How we handle contracting complaints

Our Complaints and Feedback Management Policy identifies the legislation we are required to adhere to when handling complaints, and highlights our commitment to implementing a principle-based approach to complaint handling.

Support and assistance

For questions or assistance with any aspect of our process for managing contracting complaints, please contact your assigned contract manager.

Principles for effective complaint handling

For the purposes of handling contracting complaints, we have adopted the policy’s principles as follows:

Respectful treatment
We will treat service providers in a fair, objective and unbiased manner. We will ensure that no unfair treatment comes from making a contracting complaint.

Information and accessibility
We will make it easy to make a contracting complaint to us.

Good communication
We will acknowledge receipt, provide updates of progress, and clearly communicate review outcomes and decisions.

Taking ownership
We will notify the complainant of who will be dealing with their complaint.

Timeliness
We will aim to resolve complaints quickly and, where possible, locally with our contract managers.

Transparency
We will provide reasons for our decisions and let you know how to escalate.

Timeframes for handling complaints

We aim to deal with complaints within 25 business days:

• acknowledge complaints within 5 business days
• resolve or close complaints within 25 business days of receiving the complaint
• if unable to resolve or close a complaint within 25 business days, notify the complainant of the reasons and give them updates of our progress.

These timeframes are based on the NSW Ombudsman’s best-practice guidelines. However, contracting complaints may require longer than 25 business days to resolve.

We accept anonymous complaints. However, we may find it difficult to thoroughly assess and respond to a matter if there is insufficient detail. In this circumstance we:

• will not be able to communicate with the complainant to acknowledge receipt of the complaint or obtain further information
• may not be able to investigate the complaint or may not be able to investigate it as thoroughly
• will not be able to report the outcome to the complainant.

The first stage of the process is to assess the type of complaint to determine who handles the matter: us or the service provider.

When complaints are referred to the service provider for handling

Generally, any complaints received from the public about a service provider organisation or its staff are to be dealt with by the service provider. This includes complaints:

• about casework practices
• about service delivery
• that relate to a service provider’s internal management practices.

We refer these types of complaints to the service provider using the Contracting Complaint Referral form. (If the complaint involves a child-protection matter, the Enquiry Feedback Complaint Unit will be the first point of contact, using their own referral form.)

The form includes details of the complaint, the complainant’s contact details, our contact person and their contact details, suggested focus areas for handling the complaint, and timeframes for completing the form and returning it.

For more information, refer to resolving contracting complaints — responsibilities of funded service providers.

When complaints are handled by us

We handle complaints about:

• behaviour of our staff
• the handling of a complaint by a service provider
• a service provider denying access or providing insufficient service to clients
• a service provider complaining about another service provider.

Note that allegations of misconduct are handled separately from complaints, although an allegation may be reported to us in the form of a complaint.

For complaints we are handling

We aim to acknowledge receipt of complaints within 5 business days. This will usually be in writing to the complainant, but may be by telephone depending on the nature of the matter.

The acknowledgement enables us to confirm our understanding of the matters raised, as well as providing the complainant with contact details of the person who will be handling the matter and the expected timeframes.

We also notify the service provider, when they are not the complainant, that a complaint has been received.

In this circumstance, we may also request further information from the service provider:

• asking for a response to the complaint and the issues it raises
• providing examples of what is required to be included in the response
• specifying a clear timeframe for the response.

This affords the service provider an opportunity to assure us that proper process was followed.

Responding to our requests for information in relation to complaints about a service provider

When we request information in relation to a complaint, service providers are given 5 business days to respond.

This timeframe is short because:

• under the contract, it is expected or required that they have this information readily available to provide to us on request
• we aim to resolve the complaint within the 25-business-day timeframe.

To ensure service providers are able to respond in time, we will, when possible, call in advance to ensure the right person is sent the request.

Extensions may be granted on a case-by-case basis.

If no response is received, we will contact the service provider for an explanation. Depending on the reason for the delay, and the nature of the complaint, failure to provide the information requested may potentially constitute a breach of contract.

For complaints the service provider is handling

When we refer a matter to a service provider using the Contracting Complaint Referral form, the service provider is required to send an acknowledgement letter to the complainant.

We will notify the complainant that their complaint has been referred to the service provider involved.

We will examine available information to assess the severity of the issues raised in the complaint — their urgency, complexity, health and safety implications, and potential to escalate — and which business areas are required to be involved in resolution of the complaint.

We will contact:

• the complainant if further information is required about the allegations raised in the complaint
• the service provider or internal stakeholders when a response to the allegations is required.

If the matters raised have not been resolved by this stage, we will instigate an investigation.

We will attempt to resolve complaints about a service provider by working in consultation with them to determine the relevant facts and establish common ground. We will be open and impartial throughout the consultation process, and will consider the service provider’s response on its merits.

Depending on the nature of the complaint, and at the request of the complainant, we may not always share details of the complainant, in the interests of confidentiality and anonymity.

At this stage, we may review the available information, request further information and determine that certain actions be undertaken to immediately resolve the complaint.

Apology, explanation or discussion

If the complaint primarily involves a communication problem or misunderstanding, we aim to resolve it with an apology, explanation or discussion.

Issue resolution

For contracting complaints about us, we will act in good faith to resolve the issues raised, identify areas for improvement, and initiate change as required.

For contracting complaints about a service provider, if the issues raised require a plan for resolution, we will work with the service provider to develop a formal or informal plan for issue resolution. This may require working with the service provider to develop a Service Development Plan or a Performance Improvement Plan.

Following development of an action plan, our contract manager handling the complaint will follow up and review progress, and will assist with issue resolution, when required.

External referral

If there is an alternative and satisfactory means of resolving the complaint or there is a more appropriate mechanism available for dealing with the issues raised, we will notify the complainant that we are unable to review or investigate the complaint and refer them to the more appropriate mechanism.

For example, the complaint may be about broader government policy for which we are not responsible.

Internal referral

If the complaint is not about a contracting matter, and it either can or must be notified to another business area, we will notify the complainant that their complaint has been referred to another area.

For example:

• allegations of misconduct of our staff are referred to our Professional Conduct, Ethics and Performance Unit
• complaints related to how personal information was handled are referred to our Legal unit.
• allegations that indicate imminent risk of harm to a child or young person are referred to the Child Protection Helpline.

No action

We will take no action to review or investigate the complaint if:

• the complaint is about alleged events that happened more than one year ago, and which have no bearing on current circumstances
• the matter has been investigated previously and no new information has been provided
• we have determined that a regulator or enforcement agency is currently investigating the matter
• the complaint is about matters that do not relate to the services provided under a funded contract.

We aim to resolve matters within 25 business days of receiving the complaint.

We will send a closure letter to the complainant outlining:

• the outcome of the review and/or investigation, and whether underlying issues were identified
• if appropriate for the complainant to know, any actions taken or proposed to be taken by us, and reasons for the actions or proposed actions
• if the complainant is unhappy with the outcome, how to appeal; and if unhappy with the handling of the complaint, how to escalate.

Recordkeeping

All contracting complaints are recorded in a centrally managed contracting complaint register. It identifies which complaints have been referred to service providers for handling. The register is stored in our secure record management system.

Full details and all correspondence for each complaint are stored in a separate folder in the secure record management system.

Referral to other interested parties

Depending on the matters raised in the contracting complaint, we may refer the complaint, and any information collected in relation to it, to relevant state, territory or federal authorities.

Get more information about how and when other parties may become involved.

Reporting

Information about the number and type of complaints received is used for reporting to the department’s executive team and to regulatory agencies, from time to time.

Complaint statistics may be made public. In this case, only non-identifying information is used; that is, the information does not reveal the identity of the complainant or service provider.

Annual performance assessments

Complaints are one of the criteria used for assessing a service provider’s corporate-level annual performance during the annual accountability process.

Our contract managers consider the number and types of complaints received about a service provider, relative the size and nature of the organisation. This may lead to a formal or informal plan for resolution, depending on the overall risk rating of the corporate-level assessment.

In addition, the results of assessments are used for sector-level risk reporting to the executive team.

Procurement

We may use information collected about complaints when evaluating service providers’ tenders during re-contracting and other methods of procurement.

Our role

DCJ holds contracts with organisations to deliver funded services on behalf of the NSW Government.

These contracted organisations are our ‘service providers’.

We understand that, from time to time, people may want to make a complaint to DCJ because they’re not happy with a service provider’s staff, the services they have or haven’t received, or the way their complaint was handled.

This page explains what we do when you make a complaint to us about a service provider.

What we do when we receive your complaint

We’ll review the information you give us, to assess if we can handle the matters you raise.

This review includes:

• ensuring we understand the matters raised, and the outcome you expect
• checking if you’ve tried to resolve the matters directly with the organisation involved, or if there’s an exemption; for example, as a whistleblower, you’re reporting the organisation’s or a staff member’s conduct
• identifying and verifying matters we can help you with when they relate to service delivery and our contract with the organisation, or who else can assist you
• deciding if we need more information from you to properly assess the matters raised.

Once we’ve completed our review, we’ll let you know how we intend to proceed.

What you can expect from us

While dealing with your complaint, you can expect us to:

• treat you with courtesy, consideration and respect
• be fair and reasonable, and behave with integrity and honesty
• act impartially
• work to answer your concerns, problems or complaints as quickly as possible
• listen to your feedback, so we can continue to improve our service
• collect, store, use and disclose your personal information according to relevant law
• inform you about, and explain decisions that affect you.

We aim to resolve your complaint within 25 business days of receipt.

Note that ‘act impartially’ means that we don’t represent either you, as the complainant, or the service provider. Though we’ll always take your views into account, we don’t take instruction or direction from you as to how we handle your complaint.

How you can help us

To help us deal with your complaint, we ask that you:

• treat our staff with courtesy and respect
• provide us with all the information we request from you, within the timeframe we ask
• give the reference number of your complaint when you’re contacting us about it
• let us know about any change in your contact details, as soon as possible
• tell us if you have special requirements, such as needing an interpreter, or that you require large print on letters and documents
• ask us if you’re not sure about anything
• keep in regular contact; you can ask for a progress report if you’re worried about anything.

We ask that you treat us with the same courtesy, consideration and respect that we’re expected to give you. If we’re subject to rude or abusive behaviour, we may end an interview or phone call, and we may choose to deal with you by correspondence only.

What to do if you’re unhappy with how we deal with you or your complaint

As stated above, we aim to provide a courteous and efficient service.

If, however, you have any queries or concerns about our work, please raise them immediately with the officer you’re dealing with.

If you feel that they’re not able to resolve the problem, then request the details of their line manager or director.

If that doesn’t resolve the problem to your satisfaction, then put your concerns in writing. This will result in a formal complaints review.

Who to contact if you have any questions

If you have any questions about your complaint and its status, please raise them with the officer you’re dealing with. Their name and contact details are in all of the correspondence you receive from DCJ.

Find out more details about how we handle complaints by visiting the numbered items listed at the very top of this page.