Disclosure Log = FOI 24/25-1037

Complaints Quality Framework and Checklist

February 2024 Complaints Management Team

ndis

The contents of this document are OFFICIAL

DOCUMENT 2

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Complaints Quality Framework

Contents

Purpose ……………………………………………………………………………………………………………………. 2

Complaints Quality Framework Goals and Objectives …………………………………………………….. 2

Complaints Quality Framework Overview ……………………………………………………………………… 2

Complaints Quality Checking Stages ……………………………………………………………………… 4

Self- Assessment Quality Checklist ……………………………………………………………………………… 4

Pre-completion Checks ……………………………………………………………………………………. 4

Post-completion Checks ……………………………………………………………………………………. 5

Ongoing improvement of the Quality Checking Process………………………………………… 6

Version control ………………………………………………………………………………………………………….. 6

Self-Assessment Quality Checklist ……………………………………………………………………… 8

Appendix One – Complaints Resolution ……………………………………………………………………….. 8

Appendix Two – Member and Senator Complaints Officers (MaSCO) …………………………….. 19

Appendix Three – Ministerial External Response …………………………………………………………. 28

Appendix Four – Executive Complaints ………………………………………………………………………. 37

Appendix Five – Oversight Bodies Complaints …………………………………………………………….. 45

Appendix Six – Informal Ministerial Response ……………………………………………………………… 62

Appendix Seven – Participant Critical Incident …………………………………………………………….. 70

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Purpose The NDIA Corporate Plan 2021-25 sets out the aspiration of providing a quality experience and improved outcomes for participants. The Corporate Plan is underpinned by the Participant Service Charter, the Participant Service Guarantee and the Participant Service Improvement Plan, which support improved quality and consistency in how the NDIA delivers services.

The NDIA is committed to learning from complaints and feedback. Managing complaints effectively, helps provide a better experience for Participants and other stakeholders when something has gone wrong, or we have not met community expectations. What we learn from complaints and feedback helps the NDIS improve. What we learn from how we manage complaints and feedback informs our continuous improvement process in managing complaints.

The Complaints Quality Framework sets out the quality expectations and checking processes for NDIS complaints management that support the National Disability Insurance Agency (NDIA) to provide a quality experience and improved outcomes for participants.

Complaints Quality Framework Goals and Objectives

The Complaints Quality Framework aims to ensure:

 The NDIA has a complaints management process that meets community and participant expectations and that strives to achieve best practice in complaints handling.  That managing complaints is in adherence with approved Standard Operating Procedures (SOPs), other guiding material, the Complaints Management Framework and within legislative parameters listed on Complaints and Feedback intranet page. We identify and fix issues that affect resolution of complaints.  Complaints management processes are up-to-date and continually improved.  Complaints Officers have the right skills and knowledge to do their job.  Complaint recording Systems are fit-for-purpose.

Complaints Quality Framework Overview

The Complaints Quality Framework supports procedural compliance through established processes to ensure employees are following and undertaking correct actions.

The quality measures for managing complaints within the NDIA are based on four key focus areas of compliance.

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Right Person | 2. Right Process | 3. Right Referral | 4. Right Resolution —|—|—|—

Consent.
* Proof of Identity. | * Clearly identify issues in the complaint.
* Accurate recording of the complaint in CRM.
* Record all actions taken and have a clear resolution.
* Adherence to SOPs.
* Correct use of templates and interactions.
* Use of complainant preferred communication methods | * If using the Request for Action process:
* Complaint issue clearly identified and summarised.
* Clearly recorded actions.
* Risk rating is appropriate based on information available.
* SOP and template adhered to. | * Resolution has been achieved and documented.
* Communication of complaint outcome / closure.
* Follow up where necessary.

Self-Assessment Quality Checklist can be located in the Appendices:

No.	Tool	Description
1.	Self-assessment Quality Checklist*	Tailored for each team and to be used as needed.
2.	Pre-completion Checks	For new staff until proficiency is attained and may be implemented to support staff requiring development. A minimum of 10 decisions checked with 80% competency on critical measures per check.
3.	Post-completion Checks	A minimum of one check per week undertaken and results discussed as part of coaching conversations and monthly reporting on trends and continuous improvement opportunities.

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*This same checklist is used for both the pre-completion and post-completion checks.

Complaints Quality Checking Stages

Details regarding the three stages in the Framework:

Self-Assessment Complaints Officers undertake self-assessment against the Quality Check Criteria in relation to their own work as required. This is a resource they can use to self-assess their performance and as they are completing their day to day work.
Pre-Completion Checks Senior Complaints Officers, Team Leaders and Assistant Directors undertake pre-completion checks to monitor proficiency of new and developing Complaints Officers or where individuals require additional support to achieve quality expectations. A minimum of 10 checks will be undertaken, and 80% proficiency achieved before moving to independent complaints management. The requirement for further pre-completion checks will be considered depending on the new or independent Complaints Officer’s progress.
Post-completion Checks Post-completion checking is undertaken using a random sample to inform individual coaching and continuous improvement. An average of at least one check per week is undertaken for Complaints Officers and these are completed by Senior Complaints Officers, Team Leaders, and Assistant Directors. The Business Improvement Team will provide a report including trends and monitor continuous improvement suggestions arising from the reports. The overall results are discussed in team meetings.

Self- Assessment Quality Checklist

Self-assessment against quality check criteria will familiarise Complaints Officers with the quality checking process and quality measures in the Complaints Quality Framework.
The quality check criteria is based on the relevant complaints SOPs and required process steps in relevant complaints guidance material.
The Quality Self-Assessment quality checklist includes detailed instructions for its completion.
New Complaints Officers can use the quality checklist to support compliance with complaints processes during the learning phase.
Experienced Complaints Officers can use the quality checklist to self-asses their own work.

Pre-completion Checks

Pre-completion checks will be used for all new Complaints Officers, until procedural proficiency is established. It is recommended that as a minimum, pre-completion checks are undertaken for the first 10 complaints, including prior to

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using the Request for Action (RFA) and communicating a resolution to the complainant.
When a new Complaints Officer has reached a minimum of 80% compliance across at least ten checks, they will progress to post-completion checking at the same rate as other team members.
New Complaints Officers should be provided with the opportunity to manage different complaint themes to facilitate a broad understanding of NDIS complaints and gaining experience with different processes. For example: Delays with Assistive Technology, Payment Enquiries, Staff complaints and Delays with Plan Approval.
The Pre-completion Checks will use the same checklist in the Self-Assessment Quality checklist.
Pre-completion checks may be re-implemented for experienced Complaints Officers where post-checking has identified ongoing quality issues.

Post-completion Checks

Following completion of Pre-completion Checks (where required), post-completion checking will commence.
The Post-completion checks will use the same checklist as used for Self-Assessment Quality Checklist as well as for Pre-completion checks.
Each month at an agreed timeframe, the Data and Analytics Team within the Internal Review and Complaints Branch, will provide a random sample of complaints closed in the previous month to the team responsible for conducting post-completion checks.
The Post-completion checking will be conducted by Senior Complaints Officers, Team Leaders and Assistant Directors and entered on an online form.
Post-completion checking will be a minimum of one per FTE per week or pro-rata.
The Business Improvement Team will collect and collate data entered via the online form and store securely.
Monthly reports will be provided to Directors with details of individual and team results. Directors will use high-level insights from reporting for discussion at team meetings.
Where ongoing quality issues are identified in post-completion checks, pre-completion checking may be undertaken to address skills or knowledge gaps.
Where pre-completion checks are re-implemented, additional support will be provided to the Complaints Officer by their Team Leader/Assistant Director to assist them in achieving quality outcomes.
Individual feedback from Quality checking identified through post-completion checking will be provided by Team Leaders and Assistant Directors in coaching sessions.
If a Complaints Officer requires further explanation or would like a quality check decision reviewed, they should discuss with their Team Leader or Assistant

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Director who will consult with the Business Improvement Team.

Ongoing improvement of the Quality Checking Process

Ongoing improvements of the quality checking process will be identified via team meetings and one on ones. Complaints Officers can raise their feedback with their Assistant Director who may then endorse it. Once endorsed, it may be reviewed according to the Complaints Continuous Improvement process. Further information on the process is available in Complaints Continuous Improvement Framework.

The Complaints Quality Framework will be reviewed as required.

Version control

Version	Amended by	Brief Description of Change	Status	Date
3.0	GIH718	Final Draft for approval		21 June 2022
3.1	JS0061	Amendments made through out document	Draft	21 June 2022
3.2	GIH718	Approved by Branka Carter	Approved	22 July 2022
3.3	Y40	Updated CR checklist and added PCI checklist	Approved	09 Nov 2022
3.4	MP0075	Updated CPIT references		14 Feb 2024

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Self-Assessment Quality Checklist

Appendix One — Complaints Resolution

Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right person	1	Has the complaint been acknowledged within the stream specific timeframe?	• Timeframe for contact to be made is 48 hours from receipt of complaint. • Contact is made by email using a complaint acknowledgement template unless phone call is the preferred method of contact. Participant Service Guarantee 48 hours but there are some stream specific timeframes.	• Timeframe for acknowledgment to be made within 48 hours from receipt of complaint by return email using the template in the SOP. • Check the My NDIS Interactions for acknowledgement • Check My Customer Requests/My Documents tab for evidence of acknowledgement email sent. • Date recorded in My Customer Request record ‘First Contact Date’ field and noted in Outcomes. • Check complaint email uploaded into My Customer Requests Attachments.	Yes/No/NA
	2	Confirm appropriate consent.	• Third Party Consent required if complainant is not the Participant/Child Rep or Nominee. • Interaction outlining that consent was obtained if the complainant is not the Participant/Plan Nominee.	• Is there evidence of consent on file to investigate and resolve the complaint under Details tab/Consent? • Review interactions to ensure consent present for progress of the complaint.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	3	POI checked for initial contact – complainant is participant or nominee.	• Proof of identity required if complainant is the Participant/Child Rep or Nominee and is contacted by phone. SOP Resolving Complaints 4.1 Consent and Privacy; SOP Record and verify identity for an individual 3.3 Verify identity	• Interaction on record advising that POI checked in any phone contact	Yes/No/NA
Right Process	4	Has the participant record been linked appropriately to the Complaint?	• If not appropriate or sensitivities involved to link participant/NA/provider ensure that CR guidance was followed for a ‘Y’ outcome. • Only one participant or provider should be linked to a complaint in CRM to ensure privacy of all participants. SOP Resolving Complaints 4.3.2 Related Parties	• Check the My Customer Requests tab, selecting “Categorisation” and then “Related Parties” to confirm that the participant has been linked to the Complaint. • Ensure that correct Participant has been linked. • Check My NDIS Interaction is linked to complaint and correct interaction categories have been selected.	Yes/No/NA
	5	Where there are repeat complaints, has the complaint	• If no repeat complaint is on file response to question should be ‘Y’.	• Check the participant/provider record for history of complaints.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
		been allocated to the appropriate complaints officer?	• If more than one complaint opens about the same issue ensure that it is clear who will manage all/ part of the complaint. The agreement must be documented within the complaint. SOP Resolving Complaints 4.2 Complaint assignment in CRM	• Has complaint been assigned to Complaints Officer who has previously dealt with complaint? All streams: • If there is more than one open complaint about the same issue check instruction in SOP Resolving Complaints 4.2 Complaint assignment in CRM. • If more than one complaint open check notes to identify negotiation of lead CO and has been recorded using Interaction template. • Check My Customer Request Record Outcome notes updated to reflect contact with complaints officer.
	6	Right issue/s identified from the Complaint?	• Key issues of the complaint are clear and have been confirmed with the complainant. SOP Resolving Complaints 4.3 Preliminary Investigation	• CRM Interaction as per template guide outlining initial contact (phone or email) — with complaint issues identified and communicated. • Check that CO has identified key issues of the complaint and complaint has been thoroughly investigated.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	7	Risk correctly identified and reasoning recorded.	• Where a Complaints Officer ascertains complaint should have a high/extreme risk has the complaints officer alerted Team Leader/Assistant Director and coded risk in complaint appropriately. • An initial risk assessment has been completed during the triage step at the National Contact Centre (NCC) or Track and Triage team (TTT) level. Level 3 streams determine risk according to Risk Prioritisation Matrix but no guidance in SOP’s.	• Level 2 complaints have had risk assessed by NCC. Where this is incorrect CO should check or update after speaking with T/L or AD and add note to Outcome Notes.	Yes/No/NA
	8	Initial contact/contact attempts.	• Contact is made by using the participant’s preferred method of contact. • Three documented contact attempts with dates & times interaction templates used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request if relevant, email exchange uploaded into Attachments in My Customer Request complaint.	• Check interactions for evidence of SMS alert prior to every contact. • Check Interactions for evidence of successful contact, with interaction linked to complaint and correct interaction categories have been selected. • Check My Customer Request record for evidence of outcome notes being updated to reflect contact attempts/contact. • Review My NDIS Interactions/My Customer Request Integrations to ensure	Yes/No/NA

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Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
		SOP Resolving Complaints 4.4.3 When contact is established; and Complaints Resolution and Oversight Template Guide	communications linked and SOP has been followed.
9	Unable to Contact guidance followed.	• Three documented contact attempts with dates & times Interaction templates used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request. SOP Resolving Complaints 4.4.4 Unable to Contact	• Check for evidence of three genuine attempts to contact the complainant using their preferred communication channel. • Check that if unsuccessful, an email was sent. However, if the complainant’s preferred contact method is email then an email is sent as first attempt of contact.	Yes/No/NA
10	Confirm Complaint recorded correctly in accordance with CMT Guidance Material.	• Ensure all fields completed in the My Customer Requests tab in CRM following guidance in Data Dictionary and SOP. • Complaint closed following all requirements outlined in SOP. Record Update a Complaint 3.2 Record a new complaint; and Data Dictionary for My Customer Request App	• Categorisation is as per the data dictionary. • Fields/information/attachments have been entered as per the SOP. • Relevant drop-down options selected in Categorisation, Overview and Outcomes tabs.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Referral	11	The referral (RFA/PE/Staff complaints) process was correctly followed and to the appropriate area via the appropriate channel.	• Clarity of outstanding issues requiring referral for resolution. • Review that it is within the scope of the business area to be able to resolve the relevant type of complaint. Use Action Assignment Contact list for reference. • Has the complaints Officer responsible forwarded the referral to the correct business area using the correctly requested channels i.e. (RFA/Email). As appropriate: SOP Resolving Complaints 4.5 Request for Action; SOP Resolving Complaints 4.5.1 Agency and Partner staff complaints; SOP Resolving Complaints 4.6 Payment Enquiries.	Focus is on process: • Have issues been clearly identified in RFA and appropriate action has been requested to address these issues? • Has RFA been endorsed by SCO/TL and endorsement email attached to complaint? • Has the RFA been sent to the appropriate business area?	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	12	Request for action (RFA) or Payment Enquiry (PE) template accurately followed?	• If not required ensure that the stream guidance was followed for a ‘Y’ outcome. • Where an RFA is required the Complaints Officer is responsible for following the appropriate template accurately. • Ensure Payment Enquiry process followed if relevant. SOP Resolving Complaints 4.5 Request for Action; Complaints Resolution and Oversight Template Guide; Standard Operating Procedure - Enter Escalation Payment Enquiry in NDIS Business System.	Focus is on template use: • Has the RFA been sent to business area within identified KPI? • Check My Customer Requests tab, selecting outcome to see notes showing date RFA was sent to team. • For on-system RFAs check RFA tab to see date it was sent to business area. For off-system RFAs check attachments. • Does the RFA follow the RFA template as per SOP and if email notification is required does it follow RFA email template as per SOP. • Ensure Payment Enquiry process followed	Yes/No/NA
	13	Has RFA/PE follow up occurred with business area if required?	• If not required ensure that the stream guidance was followed for a ‘Y’ outcome. • Complaints Officers may need to follow up with the business area for a response if not received by due date. Should a response not be received	• Check My Customer Requests tab, selecting Outcome to see notes showing follow up with business area if RFA due date passed. • An interaction will be recorded detailing that a follow-up to the RFA has been sent.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			after an email reminder is sent, the response request is to be escalated. • An escalated RFA is sent when an RFA is returned Unresolved, additional info required, has not adequately addressed concerns and RFA is overdue and followed up at least once to the escalation person noted in the Request for Action Assignment Contacts List. Request for Action Assignment Contacts List; SOP Resolving Complaints 4.5.7 Request for Action Escalation; Or SOP Enter Escalations Payment Enquiry 6.6 Receiving a response from the Payments Escalation Team.	• A copy of the Email requesting escalation is available in the record.
Right Resolution	14	All issues within the complaint have been addressed.	• Complaint resolution considers the elements of the complaint and the requested outcome.	• The intent is not to determine the quality of the resolution but to ensure that all issues have been addressed.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			• The requested outcome may not be possible however all matters must be discussed, reasoning explained and/or attempted resolution with the complainant. SOP Resolving Complaints 4.1 – 4.7	• Have the issues identified in the complaint been discussed with complainant and resolved? • Where some action cannot be completed has this been explained in the response and in outcome notes? • Have appropriate interactions/notes been recorded to reflect the action taken?
	15	Closure steps followed?	• Closure steps followed as per the Resolving Complaints SOP and completed in CRM. • All relevant NDIA guidance material has been followed such as template from Complaints Resolution and Oversight template guide. SOP Resolving Complaints 4.8 Closing complaint item; Data Dictionary for My Customer Request App; SOP Enter Escalations Payment Enquiry in NDIS Payment System;	Review the process used in complaints management. Closure steps include: • Clear summary of actions taken, and resolution reached • All supporting documents relevant to the complaint are correctly attached to the complaint • Interactions linked to the Complaint; • All RFAs completed and closed; • Evidence recorded that the Complainant has been advised of the closure of the complaint except in case of Escalated and Persistent complainant • Complaint appropriately closed in system • Ensure the record contains a summary brief outline of the complaint and outcome.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			SOP Record Update a Complaint; Complaints Resolution and Oversights Template Guide.	• All interactions have been recorded in a respectful and professional manner • Ensure all attachments have been uploaded to My customer Requests/Attachments tab
	16	Follow up interaction recorded where necessary?	• A follow up interaction is required when a complaint has been closed but the business area indicated there were actions outstanding beyond the date of closure. • It is important to review the interactions following the due date for evidence that the business area took	• Follow up interaction created with appropriate due dates and linked to My Customer Request record. • Where complaint was closed but further actions required to ensure complaint is fully resolved I.e. action is required beyond the due date of the complaints. Ensure that follow-up process was created.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			the required action OR the Complaints Officer followed up on completion of the item and that the participant has been advised of this. SOP Resolving Complaints 4.7 Follow-up Process	• Where Ongoing Monitoring has been closed appropriate interaction detailing the outcome are recorded.

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Appendix Two — Member and Senator Complaints Officers (MaSCO)

Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Intake Process	1	Has the My Customer Request record been entered correctly?	MaSCO complaint follows: Members and Senators Contact Officer Creating a My Customer Request Record in CRM and Member and Senators Contact Officer Triaging and Allocating Representations SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Categorisation is as per the data dictionary • Correct participant/provider record has been linked • Fields/information/attachments have been entered as per the SOP	Yes/No/NA
	2	Has correct Senior Complaints Officer been assigned?	MaSCO complaint follows: Member and Senators Contact Officer Triaging and Allocating Representations SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Check the participant/provider record for history of complaints. • If complaints have been received within past 6 weeks, same Senior Complaints Officer is assigned. • If repeat complaints received, same Senior Complaints Officer is assigned who has previously dealt with complaint.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	3	Has the complaint been acknowledged within one business day of receipt?	MaSCO complaint follows: Member and Senators Contact Officer Triaging and Allocating Representations SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Date recorded for acknowledgement in My Customer Requests record ‘Outcome Notes’ is within one business day. • Date recorded in My Customer Request record ‘First Contact Date’ field is within one business day. • Email attached in My Customer Requests linked documents sent date aligns with dates recorded in above fields and is within one business day.	Yes/No/NA
	4	Has the one day acknowledgement been completed correctly?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Check the linked documents to the My Customer Requests/Feedback tab or the My Documents tab for evidence of the acknowledgement email sent and confirm the SOP has been followed (i.e., correct template has been used).	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right person				*If high/extreme risk, has RFA been sent prior to acknowledgement email being sent as per SOP.
	5	Has POI and/or consent been confirmed?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Is there consent and if not has it been sought? • Has POI been completed (phone call acknowledgement only) • Review interactions to ensure the SOP has been followed.	Yes/No/NA
	6	Has contact with the complainant occurred within two business days?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Check Interactions for evidence of contact attempts and/or successful contact, interaction is linked to complaint and correct interaction categories have been selected. • Check My Customer Request record for evidence of outcome notes being updated to reflect contact attempts/contact.	Yes/No/NA

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Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			• Review interactions/My Customer Request record to ensure the SOP has been followed.
7	Has contact been made with other COs if duplicate complaints?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• If more than one complaint open has Senior Complaints Officer approached other Complaints Officers assigned? • Check My Customer Request record for evidence of outcome notes being updated to reflect contact with complaints officer.	Yes/No/NA
8	Has a weekly update been provided?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Check My Customer Requests tab, selecting ‘outcome’ to see date of update. • Check the linked documents to the My Customer Requests/Feedback tab or the My Documents tab for evidence of the update email sent and confirm the SOP has been followed (i.e.,	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
				correct template has been used).
	9	Has RFA been submitted?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP and Member and Senators Contact Officer Off-System RFA Template	• Have issues raised in complaint been thoroughly investigated and has an RFA been submitted?	Yes/No/NA
Right Referral	10	Accurate identification of referral reason and correct business area for action.	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP and Member and Senators Contact Officer Off-System RFA Template and Request for Action Assignment Contacts List `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Have issues been clearly identified in RFA and appropriate action has been requested to address these issues? • Has the RFA been sent to the appropriate business area? • Are the timeframes in the RFA in line with the risk identified?	Yes/No/NA
	11	RFA sent within KPI?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP and Member and Senators Contact Officer Off-System RFA Template	• Has the RFA been sent to business area within identified KPI? • Check My Customer Requests tab, selecting outcome to see notes	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	12	Request for action (RFA) or Payment Enquiry template accurately followed.	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP and Member and Senators Contact Officer Off-System RFA Template `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Does the RFA follow the RFA template as per SOP and if email notification is required does it follow RFA email template as per SOP. • Ensure Payment Enquiry process followed	Yes/No/NA
	13	Has follow up occurred with business area if RFA due date has passed?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Check My Customer Requests tab, selecting outcome to see notes showing follow up with business area if RFA due date passed.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Resolution	14	Reasonable resolution of complaint?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Have the issues identified in the complaint been addressed? • Was the requested action in the RFA completed? • Have the actions been explained in the response to the MP/Senator and relevant detail provided addressing why these are the appropriate actions? • Have appropriate interactions/notes been recorded to reflect the action taken? • Where some action cannot be completed has this been explained in the response and in outcome notes? • Have appropriate next steps been provided in response to MP/Senator where applicable?	Yes/No/NA
Right Resolution	15	Closure steps followed?	MaSCO complaint follows: Members and Senators Contact Officer	Closure steps include:	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• All correspondence/conversations recorded and uploaded to appropriate area in CRM; • All Interactions linked to the Complaint; • All RFAs completed and closed; • Clear expectations provided to MP/Senator regarding the closure of complaint; • Apply detailed Outcome Notes and change status of Complaint to Closed. • Ensure the My Customer Request record has been updated to provide a brief outline of the complaint and outcome. • Has the complaint been closed within 21 days?
	16	Follow up recorded where necessary?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP	• Create follow up interaction in CRM for actions unlikely to be completed by complaint due date;	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			`https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Where complaint was closed but there were further actions required to ensure complaint is fully resolved i.e., action is required beyond the due date of the complaint (s100 completed, plan approved following escalated s48, plan implemented following escalated approval). Follow up interaction created with appropriate due dates and linked to My Customer Request record. • Follow Up created as per SOP.
	17	Follow up interaction closed?	MaSCO complaint follows: Members and Senators Contact Officer Managing a Complaint SOP `https://intranet.ndiastaff.ndia.gov.au/service-delivery/complaints`	• Where complaint was closed with follow up interaction, interaction was closed within due date or notes provided as to further follow up if unable to be closed by due date. • Where appropriate MP/Senator’s office has been provided update and follow	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
				up interaction notes this action.

Appendix Three — Ministerial External Response

Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Intake Process	1	Has the My Customer Request record been entered correctly?	• Ensure all fields completed in the My Customer Requests tab in CRM following guidance in Data Dictionary and SOP. • Complaint closed following all requirements outlined in SOP. Record Update a Complaint 3.2 Record a new complaint; and Data Dictionary for My Customer Request App	• Categorisation is as per the data dictionary. • Correct participant/provider record has been linked (Only 1 participant should be linked to any one complaint in CRM to ensure privacy of all participants). • Fields/information/attachments have been entered as per the SOP.	Yes/No/NA
	2	Has the complaint been acknowledged within two business days of receipt?	Participant Service Guarantee 48 hours but there are some stream specific timeframes.	• Date recorded for acknowledgement in My Customer Requests	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
				‘Outcome Notes’ is within two business days. • Date recorded in My Customer Request record ‘First Contact Date’ field is within two business days. • Email attached in My Customer Requests linked documents sent date aligns with dates recorded in above fields and is within two business days (Contact is made by email generally unless it is noted on the file that a phone call has been requested).
	3	Has correct Complaints Officer been assigned?	SOP Resolving Complaints 4.2 Complaint assignment in CRM	• Check the participant/provider record for history of complaints. • If more than one complaint open, ensure the issues are appropriately consolidated and that it is clear who will manage which part of the complaint.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
				• Check the linked documents to the My Customer Requests/Feedback tab or the My Documents tab for evidence of the acknowledgement email sent and confirm the SOP has been followed (i.e., correct template has been used). *If high/extreme risk, has the complaint been escalated to TL or AD as per SOP.
Right person	5	Has POI or consent been confirmed?	• Is there consent and if not has it been sought? • Review interactions to ensure the SOP has been followed. SOP Resolving Complaints 4.1 Consent and Privacy	• Is there evidence of consent on file to investigate and resolve the complaint under Details tab/Consent. • Has POI been completed (phone call acknowledgement only) or Third Party Consent document in Inbound Docs? • Review interactions to ensure the SOP has been followed	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Complaint Management Process	6	Has contact with the complainant occurred during the complaint management process?	• Contact is made by using the participant’s preferred method of contact. • Three documented contact attempts with dates & times interaction templates used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request if relevant, email exchange uploaded into Attachments in My Customer Request complaint. SOP Resolving Complaints 4.4.3 When contact is established; and Complaints Resolution and Oversight Template Guide Three documented contact attempts with dates & times Interaction templates used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request. SOP Resolving Complaints 4.4.4 Unable to Contact.	• Check Interactions for evidence of contact attempts and/or successful contact, interaction is linked to complaint and correct interaction categories have been selected. • Check My Customer Request record for evidence of outcome notes being updated to reflect contact attempts/contact. • Review interactions/My Customer Request record to ensure the SOP has been followed.	Yes/No/NA

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Complaints Quality Framework and Checklist

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	7	Has contact been made with other COs if duplicate complaints?	SOP Resolving Complaints 4.2 Complaint assignment in CRM.	• If more than one complaint open has Senior Complaints Officer approached other Complaints Officers assigned? • Check My Customer Request record for evidence of outcome notes being updated to reflect contact with complaints officer.	Yes/No/NA
	8	Has RFA been submitted?	As appropriate: SOP Resolving Complaints 4.5 Request for Action; SOP Resolving Complaints 4.5.1 Agency and Partner staff complaints; SOP Resolving Complaints 4.6 Payment Enquiries.	• Have issues raised in complaint been thoroughly investigated and has an RFA been submitted?	Yes/No/NA
Right Referral	9	Accurate identification of referral reason and correct business area for action.	As appropriate: SOP Resolving Complaints 4.5 Request for Action; SOP Resolving Complaints 4.5.1 Agency and Partner staff complaints;	• Have issues been clearly identified in RFA and appropriate action has been requested to address these issues?	Yes/No/NA

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Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	• SOP Resolving Complaints 4.6 Payment Enquiries.	• Has the RFA been sent to the appropriate business area? • Has the risk been assessed correctly based on the information available as per Escalation Prioritisation Matrix? • Are the timeframes in the RFA in line with the risk identified? For on-system RFAs check RFA tab to see date it was sent to business area. For off-system RFAs check attachments.
10	Request for action (RFA) or Payment Enquiry template accurately followed?	SOP Resolving Complaints 4.5 Request for Action; Complaints Resolution and Oversight Template Guide; • Standard Operating Procedure - Enter Escalation Payment Enquiry in NDIS Business System.	• Does the RFA follow the RFA template as per SOP and if email notification is required does it follow RFA email template as per SOP. • Ensure Payment Enquiry process followed	Yes/No/NA
11	Has follow up occurred with business area if RFA	Request for Action Assignment Contacts List;	• Check My Customer Requests tab, selecting outcome to see notes	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
	due date has passed?	SOP Resolving Complaints 4.5.7 Request for Action Escalation; Or SOP Enter Escalations Payment Enquiry 6.6 Receiving a response from the Payments Escalation Team.	showing follow up with business area if RFA due date passed.
Right Resolution	12	Reasonable resolution of complaint.	SOP Resolving Complaints 4.1 – 4.7	• Have the issues identified in the complaint been addressed?
• Was the requested action in the RFA completed?
• Have the actions been explained in the response to the MP/Senator and relevant detail provided addressing why these are the appropriate actions?
• Have appropriate interactions/notes been recorded to reflect the action taken?
• Where some action cannot be completed has this been explained in the response and in outcome notes?	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
				• Have appropriate next steps been provided in response to MP/Senator where applicable?
	13	Closure steps followed?	• SOP CMT Finalising a Ministerial Complaint
• SOP Resolving Complaints 4.8 Closing complaint item.
• Data Dictionary for My Customer Request App
• SOP Enter Escalations Payment Enquiry in NDIS Payment System
• SOP Record Update a Complaint
• Complaints Resolution and Oversights Template Guide.	Closure steps include:
• All correspondence/conversations recorded and uploaded to appropriate area in CRM;
• All Interactions linked to the Complaint;
• All RFAs completed and closed;
• Create follow up interaction in CRM for actions unlikely to be completed by complaint due date;
• Clear expectations provided to Complainant and MP/Senator regarding the closure of complaint;
• Apply detailed Outcome Notes and change status of Complaint to Closed.	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
				• Ensure the My Customer Request record has been updated to provide a brief outline of the complaint and outcome.
• Has the complaint been closed within 21 days?
	14	Follow up recorded where necessary.	SOP Resolving Complaints 4.7 Follow-up Process	• Where complaint was closed but there were further actions required to ensure complaint is fully resolved i.e., action is required beyond the due date of the complaint (s100 completed, plan approved following escalated s48, plan implemented following escalated approval).
• Follow up interaction created with appropriate due dates and linked to My Customer Request record.
• Follow Up created as per SOP.	Yes/No/NA

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Appendix Four – Executive Complaints

Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Intake Process	1	Has 2 day contact been completed and recorded correctly within timeframes?	Participant Service Guarantee 48 hours but there are some stream specific timeframes.
• Ensure that the stream guidance was followed.

CEO Complaints and Advocate Complaints: • Timeframe for contact to be made is 48 hours from receipt of complaint. • Contact is made by email using a complaint acknowledgement template unless phone call is the preferred method of contact.

Media complaints: From 2 hours to 1 day depending upon Media Branch request. | • Timeframe for acknowledgment/contact to be made using the template in the SOP. • Check the My NDIS Interactions for acknowledgement • Check My Customer Requests/My Documents tab for evidence of acknowledgement email sent. • Date recorded in My Customer Request record ‘First Contact Date’ field and noted in Outcomes. • Check complaint email uploaded into My Customer Requests Attachments. | Yes/No/NA | | | 2 | Has an email acknowledgement been sent to the referring Executive? | Check My Customer Requests Outcome Notes for evidence that an email was sent to the CEO/SES advising that the complaint has been | • The Executive Complaints team will provide an acknowledgement to the Executive office within two | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence
			received and allocated to a CO as per SOP:
Board and Executive Complaints Service Standards	business hours noting that a complaints officer will move forward with this complaint, see templates below.
	3	Has the complaint been recorded in CRM correctly, including the Source of Information?	• Ensure all fields completed in the My Customer Requests tab in CRM following guidance in Data Dictionary and SOP.
• Complaint closed following all requirements outlined in SOP CMT Investigating, Managing and Closing a Complaint
Record Update a Complaint 3.2 Record a new complaint; and

Data Dictionary for My Customer Request App | • Check fields are completed in the My Customer Requests tab in CRM, including non-mandatory fields. • Categorisation is as per the data dictionary • Correct participant/provider record has been linked • Fields/information/attachments have been entered as per the SOP. | Yes/No/NA | | | 4 | Has the RFA risk rating been recorded to the RFA tile? | Level 3 streams determine risk according to Risk Prioritisation Matrix. Process for recording Risk Rating in RFA. See: SOP Executive Complaints - Receive, Record, Manage and Close | • Executive Complaints have a process in place which requires us to record the level of complexity of the complaint in the RFA tile for data | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			2.1 How to record risk rating	reporting purposes. Open the Request for Action
	5	Where there are repeat complaints, has the complaint been allocated to the appropriate complaints officer?	• If more than one complaint open about the same issue ensure that it is clear who will manage all/ part of the complaint. The agreement must be documented within the complaint.

To avoid duplication, if the complaint is addressed to multiple areas within the NDIA and it is not yet being addressed by any other areas, the Executive Complaints inbox manager will advise that they are managing its resolution.

Executive Complaints - Receive, Record, Manage and Close 1. Receiving a referral in the Exec Complaints mailbox – 1.4 And Board and Executive Service Standards 3.09 Managing Complaints and Enquiries in collaboration with | • Check the participant/provider record for history of complaints. • Complaint has been assigned to Complaints Officer who has previously dealt with complaint. All streams: • If there is more than one open complaint about the same issue check instruction in SOP Resolving Complaints 4.2 Complaint assignment in CRM • If more than one complaint open check notes to identify negotiation of lead CO and recorded using Interaction template p • Check My Customer Request record Outcome notes updated to reflect | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
			other Business Areas including referrals to other Business Areas	contact with complaints officer.
	6	Has contact been made in line with valid consent?	• Proof of identity required if complainant is the Participant/Child Rep or Nominee and is contacted by phone.
• Third Party Consent required if complainant is not the Participant/Child Rep or Nominee
• Interaction outlining that consent was obtained if the complainant is not the Participant/Plan Nominee.
• Contact is made by using the participant’s preferred method of contact.
• Appropriate Interaction templates should be used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request

SOP Resolving Complaints 4.1 Consent and Privacy; | • Is there evidence of consent on file to investigate and resolve the complaint? • Has POI been completed (phone call acknowledgement only) or Third party Consent document in Inbound Docs? • Review interactions to ensure the SOP has been followed. • Check My Customer Request record for evidence of outcome notes being updated to reflect contact attempts/contact. • Review My NDIS Interactions/My Customer Request Interactions to ensure communications linked and SOP has been followed. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			SOP Resolving Complaints 4.4.3 When contact is established; and

Complaints Resolution and Oversight Template Guide | | | | | 7 | Have interactions been linked correctly? | SOP Executive Complaints – Receive, Record, Manage and Close 2.4 Interactions | • Check Interactions for evidence of contact attempts and/or successful contact, interaction is linked to complaint and correct interaction categories have been selected. | Yes/No/NA | | | 8 | Have the necessary documents been attached? | • Closure steps followed as per the SOP and reviewed in CRM. • All relevant NDIA guidance material has been followed. • All relevant CMT guidance followed • All stream specific guidance followed.

SOP Executive Complaints – Receive, Record, Manage and Close 4.1 How to close a complaint | • Ensure that complaint and all attachments have been uploaded to My customer Requests/Attachments tab | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	9	Was the complaint closed within 21 days?	• Complaint is resolved within PSG Timeframes and/or stream specific requirements.	• Complaint appropriately closed in system within 21 days of receipt.	Yes/No/NA
	10	Has the complainant been informed the complaint will now be closed?	SOP Executive Complaints – Receive, Record, Manage and Close 4.1 How to close a complaint	• Evidence recorded that the Complainant agreed to the closure of the complaint
• All interactions have been conducted and recorded in a respectful and professional manner.	Yes/No/NA
	11	Is the Outcome clearly recorded in the Complaint tile?	SOP Executive Complaints – Receive, Record, Manage and Close 4.1 How to close a complaint	• Ensure the record contains a brief outline of the complaint and outcome.	Yes/No/NA
	12	Has any necessary feedback been provided to relevant areas?	SOP Executive Complaints – Receive, Record, Manage and Close 4.1 How to close a complaint;

Request for Action Assignment Contacts List; | • Feedback provided to relevant business area using | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	13	Has a follow up interaction been recorded if required?	• A follow up interaction is required when a complaint has been closed but the business area indicated there were actions outstanding beyond the date of closure.
• It is important to review the interactions following the due date for evidence that the business area took the required action OR the Complaints Officer followed up on completion of the item and that the participant has been advised of this.

SOP Resolving Complaints 4.7 Follow-up Process | • Where complaint was closed but there were further actions required to ensure complaint is fully resolved i.e., action is required beyond the due date of the complaint (s100 completed, plan approved following escalated s48, plan implemented following escalated approval). Check My NDIS Interactions tab: • Follow up interaction created with appropriate due dates and linked to My Customer Request record. • Follow Up created as per SOP. • Where complaint was closed with follow up interaction, interaction was closed within due date or notes provided as to further follow up if unable to be closed by due date. | Yes/No/NA |

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Appendix Five – Oversight Bodies Complaints

Quality Area	Q	Mandatory Steps	Evidence
Right Intake Process	1	Has the complaint been acknowledged within the stream specific timeframe?	• Timeframe for contact to be made is within NDIA agreed response time with external body:
Commonwealth Ombudsman:
• 7a - No acknowledgment required. Must be completed within five business days. No contact with complainant unless requested to contact (rare).
• s8 - Acknowledgment to OMBO within 24 hours. Acknowledgement to complainant not required unless specifically requested.
• Warm transfer – CO to contact complainant within five business days and manage as a level 2 complaint.

• ADC - No acknowledgement required or contact with complainant. Within 48 hrs Oversight must refer request to NSW Ops to undertake discreet check-in with participant that the report relates to. Stand-alone | • Check My NDIS Interactions for evidence of complaint acknowledgement • Check My Customer Requests/My Documents tab for evidence of written communication. • Check complaint email uploaded into My Customer Requests Attachments. • Check acknowledgement is recorded in My Customer Requests record ‘Outcome Notes’ using appropriate template. • Check date recorded in My Customer Request record ‘First Contact Date’ field is within 48 hours of receipt of complaint into Agency. • Check Acknowledgement email uploaded in My | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			customer request tile is created on CRM and participant is linked to complaint tile via an interaction. Details are recorded on CRM within this tile.
Response time to ADC depends on assigned risk - High risk five bus days and all other 10 bus days. Occasionally NDIA receives referral of info - no action required but refer to NSW Ops for their information.

• NDIS Commission In/out/Request for Information - Referral In: contact the complainant within two bus days. Response to Commission within 14 days. Complaint to be finalised within 21 days. Referral Out: Refer to Commission within five business days. No contact with complainant. Request for info - Respond to Commission within 5-14 days (depending on risk). • Adults Safeguards Unit SA - No acknowledgement required or contact | Customer Requests Attachments. • Check ADC item is linked to participant via an interaction | |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			with complainant. Within 48 hrs Oversight must refer request to Escalations SA to undertake discreet check-in with participant that the report relates to. Stand-alone customer request tile is created, and participant is linked via an interaction. Off system RFA used and uploaded to CRM.
Response time to SA ASU depends on assigned risk - High risk five business days and all other 10 bus days. Occasionally NDIA receives referral of info - no action required but refer to Escalations SA for their information.

• Vic Disability Services Commissioner - Acknowledgement to DSC within 24 hours. Contact with participant required within 2 days unless stated otherwise. All processes recorded on CRM tile as per warm transfer process. CRM tile linked to participant via related party’s screen. • AHRC - Acknowledgement required to legal team within 24 hours. No contact with complainant. Complaint | | |

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Quality Area	Q	Mandatory Steps	Evidence
			recorded on CRM tile and linked to participant via related party’s screen.
	2	Has the participant been linked appropriately to the Complaint?	• ADC and SA ASU are linked to participant via an interaction on the participant’s record. All others are linked via the related party’s screen.
• If not appropriate to link participant ensure that the stream guidance was followed.
• Only one participant or provider should be linked to a complaint in CRM to ensure privacy of all participants.

SOP Resolving Complaints 4.3.2 Related Parties. | • Check the My Customer Requests tab, selecting “Categorisation” and then “Related Parties” to confirm that the participant has been linked to the Complaint. For ADC and SA ASU check that participant has been linked via an interaction to the complaint. • Ensure that correct Participant has been linked. • Check My NDIS Interaction is linked to complaint and correct interaction categories have been selected. | Yes/No/NA | | | 3 | Where there are repeat complaints, has the complaint been allocated to the appropriate complaints officer? | • If more than one complaint is open about the same issue ensure that it is clear who will manage all/ part of the complaint. The agreement must be documented within the complaint. • Same CO is not allocated as a rule but preferred where workloads permit. | • Same CO is allocated where workloads permit. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			SOP Resolving Complaints 4.2 Complaint assignment in CRM.
Right person

Right Complaint Management Process | 4 | Confirm appropriate consent obtained to receive complaint? | Complaint lodged via an external stakeholder usually has consent to lodge with Agency based on existing policy and legislation between the two Agencies. • Proof of identity required if complainant is the Participant/Child Rep or Nominee and is contacted by phone. • Third Party Consent required if complainant is not the Participant/Child Rep or Nominee • Interaction outlining that consent was obtained if the complainant is not the Participant/Plan Nominee.

SOP Resolving Complaints 4.1 Consent and Privacy. | Applies to any complaint where contact is made with complainant: • Is there evidence of consent on file to investigate and resolve the complaint? • Has POI been completed (phone call acknowledgement only) or Third party Consent document in Inbound Docs? • Review interactions to ensure the SOP has been followed. | Yes/No/NA | | | 5 | Where appropriate contact made with Complainant to | • When stakeholder is an external body all documentation is included within the My Customer Request | Note: Where stakeholder is an external body all documentation is to be | Yes/No/NA |

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Quality Area	Mandatory Steps	Evidence
	clarify issues raised within the complaint.	complaint tile but NOT My NDIS interactions. When contact with a participant is required this will follow usual process.
• Contact is made by using the participant’s preferred method of contact.
• Appropriate Interaction templates should be used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request

SOP Resolving Complaints 4.4.3 When contact is established; and

Complaints Resolution and Oversight Template Guide | recorded within the My Customer Request Outcomes tab and complaint interactions and NOT recorded My NDIS interactions. • When there is contact with a participant this will follow usual process using the participant’s preferred method of contact• Check My Customer Requests Interactions for evidence of contact made and details of the conversation are clearly recorded. If written communication, check that a copy has been uploaded to the My Customer Requests/Attachments tab. • Check that appropriate Interaction templates used to record contact made with complainant in My NDIS interactions. | |

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Quality Area	Q	Mandatory Steps	Evidence
	6	Contact & Unable to Contact guidance followed.	• Applicable when the External Agency requires that you contact the complainant:
• Due to the nature of Oversight complaints, lack of contact with complainant would not be an impediment to progress of complaint.
• Review Interactions for evidence of contact attempts as per the Unable to Contact process.

SOP Resolving Complaints 4.4.4 Unable to Contact | • Applicable when the External Agency requires that you contact the complainant: • Check for evidence of two genuine attempts to contact the complainant by phone. • Check that if unsuccessful, an email was sent. However, if the complainant’s preferred contact method is email then an email is sent as first attempt of contact. | Yes/No/NA | | | 7 | Right issue/s identified in the Complaint? | All Oversight Stream work is from an external body who have provided issues for review. • Contact with complainant will clarify issues raised in Ombo and NDIS Commission warm transfers • Further clarification can be sought from Ombudsman investigation officers for section 8 investigations where required. • A check-in call with the participant from NSW Ops can clarify issues not | Note: Where stakeholder is an external body all documentation is to be recorded within the My Customer Request Outcomes and interactions. Conversations with participant should be recorded in MY NDIS interactions. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			clearly identified in an ADC or SA ASU referral.
• Where contact with the participant has been made, this should be recorded in a My NDIS Interaction linked to the complaint and if relevant, email exchange uploaded into Attachments in My Customer Request complaint.

SOP Resolving Complaints 4.3 Preliminary Investigation | • Check that Complaints Officer has identified key issues of complaint. • This includes identifying the specific issues the complainant has raised and determining whether the investigation should be limited to addressing an individual issue or is of a more general nature requiring broader consideration. | | | | 8 | Confirm Complaint recorded correctly in accordance with CMT Guidance Material | • Ensure all fields completed in the My Customer Requests tab in CRM following guidance in Data Dictionary and SOP. • Complaint closed following all requirements outlined in SOP CMT Investigating, Managing and Closing a Complaint

Record Update a Complaint 3.2 Record a new complaint; and | Follow as per all complaints stream practice: • Check fields are completed in the My Customer Requests tab in CRM, including non-mandatory fields. • Categorisation is as per the data dictionary • Correct participant/provider record has been linked • Fields/information/attachments have been | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
			Data Dictionary for My Customer Request App	entered as per the SOP. Particularly ensure response attachment is uploaded for all complaints
• Complaint closed following all requirements outlined in SOP CMT Investigating, Managing and Closing a Complaint
	9	Risk correctly identified and reasoning recorded.	• Wider range of considerations can be applied in the Oversight Bodies space due to the nature of the complaints.
• Allocating officer determines Risk Assessment.
• Risk assessment recorded in Outcomes for each complaint.
• Justification for priority level to be documented by the CO in My Customer Requests Outcomes tab.

Escalation Prioritisation Matrix; and | • Check that information contained in the Complaint and the participant’s circumstances have been applied to the Escalation Prioritisation Matrix and recorded My Customer Requests Outcomes. • Check that appropriate timeframe applied based on the risk rating. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence
			Relevant stakeholder SOP available on Complaints and Participant Incidents Team web page
Right Referral	10	The referral process was correctly followed and to the appropriate area via the appropriate channel.	• Clarity of outstanding issues requiring referral for resolution.
• Review that it is within the scope of the business area to be able to resolve the relevant type of complaint. Use Action Assignment Contact list for reference.
• Has the complaints Officer responsible forwarded the referral to the correct business area using the correctly requested channels i.e. (RFA/Email)

As appropriate: SOP Resolving Complaints 4.5 Request for Action;

SOP Resolving Complaints 4.5.1 Agency and Partner staff complaints; | • Have issues been clearly identified in RFA and appropriate action has been requested to address these issues? • Has the RFA been sent to the appropriate business area? • Has the risk been assessed correctly based on the information available as per Escalation Prioritisation Matrix? • Are the timeframes in the RFA in line with the risk identified? For on-system RFAs check RFA tab to see date it was sent to business area. For off-system RFAs check attachments. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence
			SOP Resolving Complaints 4.6 Payment Enquiries.
	11	Request for action (RFA) or Payment Enquiry (PE) template accurately followed?	• Where an RFA is required the Complaints, Officer is responsible for following the appropriate template accurately.
• Ensure Payment Enquiry process followed if relevant.

SOP Resolving Complaints 4.5 Request for Action

Complaints Resolution and Oversight Template Guide

Standard Operating Procedure - Enter Escalation Payment Enquiry in NDIS Business System. | • Check that the RFA follows the RFA template as per SOP and if email notification is required does it follow RFA email template as per SOP. • Check that there are no errors in RFA or missed fields. • Check that complaint issues described accurately and clearly. • Reference to next steps as determined in complaint investigation to be included. • Check that if it is a Payment Enquiry that Payment Enquiry process followed as per SOP including linked interaction to My Customer Requests Interactions. | Yes/No/NA | | | 12 | When referring to another business area has an accurate | • For RFA/PE or referral to another business area where a risk rating is required the Risk level must be | • Evidence that information contained in the Complaint and the participant’s | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
		risk assessment been conducted based on the information available?	assessed against Escalation Prioritisation Matrix

Escalation Prioritisation Matrix. | circumstances have been applied to the Escalation Prioritisation Matrix and recorded in the RFA template. • Appropriate timeframe selected based on risk rating. • Has the RFA been sent to business area within identified KPI? • Check My Customer Requests tab, selecting outcome to see notes showing date RFA was sent to team. • For on-system RFAs check RFA tab to see date it was sent to business area. For off-system RFAs check attachments. | |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	13	Has follow up occurred with business area if RFA/PE due date has passed?	• Complaints Officers may need to follow up with the business area for a response if not received by due date.
• Should a response not be received after an email reminder is sent, the response request is to be escalated to the escalation person noted in the Request for Action Assignment Contacts List.

Request for Action Assignment Contacts List;

SOP Resolving Complaints 4.5.7 Request for Action Escalation; Or

SOP Enter Escalations Payment Enquiry 6.6 Receiving a response from the Payments Escalation Team | • Check My Customer Requests tab, selecting Outcome to see notes showing follow up with business area if RFA due date passed. • An interaction will be recorded detailing that a follow-up to the RFA has been sent. • A copy of the Email requesting escalation is available in the record. | Yes/No/NA | | Right Resolution | 14 | All issues within the complaint have been addressed. | • Complaint resolution considers the elements of the complaint and the requested outcome. | • Ensure appropriate template completed accurately and that the resolution letter includes reference to the | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			• The requested outcome may not be possible however all matters must be addressed with the complainant.

SOP Resolving Complaints 4.1 – 4.7 | steps taken by the business area to resolve the complaint. • Complainant contacted by their preferred contact method to advise of the complaint outcome and actions taken. • Check that there is documented evidence indicating that the complaint resolution addresses the elements of the complaint and the requested outcome. • Was the requested action in the RFA completed? • Have appropriate interactions/notes been recorded to reflect the action taken? • Where some action cannot be completed has this been explained in the response and in outcome notes? • Next steps and/or the participant’s further right to | |

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Quality Area	Q	Mandatory Steps	Evidence
	15	Closure steps followed?	• Closure steps followed as per the SOP and reviewed in CRM.
• All relevant NDIA guidance material has been followed
• All relevant CMT guidance followed

SOP Resolving Complaints 4.8 Closing complaint item | Closure steps include: • All correspondence/conversations recorded and uploaded to appropriate areas in CRM; • Interactions linked to the Complaint where it is appropriate to do so; • All RFAs completed and closed; • Create follow up interaction in CRM for actions unlikely to be completed by complaint due date; • Clear expectations provided to complainant regarding the closure of complaint; • Apply Outcome Notes template and change status of Complaint to Closed. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
				• Ensure the record contains a brief outline of the complaint and outcome.
• Ensure that complaint and all attachments have been uploaded to My customer Requests/Attachments tab
• Has the complaint been closed within 21 days or 28 days for a Section 8 investigation?
	16	Follow up recorded where necessary?	• A follow up interaction is required when a complaint has been closed but the business area indicated there were actions outstanding beyond the date of closure.
• It is important to review the interactions following the due date for evidence that the business area took the required action OR the Complaints Officer followed up on completion of the item and that the participant has been advised of this.	• General practice in the Oversight Bodies space is to ensure that the resolution correspondence includes references to the completed actions by the business area.
• Follow up on the outstanding actions post-closure of complaint must be conducted if the business area’s actions are outstanding at the time of closure.	Yes/No/NA

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Quality Area	Evidence	Guidance Considerations
	SOP Resolving Complaints 4.7 Follow-up Process	• Where complaint was closed but there were further actions required to ensure complaint is fully resolved i.e., action is required beyond the due date of the complaint (s100 completed, plan approved following escalated s48, plan implemented following escalated approval).
Check My NDIS Interactions tab:
• Follow up interaction created with appropriate due dates and linked to My Customer Request record as per SOP.
• Where complaint was closed with follow up interaction, interaction was closed within due date or notes provided as to further follow up if unable to be closed by due date.

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Appendix Six – Informal Ministerial Response

Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Intake Process	1	Has the My Customer Request record been entered correctly?	• Ensure all fields completed in the My Customer Requests tab in CRM following guidance in Data Dictionary and SOP.
• Complaint closed following all requirements outlined in SOP.

Record Update a Complaint 3.2 Record a new complaint; and

Data Dictionary for My Customer Request App | • Categorisation is as per the data dictionary; • Correct participant/provider record has been linked (Only 1 participant should be linked to any one complaint in CRM to ensure privacy of all participants); • Fields/information/attachments have been entered as per the SOP | Yes/No/NA | | | 2 | Has the complaint been acknowledged within Informal Response stream guidelines? | Participant Service Guarantee 48 hours but there are some stream specific timeframes. | • Date recorded for acknowledgement in My Customer Requests record ‘Outcome Notes’ is within stream requirement. • Date recorded in My Customer Request record ‘First Contact Date’ field is within stream requirement. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
				• Email attached in My Customer Requests linked documents sent date aligns with dates recorded in above fields and is within stream requirement. (Contact is made by email generally unless it is noted on the file that a phone call has been requested).
	3	Has correct Complaints Officer been assigned?	SOP Resolving Complaints 4.2 Complaint assignment in CRM.	• Check the participant/provider record for history of complaints.
• If more than one complaint open, ensure the issues are appropriately consolidated and that it is clear who will manage which part of the complaint.
• Check the linked documents to the My Customer Requests/Feedback tab or the My Documents tab for evidence of the acknowledgement email sent and confirm the SOP has	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
				been followed (i.e., correct template has been used).
*If high/extreme risk, has the complaint been escalated to TL or AD as per SOP.
Right person	5	Has POI or consent been confirmed?	• Is there consent and if not has it been sought?
• Review interactions to ensure the SOP has been followed.

SOP Resolving Complaints 4.1 Consent and Privacy | • Is there evidence of consent on file to investigate and resolve the complaint under Details tab/Consent. • Has POI been completed (phone call acknowledgement only) or Third Party Consent document in Inbound Docs? • Review interactions to ensure the SOP has been followed | Yes/No/NA | | Right Complaint Management Process | 6 | Has contact with the complainant occurred during the complaint management process? | • Contact is made by using the participant’s preferred method of contact. • Three documented contact attempts with dates & times interaction templates used to record contact made with complainant in My NDIS Interactions and linked to My Customer Request If relevant, email | • Check Interactions for evidence of contact attempts and/or successful contact, interaction is linked to complaint and correct interaction categories have been selected. • Check My Customer Request record for evidence | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			exchange uploaded into Attachments in My Customer Request complaint.

SOP Resolving Complaints 4.4.3 When contact is established; and

Complaints Resolution and Oversight Template Guide; and/or

SOP Resolving Complaints 4.4.4 Unable to Contact | of outcome notes being updated to reflect contact attempts/contact. • Review interactions/My Customer Request record to ensure the SOP has been followed | | | | 7 | Has contact been made with other COs if duplicate complaints? | SOP Resolving Complaints 4.2 Complaint assignment in CRM. | • If more than one complaint open has Senior Complaints Officer approached other Complaints Officers assigned? • Check My Customer Request record for evidence of outcome notes being updated to reflect contact with complaints officer. | Yes/No/NA | | | 8 | Has RFA been submitted? | As appropriate: SOP Resolving Complaints 4.5 Request for Action; | Have issues raised in complaint been thoroughly | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			SOP Resolving Complaints 4.5.1 Agency and Partner staff complaints;

SOP Resolving Complaints 4.6 Payment Enquiries. | investigated and has an RFA been submitted? | | | Right Referral | 9 | Accurate identification of referral reason and correct business area for action. | As appropriate: SOP Resolving Complaints 4.5 Request for Action;

SOP Resolving Complaints 4.5.1 Agency and Partner staff complaints;

SOP Resolving Complaints 4.6 Payment Enquiries. | • Have issues been clearly identified in RFA and appropriate action has been requested to address these issues? • Has the RFA been sent to the appropriate business area? • Has the risk been assessed correctly based on the information available as per Escalation Prioritisation Matrix? • Are the timeframes in the RFA in line with the risk identified? For on-system RFAs check RFA tab to see date it was sent to business | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
				area. For off-system RFAs check attachments.
	10	Request for action (RFA) or Payment Enquiry template accurately followed.	SOP Resolving Complaints 4.5 Request for Action;

Complaints Resolution and Oversight Template Guide;

Standard Operating Procedure - Enter Escalation Payment Enquiry in NDIS Business System. | • Does the RFA follow the RFA template as per SOP and if email notification is required does it follow RFA email template as per SOP. Ensure Payment Enquiry process followed. | Yes/No/NA | | | 11 | Has follow up occurred with business area if RFA due date has passed? | Request for Action Assignment Contacts List;

SOP Resolving Complaints 4.5.7 Request for Action Escalation; Or

SOP Enter Escalations Payment Enquiry 6.6 Receiving a response from the Payments Escalation Team. | • Check My Customer Requests tab, selecting outcome to see notes showing follow up with business area if RFA due date passed. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Resolution	12	Reasonable resolution of complaint?	SOP Resolving Complaints 4.1 – 4.7	• Have the issues identified in the complaint been addressed?
• Was the requested action in the RFA completed?
• Have the actions been explained in the response to the MP/Senator and relevant detail provided addressing why these are the appropriate actions?
• Have appropriate interactions/notes been recorded to reflect the action taken?
• Where some action cannot be completed has this been explained in the response and in outcome notes?
• Have appropriate next steps been provided in response to MP/Senator where applicable?	Yes/No/NA
	13	Closure steps followed?	SOP Resolving Complaints 4.8 Closing complaint item;	Closure steps include:	Yes/No/NA

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			Data Dictionary for My Customer Request App;

SOP Enter Escalations Payment Enquiry in NDIS Payment System;

SOP Record Update a Complaint Complaints Resolution and Oversights Template Guide. | • All correspondence/conversations recorded and uploaded to appropriate area in CRM; • All Interactions linked to the Complaint; • All RFAs completed and closed; • Create follow up interaction in CRM for actions unlikely to be completed by complaint due date; • Clear expectations provided to Complainant and MP/Senator regarding the closure of complaint; • Apply detailed Outcome Notes and change status of Complaint to Closed. • Ensure the My Customer Request record has been updated to provide a brief outline of the complaint and outcome. | |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
				• Has the complaint been closed within 21 days?
	14	Follow up recorded where necessary?	SOP Resolving Complaints 4.7 Follow-up Process	• Where complaint was closed but there were further actions required to ensure complaint is fully resolved i.e., action is required beyond the due date of the complaint (s100 completed, plan approved following escalated s48, plan implemented following escalated approval). Follow up interaction created with appropriate due dates and linked to My Customer Request record.
• Follow Up created as per SOP.	Yes/No/NA

Appendix Seven – Participant Critical Incidents

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
Right Intake Process	1	Was the PCI changed into officer’s name in CRM and Tracker and were any additional unassigned PCIs for the same participant also taken?	• The PCI will be the actioning officer’s name in both CRM and the PCI tracker.
• Any additional PCIs received on the same date should also be in the actioning officers name in CRM and the tracker.

SOP Internal notification of a Participant Critical Incident 3.4 Assess the participant critical incident form notification | • Even though PCI may only be a few days apart often we can be working on incidents received in the last 24 hours. As such PCI may already be closed when a new PCI comes in the next day. | Yes/No/NA | | | 2 | Was this incident classified correctly in line with criteria from PCI framework? | • Check both the tracker and CRM to ensure correct categories and subcategories have been selected.

SOP Internal notification of a Participant Critical Incident 3.4 Assess the participant critical incident form notification | • Where multiple categories have been identified the category presenting the biggest risk should be selected. | Yes/No/NA | | | 3 | Has an RFA enquiry been completed with the correct risk assessment applied | • Ensure all fields are completed in the RFA word document and correct template used. | • Tracker notes should indicate if a red rated incident was recorded. It should be directed to the officer’s line | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
		and due date noted, if applicable? Where applicable have red rated incidents been reported to the Risk Team?	• Check the risk level applied in the risk matrix to see if the correct response date was used.

SOP Internal notification of a Participant Critical Incident 3.4 Assess the participant critical incident form notification | manager who in turn will reports the incident through to the Risk Team. | Yes/No/NA | | | 4 | Was the RFA enquiry clear about the actions/information requested? | • Has the PCI been summarized accurately? • Do the proposed actions address the concerns raised in the PCI and ensure the participants safety both immediately and long term within scope of the Agency?

SOP Internal notification of a Participant Critical Incident 3.4 Assess the participant critical incident form notification. | • The incident summary should cover the key elements of the incident and not say “see attached PCI” or be a copy and paste of the incident summary from the PCI form. • The requested actions should be clear and measurable with definitive outcome requests. | Yes/No/NA | | | 5 | Have all immediate/emergency response actions been | • Were sufficient actions taken by the PCI officer to address any immediate risk to the participant’s safety? | • This may involve the PCI officer contacting emergency services or ensuring | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations
		undertaken or requested?	SOP Internal notification of a Participant Critical Incident 3.4 Assess the participant critical incident form notification	emergency services were contact by others.
• This may also involve seeking clarification around incidents to understand the level of risk when the information supplied is vague or unclear.	Yes/No/NA
	6	Were all areas of concern raised within the PCI addressed and relevant actions taken as per the SOP?	• Secondary incidents may be identified as part of an investigation into the primary concerns raised and these should be addressed.
• Closure email and the tracker should include these secondary incidents and the actions taken to address them

SOP Internal notification of a Participant Critical Incident 3.4 Assess the participant critical incident form notification | • Is there evidence of consent on file to investigate and resolve the complaint? • Often secondary incidents will be present in PCI involving unauthorised restrictive practices (URP) when the URP involves abuse or neglect • The actions taken section of the closure email and the tracker notes should show what actions were taken to address the incidents. | Yes/No/NA | | | 7 | Have all external notifications including the NDIS Commission | • The NDIS Quality & Safeguard Commission must be notified of | • The PCI tracker will indicate if the NDIS Quality & | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
		been completed as applicable?	incident involving providers whether registered or unregistered.
• These reports must be made within 48 hours of the PCI being identified as a critical incident with the exception of URP PCIs which must be reported within 5 days.

SOP Closure and reporting of a participant critical incident 3.2 Documenting and Closure of CRM items | Safeguard Commission was notified • Other external notifications may include but are not limited to Child Protection, state based disability authorities such as the Ageing & Disability Commission in NSW, non-emergency police (131444) | Yes/No/NA | | | 8 | Have the reporter and if applicable, other stakeholders been informed of the outcome? | • The closure email will show all parties notified. This email will be sent from the PCI inbox but also have the PCI inbox cc’ed in.

SOP Closure and reporting of a participant critical incident 3.2 Documenting and Closure of CRM items. | • The PCI OneNote contact page shows all relevant areas that closure email need to be sent to. • With the exception of PCI sent from NCC staff closure emails should also include any internal NDIS staff or inboxes included in the initial email reporting the PCI. | Yes/No/NA | | | 9 | Was the incident closed by the due date? | • Complaint appropriately closed in system within 21 days of receipt. | • Please note this is 21 calendar days not business days. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
			SOP Closure and reporting of a participant critical incident3.2 Documenting and Closure of CRM items.
	10	If follow up actions were recorded has these been closed? (N/A is no F/up)	• Follow up actions should be used when the only outstanding work is waiting for a response from other business areas. PCIs in follow up will be closed in CRM but placed in finalised with follow up in the tracker.

SOP Closure and reporting of a participant critical incident3.2 Documenting and Closure of CRM items. | • Tracker should show additional notes indication additional follow up actions as well as actions taken at the time the PCI is changed from finalised with follow up to finalised. | Yes/No/NA | | | 11 | If applicable, has feedback been delivered to relevant stakeholders? Was this done in line with guidance materials? | • Feedback should be supplied when information within a PCI indicates actions or inaction of NDIA staff contributed to placing a participant at risk. | • Feedback to the NCC is via the NCC feedback tracker located in the PCI folder in the R drive. • Feedback to all other NDIA staff should be directed through the PCI officers line manager. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence	Guidance Considerations	Response Options
	12	Were all the actions detailed in the response?	• The closure email should have sufficient information in the actions taken section to clearly communicate why the PCI officer feels no further action is required.
Actions taken may still be required even in the event of a withdrawn PCI.

SOP Closure and reporting of a participant critical incident3.2 Documenting and Closure of CRM items | • Actions taken should clearly show what actions were taken by whom to address the incident. | Yes/No/NA | | | 13 | Have acronyms been used correctly and emails sent without administration errors? | • PCI have set templates to be used. All highlighted sections must be removed and correct subject lines used. • All text must be in a uniform font and size (Arial 11)

SOP Closure and reporting of a participant critical incident3.2 | • Correct templates can be located in PCI one note template page. | Yes/No/NA |

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Quality Area	Q	Mandatory Steps	Evidence
		Documenting and Closure of CRM items
	14	Has the outcome been clearly reported in the tracker including any actions taken prior to closure and has the PCI been correctly closed in CRM?	• PCIs status should be updated as withdrawn, closed or delete - duplicate when closed in CRM with no details regarding the actions taken.
• Full details on the actions taken should be in the tracker.

SOP Closure and reporting of a participant critical incident 3.2 Documenting and Closure of CRM items | • Comments in CRM should be limited to: Relevant business areas notified, or similar. | Yes/No/NA | | | 15 | Have all relevant documents been filed correctly? | • All emails pertaining to the PCI including the initial email lodging the PCI should be file correctly in Outlook. This includes cc’ing in the PCI inbox on all outgoing correspondence to ensure record of emails sent are filed correctly. | • PCI and associated correspondence are to be filed by the month the initial PCI email was received not the month it is closed. | Yes/No/NA |

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