their complaint up with the
  professional, with the professional association
  playing facilitative role
• consider greater use of mediation early in the
  process.
• Review case management procedures
• classify complaints in accordance with their
  level of complexity or seriousness
• provide more flexibility in approach depending on
  the complexity or seriousness of the complaint
• ensure timely completion of each step in the
  process.

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Systemic problems - integration

• Collect and use qualitative data on systemic
  issues and trends for strategic planning and risk
  assessment and audit activities.
• Undertake periodic audit of finalised cases
• Review the mechanisms to ensure the quality of
  investigations, including the analysis of the
  issues, the decisions taken, and the advice
  provided to complainants and agents
• Feed the results into professional education

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Commonwealth Ombudsman 2007