3. Guiding principles

There are 5 sections to our Complaints Handling Policy:

The guiding principles of the Complaints Commissioner’s complaints processes include:

best practice complaints handling
older person focussed and rights-based complaints handling
timely and proportionate resolution
a focus on early resolution
supporting restorative outcomes
improving the capability of providers, responsible persons and workers.

3.1 Best practice complaints handling

Our complaints handling practice follows the principles in the Commonwealth Ombudsman’s Better Practice Complaint Handling Guide. In line with the guide, our complaints service:

is user-centred, simple to access and easy to use
supports early resolution
is an important part of our Regulatory Strategy
helps us identify and report on what we learn from complaints
is supported by clear process guidance
makes sure that skilled staff are supported to deliver better practice
is supported by strong quality assurance and review processes
is correctly resourced.

3.2 Older person focus

Older people are at the centre of all we do at the Commission. Older people can expect us to:

put their experience at the centre of how we work and regulate
listen to them to understand what is important and what they want from their provider and from us
always include them, their carers, their supporters (if they choose), and any other people that have been nominated by the older person or who have legal authority in the complaints process
share information that is accurate and easy to understand
recognise and engage with independent aged care advocates or registered supporters
acknowledge their diversity and ensure the complaints process accommodates their needs.

3.3 Rights based complaints handling

The Aged Care Act includes a Statement of Rights for older people receiving funded aged care. This includes the right to complain to their provider and to the Commission.

These rights stated in the Aged Care Act make sure that:

people can make complaints about their care easily, without fear of consequences
complaints are dealt with fairly and promptly
people can choose to have an advocate or someone else support them to make a complaint
people who make a complaint have support to understand their rights, and what they mean in real-life situations
we recognise older people’s diverse needs, choices and preferences.

Our complaints handling process upholds older people’s rights under the Statement of Rights. When we receive a complaint, we check if any rights have been infringed and take steps to resolve the issue. Our response to a complaint puts older people’s experiences at the centre of how the complaint is handled.

We identify where providers are not delivering care in line with the Statement of Rights or their obligations under the Aged Care Act. We hold providers to account if they are unable to improve.

3.4 Timely and proportionate resolution

We consider risk and focus on prevention and timely action. Actions taken are proportionate, evidence based, and outcomes focused. This approach is in line with the Aged Care Act and the principles in our Decision-Making Framework.

3.5 Early resolution

We resolve complaints early where we can.

Early resolution means delivering a fit-for-purpose response to a complaint:

that improves the care for the older person
as soon as possible
in line with the Aged Care Act
guided by the older person’s wishes
in proportion to the risk of harm to older people.

Early resolution recognises that there are different ways to reach a quick and effective outcome. For example, not all complaints need an investigation or a formal resolution process.

Our complaints management approach means that, in most cases, we can consider the option to address a complaint early. We focus on outcomes and the best way to handle each complaint.

Early resolution:

promotes efficient and effective use of public resources
meets community expectations
helps build trust, confidence and satisfaction with the way we handle complaints.

3.6 Supporting restorative outcomes and open disclosure

The Commission’s Regulatory Strategy emphasises and explains how restorative practices and open disclosure are used to address things that go wrong. Consistent with the Regulatory Strategy, every complaint is an opportunity to undertake continuous improvement that restores trust and confidence in care being provided.

When things go wrong with the care being delivered to older people, it can be unsettling and upsetting for them, and sometimes fixing these shortfalls does not address their needs adequately. We often receive complaints about issues that have been fixed but the trust and relationship between the older person and those delivering their care remains unresolved. The Commission will encourage and facilitate communication between affected parties so people who make complaints, their family and carers:

can feel heard and respected by those providing their care
can collaborate with those providing care to discuss and resolve problems and come to an agreed solution together
are kept up to date, and assured the problem is being fixed and will be prevented from happening again
can give those providing their care an opportunity to restore their trust and confidence in the quality and safety of the services being delivered

Restorative engagement can rebuild trust and relationships important to the older person. When done well, the restorative outcome makes the older person feel heard, safe and well cared for, which are key rights of older people.

Open disclosure is critical to achieving a restorative outcome. This includes:

acknowledging and apologising or expressing regret for what happened
giving the older person an opportunity to explain their experience of what has gone wrong to those providing their care
allowing those providing their care to describe what went wrong from their perspective, and explain what they will do to fix what went wrong and how they will make sure it doesn’t happen again
restoring the important relationship between the older person or the person making the complaint and those providing their care (which may include offering an apology).

3.7 Improving the capability of providers, responsible persons and workers

We want to build and promote a positive culture for providers, responsible persons and workers through our complaints handling process and sector education. That is a culture where they can: