This document provides guidance on conducting complaint investigations and managing a complaint system. It discusses the key principles of an effective complaint management system, including visibility, accessibility, and continual improvement. It also outlines the steps to take in an investigation, such as preparing a complaint management plan, gathering evidence through interviews and documents, consulting parties to find a resolution, and ensuring decisions are upheld. Finally, it provides tips for interviewing parties as part of an investigation, emphasizing the need for impartiality, preparation, and managing expectations.

1. Page 1 of 4 © Jane Oliver 2009
Complaints Officer training
One Day Briefing
AUSTRALIAN
option A
Summary of the
Complaints
Management
System
Learning Activity
PROFESSIONAL DEVELOPMENT
Written by Jane Oliver
Footprint Directions
www.footprintdirections.com
2009
SAMPLE: 4 pages

2. Page 2 of 4 © Jane Oliver 2009
Complaint Management:
Ensuring procedural fairness
1. Overview of what forms a complaints system and why
2. Opening a Complaint Management (CM) Case
3. Preparing a CM Plan
4. Gathering Oral evidence as part of your Interview Plan
5. Gathering other evidence
6. Consulting all parties on methods of resolution
7. Deciding on whether you need specialist assistance
8. Agreeing the Decision (resolution)
9. Ensuring the decision and its recommendations are upheld
Complaints Management System:
Workplace Improvements
Across the world, workplaces are mirroring international bench-
marks of complaints management. Unlike customer complaints
systems, (eg. ISO10002) the customer is the internal client: your
personnel. This system is for continuous improvement within the
organisation’s internal functions. Staff dissatisfaction being resolved
to the benefit of all parties helps create a healthy workplace.
What guiding principles make for a great complaint management
system?
Australian Standards have defined these. Here are 10 principles:
1. Visibility
2. Accessibility
3. Responsiveness
4. Objectivity
5. Free
6. Confidential
7. People-focused (or customer-focused) approach
8. Accountable
9. Continual Improvement
10. Resolution-appropriate.

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WHAT TO EXPECT IN A PRIMARY COMPLAINT STATEMENT (PCS)
Follow policy on what you expect in the PCS. If it doesn’t meet the requirements, meet
briefly with the Complainant, not to hear content, but to
guide them on the core requirements:
1. The problem clearly defined. If
it’s not an unlawful behaviour
they’re unresolved about, then
ensure they explain in what ways
they believe the issue is unkind,
unjust or unfair. Make sure they are
familiar with your organisation’s
Code of Conduct.
Unlawful behaviour includes (but
is not limited to):
! harassment or bullying,
! theft,
! fraud,
! discrimination in certain circumstances
! malicious damage,
! copyright infringements,
! assault, (including verbal, physical, sexual)
! various unsafe OH&S breaches, etc..
Review the Bullying & Harassment policy of your organisation for a description
of what is considered covert bullying or intimidation. It may be a commonplace
practice to treat new staff members comparatively harshly in order to determine
their suitability for high-risk, demanding job placements or stressful case
management with clients so this may be a part of the job that candidates have
to accept or at least take into account.
Other issues (often called NATURAL JUSTICE COMPLAINTS) may be “being
unfairly overlooked for a promotion” or “treated with disrespect and hostility by
my supervisor” or “denied opportunity for work advancement”, and “taking my
ideas without acknowledging my contribution”.
2. The evidence or examples to support the claim. Specific details are required.
3. Suggestions for resolution. Make sure they realise that just because they suggest
a solution doesn’t mean that you will necessarily take up their advice. Few
complainants recommend their dismissal, but this is a disciplinary action you
are entitled to recommend.
Follow the questions on the Primary Complaints Statement form and the Response to a
Complaint (for the accused or Respondent).

4. Gathering Oral Evidence
Page 4 of 4 © Jane Oliver 2009
Gathering oral evidence:
THE ART OF INTERVIEWING
The interview process is usually something that
impacts people in different ways and in varying
degrees of intensity for many reasons. The most
important thing to remember is that you are
collecting evidence from people who may recall
the same incident quite differently from other
people.
Importantly: diverse responses do not invalidate the various oral evidence, or each
individual’s experience.
It is the Complaints Officer’s job to determine the probability of truth and resilient
evidence, and to sort the difference from what they know from what they don’t know.
• One of the main aims of an investigator obtaining oral evidence is to minimise the
possibility of people subsequently denying, changing or contradicting the
information they have given.
• Therefore, apply some basic rules in all interviews:
1. Ensure preparation. Be properly prepared for the interview and assume that you
will meet with and interview all parties more than once.
2. Be impartial. As with every other facet of the investigation, be – and be seen to
be – impartial, unbiased, not politically aligned, open-minded. (The last page of
this document discusses impartiality.)
3. Clarify purpose. Thirdly, as the outset of every interview it is important that you
clearly inform the interviewee of the reason for the interview, although it is not
necessary to mention all the factors relevant to the subject under discussion at
this stage.
4. Manage expectations. Fourthly, avoid making any statements that cause a
witness to believe that he/she will obtain any privilege, concession or immunity
from official action (eg. deals involving avoiding disciplinary action)
Within these bounds, an investigator has a fair degree of flexibility in the conduct of an
interview. Keep in mind that anyone you interview can appeal the outcome you
determine if they believe you did not conduct the Investigation professionally.
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