OIA REQUEST
Received:
10 May 2021
Due:
08 June 2021
Response Date:
11 May 2021
Further Enquiry:
02 March 2022
Further Response: 04 April 2021
Further Response: 11 April 2022
Subject:
Nga Mataapuna Oranga
In response to your request under the Official Information Act, please find our response below:
Request
Please provide the following information:
Under the OIA, I request a copy of the following
1.
Complaint procedure for your contractor NGA MATAAPUNA ORANGA.
2.
Expected response timeframe for emails sent to "[email address]".
3.
A breakdown for last year of how many responses fit within the expected
timeframe.
Information held by a contractor to an OIA organisation is deemed held by that organisation if
it is in the contractor's capacity as contractor. NGA MATAAPUNA ORANGA is contracted by
Bay of Plenty DHB.
Response 11 May 2021
Pursuant to clause 18(e) of the Of icial Information Act the BOPDHB cannot provide this
information on the grounds that BOPDHB does not hold this information.
You wil need to contact Nga Mataapuna Oranga direct and ask them for a copy of their
complaints procedure.
As part of Nga Mataapuna Oranga’s contract with BOPDHB, they are required to have a
complaints procedure, but BOPDHB do not dictate what this procedure must contain.
Further Response 02 March 2022:
Following your email of 8 April 2021 and subsequent concerns, we have fol owed up with Nga
Mataapuna Oranga again who reviewed the matter and have now provided us with attached
Complaints Policy and Flowchart and following information.
[email address]
There was a period from 14 January 2021 when a staff member left the organisation and that
email address was not being monitored or redirected. This matter has now been resolved and
this email address is monitored regularly and emails are forwarded to the relevant staff
member for follow up. The auto message response has also been updated.
Website
Website contact link fixed.
Further Response 11 April 2022
1.
Please see complaint procedure and complaints process flowchart attached.
2.
At the time of the complaint a 3-day response time was indicted in the auto response.
The auto response currently does not have a timeframe however any emails that require
a response, re-directing or follow-up are currently being responded to within 3 working
days or immediately.
3.
See table below.
Month
# Emails Received # Emails re
# General
# spam/junk emails # Emails referred to
vacancies/recruitment –
information/mass
appropriate staf
always responded to
emails –
not
member for follow
responded to but
up –
response is
sometimes forwarded
usually sent with the
to others who may be
appropriate staff
interested in the
member cc’d in
information
April 2021
14
0
8
2
4
May 2021
42
20
12
0
10
June 2021
43
25
10
0
8
July 2021
31
5
13
0
13
August 2021
47
12
29
0
6
September 2021
42
10
17
0
15
October 2021
34
5
16
0
13
November 2021
27
0
22
0
5
December 2021
30
3
19
0
8
January 2022
14
0
6
0
8
February 2022
11
0
7
0
4
March 2022
6
0
4
0
2
Bay of Plenty DHB supports the open disclosure of information to assist the public
understanding of how we are delivering publicly funded healthcare. This includes the
proactive publication of anonymised Of icial Information Act responses on our website. Please
note this response may be published on our website.
Official Information Act | Bay of Plenty
District Health Board | Hauora a Toi | BOPDHB
You have the right to request the Ombudsman investigate and review our response.
www.ombudsman.parliament.nz or 0800 802 602.
Yours sincerely
DEBBIE BROWN
Senior Advisor Governance and Quality
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QUALITY IMPROVEMENT MANUAL
QUA103 COMPLAINTS POLICY
PURPOSE
The purpose of this policy is to provide guidelines for kaimahi that ensure that all complaints
received by Ngā Mataapuna Oranga (NMO) are managed and responded in compliance with relevant
legislation.
CONTENTS
1.
SCOPE ......................................................................................................................................... 1
2.
DEFINITIONS ............................................................................................................................... 1
3.
POLICY ........................................................................................................................................ 2
4.
RESPONSIBILITIES ....................................................................................................................... 3
5.
COMPLAINTS REVIEW ................................................................................................................ 4
6.
SERIOUS COMPLAINTS ............................................................................................................... 4
7.
LEGISLATIVE REQUIREMENTS ..................................................................................................... 4
8.
HABITUAL OR VEXATIOUS COMPLAINTS .................................................................................... 5
9.
SECURITY AND RETENTION OF INFORMATION .......................................................................... 6
10. PRIVACY IMPLICATIONS ............................................................................................................. 6
11. PERFORMANCE MEASURE.......................................................................................................... 6
12. RELATED DOCUMENTS ............................................................................................................... 6
13. COMPLAINTS PROCEDURE FLOWCHART .................................................................................... 7
1. SCOPE
All Trust Board members, kaimahi and clients of NMO.
2. DEFINITIONS
Complaint
Any expression of dissatisfaction about professional behaviour or quality of
service that needs a response from the organisation.
Consumer/Client
A user of the service (service user, family/whānau, guardian, advocate or
provider).
Comment
An observation, remark or expression of opinion that highlights a part of the
service could be improved, for which no response is required. A positive
comment is a compliment. A negative comment is one that highlights a part
of the service that could be improved, for which no response is required.
Complainants who choose to complain anonymously will have their complaint
treated as a negative comment.
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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QUA103 COMPLAINTS POLICY
Query
An inquiry or question about some aspect of the service that expects a
response. It is not a complaint.
Incident
An internally reported event which:
Has resulted in harm to client/consumer, kaimahi or other persons; or
Could have resulted in harm to client/service user, kaimahi or other
persons; or
Contravenes NMO policy, protocol, or procedures; or
Is inconsistent with generally acceptable service / professional standards;
or
Results in serious harm as defined by the Health and Safety at Work 2015;
or
Results in, or could have resulted in, loss or damage to property and/or the
environment; or
Results in loss to systems or process.
Open Complaint
The complaint that has been received by the organisation.
Closed
Where a response has been sent to the complainant following investigation,
Complaint
detailing the outcome of the investigation, and any action that has or is to be
taken as a result. If it does not elicit a further response from the complainant,
a closed complaint requires no further action from the organisation.
Resolved
A resolved complaint is one that is resolved to the satisfaction of the
Complaint
client/service user as evidenced by written acknowledgment, or verbal
acknowledgment that has been documented.
3. POLICY
All complaints received by NMO are managed and responded to in a fair, simple, speedy and
efficient manner for resolution, consistent with NMO obligations under the Code of Health and
Disability Services Consumers' Rights (1996) (the Code), the Privacy Act 2020, the Health
Information Privacy Code 2020 and associated legislation.
All complaints will be managed:
To encourage kaimahi to resolve complaints at the point of contact with the complainant.
To ensure that clients and kaimahi are aware of the complaints procedure and it is easy for
clients and kaimahi to access and use.
To ensure that all complaints are investigated so that the rights of both the complainant and
identified kaimahi are respected throughout the investigation process.
To ensure that the confidentiality and privacy of the individual is maintained at all times.
To regard complaints as opportunities to continually improve service delivery.
To ensure that issues arising from the complaints process are forwarded to the Quality
Manager or designated authority.
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
Page
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QUALITY IMPROVEMENT MANUAL
QUA103 COMPLAINTS POLICY
4. RESPONSIBILITIES
Kaimahi
Kaimahi receiving complaints from clients are accountable for forwarding them to the Managing
Director within 48 hours of receipt.
If the complaint is verbal, they are required to make a file note and forward it to their
Managing Director within 48 hours of receipt. The file note should record the date
communication occurred, a summary of the complaint resolution if applicable and any
subsequent action taken.
Kaimahi are required to initiate immediate resolution where practicable.
If the complainant chooses to make a written complaint, the kaimahi will provide support
and advice. A written complaint can be made by letter or by utilising the NMO complaints
form and will be submitted to the Managing Director.
The Managing Director will delegate the management of the complaint process to the
Quality Manager or delegated authority.
Kaimahi who have a complaint are encouraged to initiate resolution through discussion with the
Managing Director or the Quality Manager in the first instance.
If the kaimahi member chooses to make a written complaint they should do so via a letter or
by utilising the organisation’s Complaints Notification form and submit to the Managing
Director.
The Managing Director will delegate the management of the complaint process to the
Quality Manager or delegated authority.
Kaimahi need to be aware that the investigation process may require that any person’s
named in the complaint may need to be interviewed (in confidence) to enable the Quality
Manager or delegated authority to reach an impartial and fair outcome.
Refer to 14. Complaints Procedure Flowchart and QUA200 Complaints Notification Form.
Quality Manager
The Quality Manager or delegated authority has responsibility for the complaint
management process and is accountable for:
Ensuring information pamphlets and posters are displayed throughout the services
informing /clients/service users about the complaints procedure.
Refer to QUA300 Complaints Process Information
Receiving all complaints.
Maintaining a record of all complaints received.
Liaising with relevant kaimahi to ensure the complaint is resolved.
Providing support and advice in complaint resolution process.
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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QUA103 COMPLAINTS POLICY
Coordinating the investigation into complaints.
If a facilitated meeting is to be held, facilitating that meeting if required, and keeping
notes of that meeting.
Recording all outcomes, follow-up actions and whether they are completed by the
set date.
Providing a feedback loop to kaimahi.
Monitoring the complaint resolution process to ensure it is client focussed, and
meets the requirements of the Code. In the case of kaimahi, the process needs to
ensure compliance with relevant employment standards.
5. COMPLAINTS REVIEW
All complaints are reviewed at senior management team meetings, which ensures that:
Complaints presented at meetings are monitored to ensure compliance with the Code,
relevant employment standards and this policy.
Quality improvement opportunities arising out of the complaint process are identified.
Bi-monthly reports are submitted by the Managing Director to the Trust Board, outlining
activities and resolutions as appropriate.
6. SERIOUS COMPLAINTS
A serious complaint is where there is any serious allegation against NMO. The following are
examples of what may constitute a serious complaint:
A complaint which has the potential risk of a legal claim.
Any allegation regarding the breach of legislation, regulations, or an ethical code of
conduct e.g. breaches of the Code of Rights regulations.
Discrimination according to race, gender, age, etc. including allegations about being
neglectful, or otherwise having acted improperly.
Where kaimahi appear to be practicing outside of a NMO policy.
A complaint that has attracted media attention.
All serious complaints must be brought to the immediate attention of the Managing Director.
This is to protect both kaimahi and the organisation.
7. LEGISLATIVE REQUIREMENTS
a) 5 Working Days
All complaints are acknowledged in writing within five working days of receipt, unless
resolved to the satisfaction of the client within that period. Complaint resolution must be
documented.
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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b) 20 Working Days
All complaints are responded to in full, within 20 working days, or the client is informed in
writing of the need for further time in writing.
c) Over 20 Working Days
The client is given monthly written updates if the process takes longer than 20 working days.
Minimum information must include:
Acknowledgement of receipt of the complaint.
Advising the complainant who will be investigating the complaint.
Informing the complainant of the complaint management process, timeframes and
appeal process.
Informing the complainant about the Health and Disability Consumers Code of
Rights and provides contact details.
Advising the complainant about the Health Advocates Trust and the Health and
Disability Commissioner and provides contact details.
The response letter must:
Advise the complainant who were consulted in the course of investigating the
complaint.
Identify the issues the complainant complained about.
Respond to each issue.
Advise what actions will be taken to follow up the issues complained of.
Request the complainant to confirm whether or not they are satisfied with the response.
Provide the complainant with contact details for the Health and Disability Commissioner
and or Privacy Commissioner as appropriate, if dissatisfied with the response.
8. HABITUAL OR VEXATIOUS COMPLAINTS
The key consideration when dealing with habitual or vexatious complaints is to ensure that the
complaints procedure has been correctly implemented and that no material element of a
complaint has been overlooked or inadequately addressed. In doing so it should be appreciated
that even habitual or vexatious complainants may have issues which contain some substance.
The need to ensure an equitable approach is crucial.
If it is considered that all aspects of the complaint have been addressed, the complainant has
been offered the opportunity to appeal the complaint, and still persists in stating their
dissatisfaction; they should be reminded of the opportunity to access the Health and Disability
Commissioner or the Privacy Commissioner as appropriate for an independent investigation into
the complaint.
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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9. SECURITY AND RETENTION OF INFORMATION
Material collected as part of the investigative process is centrally filed with the Quality Manager.
Access is limited to authorised kaimahi. All closed complaints are to be filed in one central
location. Material is retained indefinitely.
Complaints are to be stored in a secure confidential location.
10. PRIVACY IMPLICATIONS
Complaints may contain personal information about the client, kaimahi or other people. Under
the Privacy legislation, this means that the information should only be used in ways that are
necessary to manage the complaint. Appropriate steps must be taken to keep personal
information secure e.g. complaints should not be discussed in public areas; complaint
information should be stored in a secure location such as the Operations Manager’s office.
Consent for disclosure of personal information must be obtained from the person implicated if
complaints are lodged by a third party.
11. PERFORMANCE MEASURE
Ultimate responsibility for the organisation including complaints rests with the Managing
Director who is responsible to their Board of Trustees for legal compliance.
12. RELATED DOCUMENTS
National
Health & Disability Sector Standards 8134:2008
Health and Safety at Work Act 2015
Privacy Act 2020
Health Information Privacy Code 2020
New Zealand Public Health and Disability Act 2000
The Code of Health and Disability Services Consumers Rights (1996)
Policy
SD101 Privacy Policy
SD102 Health Information Privacy
Forms
QUA203 Complaints Notification Form
Resources
QUA303/1 Complaints Process Information Sheet
QUA303/2 Complaints Process Flowchart
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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13. COMPLAINTS PROCEDURE FLOWCHART
Task
Action
Responsibility
Timeframe
Kaimahi must attempt to resolve issues using
solution focused skills.
File note completed that includes:
a record of the date communication occurred,
Verbal Complaint
Kaimahi
a summary of the complaint resolution if
applicable, and
any subsequent action taken.
File note submitted to Managing Director and copy
to Quality Manager.
If issue not resolved, provide support to
complainant and advise on written complaint
Within 48
process.
hours
Document verbal complaint (preferably utilising the
(1) Written
NMO Complaints Form but a letter from the
Complaint
complainant will suffice) that includes the following
received through
details:
Managing
kaimahi and/or
date communication occurred
Director
Managing
summary of complaint
Director
any subsequent action taken.
Submit the written complaint:
to Managing Director
copy to Quality Manager
(2) Written
Letter of complaint received by any kaimahi:
Kaimahi
Complaint
submitted to Managing Director and discussed
Managing
received directly
with Quality Manager.
Director
Letter of acknowledgement sent to complainant. To
Acknowledgeme
include:
Quality
Within 5
nt
Acknowledge receipt of the complaint.
Manager
working days
Advise the complainant who will be
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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QUALITY IMPROVEMENT MANUAL
QUA103 COMPLAINTS POLICY
Task
Action
Responsibility
Timeframe
investigating the complaint.
Inform the complainant of the complaint
management process, timeframes and appeal
process.
Inform the complainant about the Health and
Disability Consumers Code of Rights.
Advise them about the Health and Disability
Commissioner.
Quality Manager to carry out investigation that may
involve (with the consent of both parties):
Individual interviews.
Mediation.
Liaison with other kaimahi who may have
Within 20
Investigation
been affected.
working days
Quality Manager responsible for:
Keeping notes of all meetings, recording
outcomes and follow up actions.
Providing a feedback loop to all parties
involved as appropriate.
If it becomes obvious that the investigation will
Ongoing
need further time, the complainant must be
Quality
Investigation
provided with monthly documented updates.
Manager
Letter provided to advise the complainant who
were consulted in the course of investigating the
complaint, and:
Over 20
Identifies the issues the complainant
working days
complained about.
Resolution
Responds to each issue.
Advises what actions will be taken to follow up
the issues complained of.
Requests the complainant to confirm whether
or not they are satisfied with the response.
Informs about the in-house appeals process if
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
Page
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QUALITY IMPROVEMENT MANUAL
QUA103 COMPLAINTS POLICY
Task
Action
Responsibility
Timeframe
they wish the complaint to be reviewed.
Informs complainant that if they are not
satisfied they have the right to refer the matter
to the Health and Disability Commissioner.
Report provided to the executive team as the
appropriate quality improvement forum where:
Complaints presented at meetings are
Senior
monitored to ensure compliance with the
Management
Review
Code of Health & Disability Services
Team
Consumers' Rights, and NMO Complaints
meeting
Policy.
Quality improvement opportunities arising out
of the complaint process are identified.
Quality
Manager
Complaint recorded in Complaints Register which is
Report
Monthly
included in the monthly Quality Trust Board report.
Material collected as part of the investigative
Security &
process is centrally filed.
Retention of
As required
Access is limited to authorised kaimahi.
Information
Material is retained indefinitely.
Document Ref: QUA103 Complaints Policy
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
Page
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QUALITY MANUAL
QUA303 COMPLAINTS PROCESS FLOWCHART
Complaint Received
Written to Managing Director
Verbal
Quality Manager acknowledges
within 5 working days
Kaimahi remedies complaint
Copy of (this) complaint process
flowchart and complaints process
information sheet sent with letter
No resolution
Resolved
of acknowledgement letter to
complainant
Complaint formalised in writing and
forwarded to Managing Director
Investigation – Quality Manager
If staff members are involved,
meeting arranged within 10 working
days
Resolution or agreement outcomes
Quality Manager enters onto
documented and signed by both
central database
parties.
Copy of report sent to complainant
Quality Manager to compile report
to senior management team
All documents maintained in
Report in bi-monthly Board report
Quality Dept central files
Document Ref: QUA303 Complaints Process Flowchart
Folder: Quality Manual
Approved by: MD
Version: 1
Last Review: May 2021
Next Review: May 2024
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