Complaints Policy
Kaupapa
The purpose of this policy is to provide information and guidance about how the Ministry
responds to complaints.
1. Nā wai te kaupapa | Authority of the policy
The Pou Arataki Ture, Chief Legal Advisor is the policy document owner and is responsible
for the implementation and maintenance of the policy.
2. Te aronga | Scope
2.1 What is a complaint?
A complaint is an expression of dissatisfaction from a member of the public, usually about a
Ministry decision or policy, about how the Ministry deals with personal information, or about
staff behaviour.
Complaints that relate to behaviour of a specific staff member must not be dealt with by the
person concerned, although the person concerned must be given an opportunity to provide
an explanation.
There is no wrong way to make a complaint: they can be made to anyone in person, over the
phone, on paper, or by an email or social media. The Ministry should accept and respond to
all complaints and must also keep its people safe. If you experience abuse or threats, you
should tell the complainant to cease the behaviour and if it continues terminate the
conversation and contact the Chief Security Officer or other member of the Ministry Security
Committee immediately. Notify the Police if required.
2.2 What is not considered a complaint?
Internal complaints from Ministry staff members or other state sector employees in their
official capacity are treated differently and are outside the scope of this policy. (The
Protected Disclosures Policy gives information and a process for staff members to draw
attention to serious wrongdoing in or by the Ministry).
3. Ngā taipitopito o te kaupapa | Policy statement
The Ministry has a central and standard process for receiving and resolving complaints as
part of its professional and consistent service.
4. Ngā tukanga | Procedures
4.1 Complaints process
A complaint can be received and recorded by anyone. If you receive a complaint:
Released under the Official Information Act (1982)
•
record as much information about it as you can
•
acknowledge receipt
•
notify the Pou Arataki Ture, Chief Legal Advisor (CLA)
Once notified, the CLA will manage the complaint until it is resolved. The CLA will:
•
arrange for the complaint to be investigated
•
recommend any action to be taken
•
update the complainant and resolve the complaint
If the complaint is about you personally, discuss it with the CLA before taking any steps.
If the complaint is about the CLA or the legal team follow the process above but do not notify
the CLA; instead notify the Deputy Chief Executive Organisational Performance.
4.2 Timeliness
The Ministry should acknowledge every complaint in writing by the close of the following day
(unless it is resolved within that time).
All complaints need to be fully investigated and resolved within ten working days, unless
there is a good and sufficient reason for the process to take longer. If it takes longer, the
complainant must be kept informed of progress.
4.3 Recording and acknowledging a complaint
If you receive a complaint make a note of all relevant details and save any written material
you receive. Provide everything to the CLA.
When you acknowledge the complaint, explain that the Ministry will investigate the matter
and advise that the complainant can expect an update within ten working days.
Complaints involve personal information. Be careful not to discuss the complaint or disclose
personal information to other people. Remember that the complainant can request a copy of
all information we hold about them. Ensure your record is factual and fair
.
4.4 Investigating a complaint
The CLA may investigate the complaint personally or assign the complaint to a more
appropriate person to resolve, taking into account seniority, capacity, expertise, and
familiarity with any relevant subject matter. Any assignment will be agreed between the CLA,
the investigator, and their manager. The CLA remains responsible for the complaint until it is
resolved.
The CLA or the person to whom the complaint is assigned will obtain all relevant information
and investigate the complaint fully. If the complaint involves a staff member, the staff
member must be given an opportunity to provide a written explanation or comment.
The investigator must keep a complete record and update it as progress is made. Keep the
complainant informed if the resolution is likely to take more than ten working days. The
record must be stored confidential y in the legal team’s part of TRIM (unless the complaint is
about the Legal Team).
Released under the Official Information Act (1982)
4.5 Resolving a complaint
Once all relevant information has been received, the investigator must contact the
complainant to agree on the solutions and then follow this up in writing.
If the investigation reveals that staff actions were inappropriate, staff training or performance
management may be appropriate. The investigator will consult People and Culture before
finalising any recommendations.
5. Te matai me te whai tikanga | Monitoring compliance
Complaints must be regularly monitored by the CLA to ensure that standards are met, with
an emphasis on quality, security, and timeliness. The CLA will report regularly to TKM on
complaints received and will discuss trends with relevant managers so that improvements
can be made.
6. Mā wai e āwhina | Where to get help
For help with this policy contact the Pou Arataki Ture, Chief Legal Advisor.
7. Te tātari me te whakahou | Review of the policy
Review of this policy is due January 2023.
8. Te hītori o tēnei tuhinga | Document history
Version
Date
Author/Contributor
Changes Made
Approved by
Date
number
Created
1.0
April
Aaron Lloydd
Creation of policy TKM
April
2019
document
2019
1.1
January
Mataiasi To’ofohe
Updated to reflect
Nerissa Barber
26
2021
template for
January
policies
2021
Released under the Official Information Act (1982)
