GUIDELINES FOR HANDLING
COMPLAINTS, CONCERNS AND
FEEDBACK
Information for Clients, Stakeholders, Authorised Clinicians and Staff of
the Children's Court Clinic
VERSION 1.4
June 2014
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Version Control
Version 1.1
Date October 2007
Author Maria Youssef
Reason for Amendment: First draft to Mark Allerton for amendment.
Version 1.2
Date April 2013
Author Seini Afeaki
Reason for Amendment: Incorporate NSW Health policies into document
Version 1.3
Date: November 2013
Authors: Seini Afeaki, Mark Allerton, Susan Blacker
Reason for Amendments: incorporate preliminary feedback from SCHN Policy and
Procedure Coordinator
Version 1.4
Date: April 2014
Authors: Seini Afeaki, Mark Allerton, Susan Blacker
Reason for Amendments: resolve some wording issues
Version 1.4
Date: June 2014
Authors: Mark Allerton, Susan Blacker, Seini Afeaki,
Reason for Amendments: adding 3 documents: Patient Complaints Management
Policy 1/A/12:9047 – 01:01, Patients Complaint Management Handling SCHN
Procedure 1/A/13 : 7009 – 01:00 and Patient Complaints Management CHW
Procedure 1/A/12:8016 – 01:00 in the Related Policies section.
\\dfs\g\CCC\DATA\Import from DAGJ\Governance\Policies\Clinic\Complaints\Complaints\Complaint
Guidelines for SCHN
Document Approval
Name: Mark Allerton
Role: Director, Children’s Court Clinic
Date
Signature
Distribution List
Name: Alison Lee
Role: Clinical Program Director, Priority Populations, Sydney Children’s Hospitals
Network
Date
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TABLE OF CONTENTS
1. General Policy Statement of Guidelines ...................................................... 4
2. Scope of this Document .................................................................................. 4
3. Purpose ............................................................................................................... 4
4. Definitions ........................................................................................................... 4
5. Who can make a complaint? .......................................................................... 5
6. Nature of a complaint or concern .................................................................. 5
7. Rights of the Complainant............................................................................... 6
8. Rights of the Children’s Court Clinic Authorised Clinician and staff
members .................................................................................................................. 6
9. How a complaint is made ................................................................................ 6
10. Recording complaints, concerns and feedback and file maintenance 7
11. Procedure for complaint handling ............................................................... 7
11.1 Responding to a complaint ............................................................................. 7
11.2. Declining to deal with a complaint .................................................................. 8
12. Outcomes ......................................................................................................... 8
13. Legislative requirements ............................................................................... 8
14. Right to Appeal ................................................................................................ 9
15. Related Policies .............................................................................................. 9
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1. General Policy Statement of Guidelines
These guidelines have been implemented to ensure an open process and structure
for resolving complaints and concerns, and to identify and address problems in
service provision by the Children's Court Clinic. The Children’s Court Clinic will
consider all complaints and concerns and attempt to resolve them in the most
appropriate way according to the presenting issue.
2. Scope of this Document
The scope of this document is
1.
To advise the Children’s Court Clinic’s clients and stakeholders of the
complaints handling procedures
2.
To advise Authorised Clinicians of the complaints handling procedures
3.
To advise the Clinic’s staff of complaints handling procedures
This policy is accessible on the Children's Court Clinic website. Upon its
commencement, all Children's Court Clinic staff and external stakeholders shall be
made aware of the location of the new policy.
3. Purpose
The purpose of the guidelines is:
 To ensure that the necessary processes are in place to enable complaints and
concerns to be investigated and resolved promptly and transparently
 To inform clients of their rights and the procedures for the investigation of
complaints
 To inform Authorised Clinicians of their rights and the procedures for the
investigation of complaints and concerns
 To inform staff of their rights and responsibilities in managing clients’
complaints
 To identify areas of service that require improvement
4. Definitions
Authorised Clinician: a person contracted by the Children's Court Clinic to conduct
assessments on behalf of the Children's Court Clinic.
Children's Court Clinic (also referred to as the ‘Clinic’): The Children's Court
Clinic is established under section 15B of the Children’s Court Act 1987. Pursuant to
its function under sections 52-59 of the Children and Young Persons (Care and
Protection) Act 1998 the Clinic assists the Children’s Court and higher courts in care
and protection matters, by providing independent expert clinical assessments of
children and young persons, and/ or the capacity of parents and others to carry out
parental responsibility.
Client: a person whom the Children's Court has agreed should participate in an
assessment conducted by a Children's Court Clinic Authorised Clinician.
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Complaint: an expression of dissatisfaction by a complainant about any aspect of
the Clinic’s service that is provided under The Act and that requires a response from
the Director of the Clinic.
Concern: provides feedback regarding any aspect of the Clinic’s service provision
where a complaint is not made, but that identifies issues that might require further
investigation.
Director: the Director of the Children’s Court Clinic or his/ her nominated delegate.
Professional Advisory Group (‘PAG’): the expert professional advisory panel
which provides recommendations to the Director in relation to the establishment and
maintenance of the list of Authorised Clinicians. Representatives include nominees
from the NSW Psychology Council, the Royal Australian and New Zealand College
of Psychiatrists, the Australian Association of Social Workers, NSW Juvenile Justice,
and the NSW Department of Family and Community Services.
5. Who can make a complaint?
Any Authorised Clinician or person who has had contact with the Clinic, either
directly, or via a third party, can make a complaint or express concern.
This may include:
 Client/s or any other persons involved in assessments conducted by the Clinic
 Authorised Clinicians who believe they have been treated unfairly by
Children's Court Clinic staff or external stakeholders
 The legal representatives of clients
 External professional stakeholders, including legal representatives, allied
health professionals, doctors, teachers, or Family and Community Services
staff, who have been in contact with the Clinic during the course of an
assessment
 Support persons or advocates for the client/s such as family support workers,
disability support services or advocacy and support services for Aboriginal
and Torres Strait Islanders and Culturally & Linguistically Diverse peoples
6. Nature of a complaint or concern
Complaints may be made about any aspect of the services provided by the Clinic
and may include areas such as administration, content or quality of reports,
professional misconduct, or more serious matters.
Complaints and concerns may vary in their scope. For example a complaint about an
assessment report may range in severity from a report’s lateness, to a perception
that it contains allegedly inaccurate information, or to concerns about a person’s
professional behaviour.
If a problem with an assessment report is relatively minor, such as the spelling of a
name, an incorrect date of birth, address etc., we encourage you to call the Clinic (02
8688 1530) to resolve it quickly.
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Where an identified problem is in relation to the nature and content of an
assessment report, the Director will review the contents of the report in light of the
complaint. The Director will then follow the procedure outlined in this guideline.
If a court hearing is due, with an opportunity to challenge an assessment report
through cross-examination, this would be the more appropriate way to resolve any
concerns about the assessment.
7. Rights of the Complainant
A complainant has the right to:
 Be heard directly or via a third party;
 Know whether the Clinic’s relevant services guidelines have been followed;
 Provide and request all relevant material to support the complaint;
 Be informed of the criteria and processes, including avenues for further
review, applied by the Clinic in dealing with complaints;
 Be informed of the response of the person or persons complained of;
 Be informed of the Clinic’s decision and the reasons for that decision;
 Know the complaint is being reviewed independently where possible; and
confidentiality, where possible.
8. Rights of the Children’s Court Clinic Authorised Clinician and
staff members
If a complaint has been made about an Authorised Clinician or staff member, the
person complained against will be given the opportunity to respond in full to the
complaint. Complaints will be considered in terms of the need to balance a client’s
right to a quality independent assessment and report, and the right of a clinician or
staff member to professional independence and procedural fairness.
Where a client has complained about an Authorised Clinician or staff member, that
person will be informed of the concern. A number of actions are available to the
Director. Depending on the nature of the complaint, the Director may suspend the
Authorised Clinician or the staff member while the complaint is being investigated.
The person or persons about whom the complaint is made has the right to:
1) Be provided with sufficient detail about the complainant to enable that person
to properly respond to the complaint or concern;
2) Place all relevant material before the person investigating the complaint; and
3) Be informed of the decision and the reason for the decision.
9. How a complaint is made
A complainant can make his or her complaint in any form he or she chooses, with
the proviso that the issues in the complaint should be clearly articulated:
 by writing a letter to the Director of the Children’s Court Clinic, Locked Bag
4001, Westmead NSW 2145.
 by sending an email to schn-childrenscourtclinic@health.nsw.gov.au
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



by sending a fax to the Clinic: (02) 8688 1520
by submitting the online web form through the Clinic’s website:
http://www.schn.health.nsw.gov.au/health-professionals/departmentsclinics-and-units/childrens-court-clinic
verbally over the phone or counter
additional information about relevant court procedures is available at:
o Lawlink (the NSW Department of Attorney General and Justice
website)
http://www.lawlink.nsw.gov.au/Lawlink/Corporate/ll_corporate.nsf/page
s/LL_community_gateway_index
o NSW Children’s Court
http://www.childrenscourt.lawlink.nsw.gov.au/childrenscourt/index.html
All staff at the Children's Court Clinic have the authority to receive a complaint from a
client.
Assistance will be made available to complainants to prepare a written complaint if
required. A third party or support person may also assist with the preparation of a
written complaint.
10. Recording complaints, concerns and feedback and file
maintenance
All incoming complaints, concerns and feedback must be recorded in the Clinic’s
complaint register and allocated a complaint reference number. This confidential
register is maintained by the Clinic’s Project Officer.
All documents about complaints and concerns, and their handling, must be held on
an official file. The file number is to be recorded in the complaint register on the
Clinic database, with the details of a complaint, including its management and
outcomes. Complaints information is used to record data, to monitor trends and
assist in service quality improvement.
These files will be kept in accordance with the State Records Act 1998.
Complaint records are not to be kept with an Authorised Clinician’s or staff member’s
personal file.
11. Procedure for complaint handling
11.1 Responding to a complaint
All complaints and concerns will be considered and attempts made to resolve them
in the most appropriate way according to the presenting issue.
The time standards for responses to complaints are:
 Complaints are acknowledged in writing within five business days of receipt
 Written responses are sent to the complainant within three calendar weeks of
receipt
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Where administrative issues are identified, the Director will contact the Authorised
Clinician, staff member or person responsible directly to discuss and resolve the
issue. A subsequent letter will be sent confirming the resolution of the issue and any
agreement reached regarding future matters. If the problem is not satisfactorily
resolved or continues to occur, the Director will write to the person who is the subject
of the complaint asking them to respond in writing with an explanation.
The Director may refer matters of a more serious nature to the PAG for advice. The
Director may also write to the person who is the subject of the complaint informing
them of the complaint and request that they respond in writing to the PAG in relation
to the complaint.
Action can also include formal referral of the matter for advice to the PAG or
investigation by the appropriate agency (including the Australian Health Practitioner
Regulation Agency, the NSW Ombudsman, the Office of the Legal Services
Commissioner, the NSW Health Care Complaints Commission).
11.2. Declining to deal with a complaint
All complaints will be treated seriously and dealt with professionally and promptly.
The Children’s Court Clinic may decide to decline to deal with a complaint because it
is:
 Outside the Clinic’s responsibility, or
 The subject matter of the complaint (or part) is already under investigation by
an appropriate agency
 The subject of legal proceedings
 Vexatious or frivolous
Following a proper investigation, if it is clear that a complaint is frivolous, vexatious
or malicious, the complainant will be notified that the matter will not be pursued
further, unless the claim can be independently substantiated or new information is
made available.
12. Outcomes
The above matters can ultimately result in a range of outcomes dependent upon the
content of the complaint or concern. Outcomes may vary from a telephone
discussion and the provision of information, or a meeting with the Director to discuss
and resolve the issues, through to the suspension of services and notification to the
relevant professional body or to the relevant authorities as required by law.
The complainant and the subject of the complaint will be kept informed of progress.
Notification of the outcome of the handling of the complaint will be communicated to
the complainant and the person who is the subject of the complaint by formal letter.
13. Legislative requirements
Under the Ombudsman Amendment (Child Protection and Community Services) Act
1998 the Director is obliged to notify the Ombudsman if any person is alleged to
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have abused a child, or is convicted of child abuse, and that abuse arose during the
course of their work with the Clinic.
14. Right to Appeal
The complainant has the right to request a review of the decision if the complaint is
unresolved. The Clinic should then pass the complaint to a senior officer of the
Sydney Children’s Hospitals Network or other appropriate agency for independent
review. This review might address whether a reasonable and relevant inquiry was
made into the complaint and whether the parties involved in the complaint were
afforded the opportunity to have their version of events put forward. The reviewer
might then make a decision about whether the merit of the complaint was correctly
assessed.
15. Related Policies
This document must be read in conjunction with related NSW Health policies and
guidelines.
Complaint Management Policy (PD2006_073) 29 August 2006. This policy
applies to all complaints about health services made by members of the public
or external organisations.
Complaint or Concern about a Clinician - Principles for Action (PD2006_007)
January 2006. Describes the principles for managing complaints or concerns
regarding all clinicians and outlines the roles and responsibilities for ensuring all
complaints or concerns are managed by the health service, and outlines the
legislative responsibility for doing so.
Complaint or Concern about a Clinician - Management Guidelines
(GL2006_002) January 2006. Sets out an operational framework for the use of
health services when dealing with a complaint or concern about an individual
clinician and guides for the process for implementing the NSW Health Policy
Directive Complaint or Concern about a Clinician – Principles for Action
(PD2006_007).
Complaint involves system related incidents - Incident Management Policy
(PD2006_030). Advises staff on how to respond effectively to all clinical and
corporate incidents that occur in the health system. It outlines the requirements
for submission of a Reportable Incident Brief. The requirement for open
disclosure is also included in the policy.
Disciplinary matters - A Framework for Managing the Disciplinary Process in
NSW Health (PD2005_225). A framework of principles for disciplinary policy and
procedures to ensure matters are dealt with effectively in health services.
Grievances - Effective Grievance Resolution: Policy & Better Practice
(PD2005_584). Requires the Department of Health and health services to have
in place a local workplace grievance management system and procedures that
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facilitate prompt, fair and flexible management of all workplace grievances, with
a focus on effective resolution.
Matters relating to child protection - Child Related Allegations, Charges and
Convictions Against Employees (PD2006_025), and Protecting Children and
Young People (PD2005_299), noting the specific reporting and investigation
requirements outlined in these policies.
Harassment matters - Harassment Policy & Procedures (PD2005_223)
Procedures and Policy to be followed regarding the non-toleration of harassment
in the Department of Health.
Possible corrupt conduct - Reporting Possible Corrupt Conduct to the
Independent Commission Against Corruption (PD2005_173). Specifies when,
what and how corrupt conduct is to be reported.
Possible criminal conduct – Criminal allegations, charges and convictions
against employees (PD2006_026). Sets out the mandatory requirements for
responding to any allegation, charge or conviction against a Health Service
employee where it involves a criminal matter.
Protected disclosures – (PD2005_135). Disclosure by staff of corrupt conduct,
maladministration and serious waste – Protected Disclosure Procedures in
Health Services (Policy and Guidelines for the Development of).
Open Disclosure Policy – (PD2006_069). Establishes a standard, direct
approach in communicating with patients, families/carers and other stakeholders
after incidents.
Patient Complaints Management Policy –(1/A/12:9047 – 01:01)
The policy provides support to staff to respond effectively to clinical and
corporate complaints that arise in the NSW Health System.
Patient Complaint Handling Procedure – SCHN Procedure (1/A/13:7009 –
01:00). This SCHN local Complaints Handling Procedure replaces the previous
unmodified use of the NSW Health Guideline GL2006_023 Complaint
Management Guidelines.
Patients Complaints Management – CHW Procedure (1/A/12:8016 – 01:00).
The focus of this procedure is on a patient & family centred approach to
complaints. Where staff at the point of service resolve complaints at first
contact, escalation can be avoided and complaints can be resolved directly and
quickly to the satisfaction of all parties.
This information has been adapted from:
Standards Australia Complaints Handling (AS 4269)
NSW Attorney General’s Department Complaints Policy
Children's Court Clinic Policy and Procedures for the Resolution of Client
Complaints – September 2002
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