Complaints: Good Practice Guide for

Public Sector Agencies

September 2016

ponding, learning and im

, res prov
ling ing
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e
If you have any questions about this guide, please contact:

Victorian Ombudsman
Level 2, 570 Bourke Street
Melbourne VIC 3000

Phone 03 9613 6222 or 1800 806 314 (Regional)

Fax 03 9602 4761
Email ombudvic@ombudsman.vic.gov.au
Contents
Introduction 2
1. Enabling complaints 4
2. Responding to complaints 8
3. Learning and improving from complaints 20
References 23
Appendix 1 – model policy template 24
Appendix 2 – complaint handling
organisations 31
Appendix 3 – complaint handling flowchart 33
Appendix 4 – acknowledgment letter
example 34
Appendix 5 – outcome letter example 35

1
 Introduction
Poorly handled complaints have the opposite
This guide aims to help you and your effect. They can:
agency handle complaints well. • damage relationships with the public
It outlines the guiding principles and • damage your agency’s reputation
practical steps involved in the three key
stages of good complaint handling shown • escalate and draw in managers, ministers
below. or independent complaint bodies, or
generate costly legal disputes
You can use the advice in this guide to
create or review the complaint handling • compromise your agency’s integrity
system at your agency, and to help you • lead to missed opportunities to improve
respond to individual complaints. performance.
The Victorian Ombudsman has over 40 years’
If you are working in the public sector today, experience dealing with complaints about state
you will probably need to deal with complaints government agencies and local councils. In
at some point. many cases the people who approach our office
are upset, not just about the agency’s decision
Members of the public rightly expect high or actions, but with the agency’s response to
quality, timely services from government and their complaint. Common issues include failure
decisions that are transparent and fair. to respond to complaints at all, delays and poor
Handling complaints is part of core business communication.
and good service delivery. The challenge for This guide aims to share that experience to
public sector agencies is to do it well. improve complaint handling across the public
Well-handled complaints offer real benefits. sector.
They can: It reflects the revised Australian and New
• restore trust with members of the public Zealand standard for complaint handling,
when things have gone wrong Victoria’s public sector values and the Charter
of Human Rights and Responsibilities Act 2006.
• lead to better services and outcomes for You will find references to these and other
individuals resources to help you manage complaints on
• identify ways to improve services for the page 23 of this guide.
public.
Complaints are free feedback about what
people think of your agency’s services and
decisions. They can highlight the need for
changes to your practices, or the need to
explain them to members of the public in a
different way.

Enabling Responding Learning and

Making it easy to Taking action improving
complain to resolve the Analysing complaint
complaint data to improve
services

2 www.ombudsman.vic.gov.au
The terms used in this guide
This guide uses the terms ‘complaint’,
‘complainant’ and ‘complaint handling system’
to describe the work of handling complaints.
The Victorian Ombudsman’s preferred definition
of a complaint is as follows:

A complaint is an expression of
dissatisfaction with:
• the quality of an action taken, decision
made or service provided by an
agency or its contractor
• a delay or failure in providing a
service, taking an action, or making
a decision by an agency or its
contractor.

The term ‘complainant’ is used to refer to a

person, organisation or representative who
makes a complaint.
The term ‘complaint handling system’ refers
to all policies, procedures, practices, officers
and resources an agency deploys to manage
complaints.

introduction 3
 1. Enabling complaints
Guiding principles – Good complaint 1.1. Develop and implement a policy
handling systems enable complaints by:
A complaint handling policy demonstrates
• demonstrating a commitment to that your agency is committed to dealing with
complaint handling complaints.
• providing visible and transparent A policy lays the foundation for good complaint
information about how and where handling by giving your officers information
to complain about how to respond to complaints well. It also
• being accessible and free to everyone ensures all officers apply the same standards,
regardless of where they work in your agency.
• ensuring there is no detriment to
people who complain. Good complaint handling policies cover:
• how, where and to whom complaints can
be made
This section outlines the practical steps that
your agency can take to enable complaints. • how the complaint will be handled and
the steps involved
In our experience, agencies with the best
complaint handling practices actively • the mechanisms for review if the
encourage and welcome feedback about their complainant is dissatisfied with the
performance. outcome

While none of us like to get negative feedback • key performance indicators, such as
about our work, these agencies recognise that response times
enabling complaints: • external bodies that may provide
• gives them a chance to resolve problems assistance or review matters if the
first, before they are escalated to complainant remains dissatisfied e.g. the
ministers or other bodies Victorian Ombudsman.

• generates information they can use to You can find an example policy at Appendix 1 on
improve their services page 24. It can be adapted to suit your agency
including:
• promotes the public sector values of
integrity and accountability. • statutory or regulatory requirements

The steps in this section are the minimum • the value you seek to derive from
standards the Victorian Ombudsman looks for complaints to improve your operations
when a person approaches us about the way an • your financial, operational and other
agency dealt with their complaint. organisational requirements
• the number and demographics of the
people using your services
• the nature and breadth of your
interactions with the public
• the number and types of complaints you
receive
• input from your officers and other
interested parties.

4 www.ombudsman.vic.gov.au
1.2 Foster a receptive culture Your organisation also needs a range of
specialist skills and personal qualities in its
Agencies that are committed to complaint
complaint handling officers. They include
handling also take the time to build a culture
empathy, patience, resilience, problem solving,
that is open and receptive to feedback.
communication, investigation skills, the ability
Members of the public want to be listened to to remain impartial, knowledge of your agency’s
and treated with respect when they have a people and work, and the ability to work with
problem. They are unlikely to feel confident vulnerable communities.
about approaching your agency if they get
Complaint handling can be difficult and stressful
a defensive or unhelpful response when they
at times and these officers need support to
contact your officers.
maintain a healthy, positive attitude. This can
Leaders and managers in agencies can set the take the form of access to debriefing or support
tone by: networks.
• ensuring the agency has a complaint
handling policy
Tip: Training for complaint handlers
• appointing officers skilled in customer
service and complaint handling Complaint handlers can benefit from
training in these areas:
• empowering officers to resolve
complaints by delegating appropriate • case and time management
authority • communication and rapport building
• providing adequate resources for officers, • problem solving
such as training and support
• investigating complaints
• seeking regular reports about how the
complaint handling system is working. • understanding the Charter of Human
Rights and Responsibilities Act 2006
Skilled, knowledgeable officers are the most
valuable resource in any complaint handling • conflict of interest
system. • exercising discretion
All officers in your agency need at least to be • managing unreasonable complainant
aware of your policy and what to do if someone conduct
approaches them with a complaint. Induction
and regular training is a good way to achieve • writing in plain English
this. • stress management.

enabling complaints 5
 1.3 Publicise how to complain
Case study: A receptive culture?
In order to complain, people need to know how
In 2015 two Victorian newspapers ran to contact you. This can be achieved by:
stories about a departmental manager’s
• publishing your complaint handling policy
response to a complaint.
online and making it available in hard
The complainant had reportedly emailed copy upon request
the department criticising some planned
• providing information about your
action.
complaint handling system in any service
The manager’s comments, intended for a delivery statements
colleague, reportedly described the email
• ensuring your website search tool
as ‘rubbish’ and said ‘I presume you will not
retrieves your policy and related
respond back as this is a direct attack on
information when a person types the
our organisation and our staff. Delete it or
words ‘complain’ or ‘complaint’
file it.’
• including a prominent link on your home
Instead of sending the comments to his
page
colleague, the manager accidentally sent
them to the complainant. • including information about your
complaint process in welcome packs or
The newspapers quoted a departmental
induction materials for your clients or
spokesperson as saying that the manager
customers.
had apologised, and the agency ‘values
its relationship with the community and
considers seriously the feedback it receives’.
Source: The Age; Herald Sun

6 www.ombudsman.vic.gov.au
1.4 Make your complaint handling 1.5 Ensure there is no detriment for
system free and accessible making a complaint
Not everyone can make a written complaint or People sometimes tell our officers that they
call your agency in business hours. We live in a have not complained to an agency direct
diverse community where people have different because they fear reprisal. This can be a
communication preferences and needs. Barriers particular problem where people depend on the
such as language, disability, homelessness or agency for their daily living needs.
shift work can inhibit access to your agency.
You can make it clear in your complaint
You can make your complaint handling system handling policy and public information that you
accessible by: do not tolerate reprisals against complainants.
This can also be reinforced in training for
• accepting complaints by telephone, letter,
officers.
email, online and in person
Any evidence that a person has experienced
• offering free access to a translation and
detriment needs to be dealt with promptly.
interpreter service
• using the national relay service to
communicate with people with hearing or
Tip: Anonymous complaints
speech impairments
Members of the public sometimes seek to
• providing information in accessible
lodge complaints anonymously, or ask you
formats. You can find information about
not to disclose their identity.
accessibility in the Victorian Government
Accessible Communication Guidelines People can have valid reasons for not
referenced on page 23 of this guide. wanting to disclose their identity. The
Victorian Ombudsman accepts these
• providing support to members of the
complaints and deals with them on their
public to make a complaint if needed
merits.
• accepting complaints from authorised
We recognise that in some cases it is
representatives if a person is unable or
not practical to investigate a complaint
does not want to complain themselves.
if you cannot contact the complainant
Sophisticated complaint handling systems also for further information or disclose their
recognise that accessibility is about more than identity. You can warn people about this
means of communication. Some parts of the in information about your complaint
community may be less likely to complain for handling system so members of the public
cultural or other reasons. You can identify this can consider their options.
by comparing the demographics of the people
who use your services, and the demographics
of those who complain, to see whether some
groups are under-represented. Options include
engaging with stakeholder and advocacy
groups and outreach activities in under-
represented communities.

enabling complaints 7
 2. Responding to complaints
Guiding principles – Good complaint It is good practice to acknowledge complaints
handling systems respond to complaints by: within 10 business days, unless the complaint
is urgent and needs a faster response. You can
• acknowledging and dealing with
find an example acknowledgement letter at
complaints in a timely way
Appendix 4 on page 34.
• providing transparent information
about how complaints are handled 2.2 Make an initial assessment
• protecting the privacy of information Not all complaints require the same level of
as far as possible investigation or priority. It helps to ‘triage’
• treating everyone involved in a way complaints at an early stage to determine their
that is objective, respectful and fair priority, and how and who should respond.

• considering and respecting human rights Factors to consider include:

• promoting accountability for decisions. • the seriousness of the issues raised

• the complexity of the complaint

The responsibilities of the Victorian public • any need for urgent action, for example
sector are diverse and there is no ‘one size fits where there are health or safety concerns
all’ response to complaints. for any person

There are some practices, however, that are • whether the complaint raises systemic
common to good complaint handling in every issues, and the impact on the person and
organisation. This section outlines these broader community
practices and how you can incorporate them in • the potential for the complaint to escalate
your work.
• whether the complaint is about an
officer/s, and needs to be handled by an
2.1 Acknowledge complaints quickly
independent, impartial person
Every year the Victorian Ombudsman receives
• whether the complaint involves other
hundreds of complaints about delays in
agencies
complaint handling by agencies. It was the
fourth most common complaint to our office in • whether the complaint is subject to
2014-15. special statutory requirements e.g. a
protected disclosure under the Protected
These types of complaints can be avoided if
Disclosure Act 2012.
you acknowledge and respond to complaints
promptly. As part of your assessment, you may need to
speak to the complainant to clarify the details
The Victorian Ombudsman expects public
of the complaint and the outcome they are
sector agencies to respond to all complaints
seeking.
unless:
If a complaint falls outside your agency’s
• the complainant is not seeking a response
responsibilities, it is helpful to inform the
• you have previously told the complainant complainant as soon as possible and refer them
that you may not respond (the section to other agencies that may be able to assist.
on ‘Managing unreasonable complaint You will find a list of key complaint handling
conduct’ on page 18 discusses when this organisations at Appendix 2 on page 31.
might be appropriate).

8 www.ombudsman.vic.gov.au
Tip: Is it a protected disclosure? Tip: Disputes about responsibility
Most agencies have a Protected Disclosure In some cases there may be confusion or a
Coordinator who is nominated to: dispute about which agency is responsible
for a complaint.
• receive potential protected disclosures
The Victorian Ombudsman is sometimes
• ensure the welfare of disclosers
contacted by members of the public
• work to make sure agency officers who have been referred back and forth
are aware of the protected disclosure between two agencies, both of which
legislation. claim the other agency is responsible.
A disclosure can be a report about: It is understandably frustrating for
complainants to be caught in the middle
• the improper conduct of a public body of these disputes.
or public officer
It is better practice for the agencies
• detrimental action taken by a public to reach agreement between
body or public officer against a person themselves, rather than leaving it to the
in reprisal for them (or another person) complainant to resolve. You may need
making a protected disclosure, or the complainant’s permission to share
cooperating with the investigation of their personal information with the
a protected disclosure. other agency prior to discussing their
If you believe the conduct contained complaint.
in a complaint could be a protected
disclosure, you must refer the complainant
to your agency’s Protected Disclosure
Coordinator without delay. If your agency
does not have a Coordinator, you can refer
the complainant to the Independent
Broad-based Anti-corruption Commission
(IBAC).
You can find more information about
protected disclosures at <www.ibac.vic.gov.au>.

responding to complaints 9
 2.3 Adopt a tiered approach
Case study: Who is responsible?
The most effective and efficient complaint
A local resident complained to his council handling systems use a tiered approach:
that surface water was not draining
from a reserve behind his property
causing damage to his garage. The local Frontline complaint resolution
council advised the complainant that the
matter was the responsibility of another
government agency. The other government
agency told the complainant it was the Investigation if required
responsibility of the council.
The Victorian Ombudsman investigated
the complaint to establish which agency
was responsible for maintaining the reserve Internal review
and the drain located on it. All parties
met onsite and agreed to engage an
independent surveyor to establish the cause
of the damage. Access to external review
In this case, it would have been preferable
for the council and agency to engage with
each other to reach an agreement about Frontline complaint resolution by the officer
how the complaint would be handled. Had or area delivering the service is usually the
they done so, the complaint could have quickest and most effective way to resolve the
been resolved without escalation to the majority of complaints.
Ombudsman. You can encourage and empower frontline
Source: Victorian Ombudsman officers to resolve complaints through your
agency’s complaint handling policy, and by
investing in training and resources for officers.

10 www.ombudsman.vic.gov.au
There will be some complaints that need to
be escalated for investigation. Your agency’s Tip: Managing expectations
complaint handling policy can spell out when
Dissatisfaction with complaint handling
complaints should be escalated. This might
often stems from differing expectations
include where:
about how a complaint will be handled or
• the complaint cannot be resolved by the likely outcome. When you first contact
frontline officers the complainant, it is useful to:
• the complaint is complex and requires • ask the complainant what they want
detailed consideration to achieve
• the complaint is about an officer and • assess whether their expectations are
needs to be handled independently. reasonable and achievable
If the complainant is dissatisfied with the • explain what your agency can and
outcome of this process, the matter can be cannot do, or will and will not do
escalated further, either within the agency or to
• identify any issues over which your
an external body.
agency has limited control, such as
The flowchart at Appendix 3 on page 33 shows statutory requirements or budget
how this approach can work in practice. constraints
• if you cannot meet the complainant’s
2.4 Explain your process
expectations, try to shape realistic
It is good practice to explain your complaint ones by explaining what you can do
handling process to complainants at the start so and providing alternative avenues.
they know:
• who is handling their complaint and how
If you are unable to meet your agency’s
to contact them
standards for any reason, speak to the
• how the complaint will be dealt with complainant and explain the reasons.
Complainants are less likely to contact a body
• what issues you are considering
like the Victorian Ombudsman if you keep them
• their likely involvement in the process informed about what is happening with their
• when they can expect a response complaint.

• the possible or likely outcomes.

This promotes transparency and ensures the
complainant knows what to expect.
In some cases it can help to confirm your advice
in writing, for example where the complainant’s
expectations are unrealistic.

responding to complaints 11
 2.5 Address complaints promptly 2.7 Treat everyone fairly and
In our experience, complaints get harder to respectfully
manage the longer they stay open. Complainants For many complainants, being treated fairly
can become frustrated with delays. Their during the complaint handling process is just
expectations of a significant outcome sometimes as important as the outcome. This guide has
increase, or they can start to raise new issues. already discussed some of the ways you can
The Victorian Ombudsman expects agencies to demonstrate fairness, including protecting
respond to straightforward complaints within complainants from detriment, being transparent
28 days. about your processes, and protecting privacy.

If this is not possible because the complaint is You can also promote fairness by:
complex or needs more detailed investigation, • giving the complainant sufficient
give the complainant an expected timeframe opportunity to present their position.
and update them on progress regularly. Checking information and asking
It is advisable to review complaints that questions shows that you are listening.
are older than 28 days and escalate them if • dealing with any conflicts of interest e.g.
necessary to expedite a resolution. if the complaint is about a particular
If the complainant does raise new issues, they officer, ensuring the complaint is handled
need to be assessed on their merits. You may by someone independent
need to treat them as a new complaint to avoid • if possible, putting your agency’s decision
delaying your process. or actions on hold until the complaint is
finalised.
2.6 Protect privacy
Complaints usually involve personal information Tip: ‘Foreshadowing’ outcomes
about:
Complainants often appreciate an
• the complainant opportunity to discuss or comment on your
preliminary findings before you finalise
• the officers who are the subject of the
their complaint.
complaint, if any
This promotes fairness by giving them
• in some cases, third parties.
another opportunity to be heard. It can
This information needs to be managed in also lead to better outcomes:
accordance with relevant privacy laws.
• The complainant may have extra
As a general rule, the Victorian Ombudsman information or evidence that you have
would expect agencies to: not considered previously.
• only use information to deal with the • It can be easy to misunderstand or
complaint, or to address any systemic overlook parts of complex complaints,
issues arising from the complaint and the complainant may be able to
• only share personal information with clarify the issues.
officers on a ‘need to know’ basis • The complainant may dispute some
• if information about complaints is of your facts and findings. If you
released to the public, de-identify the can address areas of disagreement
information before publication. before you finalise the complaint,
the complainant may be less likely to
escalate the matter.

12 www.ombudsman.vic.gov.au
Your officers are also entitled to be treated It is unlawful under the Charter for a public
respectfully if someone complains about them. authority to fail to consider relevant human
Subject to any legislative restrictions like those rights when making a decision. Any limitation
in the Protected Disclosure Act 2012, officers placed upon a person’s human rights has to be
are entitled to be: in accordance with the law.
• informed of complaints about them You can find more information about the
Charter at <www.humanrightscommission.vic.
• given an opportunity to be heard
gov.au>.
• kept informed of progress and the final
Your handling of a complaint is more likely
result.
to withstand scrutiny if you ask yourself the
The focus of the complaint handling process following questions:
should be about resolving the problem, not
• Does the outcome meet the minimum
assigning blame. Any disciplinary processes
standards in your laws and policies?
should be separate from the complaint handling
process. • Have you considered any discretion
available to you under laws or policies in
2.8 Consider fairness and human arriving at the outcome?
rights • Is the outcome fair and reasonable?
When the Victorian Ombudsman looks at
• Have you and your agency considered
complaints about public sector agencies, we do
and acted compatibly with the Charter?
not just look at whether the agency’s processes
and decisions comply with its laws and policies. You may also be asked to demonstrate that you
We also consider whether the agency’s actions thought about:
are fair and whether they comply with Victoria’s • Are any human rights raised by the
Charter of Human Rights and Responsibilities decision or action?
Act 2006.
• Did the decision or action limit these
The Charter is a law that requires public human rights?
authorities in Victoria (including private
companies performing functions on behalf of • Were the limitations reasonable?
government) to act compatibly with 20 human
rights when delivering services or making
decisions.

responding to complaints 13
 The following case studies illustrate the
importance of considering fairness and the Case study: Considering fairness
Charter.
A homeless person with a learning disability
had driven a friend, who also had a
Case study: Considering fairness disability, to a conference at a local church.
He parked in a designated disabled parking
A 22-year-old migrant to Australia bay, displaying a valid permit.
required urgent medical treatment and
was transported to hospital by ambulance. The driver knew he needed to move the car
As he did not have a Centrelink or similar after two hours, which he did. However, a
concession, he was charged a fee of $924 for trailer was blocking the only other disabled
this trip. parking bay. He had to stay with his friend
at the conference, so he parked in a permit
His employment ceased shortly after and zone.
he requested that the fee be waived on the
basis of financial difficulties. The agency While parked in the permit zone, he
refused to waive the fee on the basis that received an $87 parking fine. He asked the
he was not a concession or health care card agency twice for an internal review of the
holder at the relevant time. He had been matter. The agency declined both times
granted Centrelink assistance one week because a disabled parking permit did not
after the invoice for the ambulance service allow a person to park in a permit zone.
was issued. The agency said it was acting within the
Although the agency had acted in law.
accordance with its policy for waiving fees, Normally, this matter would proceed to
the Victorian Ombudsman considered it had court, but in this instance, we contacted
not exercised its discretion in the spirit of the agency because it wasn’t reasonable to
the policy to assist those in financial need. expect this person to take legal proceedings
Following enquiries, the agency agreed to when he was homeless and had a learning
waive the fee. disability.
Source: Victorian Ombudsman The council in question had acted within
its powers: technically, the car was parked
illegally.
We asked the council to reconsider its
position on the fine in light of the driver’s
circumstances, and it agreed to do so.
Source: Victorian Ombudsman

14 www.ombudsman.vic.gov.au
2.9 Provide clear reasons
Tip: Template letters
Providing clear reasons for decisions displays
fairness, transparency and accountability. It Public sector agencies often use template
helps the complainant understand why you letters to respond to common issues.
made your decision, whether or not you upheld While these letters can save time and
their complaint. resources, they are also the source of
many complaints to the Victorian
When we make enquiries with agencies about
Ombudsman. Template letters that are
complaints, we often find they provide us with
not customised to the complainant’s
convincing explanations for their actions. If this
specific concerns and circumstances:
information had been communicated to the
complainant, they might not have escalated the • may not actually explain the reasons
complaint to us. for your decision

As a general rule, the Victorian Ombudsman • can exacerbate the complainant’s

expects public sector agencies to provide an sense of grievance by creating the
outcome letter for all complaints where an impression that you have not listened
investigation has been undertaken. to their concerns.

Good outcome letters: If your agency uses template letters,

it is good practice to tailor them to each
• briefly describe the complaint and identify
complaint.
the issues
• use plain English and avoid bureaucratic
language, acronyms and jargon
• explain the steps you took to investigate
or resolve the complaint
• set out any relevant laws or policies in
simple language
• clearly identify the outcome and, if you
have substantiated the complaint, the
remedies you are offering
• provide reasons for your decision
• give the name and telephone number of
an officer the complainant can contact to
discuss the outcome
• advise the complainant of the Victorian
Ombudsman and any other relevant
review rights
• are translated into a language other than
English where appropriate.
You can find an example of a letter that takes
this approach at Appendix 5 on page 35.

responding to complaints 15
 2.10 Find a solution
Case study: better communication
To be accountable, public sector agencies need
A complainant alleged that a government to be prepared to admit mistakes and correct
agency failed to investigate his concerns them.
about occupational health and safety in a
It is appropriate to offer a remedy if your
theatre he had recently performed in.
agency’s decision, or the process leading up
The Victorian Ombudsman made enquiries to the decision, was unfair or could have been
with the agency. It provided evidence to communicated better.
show that it had investigated the concerns,
Options for redress include:
including conducting an inspection on the
same day it received the complaint. It had • acknowledging and apologising for the
formed a view that remedial action was not error
required.
• providing a better explanation for your
We advised the complainant that on the agency’s decision or actions
basis of this evidence, we were satisfied
• explaining why the error occurred and the
that the agency had taken appropriate
steps your agency is taking to prevent it
action in response to his complaint.
happening again
If the agency had communicated better
• reversing your agency’s decision
with the complainant about its investigation
and outcomes, he may not have felt the • an ex gratia payment or compensation
need to escalate his complaint to us. • disciplinary action against an officer
Source: Victorian Ombudsman • other means of redress sought by the
complainant.
The remedy should be fair and practical and
proportionate to the seriousness of the issue.

16 www.ombudsman.vic.gov.au
 2.11 Explain options for review
Case study: a fair remedy
As complaint handlers, we are also accountable
An agency had deducted a payment plan for our decisions and should submit ourselves
instalment from a complainant’s bank to appropriate scrutiny.
account twice. It acknowledged the
Good complaint handling systems allow
mistake but told her it wouldn’t process
complainants to request an internal review
the refund until it had a number of similar
of the complaint outcome. Your complaint
requests, so its finance department could
handling policy can document the process.
process them all at once.
At the Victorian Ombudsman, we ask
The complainant told the Victorian complainants to:
Ombudsman she was a single mother on
• submit the request within 60 days of
a pension and now had only $14 left in her
being informed of the final outcome
bank account.
• explain why they believe we have made
We made enquiries and the agency agreed
an error, and include any supporting
to issue a cheque that day and speak to its
evidence.
bank to speed up the cheque’s clearance.
Reviews are conducted by senior experienced
Source: Victorian Ombudsman
officers who have not been involved in the
matter previously. This ensures the process is as
independent as possible.
In appropriate cases, you might also consider
using alternative dispute resolution, such as
mediation, to try to resolve the complaint.
The Victorian Ombudsman expects agencies to
inform complainants of any external avenues of
complaint or appeal if they remain dissatisfied
with the outcome. These include:
• the Victorian Ombudsman
• specialist complaint bodies e.g. the
Victorian Equal Opportunity and Human
Rights Commission if the complaint
concerns discrimination, or the Health
Services Commissioner if the complaint is
about a health provider
• statutory rights of appeal such as
merits review at the Victorian Civil and
Administrative Tribunal.
You can also include information about internal
and external avenues for review in information
about your complaint handling system.

responding to complaints 17
 The manual lists strategies for managing these
Tip: Referring complainants to the situations. They aim to manage the impact
Victorian Ombudsman of the conduct, while recognising that the
complainant may still have a valid grievance
We recommend the following text if
that needs to be addressed.
you are referring a complainant to the
Victorian Ombudsman: We recommend that agencies:
If you are unhappy with the outcome of • address how they manage unreasonable
this process, you may wish to complain complainant conduct in their complaint
to the Victorian Ombudsman by handling policy
completing the online complaint form
• train officers on how to deal with
at <www.ombudsman.vic.gov.au> or by
unreasonable complainant conduct
calling (03) 9613 6222 or 1800 806 314
in regional areas. • support officers where the conduct is
affecting their wellbeing.

2.12 Manage ‘unreasonable Tip: How to avoid escalating conflict

complainant conduct’
Dealing with people who are angry
People can be angry and frustrated when they and frustrated can be challenging for
make a complaint, sometimes for good reasons. complaint handlers. In these situations,
One of the skills involved in complaint handling it can help to:
is dealing with these emotions, while also • focus on the issue and not the person
maintaining a reasoned, evidence-based
approach to the complaint. • ask questions about the facts to move
the complainant from a ‘feeling state’
In a small number of cases the complainant’s to a ‘thinking state’
conduct can, because of its nature or frequency,
raise health or safety issues for officers, • find something to agree with,
or consume a disproportionate amount of without necessarily agreeing with the
your agency’s resources to the detriment complainant’s point of view e.g.
of other complainants. Ombudsman offices ‘I agree that $2000 is a lot of money
have published a manual about this type of to lose’.
‘unreasonable complainant conduct’ that may • when in doubt, ask questions to clarify
assist your officers. your understanding e.g. ‘From what
The Victorian Ombudsman does not expect you tell me it seems … is this correct?’
our officers, or officers in other public agencies, • not defend, deny or argue. Set aside
to tolerate behaviour that is offensive, abusive, your own personal views and feelings.
threatening or consumes disproportionate
resources.

18 www.ombudsman.vic.gov.au
 2.13 Complaints about contractors
Tip: Limiting contact
Your agency is ultimately responsible for all
When other strategies for managing complaints about your services, irrespective of
unreasonable complainant conduct have whether those services are delivered by you or
failed, agencies may consider limiting the a third party contractor.
complainant’s contact with the agency.
You can set out how you manage complaints
Options include limiting:
about contractors in your complaint handling
• who the complainant can contact policy.
• what issues you will respond to. For Some agencies, particularly in the community
example, you might decline to respond services sector, are required by legislation to
further to a specific complaint unless oversee third party service providers.
the complainant raises new issues that
In other cases, it is still good practice to monitor
warrant investigation.
the way contractors deal with complaints and
• when a complainant can contact you have clear oversight of their complaint handling
• where a complainant can have contact process. This includes:

• how a complainant can contact you. • reviewing and approving the contractor’s
complaint handling process. Ideally, it
Before limiting contact, we would expect should be consistent with your own policy.
agencies to:
• ensuring you audit the contractor’s
• consider the Charter of Human Rights complaint handling
and Responsibilities Act 2006 and any
other legal obligations1 • requiring the contractor to collect
complaint data, which your agency can
• ensure the limits are proportionate to access, monitor and report on as part of
the problem. Generally, the decision not your own complaint handling system
to respond to further contact should be
specific to a particular matter, not a • ensuring any systemic issues regarding
total ban on all correspondence. the contractor’s performance are
identified and promptly addressed
• make any decision to cease responding
at a senior level • requiring the contractor to inform
complainants that your agency can review
• inform the complainant and provide their complaint if they remain dissatisfied.
reasons The contractor should provide information
• review any limits on contact at least about where and how to complain to your
every 12 months to consider whether it agency.
is appropriate to retain the restriction.

1 In Slattery v Manningham City Council [2013] VCAT 1869, the

Victorian Civil and Administrative Tribunal found that a declaration
banning a person from any building owned, occupied or managed
by a council discriminated against the person on the grounds of
disability and breached his human rights under the Charter.

responding to complaints 19
 3. Learning and improving from
complaints
Guiding principles – Good complaint The Victorian Ombudsman encourages
handling systems use complaint information agencies to record as many complaints
to: as possible. Our preferred definition of a
complaint, which is set out on page 3, covers
• foster continuous improvement
any expression of dissatisfaction, regardless of
• ensure accountability in complaint how or to whom it is made.
handling performance.
The more complaints you capture, the more
representative your data will be, and the more
Your agency will get the most value from information you will have about what people
complaint handling when you use information think about your services.
from complaints to improve services for the
community as a whole.
Tip: What to record
Complaints are a form of feedback about your
It is good practice to record the following
agency’s decisions and services, just like client
information for every complaint:
and community surveys or evaluation reports.
By linking your agency’s complaint handling • the complainant’s personal details
system with quality management processes, • how the complaint was received
you can promote accountability and identify
where you need to make changes. • when the complaint was received

This section looks at the practical steps • a description of the complaint

involved. • the complainant’s desired outcome

3.1 Record complaints • the officer responsible for handling the

complaint
Unless you have an effective system for
recording complaints, it will be difficult to • any action taken, including contact
harness complaint information to improve your with the complainant, the outcome
services. of the complaint and any remedies

A central database is the best way for officers • when the complaint was finalised
to record and track complaints, regardless of • any recommendations for improvement
where they work in your agency. arising from the complaint, and who
The database can suit your agency’s size and is responsible for implementing the
resources and the number of complaints you recommendations
receive. Smaller agencies that receive few • relevant demographic information that
complaints might use a spreadsheet. Larger could help your agency improve its
agencies that receive many complaints may service.
need specialised case management software,
or to integrate complaint handling into existing
customer service systems.
Your officers will need to know when and how
to record complaints so there is consistent
practice across your agency.

20 www.ombudsman.vic.gov.au
3.2 Analyse complaints regularly
Tip: KPIs for complaint handling
Analysing complaint information regularly will
help you identify areas where your agency’s This guide shows that a well-handled
services may need to improve. complaint is made up of many elements.
Your key performance indicators could
It is useful to consider:
measure:
• the number of complaints and any trends
• complaint outcomes e.g. decisions
over time
upheld, partially upheld or not upheld
• the types of issues or services involved
• time taken to resolve matters
• the outcomes of the complaints
• any service changes resulting from
• the demographics of complainants. complaints
It is good practice to provide quarterly reports • the number of complaint outcomes
to senior managers about complaints, along altered following internal review
with any recommendations about how to
• customer satisfaction with your
improve services. It is also good practice to
complaint handling system
report on complaints in your annual report.
• the number of complaints escalated
Care needs to be taken when interpreting
to the head of your agency or your
complaint data. An increase in complaint
minister
numbers following a change in your agency’s
complaint handling practices may show that • the number of complaints escalated to
your complaint handling system is working well, the Victorian Ombudsman, resulting in
not that service levels have dropped. changes to your decisions, policies or
practices.
3.3 Assess your complaint handling
performance
Your agency’s complaint information can also
be used to assess and improve your complaint
handing system.
Options for monitoring performance include:
• measuring your complaint data against
key performance indicators
• quality auditing
• assessing complainant satisfaction e.g.
through surveys.
You can show you are committed to
dealing with complaints by publicising your
performance against your key performance
indicators, and any service improvements you
have made as a result of complaints.

learning and improving from complaints 21

 3.4 Review your system
Leaders and managers can demonstrate
commitment to good complaint handling by
monitoring the performance of their agency’s
system. They may need to change resources,
systems and training from time to time to
ensure complaints are handled well.
The Victorian Ombudsman recommends that
agencies conduct regular in-depth reviews of
their complaint handling system. The review
might consider:
• any changes to statutory or regulatory
requirements
• changes to your agency’s functions,
resources or organisational structure
• technological changes
• current good practice
• the views of your officers
• feedback from complainants.
This will ensure that your complaint handling
system remains effective and up to date with
good practice.

22 www.ombudsman.vic.gov.au
References
The following publications were referred to in developing this guide. They are recommended
reading for officers with responsibility for complaint handling.

Australian/New Zealand StandardTM, Guidelines for complaint management in organizations,

(AS/NZS 10002:2014)

Commonwealth Ombudsman, Better practice guide to complaint handling,

April 2009

Department of Justice, Charter of Human Rights and Responsibilities – guidelines for legislation
and policy officers in Victoria,
July 2008

Independent Broad-based Anti-corruption Commission and Victorian Ombudsman, Investigations

guide: conducting internal investigations into misconduct,
June 2016

New South Wales Ombudsman, Effective complaint handling guidelines, 2nd edition,
December 2010

New South Wales Ombudsman, Managing unreasonable complainant conduct practice manual,
2nd edition,
May 2012

New South Wales Ombudsman, Managing unreasonable complainant conduct – a model policy and
procedure,
May 2013

New South Wales Ombudsman, Complaint management framework and model policy,
June 2015

Ombudsman Western Australia, Guidelines on complaint handling,

November 2010

Victorian Equal Opportunity and Human Rights Commission, ‘Victoria’s Charter of Human Rights and
Responsibilities’ webpage <www.humanrightscommission.vic.gov.au>
(accessed May 2016)

Victorian Government, Victorian Government accessible communication guidelines 2014,

January 2014

Victorian Ombudsman, Councils and complaints – a good practice guide,

February 2015

Victorian Ombudsman, Managing unreasonable complainant conduct practice manual,

2nd edition,
May 2012

Victorian Public Sector Commission, ‘Public sector values’ webpage <www.vpsc.vic.gov.au>

(accessed January 2016)

references 23
 Appendix 1 – model policy template
This model policy is intended for use as a guide only. Agencies are encouraged to tailor it to suit their
individual circumstances.

How to use this document

Standard wording is in roman type. It is recommended that this text go into the agency’s
policy as it is written in this policy template.
Suggested wording is in italics. Agencies may need to tailor this text to suit their individual
circumstances.
[Tips and instructions for drafting the policy are in blue italics and brackets]

Name of agency
Title and version number

Record number

Effective date

Responsible officer

Date of Charter of Human Rights review

Date of approval

Review date [Review complaint handling system regularly, including

procedures and key performance indicators]

Relevant legislation Charter of Human Rights and Responsibilities Act 2006

Freedom of Information Act 1982
Independent Broad-based Anti-corruption Commission
Act 2011
Privacy and Data Protection Act 2014
Protected Disclosure Act 2012

Related policies [Insert all related policies, for example:

• customer service policy/charter
• protected disclosure policy
• employee code of conduct
• infringements policy
• conflict of interest policy, etc.]

24 www.ombudsman.vic.gov.au
Introduction
[In the introduction, agencies can:
• state that members of the public have the right to complain
• include statements about the agency’s commitment to complaint handling and creating a
culture that encourages feedback and complaints
• affirm that the agency will learn from complaints to improve its services
• note any factors or demographics specific to the agency which are relevant to complaint
handling]
This policy includes… [summarise what is in this document]

Objectives
This policy aims to:
• put in place an open and transparent complaint handling system
• specify the key performance indicators to which we will hold ourselves accountable
• establish our timeframes for resolving complaints
• clarify the roles and responsibilities of agency staff
• ensure staff handle complaints fairly and objectively
• set out how staff record and analyse complaint data to identify where we can improve our
services.

Guiding principles
This policy is based on seven principles.
1. Commitment
We are committed to resolving complaints and have a culture that recognises an individual’s
right to complain. We value complaints and recognise them as being part of our business of
serving our communities and improving service delivery.
2. Accessibility
People with a range of needs can easily complain and staff actively assist them to navigate
the complaints process.
3. Transparency
We make it clear how to complain, where to complain and how the complaint will be handled.
The steps taken to respond to a complaint are recorded and will stand up to scrutiny.
4. Objectivity and fairness
Complaints are dealt with courteously, impartially, within established timeframes and are
assessed on merit.

appendix 1 25
 5. Privacy
Complaint information is handled according to privacy laws and other relevant legislation.
We provide clear information about how we handle personal information. Complaint data
is de-identified if reported on more widely.
6. Accountability
We are accountable internally and externally for our decision making and complaint handling
performance. We provide explanations and reasons for decisions, and ensure that our
decisions are subject to appropriate review processes.
7. Continuous improvement
Acting on, learning from and using complaint data helps us identify problems and
improve services.

Scope
This policy applies to all agency staff. It also applies to third party contractors carrying out services
on the agency’s behalf.

Definitions
Complaint: an expression of dissatisfaction with the quality of an action taken, decision made, or
service provided by an agency or its contractor, or a delay or failure in providing a service, taking an
action, or making a decision by an agency or its contractor.
[Define any other key terms that your agency uses, including those closely related to ‘complaint’,
such as ‘service request’, ‘comments’ or ‘feedback’]

Roles and responsibilities of agency staff and contractors

Frontline staff
Managers and directors
Chief Executive Officer
Third party contractors
[For each party, enter a general description of their role and responsibilities within the complaint
handling system]

How to make a complaint

A person can make a complaint in a number of ways.
Mail: [Insert name of agency and postal address]
Telephone: [Insert telephone number]
Email: [Insert email address]
In person: [Insert locations]
Fax:
[Insert fax number]
Internet: [Insert web address. If you have an online feedback form, include instructions on how
to access it from the homepage]

26 www.ombudsman.vic.gov.au
Accessibility
Anyone who has been affected by a decision or action (including a failure to make a decision or take
action) can make a complaint.
[Detail the processes/services the agency has in place to assist people with additional needs to make
a complaint]
We accept and respond to anonymous complaints, provided we have received enough information
to do so.

Complaint handling procedure

Overview
We take a four-tiered approach to complaint handling, as follows:
1. frontline resolution: frontline staff receive the complaint, assess it, and resolve it immediately,
if possible
2. investigation, if required: if frontline staff cannot resolve the complaint, they will refer it to an
officer for investigation
3. internal review: if the complainant is aggrieved with the process or outcome of the frontline
resolution/investigation, they can request an internal review
4. access to external review: if the complainant is aggrieved with the process or outcome of the
internal review, we inform them of any available external review options.

Procedures
[Tailor this section to your individual procedures]

Frontline resolution
• We will acknowledge all complaints within 10 days of receipt.
• Frontline staff will receive the complaint.
• Frontline staff will clarify the complaint and the outcome the complainant is seeking.
• Frontline staff will assess the complaint to determine how it should be dealt with. [Consider
including the criteria upon which complaints will be assessed]
• If the agency is not the right organisation to respond to the complaint, frontline staff will advise
the complainant of an organisation that may be able to help.

Investigation
• If frontline staff cannot resolve the complaint, it will be assigned to an officer for investigation.
• The officer handling the complaint will advise the complainant who the contact person is and
how long it will take to respond to the complaint.
• Complaint handling staff will aim to resolve all complaints within 28 days.
• If it takes longer than 28 days to resolve a complaint, the contact person will contact the
complainant prior to or at this time and explain why.

appendix 1 27
 • Complaints that are not resolved within 28 days may be escalated if necessary to ensure that a
resolution is expedited.
• The officer responsible for handling the complaint will write to the complainant to advise them
of the outcome. The outcome letter/report will contain reasons for the decision made and the
contact information for the responsible officer.
• The officer handling the complaint may contact the complainant to discuss the outcome of
their complaint prior to sending the outcome letter.

Internal review
[Identify the staff member/s who are responsible for internal reviews – an internal review should be
escalated to a staff member not involved in the original decision/action/investigation]
[Detail internal review process and timeframes]
An outcome letter signed by the senior officer responsible for the internal review will be provided to
the complainant at the conclusion of every internal review.
The outcome letter will advise the complainant of any avenues of external review available in relation
to the matter, such as the Victorian Ombudsman.

Complaints about contractors

We recognise that we retain a level of responsibility for services carried out by contractors on our
behalf.
[Consider whether you will allow contractors to respond to complaints directly.
When deciding, consider whether you have (or can put in place) appropriate oversight mechanisms
for any complaint handling carried out by contractors.
If contractors handle complaints, provide details of any oversight mechanisms and other
requirements the contractor will be subject to]
If a complainant is not satisfied with the outcome of the complaint, he or she can ask the agency to
review the decision.
All outcome letters written by contractors in relation to complaints will include the name and contact
details of an agency staff member to whom the complainant may escalate their complaint if they are
not satisfied with the outcome the contractor has provided.

Complaints about specific matters – alternative procedures

Complaints about allegations of corrupt conduct
Where a complaint involves allegations of corrupt conduct, it will be handled in accordance with the
[insert name of policy for handling protected disclosures].

28 www.ombudsman.vic.gov.au
Remedies
Where we have found that we have made an error, we will take steps to redress the situation. Possible
remedies include, but are not limited to [list the remedies and who is authorised to offer them]
• an explanation of why the error occurred and the steps taken to prevent it happening again
• a reversal of a decision
• an ex gratia payment or compensation
• disciplinary action taken against a staff member
• providing the means of redress requested by the complainant.
Where we identify an error, we will consider offering a genuine apology to the complainant, in addition
to any other remedies offered, irrespective of whether the complainant specifically requests this.

Privacy
When gathering information to respond to a complaint, we will only:
• use it to deal with the complaint or to address systemic issues arising from the complaint
• disclose it in a de-identified format when disclosing data to the public
• share it with staff on a need to know basis.

Recording complaints
All complaints are recorded in our [complaint database].
[Insert process for recording complaints]
We analyse our complaint data and provide [annual/more frequent] reports to [insert details
of relevant parties to report to] on how we can reduce complaints and improve services. Senior
management is responsible for acting on the recommendations in these reports.
We record the following information for each complaint:
• the complainant’s details
• how the complaint was received
• a description of the complaint
• the complainant’s desired outcome (if known)
• the agency officer responsible for handling the complaint
• any action taken, including contact with the complainant, response times and the outcome
• when the complaint was finalised
• relevant demographic information that could help improve services
• any recommendations for improvement, and who is responsible for implementing them.
Any queries regarding the recording of complaints should be directed to [insert name of responsible
officer].

appendix 1 29
 Reporting on performance
To measure our performance, we have the following key performance indicators:
[Insert KPIs associated with complaint handling. These KPIs may be related to:
• complaints upheld, partially upheld, not upheld
• performance against timelines set by the agency i.e. average time to respond
• number of changes made to services as a result of complaints
• number of complaint outcomes overturned on internal review
• customer satisfaction with the complaint handling system
• complaints escalated to the Victorian Ombudsman’s office where the agency’s original decision
has been overturned and/or proposals for action have been made by the Ombudsman]
We will report against our complaint handling key performance indicators in our annual report, where
we will also detail any service improvements made as a result of complaints received.

Unreasonable complainant conduct

[The New South Wales Ombudsman’s Managing unreasonable complainant conduct model policy
includes guidance for managing unreasonable complainant conduct, which agencies can tailor
to their individual circumstances <www.ombo.nsw.gov.au/news-and-publications/publications/
guidelines/state-and-local-government/managing-unreasonable-complainant-conduct-a-model-
policy-and-procedure>]

30 www.ombudsman.vic.gov.au
Appendix 2 – complaint handling
organisations
Key Victorian complaint and dispute resolution bodies
Accident Compensation Conciliation Service
Provides an independent service to resolve workers compensation disputes in Victoria.

Commissioner for Privacy and Data Protection

The key body regulating the way Victorian government agencies and local councils collect and
handle personal information.

Consumer Affairs Victoria

Promotes consumer protection and ethical trading and ensures that consumer protection laws are
properly enforced.

Dispute Settlement Centre – Victorian Department of Justice and Regulation

Provides an informal, impartial, accessible, low cost dispute resolution service to the Victorian
community.

Disability Services Commissioner

Deals with complaints about disability services in Victoria.

Health Services Commissioner

Deals with complaints about health services providers.

Local Government Investigations and Compliance Inspectorate

Investigates complaints of alleged breaches of the Local Government Act 1989 by councillors, senior
council officers and certain other persons.

Mental Health Complaints Commissioner

Deals with complaints about public mental health services providers.

Public Transport Ombudsman

Deals with complaints about Victorian public transport that members of the community have been
unable to resolve directly with the public transport operators.

Victorian Equal Opportunity and Human Rights Commission

Responsible for eliminating discrimination in Victoria. Offers information, education and consultancy
services, conducts research and provides legal and policy advice.

Victorian Inspectorate
Key oversight body in Victoria’s integrity system. It can take complaints about IBAC, Chief Examiner
and Examiners, Victorian Ombudsman and Auditor General.

Victorian Ombudsman
Receives complaints about the administrative actions of Victorian government authorities and local
councils.

appendix 2 31
 Industry complaint and dispute resolution bodies
Energy and Water Ombudsman Victoria
Dispute resolution service for Victorian electricity, gas and water consumers.

Financial Ombudsman Service

Dispute resolution scheme for disputes concerning financial services, including banking and finance,
home, contents, travel and life insurance, insurance broking, financial planning, managed funds,
mortgage and finance broking, pooled superannuation funds, estate planning and management and
traditional trustee services.

Private Health Insurance Ombudsman

Assists private health fund members to resolve disputes about health insurance.

Telecommunications Industry Ombudsman

Dispute resolution service for residential and small business customers who have a complaint about
their telephone or internet service in Australia.

Tolling Customer Ombudsman

Alternative dispute resolution service for customers of CityLink and EastLink.

Public sector corruption and police misconduct

Independent Broad-based Anti-corruption Commission
Receives complaints and notifications about corruption and misconduct in Victorian government
departments and agencies, councils, Victoria Police, the Parliament and the judiciary; assesses
potential protected disclosures under the Protected Disclosure Act 2012.

Professional Standards Command, Victoria Police

Receives complaints about Victoria Police members.

Courts and tribunals

Victorian Civil and Administrative Tribunal (VCAT)
Magistrates’ Court of Victoria
County Court of Victoria
Supreme Court of Victoria

Commonwealth and interstate ombudsman

Commonwealth Ombudsman
NSW Ombudsman
Queensland Ombudsman
Ombudsman South Australia
Ombudsman Western Australia
Ombudsman Tasmania
Ombudsman NT
ACT Ombudsman

32 www.ombudsman.vic.gov.au
 Appendix 3 – complaint handling
flowchart
This flowchart shows how a tiered approach to complaint handling can work in practice.

FRONTLINE RESOLUTION
Acknowledge a complaint within 10 days
of receipt

Assess the complaint and determine how

it should be dealt with

Are the issues raised…

Complex, serious Unlikely to be

Easily resolved
or systemic easily resolved

Allocate the matter to an officer for Resolve the matter and advise the
investigation and advise the complainant complainant of the outcome. Is the
of the process complainant still aggrieved?

YES NO
Obtain relevant evidence and maintain a
complete record of the investigation
Consider Record and
whether an close the matter
internal review
INVESTIGATION

Make an objective and fair decision on is appropriate

the weight of the evidence available

If appropriate, allocate the matter to an

Prepare a report/outcome letter setting independent senior officer for internal
out the steps taken and the reasons for review and advise the complainant of
the decision the process

Where the investigation identifies an Review the complaint process to date

error, take appropriate remedial action and make an objective and fair decision
on the weight of the evidence available
to either confirm, vary or reverse the
outcome, as appropriate
Resolve the matter and advise the
complainant of the outcome. Is the
complainant still aggrieved?
Advise the complainant of the internal
review outcome and any avenues of
NO YES external review

Record and Complainants should be advised of their right Record and

close the matter to complain to the Victorian Ombudsman close the matter

The Victorian Ombudsman can receive complaints about the

administrative actions of state government agencies and councils

EXTERNAL REVIEW
appendix 3 33
 Appendix 4 – acknowledgment letter
example
This is an example of an acknowledgement letter for a complaint.

Dear Mr Citizen
Your complaint about your licence application
Thank you for your email dated 1 January 2016 about the department’s decision not to approve your
application for a licence.
I am considering your complaint and will contact you again when more information is available.
If you have any questions, you are welcome to contact me on 9555 5555.

Yours sincerely

Li Adams
Customer Service Officer

34 www.ombudsman.vic.gov.au
Appendix 5 – outcome letter example
This is a fictional letter that incorporates the elements of a good outcome letter set out on page 15,
and takes a receptive attitude to feedback. Remember there is no ‘one size fits all’ response to every
complaint, and tailor your letters to suit each complaint.

Dear Ms Citizen
Your complaint about your fine
Thank you again for your email dated 1 January 2016 about the service you received from one of our
enforcement officers and her refusal to revoke your fine.
You complained that the officer refused to withdraw the fine even though you provided evidence
that you did not commit the offence, and that she was rude and unhelpful.
We welcome feedback about our service and I would like to thank you for taking the time to contact
us.
After reading your email, I considered the Infringements Act 2006, which sets out the law on
infringements, and our internal policies. I also spoke to the officer involved.
Unfortunately our enforcement officers are not able to revoke fines once they have been issued.
The enforcement officer advised me that she was trying to explain this to you, and did not intend
to be rude or unhelpful.
The senior review officers in our Appeals section can review and revoke fines, and I have forwarded
your letter to them for consideration. If you have any additional evidence to provide, you can send
it to the Appeals section by writing to PO Box 999, Melbourne VIC 3000 or emailing
<appeals@agency.vic.gov.au>.
I hope this resolves your concerns about what happened. If you have any questions, you are
welcome to contact me on 9555 5555.
If you are not happy with my response, you can seek an internal review by writing to our Chief
Executive Officer. Alternatively you may wish to complain to the Victorian Ombudsman by
completing the online complaint form at <www.ombudsman.vic.gov.au> or by calling (03) 9613 6222
or 1800 806 314 in regional areas.

Yours sincerely

Li Adams
Customer Service Officer

appendix 5 35
Victorian Ombudsman
Level 2, 570 Bourke Street
Melbourne VIC 3000

Phone 03 9613 6222

Fax 03 9602 4761
Email ombudvic@ombudsman.vic.gov.au
www.ombudsman.vic.gov.au