subject: review of complaints handling policy

Item G01 Governance Committee 5/11/18

N O R T H S Y D N E Y C O U N C I L R E P O R T S

Report to General Manager Attachments:

1.Amended Complaints Handling Policy

SUBJECT: Review of Complaints Handling Policy AUTHOR: Ian Curry, Manager Governance and Committee Services ENDORSED BY: Sandra Moore, Acting Director Corporate Services EXECUTIVE SUMMARY: In accordance with the approved 2016-17 Internal Audit Program, an audit of the review of the complaint management process was completed by Stewart Brown. The Audit Report was considered by the Audit and Risk Committee and the recommendations adopted. Certain recommendations in the Audit Report related to the Complaints Handling Policy and an amended policy is submitted to Council to address these recommendations. FINANCIAL IMPLICATIONS: Nil RECOMMENDATION: 1. THAT the amended Complaints Handling Policy be placed on public exhibition for 28 days. 2. THAT should Council receive submissions, a further report be prepared for Council’s consideration. Should Council receive no submissions, Council consider the Complaints Handling Policy as adopted at the end of the closing period for submissions.

Report of Ian Curry, Manager Governance and Committee Services Re: Review of Complaints Handling Policy

(2)

LINK TO COMMUNITY STRATEGIC PLAN The relationship with the Community Strategic Plan is as follows: Direction: 5. Our Civic Leadership Outcome: 5.3 Council is ethical, open, accountable and transparent in its decision making

BACKGROUND As part of the 2016-17 Internal Audit Program, an audit of the review of the complaint management process was conducted in the first half of 2018. The Audit Report was considered by the Audit and Risk Committee in June 2018 and the recommendations adopted. At the same time as this audit was being undertaken, the Complaints Handling Policy was reviewed as part of the post 2017 Council election review of all Council policies. Only minor amendments were made to the Policy and it was re-adopted by Council on 26 June 2018. As the Audit report was expected to be finalised at the same time, it was decided to submit the Policy for re-adoption as part of the normal process and prepare a further report when the outcome of the Audit had been assessed. CONSULTATION REQUIREMENTS Community engagement will be undertaken in accordance with Council’s Community Engagement Protocol. SUSTAINABILITY STATEMENT The sustainability implications are of a minor nature and did not warrant a detailed assessment. DETAIL The Audit Report made the following recommendations regarding amendments to the Complaints Handling Policy:

• Incorporate the definition of “feedback” in the Council’s Complaint Handling Policy. – see 3.2(f);

• A reassessment of service delivery and complaint resolution timeframes should be carried out – see 4.4;

• Expanding the definition of a complaint by providing specific examples – it is considered that providing specific examples in the Policy could limit its effectiveness. However, the new section 4.15 defines what is not considered to be a complaint.

Other minor procedural arrangements for reporting of complaints data and position titles have also been made to sections 4 and 6

D5-16

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# COMPLAINTS HANDLING POLICY Page 1 of 14

Policy Owner:

Director Corporate Services

Category: 5. Our Civic Leadership 1. STATEMENT OF INTENT

1.1 North Sydney Council believes that in its commitment to good governance, customers have a right to complain when they are dissatisfied with the services of Council.

1.2 Council will ensure all complaints are dealt with in an accountable, transparent,

timely and meaningful way. This Policy provides guidance on the response that customers can expect when they contact Council to complain about its services, conduct, staff and councillors.

1.3 Council’s complaint handling system is consistent with the NSW Ombudsman’s

Complaints Handlers Toolkit (June 2004) Complaint management framework June 2015, the Division of Local Government’s Practice Note No. 9 ‘Complaints Management in Councils’ (July 2009) and the AS/NZS 10002:2014 ‘Guidelines for complaint management in organizations’.

1.4 Council has a zero tolerance policy towards any harm, abuse or threats directed

towards staff and Councillors. Any conduct of this kind will be dealt with under this Policy and in accordance with Council’s duty of care and work health and safety responsibilities.

1.5 The objectives of the Policy are to:

a) Provide a consistent and effective mechanism for the management and

prompt handling of complaints; b) Improve customer service; c) Identify trends and systemic issues to be addressed if relevant, and

information to be used in business improvement processes. 2. ELIGILITY

2.1 This Policy applies to all Councillors and employees of North Sydney Council

as well as contractors working on behalf of Council. 3. DEFINITIONS

Terms used in the Policy have the following meanings:

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COMPLAINTS HANDLING POLICY Page 2 of 15

3.1 Complainant/customer - a person or organisation to whom Council provides or offers a service or who makes a complaint.

3.2 Complaint - a complaint is an expression of dissatisfaction with the Council’s

policies, procedures, charges, staff, agents, or quality of service. Council categorises complaints into two types:

i) Standard Complaints - complaints about Council policy and practices,

including failure to meet service standards and good customer service practices; and

ii) Formal Complaints - complaints of a serious nature such as those that allege corrupt activity, relate to alleged conflict of interest, are made under protected disclosure or relate to competitive neutrality.

Council does not regard the following as complaints:

a) A request for service (service request) such as collection of garbage or

repairing a pothole. These should be lodged as requests for service. If Council fails to provide the appropriate service/response, that is reason for a complaint;

b) A request for information or an explanation; c) A development application decision (except where the complaint relates

specifically to the manner in which the decision has been administered); and

d) A request to have an infringement waived; e) Appeals against any previous outcomes of complaints investigations. f) Feedback – feedback may be provided by customers through any of

Council’s communications channels. This includes phone, mail, email, social media, forms and in person. Feedback may take the form of a compliment, suggestion, comment or opinion on how Council could improve its services. Feedback may be classified as a Complaint when it meets the definition as described above

A complaint is deemed justified where the investigation has shown the complaint to be valid and that it occurred under Council’s area of control/responsibility.

3.3 Public Officer - is a member of Council’s senior staff, appointed under the Local

Government Act 1993. The functions of the Public Officer include dealing with complaints from the public concerning Council’s affairs.

3.4 Unreasonable complainant conduct - is any behaviour by a current or former

complainant which, because of its nature or frequency raises substantial health, safety, resource or equity issues for Council staff, other service users and complainants or the complainant himself/herself. Unreasonable Complainant Conduct (UCC) is grouped into five categories of conduct:

a) Unreasonable persistence - is continued, incessant and unrelenting

conduct by a complainant that has a disproportionate and unreasonable impact on Council staff, services, time and/or resources;

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b) Unreasonable demands- are any demands (express or implied) that are made by a complainant that have a disproportionate and unreasonable impact on Council staff, services, time and/or resources;

c) Unreasonable lack of cooperation - is an unwillingness and/or inability by a complainant to cooperate with our organisation, staff, or complaints system and processes that result in a disproportionate and unreasonable use of Council services, time and/or resources;

d) Unreasonable arguments - include any arguments that are not based in reason or logic, that are incomprehensible, false or inflammatory, trivial or delirious and that disproportionately and unreasonably impact upon Council staff, services, time, and/or resources; and

e) Unreasonable behaviours - is conduct that is unreasonable in all circumstances, regardless of how stressed, angry or frustrated that a complainant is, because it unreasonably compromises the health, safety and security of Council staff, other service users or the complainant.

4. PROVISIONS

4.1 Guiding Principles

Council is committed to the following complaints management guiding principles:

4.1.1 Visibility - Council will provide information to customers about how

and where to complain.

4.1.2 Organisational commitment - Council will demonstrate its commitment to management of complaints by providing sufficient resources, a defined complaint management system, staff training, and support processes for staff.

4.1.3 Customer focused approach - Council will be customer focused, open to

feedback, including complaints and show commitment to resolving complaints by its actions.

4.1.4 Objectivity - Each complaint will be addressed in an equitable, objective

and unbiased manner through the complaint handling process.

4.1.5 Responsiveness - All complainants will receive acknowledgement that their complaint has been received. Complainants will be treated courteously and kept informed of the progress of their complaint throughout the process.

4.1.6 Confidentiality - Personally identifiable complainant information will

be actively protected from disclosure and only used for the purposes of addressing the complaint within Council.

4.1.7 Accountability - Council will ensure that accountability for and

reporting on the actions and decisions of the organisation with respect to complaints management is clearly established.

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4.1.8 Continual improvement - The continual improvement of complaints management process and the quality of services is a goal of Council.

4.2 Lodging of Complaints - complaints can be lodged by any member of the public,

customer or other stakeholder.

Complaints may be lodged with Council in the following ways:

a) in writing including letter, facsimile, email directly to [email protected] or feedback form;

b) via Council’s website www.northsydney.nsw.gov.au; c) in person at the Customer Service Centre; d) by telephone; or e) by contacting Councillors (contact details are available from Council’s

website).

Complainants are encouraged to supply their name, address and contact phone number and as much information as possible about the complaint to assist Council staff with their investigation and response.

All complaints are to be treated with equal seriousness, regardless of the form in which they are lodged.

Anonymous complaints will be dealt with on a case by case basis. Should there be sufficient information in the complaint to enable an investigation to be conducted, appropriate action will be taken.

The personal details of all correspondents are protected under the Privacy and Personal Information Protection Act 1998. However, complainants who are concerned about their privacy are advised to submit the complaint and ask that their identity be suppressed.

4.3 Recording of Complaints - all complaints are registered in Council’s electronic

document management system and forwarded to the relevant staff member for action.

An assessment of the complaint will be conducted to determine if it is a standard complaint or a formal complaint. Formal complaints will be provided immediately to the Public Officer and/or General Manager.

Where a customer is requesting a service and there is no prior indication of failure to provide that service to the customer, the request will be recorded in Council’s electronic document management system or customer request management system as a request for service.

4.4 Complaint Handling - staff will endeavour to resolve the complaint at the first

point of contact or refer it immediately to the appropriate staff member who may be able to resolve the complaint.

mailto:[email protected]


http://www.northsydney.nsw.gov.au/

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Should the processes undertaken by the relevant staff member fail to resolve the complaint, or the outcome of the investigation be regarded as unsatisfactory to the complainant, then the complaint will be referred to their Manager/Supervisor for further review if appropriate. If the complainant is still dissatisfied with the outcome, then the Manager/Supervisor will refer the complaint to the Director and/or Public Officer for formal review. Complainants are entitled to one review of the initial outcome to their complaint.

Contractors conducting works on behalf of Council are required to report complaints to the Contract Manager or Superintendent (or their representative). On request from the complainant (i.e. where a complaint is received by Council’s contractor), the contractor will refer to complaint to the Contract Manager or Superintendent (or their representative) for investigation in the first instance and then referral to the Director in necessary. For more information, refer to Council’s Procurement Policy.

Council’s service levels are:

Timeframe Action

Within 1 working day of receipt

All complaints will be recorded in Council’s electronic document management system.

Within 5 working days of receipt

In circumstances where a complainant has provided contact details, the staff member responsible for handling the complaint will provide acknowledgement of receipt of the complaint to the complainant. Such acknowledgement may be by telephone or in writing, as appropriate, and details of this contact will be recorded against the complaint in Council’s electronic document management system.

Within 10 working days of receipt

Council will attempt to address all complaints within 10 working days of receipt of the complaint except, where further information is waiting to be received. In the instance where resolution of the complaint is delayed then the staff member responsible for handling the complaint will advise the complainant of the progress of the complaint within 10 working days and a full response to the complaint will be provided within 28 working days.

More than days working days from receipt

The complainant will be advised of the progress of the investigation at 14 working day intervals.

Timeframe Action Within 5 working days of Council registering a complaint

In circumstances where a complainant has provided contact details, the staff member responsible for handling the complaint will provide acknowledgement of receipt of the complaint to the complainant. Such acknowledgement may be by telephone or in writing as appropriate and the details of this contact will be recorded against the complaint in Council’s electronic document management system. The staff member will attempt to reach a resolution with the complainant if possible in this contact, or ensure all appropriate details are collated to enable a proper investigation.

Within 10 working days of Council registering a

Council will attempt to address all complaints within 10 working days of the complaint except where further

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complaint information is expected to be received to inform the investigation. Should this be the case, this shall be noted in Council’s electronic document management system, and the staff member responsible for handling the complaint will advise the complainant of the progress of the complaint.

After 10 working days of Council registering a complaint

In instances where Council is awaiting information to assist its investigation a complaint may go beyond our 10 working day timeframe. Council will endeavour to provide the complainant with as accurately as possible the timeframe to expect an informed response. If this timeframe is not met, Council will provide the complainant with a revised timeframe. If Council’s response to a complaint is challenged by the complainant, such challenges may also extend a complaint response period, and each challenge will be subject to the above timeframes for the response. Council will be clear when it considers a matter “closed” or “resolved” and will advise the complainant of the details of any appropriate external agencies the complainant may contact if they are not in agreeance.

Closing out of complaints – where complainant does not agree with the outcome, Council may consider an investigation closed if all avenues have been exhausted and no new information is provided.

In circumstances where internal processes are unable to resolve a complaint or satisfy the complainant, the complaint may be referred to an appropriate external agency for review. Such agencies may include:

• Independent Commission Against Corruption • NSW Office of Local Government • NSW Office of the Information Commissioner

• NSW Ombudsman

Alternatively, Council may seek to use alternative dispute resolution methods to resolve the complaint in circumstances where the Director and/or Public Officer deem such a course of action appropriate.1

4.5 Confidentiality - Council will ensure that confidentiality is maintained in regard

to complaints received. Personally identifiable information concerning a complainant will be used for the purposes of addressing and resolving the complaint only. The complainant’s name will not be released to the person who is the subject of the complaint without their consent and subject to privacy legislation and public interest principles of Government Information (Public Access) Act 2009. Council manages personal and private information collected by Council in accordance with Council’s Privacy Management Plan.

Staff receiving and recording complaints alleging corrupt conduct, pecuniary interest, maladministration or improper use of position must ensure that all allegations contained therein are not discussed other than with the Public Officer and/or General Manager.

Council will take all care that reporting of complaints about Council activities will not result in the complainant experiencing any form of victimisation or retribution as a result of the complaint.

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4.6 Options for Redress - here are a number of options for redress that the Council can consider in order to respond to a complainant who has been detrimentally affected by the actions of the Council. These options include:

a) apology; b) rectification; c) mitigation; and d) compensation.

Council is also responsible for contractors and where the contractor has inadequately redressed the complaint the Council remains accountable directly to the customer and should provide redress while seeking its own redress from the contractor, in accordance with the terms of the contract.

4.7 Complaints Involving Allegations of Corrupt Conduct, Maladministration,

and/or Serious and Substantial Waste of Public Money - all complaints alleging corrupt conduct, pecuniary interest, maladministration or improper use of position, including complaints made verbally or anonymously, will be referred immediately and directly to the Public Officer and/or General Manager. Such instances will be dealt with in accordance with Council’s Internal Reporting - Public Interest Disclosures Policy and the Public Interest Disclosures Act 1994.

Under Section 11 of the Independent Commission Against Corruption Act 1988, the General Manager must report to the Independent Commission Against

Corruption in circumstances where there is reasonable suspicion that corruption in any form has occurred within Council.

4.8 Complaints in Relation to Councillor and General Manager Conduct - all

complaints alleging misconduct in relation to a Councillor must be reported in writing to the General Manager.

The procedure for dealing with complaints against Councillors is detailed within Council’s Code of Conduct - Councillors and Staff. The General Manager is responsible for making enquiries, or causing enquiries to be made, into complaints alleging breach of the code of conduct regarding members or delegates of council and/or members of council committees (other than councillors), and will determine such matters. The complainant will be notified in writing of the outcome.

A complaint alleging misconduct by the General Manager must be reported in writing to the Mayor. The provisions contained in the Code of Conduct for Councillors and Staff will be applied to any subsequent investigation and findings. The complainant will be notified in writing of the outcome.

Privacy Complaints - complaints relating to privacy and breaches should be referred to the Public Officer and will be managed in accordance with the requirements of the Privacy and Personal Information Protection Act 1998 and

1 NSW Ombudsman - The Complaint Handler’s Toolkit - Public Sector Mediation

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4.9 Council’s Privacy Management Plan.

4.10 Complaints relating to Child Protection - complaints against staff working directly with children will be handled in accordance with Council’s Child Protection Policy and relevant legislation, specifically the Children and Young Persons (Care and Protection) Act 1998 and the Commission for Children and Young People Act 1998.

4.11 Competitive Neutrality Complaints - are complaints by an actual or potential

private sector competitor who believes that Council is operating with an unfair competitive advantage. Such complaints should be referred to the Public Officer and/or General Manager.

4.12 Complaints Alleging Criminal Activity - allegations of criminal activity will be

initially investigated by Council and where warranted will be referred to the NSW Police.

4.13 Unreasonable Conduct by Complainants - when complainants behave

unreasonably in their dealings with Council, their conduct can significantly affect Council. As a result, Council will take proactive and decisive action to manage any complainant conduct that negatively and unreasonably affects Council and will support Council staff to do the same in accordance with Council’s Managing Unreasonable Complainant Conduct Policy.

4.14 Reporting on Complaints and Compliments - on a twice yearly basis Directors

will provide reports a report will be provided to MANEX on complaints received and subsequent follow-up and departmental action. Reports will provide the following information on each complaint:

a) the issue at the centre of the complaint; b) the outcome of the investigations in each instance; c) action taken to address complainants’ issues; d) whether the complaint was justified; and e) recommendations or actions taken to improve service.

On a six monthly basis Following consideration by MANEX the Manager Governance and Committee Services will present a report to Council with details of complaints received and acted on by each Division for the proceeding two quarters and whether business improvements have been made as a result of complaints information.

On an annual basis the Public Officer will prepare a statistical summary of Code of Conduct complaints received for the statutory Annual Report.

4.15 Council does not regard the following as complaints:

• A request for service (service request) such as collection of garbage or

repairing a pothole. These should be lodged as requests for service. If Council fails to provide appropriate service/response, and the customer specifies that they would like to register a complaint about this, that is reason for a complaint;

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• A request for information or explanation; • A development application decision (except where the decision relates

specifically to the manner in which the decision has been administered, serviced or demonstrates errors);

• Dissatisfaction with an existing Council Policy will ordinarily be considered to be feedback, unless the customer states that they would like to register a complaint

• Appeals against any previous outcomes of complaints investigations or staff member’s decisions (except where the decision relates specifically to the manner in which the decision has been administered, serviced or demonstrates errors)

5. COMPLAINANT OBLIGATIONS

When communicating complaints with Council, we ask of our customers that as far as possible in the circumstances they:

a) focus their dissatisfaction on the conduct or performance of Council,

Councillors and/or staff rather than on personal criticism of Councillors and/or staff;

b) behave appropriately, avoiding the use of abusive language and/or threatening behaviour;

c) provide sufficient details to assist in resolving the complaint; d) provide Council with all relevant information in order that their opinion,

concern or complaint can be readily understood; and e) accept that Council operates under resource constraints, noting that the

allocation of resources is a matter for Council to determine.

For more information about a complainant’s rights and obligations refer to Appendix A: Individual Rights and Mutual Responsibilities of the parties to a complaint.

6. RESPONSIBILITY/ACCOUNTABILITY

6.1 All staff and councillors are required to comply with the provisions of this

Policy.

6.1.1 Any member of Council staff can receive a complaint and must follow this Policy to record and handle the complaint. If a Councillor receives a complaint, the Councillor should refer the matter directly to the General Manager, relevant Director or the Public Officer.

6.2 Managers and Directors are responsible for supporting staff to apply this Policy,

as well as related guidelines/procedures. Managers and Directors are also responsible for ensuring compliance with the procedures identified in this Policy, ensuring that all staff members are trained to deal with complaints handling in accordance with our duty of care and work health and safety responsibilities.

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6.3 All complaints received by councillors must be referred directly to the General Manager, the relevant Director and/or the Public Officer.

6.4 Managers and Directors are responsible for investigating complaints,

determining outcomes and an appropriate method(s) of redress.

6.5 Council’s Legal Officer Solicitor is responsible for organising legal advice as required under this Policy.

6.6 The responsible Director and/or Public Officer are responsible reviewing

complaints where the complainant is not satisfied with the initial outcome.

6.7 The (Internal) Complaints Review Panel may be convened to assist with the review of complaints where the complainant is not satisfied with the initial outcome.

6.8 Council’s Manager Governance and Committee Services is responsible for

presenting a report to Council with details of complaints received and acted on by each Division for the proceeding two quarters (as outlined in Section 4.14).

6.9 This Policy shall be reviewed every two years by Council’s Public Officer after

each Council election. 7. RELATED POLICIES/DOCUMENTS/LEGISLATION

All relevant council policies and procedures must be taken into consideration when considering or investigating a complaint under the complaints process.

The Policy should be read in conjunction with following Council policies and documents:

• Access to Council Documents Policy • Code of Conduct - Contractors, their Staff and Business Associates • Code of Conduct - Councillors and Staff • Conduct Review Committee Charter • Compliance and Enforcement Policy • Child Protection Policy • Customer Service Policy • Delegations of Authority • Disruptive and Abusive Customers Exclusion Policy • Enterprise Risk Management Policy • Internal Reporting - Public Interest Disclosures Policy • Managing Unreasonable Complaints Conduct Policy • Work Health and Safety Policy (staff policy) • Open Government Policy • Privacy Management Plan • Procurement Policy

The Policy should be read in conjunction with the following documents and legislation

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relating specifically to issues of complaint handling:

• AS/NZS 10002:2014 ‘Guidelines for complaint management in organisations’ - October 2014

• Children and Young Persons (Care and Protection) Act 1998 • Complaint Handler’s Toolkit - NSW Ombudsman, June 2004 • NSW Ombudsman Complaint management framework June 2015 • Commissioner for Children and Young People Act 1988 • Government Information (Public Access) Act 2009 • Independent Commission Against Corruption Act 1988 • Local Government Act 1993 - Sections 429A and 478 • Managing Unreasonable Complainant Conduct Practice Manual, NSW

Ombudsman, May 2012 • Practice Note No. 9 Complaints Management in Councils NSW, Division of

Local Government, July 2009 • Privacy and Personal Information Protection Act 1998 • Public Interest Disclosures Act 1994 • Work Health and Safety Act 2011

8. ADDITIONAL INFORMATION

Complaints about Council may also be lodged with:

External Agency Nature of Complaint NSW Office of Local Government Locked Bag 3015 NOWRA NSW 2541 Telephone 02 4428 4100 Facsimile 02 4428 4199 Email [email protected] Website www.dlg.nsw.gov.au

Matters concerning a serious breakdown in Council’s operations, if Council as a whole is not operating satisfactorily or the matter relates to pecuniary interest

Office of the NSW Ombudsman Level 24, 580 George Street SYDNEY NSW 2000 Telephone 02 9286 1000 or

Matters concerning maladministration or related to child abuse


http://www.dlg.nsw.gov.au/

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External Agency Nature of Complaint Toll free 1800 451 524 Facsimile 02 9283 2911 Email [email protected] Website www.nswombudsman.nsw.gov.au

The Independent Commission Against Corruption GPO Box 500 SYDNEY NSW 2001 Telephone 02 9318 5999 or Toll free 1800 463 909 Facsimile 02 9699 8067 Email [email protected] Website www.icac.nsw.gov.au

Matters concerning corrupt conduct, which is defined as dishonest or partial exercise of any official functions by a public official

The ICAC Act requires the General Manager to report suspected cases of corrupt conduct to ICAC

Office of the Information Commissioner NSW GPO Box 7011 SYDNEY NSW 2001 Telephone 1800 463 626 (free call) Facsimile 02 8114 3756 Email [email protected] Website www.oic.nsw.gov.au

Matters concerning the release of government information

Office of the Privacy Commissioner NSW GPO Box 7011 SYDNEY NSW 2001 Telephone 02 8019 1600 Facsimile 02 8114 3755 Email [email protected] Website www.ipc.nsw.gov.au

Breaches of the Privacy and Personal Information Act 1998

Version Date Approved Approved by Resolution No. Review Date 1 23 October 2006 Council 817 2008/09 2 16 February 2009 Council 61 2012/13 3 20 November 2010 Council 776 2012/13 4 13 August 2012 Council 470 2012/13 5 18 February 2013 Council 61 2016/17 6 25 June 2018 Council 214 2020/21


http://www.nswombudsman.nsw.gov.au/


http://www.icac.nsw.gov.au/


http://www.oic.nsw.gov.au/


http://www.ipc.nsw.gov.au/

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APPENDIX A: INDIVIDUAL RIGHTS AND MUTUAL RESPONSIBILITIES OF THE PARTIES TO A COMPLAINT

Note: The term ‘rights’ is used to demonstrate a guarantee of the standard of service and behaviour that all parties should meet if a complaints process is to be effective. It is not used to depict a legally enforceable entitlement - although some are.

In order for North Sydney Council to ensure that all complaints are dealt with fairly, efficiently and effectively and that work health and safety standards and duty of care obligations are adhered to, the following rights and responsibilities must be observed and respected by all of the parties to the complaint process.

1. Individual Rights

1.1 Complainants have the right:

• to make a complaint and to express their opinions in ways that are reasonable, lawful and appropriate;

• to a fair and impartial assessment and, where appropriate, investigation of their complaint based on the merits of the case;

• to a fair hearing; • to be informed in at least general terms about the actions taken and outcome of

their complaint; • to be given reasons that explain decisions affecting them; • to be treated with courtesy and respect; and • to communicate valid concerns and views without fear of reprisal or other

unreasonable response.

1.2 Staff have the right:

• to determine whether, and if so how, a complaint will be dealt with; • to finalise matters on the basis of outcomes they consider to be satisfactory in the

circumstances; • to expect honesty, cooperation and reasonable assistance from complainants; • to expect honesty, cooperation and reasonable assistance from organisations and

people within jurisdiction who are the subject of a complaint; • to be treated with courtesy and respect; • to a safe and healthy working environment; and • to modify, curtail or decline service (if appropriate) in response to unacceptable

behaviour by a complainant.

1.3 Subjects of a complaint have the right:

• to a fair and impartial assessment and, where appropriate, investigation of the allegations made against them;

• to be treated with courtesy and respect by staff of the North Sydney Council; • to be informed (at an appropriate time) about the substance of the allegations made

against them that are being investigated;

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• to be informed about the substance of any proposed adverse comment or decision; • to be given a reasonable opportunity to put their case during the course of any

investigation and before any final decision is made; and • to be told the outcome of any investigation into allegations about their conduct,

including the reasons for any decision or recommendation that may be detrimental to them.

2. Mutual responsibilities

2.1 Complainants are responsible for:

• clearly identifying to the best of their ability the issues of complaint, or asking for help from North Sydney Council to assist them in doing so;

• providing to the best of their ability the North Sydney Council with all the relevant information available to them at the time of making the complaint;

• being honest in all communications with the North Sydney Council; • informing North Sydney Council of any other action they have taken in relation to

their complaint; • cooperating with the staff who are assigned to assess/ investigate/resolve/determine

or otherwise deal with their complaint; and • treating staff of North Sydney Council with courtesy and respect.

If complainants do not meet their responsibilities, North Sydney Council may consider placing limitations or conditions on their ability to communicate with staff or access certain services.

North Sydney Council has a zero tolerance policy in relation to any harm, abuse or threats directed towards its staff. Any conduct of this kind may result in a refusal to take any further action on a complaint or to have further dealings with the complainant. In certain cases, legal action may also be considered.

2.2 Staff are responsible for:

• providing reasonable assistance to complainants who need help to make a complaint and, where appropriate, during the complaint process;

• dealing with all complaints, complainants and people or organisations the subject of complaint professionally, fairly and impartially;

• giving complainants or their advocates a reasonable opportunity to explain their complaint, subject to the circumstances of the case and the conduct of the complainant;

• giving people or organisations the subject of complaint a reasonable opportunity to put their case during the course of any investigation and before any final decision is made;

• informing people or organisations the subject of investigation, at an appropriate time, about the substance of the allegations made against them and the substance of any proposed adverse comment or decision that they may need to answer or address;

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• keeping complainants informed of the actions taken and the outcome of their complaints;

• giving complainants reasons that are clear and appropriate to their circumstances and adequately explaining the basis of any decisions that affect them;

• treating complainants and any people the subject of complaint with courtesy and respect at all times and in all circumstances;

• taking all reasonable and practical steps to ensure that complainants are not subjected to any detrimental action in reprisal for making their complaint; and

• giving adequate warning of the consequences of unacceptable behaviour.

If North Sydney Council fails to comply with these responsibilities, complainants may complain to the General Manager.

2.3 Subjects of a complaint are responsible for:

• cooperating with North Sydney Council staff who are assigned to handle the complaint, particularly where they are exercising a lawful power in relation to a person or body within their jurisdiction;

• providing all relevant information in their possession to North Sydney Council or its authorised staff when required to do so by a properly authorised direction or notice;

• being honest in all communications with North Sydney Council and its staff; • treating the staff of the North Sydney Council with courtesy and respect at all times

and in all circumstances; and • refraining from taking any detrimental action against the complainant in reprisal

for them making the complaint.

If subjects of a complaint fail to comply with these responsibilities, action may be taken under relevant laws and/or Codes of Conduct.

3. North Sydney Council is responsible for:

• having an appropriate and effective complaint handling system in place for receiving, assessing, handling, recording and reviewing complaints;

• ensuring that all complaints are dealt with professionally, fairly and impartially; • ensuring that staff treat all parties to a complaint with courtesy and respect; • ensuring that the assessment and any inquiry into the investigation of a complaint is

based on sound reasoning and logically probative information and evidence; • finalising complaints on the basis of outcomes that the organisation, or its responsible

staff, consider to be satisfactory in the circumstances; • implementing reasonable and appropriate policies/procedures/practices to ensure that

complainants are not subjected to any detrimental action in reprisal for making a complaint; and

• giving adequate consideration to any privacy implications that may arise in the handling of complaints and the conduct of investigations.

If the North Sydney Council fails to comply with these responsibilities, complainants may complain to the General Manager.