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DOCUMENT 2

Standard Operating Procedure

For Internal Use Only

Record, view and update a complaint

The content of this document is OFFICIAL. This Standard Operating Procedure (SOP) will help you record, view and update complaints in the NDIS Business System (System) using the My Customer Request tile.

This SOP is to be used by:

NDIA staff including Access, Engagement, Planners and Business Support Officers
Partners in the Community (Early Childhood Partners and Local Area Coordinators)
Payment Analysts
National Contact Centre staff.

1. Recent updates

Date	What’s changed
August 2023	Updated to include new Risk and Escalation Matrix. Updated Section 3.3.1 to include need for all Level 1 complaints to be entered in CRM and all appropriate fields within the complaint item to be completed prior to closure of the complaint. Updated First contact date explanation.
September 2021	SOP moved to new SOP template. Content duplicated from the NDIS Complaints and feedback framework June 2020 has been removed.

2. Checklist

Topic	Checklist
Pre-requisites	❑ You have read and understood the Complaints and Feedback Framework and the CPIT — Complaints Tile Data Dictionary ❑ You have added the My Customer Requests tile on your NDIS Home screen. Refer to Standard Operating Procedure — Personalise your Home screen in the NDIS Business System
Actions	❑ 3.1 Determine complaint level ❑ 3.2 Record a new complaint ❑ 3.3 Resolve a complaint

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Standard Operating Procedure

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Topic	Checklist
	❑ 3.4 Add a complaint interaction ❑ 3.5 Acknowledge a complaint by email ❑ 3.6 View or update an existing complaint ❑ 3.7 Withdraw a complaint ❑ 3.8 Record a complaint about NDIA or Partner staff ❑ 3.9 Respond to an anonymous complaint ❑ 3.10 Provide a complaint status update

3. Procedure

3.1 Determine complaint level

Use the Complaints and Feedback Framework to determine the complaint level. If you are recording an Assistive Technology complaint, make sure you refer to Appendix B: Risk and Escalation Matrix in the Complaints and Feedback Framework when determining the complaint level.

Make a note of the complaint level. You will record this in section 3.2 step 16.

3.2 Record a new complaint

From the My Home screen, select My Customer Requests.

The My Customer Requests screen will display. Select Create.

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Standard Operating Procedure

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Standard Operating Procedure

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The Related Persons screen will display.

3.2.1 If the person making the complaint (complainant) wants to remain anonymous

At Does the Individual Prefer to Remain Anonymous? select Yes.

Tell the complainant:

If you want to remain anonymous, we will not be able to contact you if we need to clarify your complaint, ask further information or give you updates. This means we may not be able to resolve the complaint.

Ask the complainant if they would like to continue with the complaint.

Select No if they don’t want to continue. You will be returned to the home screen. You don’t need to do anything else.
Select Yes if they want to continue with the complaint.

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Standard Operating Procedure

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3.2.2 If the complainant doesn’t want to remain anonymous

At Does the Individual Prefer to Remain Anonymous? select No.

The Source of Information field will display.

Select the most appropriate option from the from the menu.

If you’re not sure which option to select, refer to Section 5 – Source of Information – CPIT – Data Dictionary for the My Complaints tile.

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Standard Operating Procedure

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If the Source of Information is a participant or provider, select the search icon (two overlapping boxes) to open the search field. If the Source of Information is not a participant or provider continue to step 8.

Search for and select the correct participant (Person) or provider (Organisation) record.

If you select a participant, a message will display - Please POI the participant to confirm their details are correct. Verify the participant’s details using Standard Operating Procedure – Use evidence to confirm identity.

If you select a provider, verify their details (name, address, phone number) against what is recorded in the System. Refer to Standard Operating Procedure – Use evidence to confirm identity for more information.

If the Source of Information is not the participant or provider, complete the fields First Name, Last Name, Phone Number and Email.

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Standard Operating Procedure

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Select Next Page.

The Details screen will display. Select the Communication Channel from the drop-down list.

Select Complaint.

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Standard Operating Procedure

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Note: The Enquiry tile on this page is to be used by National Call Centre and the Complaints team staff only. National Delivery staff must add an interaction if recording an enquiry.

At Please Summarise the Details of this Record add a brief description of the complaint.

At Please Describe Details of this Record add a detailed description of the complaint.

At Does the Individual Have a Desired Resolution? Select Yes or No.

If No is selected, select Next Page and continue to step 16.
If Yes is selected, Desired Resolution will display. Select the most appropriate option from the drop down menu.

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Standard Operating Procedure

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At Desired Resolution Details provide a detailed description of the complainant’s concerns. When finished, select Next Page.

The Categorisation screen displays. At What is the request level of complexity select Level 1, 2 or 3 based on your determination in Section 3.1. Complete all other fields.

Note: Date feedback was received by NDIA will default to the date the information is entered into the System. If this is not the date the complaint was received, enter the correct date.

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Standard Operating Procedure

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Select Add Related Parties (plus sign).

Note: The Related Parties field links a complaint to a person or organisation record via My NDIS and My Organisations. For privacy reasons, only one related party should be linked to each complaint.

At the Category field, select one of the following options:

Person (participant): continue to step 19.
Organisation (partners in the community or providers): continue to step 20.

Add the First Name and Last Name of the person. Select Search Related Parties.

At Org Name add the organisation name. Select Search Related Parties.

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Standard Operating Procedure

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The search results will display. Select the check box next to the correct record and select Ok.

The selected record will display. Select the check box next to the name of the related party, then select Submit.

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Standard Operating Procedure

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The Submit message will display, select Continue.

Note: If you need to change any information, select Cancel to return to the previous screen.

The success message will display. Select OK.

Once a complaint has been submitted you will not be able to delete a Related Party. If you have added a Related Party incorrectly, email the Complaints and Participant Incidents Team. Include the following details in your email:

Subject: My Customer Requests Tile - request to delete related party
Message:
- the Complaint ID (which is located in the top left corner of the Complaint Item)
- the Participant or Provider ID you have incorrectly added.

If an error message displays, this means you have not completed all fields. Select Close.

Select the Alert to show the error report.

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Standard Operating Procedure

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The Validation Error screen will display. Select the expander to view the errors.

Note: All fields with an error will display with red highlight. All mandatory fields must be completed before the form can be submitted. This may require movement between the Related Person, Details and Categorisation screens.

Select Previous Page to move back to correct the errors.

Repeat for each error.

Once all fields are complete, select Submit.

A success message will display. Select Ok.

3.3 Resolve a complaint

You should wherever possible resolve Level 1 complaints at the first point of contact.

Follow the steps in the Complaints and Feedback Framework to try to resolve the complaint.
If you can’t resolve the complaint it will be automatically assigned to the Complaints and Participant Incidents Team. Level 2 and 3 complaints are also automatically assigned to this team.
If you resolve the complaint at the first point of contact go to 3.3.1 Close a complaint at first point of contact.

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Standard Operating Procedure

For Internal Use Only

3.3.1 Close a complaint at first point of contact

All level 1 complaints must be entered into CRM inclusive of where a complaint is acknowledged and resolved on the same day at the time of the initial conversation with the complainant.

Where a complaint is entered and resolved following a conversation with the complainant the staff member is required to enter the complaint as a level 1 complaint in CRM and forward the complaint number to the complainant.

Prior to following the closure steps outlined below you must ensure all the appropriate fields have been completed. Refer to section 3.2 above for steps required to record a new complaint.

From the participant’s NDIS Account, select My Requests. Select Transaction Id (hyperlink) to open the complaint.

Select Outcome, then select Edit.

Complete the following fields:

At Status: select Closed.

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At Outcome: select the most appropriate option from the drop-down menu. If you need help selecting an outcome, refer to section 11 - CPIT – Complaints Tile Data Dictionary.
At Outcome Notes: record details of the resolution.
At First Contact Date: Add the date contact was initially made with the complainant to discuss the complaint

Note: Make sure the information is correct. Once you select submit you won’t be able to make any changes.

Select Submit.

Add an Interaction as per section 3.4 Add a complaint interaction.

3.4 Add a complaint interaction

3.4.1 Add an interaction to an open complaint

You must record an interaction via My Requests every time you talk to the complainant and when you close the complaint.

From the participant’s NDIS Account, select My Requests. Select the Transaction Id (hyperlink) for the complaint you want to record an interaction for.

Select Interactions. Select Edit.

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Standard Operating Procedure

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Select Add.

The Create Interaction screen will display. Add an Interaction using Interaction Templates – General – Complaint or compliment received. Select Submit when done.

A success message will display, select OK.

The Interaction Details will display.

Select Edit to include additional information or Back to return to the Overview screen.

3.4.2 Add an interaction to a closed complaint

Once a complaint is closed, you’ll need to link the Transation Id to an Interaction.

From the participant’s NDIS account, select My Requests. Make a note of the Transaction Id for the complaint you want to record an interaction for.

Select Add Items, then select Interaction.

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Standard Operating Procedure

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The Create Interaction screen will display:

Complete the Category, Channel and Status fields using Interaction Templates – General – Complaint or compliment received.
At Link Transition: select Yes
At Process Type Group: select Complaints
At Transaction ID: add the Transaction ID you previously made a note of.

Select Submit when finished.

A success message will display, select OK.

The Interaction Details will display.

Select Edit to include additional information or Back to return to the My Requests screen.

3.5 Acknowledge a complaint by email

You can arrange for the complainant to receive an email acknowledgement of their complaint if requested. This should only be done if the communication channel for the participant or provider is recorded as email.

To send an email follow the guidance in section 14.1 Sending an email acknowledgement to the Participant/Provider in Standard Operating Procedure – Recording and actioning a new complaint item.

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Standard Operating Procedure

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3.6 View or update an existing complaint

From the participant’s NDIS Account, select My Requests. Select the Transaction Id (hyperlink) to view the complaint details.

To update the complaint, select Edit. Then select the section you want to update.

Note: You can’t edit an anonymous complaint.

Select Submit when finished.

Add an Interaction using section 3.4 Add a complaint interaction.

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Standard Operating Procedure

For Internal Use Only

3.7 Withdraw a complaint

If the complainant wants to withdraw their complaint you must tell them:

the original complaint will be closed
if they want to raise their concerns again at a later date a new complaint will need to be recorded.

From the participant’s NDIS Account, select My Requests. Select the Transaction ID (hyperlink) for the complaint you are withdrawing.

Select Outcome, then select Edit.

The Edit screen will display.

At Status: select Withdrawn.
At Outcome: select Withdrawn by Participant or Representative.
At Outcome Notes: record the information below:

Complainant or Participant [name] has confirmed their request to withdraw their complaint. I have told [name] the complaint cannot be re-opened at a later date. If they

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Standard Operating Procedure

For Internal Use Only

want to proceed with the complaint a new complaint will need to be recorded. Refer to the related complaint interaction for more information.

At First Contact Date: use the calendar to select the date the complainant was initially contacted to discuss their complaint..

Select Submit when finished.

A success message displays. Select OK.

3.8 Record a complaint about NDIA or Partner staff.

If you receive a complaint about a NDIA or Partner staff:

Follow the steps in section 3.2 to record the complaint in the System.
Remove any identifying information, including first name and personal pronouns (him/her/he/she) to protect the privacy of staff member(s) concerned.
Do not upload any documents to the System that identify the staff member.
Forward any written communication to staff member’s line manager.

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Standard Operating Procedure

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3.9 Respond to an anonymous complaint

If you receive an anonymous complaint via email, reply to the complainant with the below response.

Dear <Insert complainant’s name>

Thank you for taking the time to provide feedback.

Please note as requested this complaint has been recorded as anonymous. The NDIA will not be providing any further updates and we won’t be able to contact you to clarify the complaint or seek further information. This may result in the complaint not being resolved.

If you would like to remain informed regarding a complaint please ensure you resubmit a new complaint stating that you wish to be identified.

Thank you

National Disability Insurance Agency

Phone 1800 800 110

Email feedback@ndis.gov.au

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Standard Operating Procedure

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3.10 Provide a complaint status update

Use the table below to give an update on a complaint when the source of the complaint is:

the participant
advocacy service
community organisation
member of the public, or
on behalf of the participant or provider.

Status	Definition	Messaging to Complainant	Action Required
Created	Default status when a new complaint is initiated.	Tell the complainant someone will be in touch within 21 days of the date the complaint was created.	Confirm the complaint is within the 21 day range. If Yes: Add a complaint interaction and include details of the enquiry and close the interaction. If No: Add a complaint interaction and assign to the Complaints Officer; and Email: Complaints and Participant Incidents Team.

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Status	Definition	Messaging to Complainant	Action Required
			Subject line: ‘Escalated Complaint over 21 days’: Participant Name, NDIS number and date the complaint was created (DD/MM/YYYY).
In Progress	Investigation into the complaint has commenced.	Tell the complainant someone from the Agency should have already been in contact with them and proposed actions to resolve the complaint. Tell them the Complaints Officer will contact them once the complaint has progressed. You can reassure them that the complaint is being progressed.	Review the complaint details. Check there are actions being undertaken by the Agency. Refer to section 3.6 View or update an existing complaint. If there is no request for action recorded, or the response due date has passed, assign an open interaction to the Complaints Officer to follow up. If the response due date has not yet passed, add an interaction with details of the enquiry and close the interaction.
Withdrawn	The complainant doesn’t want to continue	Tell the complainant the complaint has been withdrawn. If they want	Check the complaint details, including any complaint interactions and confirm the complainant has withdrawn the complaint.

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Status	Definition	Messaging to Complainant	Action Required
	with the complaint process.	to make another complaint, you’ll need to record a new complaint on their behalf. The new complaint may take up to 21 business days to resolve.	If the complaint was withdrawn by the complainant, you can record a new complaint on their behalf if requested. If there is no record of the complaint being withdrawn, add an open interaction and assign it to the NCR/National Complaints and Reviews CRM Inbox.
Closed	All reasonable actions have been undertaken.	Tell the complainant the complaint has been closed. If they want to make another complaint, you’ll need to record a new complaint on their behalf. The new complaint may take up to 21 business days to resolve.	Check the complaint details, including any complaint interactions and confirm the complainant was told the complaint would be closed. If the complainant wants to record a new complaint, you can record this on their behalf. If there is no record of the complainant agreeing to close the complaint, add an open interaction and assign it to the Complaints Officer listed on the complaint record.

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Standard Operating Procedure

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Status	Definition	Messaging to Complainant	Action Required
Send Email Acknowledgement Only if an email address has been recorded in the Communication channel.	A System generated email acknowledgement has been sent.	Tell the complainant they should have received an acknowledgement via email that their complaint has been received. Tell them their complaint is under reivew and a Complaint Officer will contact them soon to talk about the next steps.	Confirm that the complaint was created less than 21 days ago. If less than 21 days ago: add a closed interaction and include details of the inquiry. If created more than 21 days ago: add an open interaction and assign it to the Complaints Officer. You must also email Complaints and Participant Incidents Team. Subject line: ‘Escalated Complaint over 21 days’: Participant Name, NDIS number and date the complaint was created (DD/MM/YYYY).
Feedback Acknowledged	You have assured the complainant you have received the complaint and notified them it will be actioned via their preferred contact method.	Confirm the complainant has received an acknowledgement via phone or email. Tell them the Agency is reviewing their complaint and someone	Confirm that the complaint was created less than 21 days ago. If less than 21 days ago: add a closed add a closed interaction and include details of the inquiry. If created more than 21 days ago: add an open interaction and assign it to the Complaints

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Status	Definition	Messaging to Complainant	Action Required
		will be in contact with them soon.	Officer. You must also email Complaints and Participant Incidents Team. Subject line: ‘Escalated Complaint over 21 days’: Participant Name, NDIS number and date the complaint was created (DD/MM/YYYY).

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Standard Operating Procedure

For Internal Use Only

Standard Operating Procedure — Personalise your Home screen in the NDIS Business System
Standard Operating Procedure — Recording and actioning a new complaint item
Complaints and Feedback Framework
CPIT — Complaints Tile Data Dictionary

5. Feedback

If you have any feedback about this Standard Operating Procedure, please complete our CPIT Feedback Form and forward via email to the CPIT Business Improvement Team

6. Version control

Version	Amended by	Brief Description of Change	Status	Date
7.0	JS0082	Class 1 Approval. Transferred to new SOP template	APPROVED	2021-09-22
7.1	NGC832	Updated to include new Risk and Escalation Matrix. Updated Section 3.3.1 to include need for all Level 1 complaints to be entered in CRM and all appropriate fields within the complaint item to be completed prior to closure of the complaint. Updated First contact date explanation.		2023-08-30

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Record, view and update a complaint

Record, view and update a complaint

1. Recent updates

2. Checklist

3. Procedure

3.1 Determine complaint level

3.2 Record a new complaint

3.2.1 If the person making the complaint (complainant) wants to remain anonymous

3.2.2 If the complainant doesn’t want to remain anonymous

3.3 Resolve a complaint

3.3.1 Close a complaint at first point of contact

3.4 Add a complaint interaction

3.4.1 Add an interaction to an open complaint

3.4.2 Add an interaction to a closed complaint

3.5 Acknowledge a complaint by email

3.6 View or update an existing complaint

3.7 Withdraw a complaint

3.8 Record a complaint about NDIA or Partner staff.

3.9 Respond to an anonymous complaint

3.10 Provide a complaint status update

4. Related procedures or resources

5. Feedback

6. Version control